|
Fund
Name
|
| |
Class
I
|
| |
Class
R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class
R4
|
| |
Class
A
|
| |
Class
R3
|
| |
Class
Y |
| ||||||||||||||||||||||||
|
MassMutual U.S.
Government Money Market Fund |
| | | | | | | | | | MKSXX | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
|
MassMutual Inflation-
Protected and Income Fund |
| | | | MIPZX | | | | | | MIPSX | | | | | | MIPYX | | | | | | MIPLX | | | | | | MIPRX | | | | | | MPSAX | | | | | | MIPNX | | | | | | MMODX | | |
|
MassMutual Core Bond
Fund |
| | | | MCZZX | | | | | | MCBDX | | | | | | MCBYX | | | | | | MCBLX | | | | | | MCZRX | | | | | | MMCBX | | | | | | MCBNX | | | | | | MMNWX | | |
|
MassMutual Diversified
Bond
Fund |
| | | | MDBZX | | | | | | MDBSX | | | | | | MDBYX | | | | | | MDBLX | | | | | | MDBFX | | | | | | MDVAX | | | | | | MDBNX | | | | | | MMOBX | | |
|
MassMutual Balanced Fund |
| | | | MBBIX | | | | | | MBLDX | | | | | | MBAYX | | | | | | MMBLX | | | | | | MBBRX | | | | | | MMBDX | | | | | | MMBRX | | | | | | MMNVX | | |
|
MassMutual Disciplined
Value
Fund |
| | | | MPIVX | | | | | | MEPSX | | | | | | DENVX | | | | | | MPILX | | | | | | MPIRX | | | | | | MEPAX | | | | | | MPINX | | | | | | MMOAX | | |
|
MassMutual Main Street
Fund |
| | | | MSZIX | | | | | | MMSSX | | | | | | MMSYX | | | | | | MMSLX | | | | | | MSSRX | | | | | | MSSAX | | | | | | MMSNX | | | | | | MMOFX | | |
|
MassMutual Disciplined
Growth Fund |
| | | | MPDIX | | | | | | MPGSX | | | | | | DEIGX | | | | | | MPGLX | | | | | | MPDGX | | | | | | MPGAX | | | | | | MPDRX | | | | | | MMNYX | | |
|
MassMutual Small Cap
Opportunities Fund |
| | | | MSOOX | | | | | | MSCDX | | | | | | MSVYX | | | | | | MSCLX | | | | | | MOORX | | | | | | DLBMX | | | | | | MCCRX | | | | | | MMOGX | | |
| MassMutual Global Fund | | | | | MGFZX | | | | | | MGFSX | | | | | | MGFYX | | | | | | MGFLX | | | | | | MGFRX | | | | | | MGFAX | | | | | | MGFNX | | | | | | MMOCX | | |
|
MassMutual International
Equity Fund |
| | | | MIZIX | | | | | | MIEDX | | | | | | MYIEX | | | | | | MIELX | | | | | | MEIRX | | | | | | MMIAX | | | | | | MEERX | | | | | | MMOEX | | |
|
MassMutual Strategic
Emerging Markets Fund |
| | | | MPZSX | | | | | | MPSMX | | | | | | MPEYX | | | | | | MPLSX | | | | | | MPRSX | | | | | | MPASX | | | | | | MPZRX | | | | | | MMOHX | | |
| | |
Page |
| |||
| | | | B-3 | | | |
| | | | B-3 | | | |
| | | | B-48 | | | |
| | | | B-50 | | | |
| | | | B-51 | | | |
| | | | B-60 | | | |
| | | | B-76 | | | |
| | | | B-83 | | | |
| | | | B-85 | | | |
| | | | B-86 | | | |
| | | | B-87 | | | |
| | | | B-87 | | | |
| | | | B-87 | | | |
| | | | B-87 | | | |
| | | | B-91 | | | |
| | | | B-92 | | | |
| | | | B-94 | | | |
| | | | B-95 | | | |
| | | | B-96 | | | |
| | | | B-98 | | | |
| | | | B-108 | | | |
| | | | B-109 | | | |
| | | | B-113 | | | |
| | | | B-150 | | |
| Nabil N. El‑Hage 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1958 Trustee of the Trust since 2003 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
| Maria D. Furman 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1954 Trustee of the Trust since 2004 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
| R. Bradford Malt 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1954 Trustee of the Trust since 2022 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
| C. Ann Merrifield 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1951 Trustee of the Trust since 2004 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
| Cynthia R. Plouché 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1957 Trustee of the Trust since 2022 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
| Jason J. Price 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1973 Trustee of the Trust since 2022 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
| Susan B. Sweeney 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1952 Chairperson of the Trust since 2022 Trustee of the Trust since 2012 Trustee of 115 portfolios in fund complex1 |
| | Chairperson and Trustee of the Trust | |
| Paul LaPiana2
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1969 Trustee of the Trust since 2023 Officer of the Trust 2021‑2023; since 2023 Trustee and Officer of 113 portfolios in fund complex |
| | Trustee and President of the Trust | |
| Clifford M. Noreen3
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1957 Trustee of the Trust since 2021 Trustee of 115 portfolios in fund complex4 |
| | Trustee of the Trust | |
| Andrew M. Goldberg 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1966 Officer of the Trust since 2004 Officer of 113 portfolios in fund complex |
| | Vice President, Secretary, and Chief Legal Officer of the Trust | |
| Renee Hitchcock 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1970 Officer of the Trust since 2007 Officer of 113 portfolios in fund complex |
| | Chief Financial Officer and Treasurer of the Trust | |
| Jill Nareau Robert 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1972 Officer of the Trust since 2008 Officer of 113 portfolios in fund complex |
| | Vice President and Assistant Secretary of the Trust | |
| Douglas Steele 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1975 Officer of the Trust since 2016 Officer of 113 portfolios in fund complex |
| | Vice President of the Trust | |
| Philip S. Wellman 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1964 Officer of the Trust since 2007 Officer of 113 portfolios in fund complex |
| | Vice President and Chief Compliance Officer of the Trust | |
Name
of Trustee |
| |
The Dollar Range of Equity Securities Beneficially Owned in the Trust |
| |
Aggregate Dollar Range of Equity
Securities in All Registered Investment Companies Overseen by Trustee in Family of Investment Companies |
|
Independent Trustees | | | | | | | |
Nabil N. El-Hage |
| |
None
|
| |
None
|
|
Maria D. Furman |
| |
None
|
| |
None
|
|
R.
Bradford Malt |
| |
None |
| |
None |
|
C.
Ann Merrifield |
| |
None
|
| |
None
|
|
Cynthia R. Plouché |
| |
None |
| |
None |
|
Jason J. Price |
| |
None |
| |
None |
|
Susan B. Sweeney |
| |
None
|
| |
None
|
|
Interested Trustees | | | | | | | |
Paul
LaPiana |
| |
None |
| |
None |
|
Clifford M. Noreen |
| |
None |
| |
$10,001-$50,000 |
|
Name of Trustee |
| |
Aggregate Compensation from the Trust |
| |
Total Compensation from the Trust and Fund Complex Paid to Trustees |
| ||||||
Allan W. Blair 1
|
| | | $ | 20,342 | | | | | $ | 288,600 | | |
Nabil N. El-Hage |
| | | $ | 20,892 2 | | | | | $ | 296,400 | | |
Michael R. Fanning 3
|
| | | $ | 0 | | | | | $ | 0 | | |
Maria D. Furman |
| | | $ | 19,059 | | | | | $ | 270,400 | | |
Paul
LaPiana 4
|
| | | $ | 0 | | | | | $ | 0 | | |
R.
Bradford Malt |
| | | $ | 19,059 | | | | | $ | 270,400 | | |
C.
Ann Merrifield |
| | | $ | 20,341 | | | | | $ | 288,600 | | |
Clifford M. Noreen |
| | | $ | 0 | | | | | $ | 0 | | |
Cynthia R. Plouché |
| | | $ | 19,059 | | | | | $ | 270,400 | | |
Jason J. Price |
| | | $ | 19,059 | | | | | $ | 270,400 | | |
Susan B. Sweeney |
| | | $ | 25,658 | | | | | $ | 490,150 | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class R5 | | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 31.81% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 28.45% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Reliance Trust Company
P.O. Box
28004
Atlanta,
GA 30358 |
| | | | 21.23% | | |
| | |
Principal Trust Company
FBO The
Buckle Inc. DC Plan
1013
Centre Road
Wilmington, DE 19805 |
| | | | 5.48% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of
Class |
| |||
Class I |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 26.82% | | |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 25.98% | | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 15.02% | | |
| | |
Matrix Trust Company
FBO
GoalPath 2020 Conservative Enhanced Index
P.O. Box
52129
Phoenix,
AZ 85072 |
| | | | 5.40% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 82.00% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 7.08% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 64.77% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 26.98% | | |
| | |
TIAA, FSB
211
North Broadway, Suite 1000
Saint
Louis, MO 63102 |
| | | | 5.03% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 65.30% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 32.57% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 40.10% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of
Class |
| |||
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.72% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 12.79% | | |
| | |
VRSCO FBO AIG FSB
FBO
Compass Behavioral Health 401K
2727-A
Allen Parkway, 4-D1
Houston,
TX 77019 |
| | | | 9.91% | | |
| | |
State Street Bank
FBO ADP
Access Product
1
Lincoln Street
Boston,
MA 02111 |
| | | | 8.23% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 45.46% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 31.08% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 18.33% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 60.74% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 32.90% | | |
| | |
State Street Bank
FBO ADP
Access Product
1
Lincoln Street
Boston,
MA 02111 |
| | | | 5.63% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 23.90% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 18.33% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 15.54% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2030 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 8.74% | | |
| | |
MassMutual 20/80 Allocation
Fund
1295
State Street
Springfield, MA 01111 |
| | | | 5.52% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2025 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 5.41% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2020 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 5.18% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 89.45% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 8.92% | | |
Service Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 61.20% | | |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 38.36% | | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 72.83% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 27.17% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 73.89% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 10.68% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 8.07% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Matrix Trust Company
FBO
Advisor Trust, Inc.
Rhinebeck CSD (NY) 403(B) Plan
717 17th
Street, Suite 1300
Denver,
CO 80202 |
| | | | 5.41% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 65.81% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 15.97% | | |
| | |
Matrix Trust Company
FBO Kayser-Roth Corporation Supplemental
Retirement Plan
P.O. Box
52129
Phoenix,
AZ 85072 |
| | | | 10.42% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 5.87% | | |
Class R3 |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 49.84% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 45.82% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of
Class |
| |||
Class I |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 63.68% | | |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 29.89% | | | |
| | |
The Hartford
One
Hartford Plaza
Hartford, CT 06155 |
| | | | 6.23% | | |
Class R5 |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 74.78% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 12.96% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of
Class |
| |||
| | |
Capinco c/o U.S. Bank
N.A.
1555
North Rivercenter Drive, Suite 302
Milwaukee, WI 53212 |
| | | | 10.53% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 39.92% | | |
| | |
John Hancock Trust Company
LLC
690
Canton Street, Suite 100
Westwood, MA 02091 |
| | | | 31.86% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 28.22% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 70.23% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 29.77% | | |
Class R4 |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 57.68% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 22.27% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 20.06% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 45.49% | | |
| | |
Reliance Trust Company
P.O. Box
28004
Atlanta,
GA 30358 |
| | | | 30.39% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 19.59% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 97.83% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 51.83% | | |
| | |
The Hartford
One
Hartford Plaza
Hartford, CT 06155 |
| | | | 25.40% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.66% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 96.04% | | |
Service Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 60.29% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 38.65% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 90.06% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.94% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 55.72% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 36.39% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 7.90% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 49.61% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 37.06% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 7.86% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 52.34% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 40.30% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 6.98% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 50.29% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 48.87% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 97.69% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 95.34% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 86.33% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 10.10% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 94.23% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 5.63% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 71.73% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 25.58% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 96.88% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 90.76% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.24% | | |
Class R4 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 77.26% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 21.57% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 54.58% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 28.69% | | |
| | |
Reliance Trust Company
P.O. Box
28004
Atlanta,
GA 30358 |
| | | | 9.28% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 57.35% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 42.65% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 78.02% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 20.30% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 82.99% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 17.01% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 59.28% | | |
| | |
FIIOC
FBO
Stavig Industries LLC 401(K) Plan
100
Magellan Way
Covington, KY 41015 |
| | | | 20.63% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 18.65% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 64.33% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 35.31% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 94.62% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 5.38% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 63.44% | | |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 23.59% | | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 92.76% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 15.04% | | |
| | |
Reliance Trust Company
FBO
Salem Trust EB
P.O. Box
78446
Atlanta,
GA 30357 |
| | | | 15.00% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 14.56% | | |
| | |
TIAA, FSB
211
North Broadway, Suite 1000
Saint
Louis, MO 63102 |
| | | | 13.35% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 8.41% | | |
| | |
SEI Private Trust Company
One
Freedom Valley Drive
Oaks, PA
19456 |
| | | | 7.98% | | |
| | |
Mid Atlantic Trust
Company
1251
Waterfront Place, Suite 525
Pittsburgh, PA 15222 |
| | | | 6.61% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 57.57% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 18.55% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 8.02% | | |
| | |
T. Rowe Price Retirement Plan
Services, Inc.
4515
Painters Mill Road
Owings
Mills, MD 21117 |
| | | | 6.81% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 62.23% | | |
| | |
John Hancock Trust Company
LLC
690
Canton Street, Suite 100
Westwood, MA 02095 |
| | | | 19.73% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 5.47% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Administrative Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 42.59% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 34.17% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 12.21% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 10.96% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 38.86% | | |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 35.62% | | | |
| | |
FIIOC
FBO
Scheurer Hospital Employees Retirement Plan
100
Magellan Way
Covington, KY 41015 |
| | | | 10.12% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 7.63% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 76.59% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.14% | | |
| | |
Investors Bank & Trust
Company
Supplemental Pension Plan
1 Iron
Street
Boston,
MA 02210 |
| | | | 5.89% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 46.61% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 31.32% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.64% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
State Street Bank
FBO ADP
Access Product
1
Lincoln Street
Boston,
MA 02111 |
| | | | 9.17% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 50.29% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 26.74% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 14.74% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 8.21% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 98.51% | | |
Service Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 53.07% | | |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 45.71% | | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 97.38% | | |
Class R4 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 41.30% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 35.28% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.30% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 65.37% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 25.13% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 5.47% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 53.20% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 41.60% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 5.20% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
MassMutual RetireSMART by
JPMorgan 2040 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 14.46% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2050 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 11.97% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2030 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 11.02% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2035 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 9.93% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2045 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 9.56% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 6.33% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2055 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 5.51% | | |
| | |
MassMutual 80/20 Allocation
Fund
1295
State Street
Springfield, MA 01111 |
| | | | 5.03% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 98.05% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 68.28% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 31.72% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 84.81% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 15.19% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 84.72% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 14.65% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 45.03% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 42.95% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 85.38% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 10.82% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 33.46% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 26.20% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2030 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 8.86% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 75.92% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 24.00% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 50.23% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 27.05% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.73% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 91.61% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 6.87% | | |
Class A |
| |
Reliance Trust Company
P.O. Box
28004
Atlanta,
GA 30358 |
| | | | 51.30% | | |
| | |
Millennium Trust Company,
LLC
2001
Spring Road, Suite 700
Oak
Brook, IL 60523 |
| | | | 48.70% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 99.13% | | |
Fund |
| | | |
U.S.
Government Money Market Fund |
| |
0.35% on the first $1 billion;
and
0.33% on
assets over $1 billion |
|
Inflation-Protected and Income Fund
|
| |
0.38% on the first $350 million;
and
0.33% on
assets over $350 million |
|
Fund |
| | | |
Core
Bond Fund |
| |
0.38% on the first $1.5
billion;
0.33% on
the next $500 million; and
0.28% on
assets over $2 billion |
|
Diversified Bond Fund |
| |
0.40% on the first $150 million;
and
0.30% on
assets over $150 million |
|
Balanced Fund |
| |
0.48% on the first $300 million;
and
0.43% on
assets over $300 million |
|
Disciplined Value Fund |
| |
0.45% on the first $400 million;
and
0.40% on
assets over $400 million |
|
Main
Street Fund |
| |
0.55% on the first $300 million;
and
0.50% on
assets over $300 million |
|
Disciplined Growth Fund |
| |
0.45% on the first $400 million;
and
0.40% on
assets over $400 million |
|
Small Cap Opportunities Fund
|
| |
0.58% on the first $300 million;
and
0.53% on
assets over $300 million |
|
Global Fund |
| |
0.75% on the first $400 million;
and
0.70% on
assets over $400 million |
|
International Equity Fund |
| |
0.83% on the first $500
million;
0.78% on
the next $500 million; and
0.73% on
assets over $1 billion |
|
Strategic Emerging Markets Fund
|
| |
1.00% on the first $350 million;
and
0.95% on
assets over $350 million |
|
|
U.S.
Government Money Market Fund |
| | 0.05% | |
|
Inflation-Protected and Income Fund
|
| | 0.08% | |
|
Core
Bond Fund |
| | 0.10% | |
|
Diversified Bond Fund |
| | 0.10% | |
| | | |
Class I |
| |
Class R5 |
| |
Service Class |
| |
Administrative Class |
| |
Class R4 |
| |
Class A |
| |
Class R3 |
| |
Class Y |
| ||||||||||||||||||||||||
|
U.S. Government Money
Market Fund |
| | | | N/A | | | | | | 0.10% | | | |
N/A |
| |
N/A |
| |
N/A |
| |
N/A |
| |
N/A |
| |
N/A |
| ||||||||||||||||||
|
Inflation-Protected and
Income Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Core Bond Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Diversified Bond Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Balanced Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Disciplined Value Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Main Street Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Disciplined Growth Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
| Small Cap Opportunities Fund | | | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Global Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
International Equity Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Strategic Emerging Markets
Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
| | |
Fiscal Year Ended
September 30, 2023 |
| |||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Other Expenses Reimbursed |
| |||||||||||||||
U.S.
Government Money Market Fund |
| | | $ | 681,356 | | | | | $ | 97,001 | | | | | $ | — | | | | | $ | 194,667 | | | | | $ | — | | |
Inflation-Protected and Income Fund
|
| | | | 1,100,110 | | | | | | 229,966 | | | | | | — | | | | | | 188,925 | | | | | | — | | |
Core
Bond Fund |
| | | | 2,791,091 | | | | | | 732,180 | | | | | | — | | | | | | 382,220 | | | | | | — | | |
Diversified Bond Fund |
| | | | 629,767 | | | | | | 157,269 | | | | | | — | | | | | | 114,819 | | | | | | — | | |
Balanced Fund |
| | | | 557,495 | | | | | | 139,336 | | | | | | — | | | | | | 130,545 | | | | | | — | | |
Disciplined Value Fund |
| | | | 324,670 | | | | | | 115,421 | | | | | | — | | | | | | 73,713 | | | | | | — | | |
Main
Street Fund |
| | | | 396,603 | | | | | | 180,287 | | | | | | — | | | | | | 130,033 | | | | | | — | | |
Disciplined Growth Fund |
| | | | 724,758 | | | | | | 257,720 | | | | | | — | | | | | | 231,030 | | | | | | — | | |
Small Cap Opportunities Fund
|
| | | | 1,881,887 | | | | | | 1,307,539 | | | | | | — | | | | | | 375,919 | | | | | | — | | |
Global Fund |
| | | | 1,578,840 | | | | | | 786,743 | | | | | | — | | | | | | 302,299 | | | | | | — | | |
International Equity Fund 1
|
| | | | 1,093,166 | | | | | | 464,876 | | | | | | (65,857) | | | | | | 85,389 | | | | | | — | | |
Strategic Emerging Markets
Fund 2
|
| | | | 1,167,328 | | | | | | 816,796 | | | | | | — | | | | | | 6,475 | | | | | | (266,815) | | |
| | |
Fiscal Year Ended
September 30, 2022 |
| |||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Other Expenses Reimbursed |
| |||||||||||||||
U.S.
Government Money Market Fund 1
|
| | | $ | 749,721 | | | | | $ | 106,136 | | | | | $ | (579,463) | | | | | $ | 214,206 | | | | | $ | — | | |
Inflation-Protected and Income Fund
|
| | | | 1,306,626 | | | | | | 273,960 | | | | | | — | | | | | | 250,070 | | | | | | — | | |
Core
Bond Fund |
| | | | 3,605,606 | | | | | | 944,744 | | | | | | — | | | | | | 554,959 | | | | | | — | | |
Diversified Bond Fund |
| | | | 743,083 | | | | | | 194,666 | | | | | | — | | | | | | 147,206 | | | | | | — | | |
Balanced Fund |
| | | | 676,064 | | | | | | 168,892 | | | | | | — | | | | | | 163,789 | | | | | | — | | |
Disciplined Value Fund |
| | | | 391,217 | | | | | | 137,806 | | | | | | — | | | | | | 92,006 | | | | | | — | | |
Main
Street Fund |
| | | | 578,977 | | | | | | 262,809 | | | | | | — | | | | | | 158,201 | | | | | | — | | |
Disciplined Growth Fund |
| | | | 963,176 | | | | | | 339,059 | | | | | | — | | | | | | 327,262 | | | | | | — | | |
Small Cap Opportunities Fund
|
| | | | 1,923,907 | | | | | | 1,338,280 | | | | | | — | | | | | | 431,368 | | | | | | — | | |
Global Fund |
| | | | 2,142,324 | | | | | | 1,044,977 | | | | | | — | | | | | | 398,854 | | | | | | — | | |
International Equity Fund 2
|
| | | | 1,165,318 | | | | | | 491,959 | | | | | | (70,200) | | | | | | 96,422 | | | | | | — | | |
Strategic Emerging Markets
Fund 3
|
| | | | 1,409,379 | | | | | | 985,692 | | | | | | — | | | | | | 11,539 | | | | | | (288,468) | | |
| | | |
Fiscal Year Ended
September 30, 2021 |
| |||||||||||||||||||||||||||||||||
| | | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Supplemental Shareholder Services Fees Paid |
| |
Other Expenses Reimbursed |
| ||||||||||||||||||
|
U.S. Government Money
Market Fund1
|
| | | $ | 1,094,819 | | | | | $ | 155,911 | | | | | $ | — | | | | | $ | 312,805 | | | | | $ | — | | | | | $ | (1,404,777) | | |
|
Inflation-Protected and
Income Fund
|
| | | | 1,415,825 | | | | | | 297,836 | | | | | | — | | | | | | 300,407 | | | | | | 21,150 | | | | | | — | | |
|
Core
Bond Fund |
| | | | 4,857,081 | | | | | | 1,272,101 | | | | | | — | | | | | | 816,098 | | | | | | 60,700 | | | | | | — | | |
|
Diversified Bond Fund |
| | | | 831,304 | | | | | | 224,424 | | | | | | — | | | | | | 180,354 | | | | | | 12,826 | | | | | | — | | |
|
Balanced Fund |
| | | | 740,458 | | | | | | 193,464 | | | | | | — | | | | | | 177,778 | | | | | | 13,745 | | | | | | — | | |
|
Disciplined Value Fund |
| | | | 433,001 | | | | | | 154,218 | | | | | | — | | | | | | 103,021 | | | | | | 5,519 | | | | | | — | | |
|
Main
Street Fund |
| | | | 665,817 | | | | | | 302,457 | | | | | | — | | | | | | 158,147 | | | | | | 12,793 | | | | | | — | | |
|
Disciplined Growth Fund |
| | | | 1,161,514 | | | | | | 415,021 | | | | | | — | | | | | | 379,870 | | | | | | 28,139 | | | | | | — | | |
|
Small Cap Opportunities Fund
|
| | | | 1,876,820 | | | | | | 1,308,490 | | | | | | — | | | | | | 433,945 | | | | | | 28,556 | | | | | | — | | |
|
Global Fund |
| | | | 2,715,742 | | | | | | 1,309,024 | | | | | | — | | | | | | 482,317 | | | | | | 41,886 | | | | | | — | | |
|
International Equity Fund 2
|
| | | | 1,457,862 | | | | | | 608,191 | | | | | | (47,899) | | | | | | 126,065 | | | | | | 9,066 | | | | | | — | | |
|
Strategic Emerging Markets
Fund 3
|
| | | | 1,888,082 | | | | | | 1,320,436 | | | | | | — | | | | | | 20,674 | | | | | | 1,561 | | | | | | (136,442) | | |
| | | | | | | | | |
Sales Charge
Revenue |
| | | | |
CDSC Revenue |
| ||||||||||||||||||||||||||||||
| | | |
Fiscal Year Ended |
| |
Amount Paid to Distributor |
| |
Amount Reallowed to Dealers |
| |
Amount Retained by Distributor |
| | | | |
Amount Paid to Distributor |
| |
Amount Reallowed to Dealers |
| |
Amount Retained by Distributor |
| |||||||||||||||||||||
|
Inflation-Protected and
Income
Fund – Class A |
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 138 | | | | | $ | 113 | | | | | $ | 25 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Core Bond Fund –
Class A |
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 1,053 | | | | | $ | 875 | | | | | $ | 178 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Main Street Fund –
Class A |
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 268 | | | | | $ | 209 | | | | | $ | 59 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 58 | | | | | $ | 47 | | | | | $ | 10 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Disciplined Growth
Fund – Class A |
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 7 | | | | | $ | 6 | | | | | $ | 1 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Small Cap Opportunities
Fund –
Class A |
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 122 | | | | | $ | 100 | | | | | $ | 22 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 169 | | | | | $ | 138 | | | | | $ | 31 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Global Fund – Class A |
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 223 | | | | | $ | 174 | | | | | $ | 49 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 58 | | | | | $ | 47 | | | | | $ | 10 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
International Equity
Fund –
Class A |
| | | | 2023 | | | | | $ | 464 | | | | | $ | 368 | | | | | $ | 96 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
Amount
of Purchase |
| |
Front-End Sales Charge as a Percentage of Offering Price |
| |
Front-End Sales Charge as a Percentage of Net Amount Invested |
| |
Commission as a Percentage of Offering Price |
| |||
Less
than $25,000 |
| |
4.25% |
| |
4.44% |
| | | | 3.50% | | |
$25,000-$49,999 | | |
4.25% |
| |
4.44% |
| | | | 3.50% | | |
$50,000-$99,999 | | |
4.00% |
| |
4.17% |
| | | | 3.25% | | |
$100,000-$249,999 | | |
3.00% |
| |
3.09% |
| | | | 2.25% | | |
$250,000-$499,999 |
| |
1.75% |
| |
1.78% |
| | | | 1.50% | | |
$500,000-$999,999 |
| |
1.25% |
| |
1.27% |
| | | | 1.00% | | |
$1,000,000-$4,999,999 1 | | |
None |
| |
None |
| | | | 1.00% | | |
$5,000,000 or more 1
|
| |
None |
| |
None |
| | | | 0.50% | | |
Amount
of Purchase |
| |
Front-End Sales Charge as a Percentage of Offering Price |
| |
Front-End Sales Charge as a Percentage of Net Amount Invested |
| |
Commission as a Percentage of Offering Price |
| |||
Less
than $25,000 |
| |
5.50% |
| |
5.82% |
| | | | 4.50% | | |
$25,000-$49,999 |
| |
5.25% |
| |
5.54% |
| | | | 4.25% | | |
$50,000-$99,999 |
| |
4.50% |
| |
4.71% |
| | | | 3.50% | | |
$100,000-$249,999 |
| |
3.50% |
| |
3.63% |
| | | | 2.50% | | |
$250,000-$499,999 |
| |
2.25% |
| |
2.30% |
| | | | 1.75% | | |
$500,000-$999,999 |
| |
1.75% |
| |
1.78% |
| | | | 1.10% | | |
$1,000,000-$4,999,999 1 | | |
None |
| |
None |
| | | | 1.00% | | |
$5,000,000 or more 1
|
| |
None |
| |
None |
| | | | 0.50% | | |
| | | Class R4 12b-1 Fees |
| | Class A 12b-1 Fees |
| | Class R3 12b-1 Fees |
| |||||||||
Inflation-Protected and Income Fund
|
| | | $ | 10,582 | | | | | $ | 21,848 | | | | | $ | 10,936 | | |
Core
Bond Fund |
| | | | 4,916 | | | | | | 60,997 | | | | | | 868 | | |
Diversified Bond Fund |
| | | | 10,136 | | | | | | 12,516 | | | | | | 6,894 | | |
Balanced Fund |
| | | | 12,343 | | | | | | 33,471 | | | | | | 49,682 | | |
Disciplined Value Fund |
| | | | 3,156 | | | | | | 11,044 | | | | | | 19,256 | | |
Main
Street Fund |
| | | | 15,417 | | | | | | 21,248 | | | | | | 3,920 | | |
Disciplined Growth Fund |
| | | | 15,820 | | | | | | 32,725 | | | | | | 21,498 | | |
Small Cap Opportunities Fund
|
| | | | 33,381 | | | | | | 101,435 | | | | | | 39,868 | | |
Global Fund |
| | | | 24,333 | | | | | | 26,029 | | | | | | 42,288 | | |
International Equity Fund |
| | | | 1,566 | | | | | | 25,742 | | | | | | 11,922 | | |
| | | Class R4 12b-1 Fees |
| | Class A 12b-1 Fees |
| | Class R3 12b-1 Fees |
| |||||||||
Strategic Emerging Markets Fund
|
| | | | 940 | | | | | | 396 | | | | | | 2,822 | | |
| | | | $ | 132,590 | | | | | $ | 347,451 | | | | | $ | 209,954 | | |
|
| | |
Fiscal Year ended September 30, 2023 |
| |
Fiscal Year ended September 30, 2022 |
| |
Fiscal Year ended September 30, 2021 |
| |||||||||
Inflation-Protected and Income Fund
|
| | | $ | 14,897 | | | | | $ | 12,038 | | | | | $ | 9,089 | | |
| | |
Fiscal Year ended September 30, 2023 |
| |
Fiscal Year ended September 30, 2022 |
| |
Fiscal Year ended September 30, 2021 |
| |||||||||
Core
Bond Fund |
| | | $ | 39,924 | | | | | $ | 44,041 | | | | | $ | 57,254 | | |
Diversified Bond Fund |
| | | $ | 9,634 | | | | | $ | 10,950 | | | | | $ | 10,340 | | |
Balanced Fund |
| | | $ | 6,098 | | | | | $ | 8,872 | | | | | $ | 49,757 | | |
Disciplined Value Fund |
| | | $ | 16,389 | | | | | $ | 8,738 | | | | | $ | 46,898 | | |
Main
Street Fund |
| | | $ | 28,896 | | | | | $ | 28,310 | | | | | $ | 35,511 | | |
Disciplined Growth Fund |
| | | $ | 18,692 | | | | | $ | 20,220 | | | | | $ | 38,403 | | |
Small Cap Opportunities Fund
|
| | | $ | 252,184 | | | | | $ | 207,614 | | | | | $ | 180,932 | | |
Global Fund |
| | | $ | 64,803 | | | | | $ | 48,490 | | | | | $ | 42,261 | | |
International Equity Fund |
| | | $ | 22,878 | | | | | $ | 28,751 | | | | | $ | 54,015 | | |
Strategic Emerging Markets Fund
|
| | | $ | 131,533 | | | | | $ | 168,689 | | | | | $ | 197,941 | | |
| | |
Fiscal Year ended
September 30, 2023 |
| |
Fiscal Year ended September 30, 2022 |
| |
Fiscal Year ended September 30, 2021 |
| |||||||||||||||||||||||
Affiliated Broker/Dealer |
| |
Aggregate Commissions Paid |
| |
Percentage Paid to Affiliates |
| |
Percentage of Dollar Amount of Transactions Involving Payment of Commissions to Affiliates |
| |
Aggregate Commissions Paid |
| |
Aggregate Commissions Paid |
| |||||||||||||||||
Jefferies LLC | | ||||||||||||||||||||||||||||||||
Disciplined Value Fund 1
|
| | | $ | — | | | | | | | —% | | | | | | | —% | | | | | $ | — | | | | | $ | 6,067 | | |
Main Street Fund 1
|
| | | $ | 138 | | | | | | 0.48% | | | | | | | 0.79% | | | | | | $ | 73 | | | | | $ | 925 | | |
Small Cap Opportunities Fund 1
|
| | | $ | 531 | | | | | | 0.21% | | | | | | | 0.21% | | | | | | $ | 4,291 | | | | | $ | 3,908 | | |
Global Fund 1
|
| | | $ | 7,077 | | | | | | 10.92% | | | | | | | 13.71% | | | | | | $ | 2,967 | | | | | $ | 2,301 | | |
International Equity Fund 1
|
| | | $ | — | | | | | | | —% | | | | | | | —% | | | | | $ | 31 | | | | | $ | — | | |
Strategic Emerging Markets
Fund 1
|
| | | $ | 12,939 | | | | | | 9.84% | | | | | | | 10.08% | | | | | | $ | 9,198 | | | | | $ | 7,131 | | |
| | |
Dollar Value of Those Transactions |
| |
Amount of Commissions |
| ||||||
Disciplined Value Fund |
| | | $ | 107,876,204 | | | | | $ | 3,133 | | |
Main
Street Fund |
| | | $ | 125,644,856 | | | | | $ | 34,175 | | |
Disciplined Growth Fund |
| | | $ | 91,298,297 | | | | | $ | 2,737 | | |
Small Cap Opportunities Fund
|
| | | $ | 248,297,055 | | | | | $ | 226,700 | | |
Global Fund |
| | | $ | 91,654,615 | | | | | $ | 61,194 | | |
International Equity Fund |
| | | $ | 42,941,858 | | | | | $ | 7,838 | | |
Strategic Emerging Markets Fund
|
| | | $ | 88,963,896 | | | | | $ | 116,227 | | |
Fund
|
| |
Regular
Broker or Dealer |
| |
Aggregate Value of Securities Held |
| |||
U.S. Government Money
Market
Fund |
| | HSBC Securities, Inc. | | | | $ | 25,000,000 | | |
| | | | | | | $ | 25,000,000 | | |
Core
Bond Fund |
| | Bank of America Corp. | | | | $ | 7,109,940 | | |
| | | UBS AG | | | | | 4,000,762 | | |
| | | Morgan Stanley | | | | | 3,394,308 | | |
| | | HSBC Securities, Inc. | | | | | 2,943,278 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 2,824,339 | | |
| | | JPMorgan Chase & Co. | | | | | 2,274,800 | | |
| | | Barclays plc | | | | | 1,929,422 | | |
| | | Citigroup, Inc. | | | | | 863,349 | | |
| | | | | | | $ | 25,340,198 | | |
Diversified Bond Fund |
| | Bank of America Corp. | | | | $ | 1,381,602 | | |
| | | Morgan Stanley | | | | | 976,475 | | |
| | | UBS AG | | | | | 861,330 | | |
| | | JPMorgan Chase & Co. | | | | | 732,474 | | |
| | | HSBC Securities, Inc. | | | | | 522,817 | | |
| | | Barclays plc | | | | | 520,524 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 415,593 | | |
| | Citigroup, Inc. | | | | | 184,647 | | | |
| | | | | | | $ | 5,595,462 | | |
Balanced Fund |
| | Bank of America Corp | | | | $ | 486,027 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 438,287 | | |
| | | JPMorgan Chase & Co. | | | | | 374,673 | | |
| | | Morgan Stanley | | | | | 318,637 | | |
| | | Citigroup, Inc. | | | | | 258,639 | | |
| | | Wells Fargo | | | | | 144,016 | | |
| | | State Street Corp. | | | | | 151,650 | | |
| | | Truist Financial Corp. | | | | | 145,042 | | |
| | | | | | | $ | 2,316,971 | | |
Disciplined Value Fund |
| | JPMorgan Chase & Co. | | | | $ | 1,929,346 | | |
| | | State Street Corp. | | | | | 456,801 | | |
| | | Citigroup, Inc. | | | | | 179,861 | | |
| | | | | | | $ | 2,566,008 | | |
Fund
|
| |
Regular
Broker or Dealer |
| |
Aggregate Value of Securities Held |
| |||
Main
Street Fund |
| | JPMorgan Chase & Co. | | | | $ | 2,285,660 | | |
| | | | | | | $ | 2,285,660 | | |
Strategic Emerging Markets Fund
|
| | Kotak Securities Limited | | | | $ | 5,671,255 | | |
| | | | | | | $ | 5,671,255 | | |
|
|
FUND
|
| |
Gross income earned by the Fund from securities lending activities |
| |
Fees paid to securities lending agent from a revenue split |
| |
Fees paid for any cash collateral management service (including fees deducted from a pooled cash collateral reinvestment vehicle) that are not included in a revenue split |
| |
Administrative fees not included in a revenue split |
| |
Indemnification fees not included in a revenue split |
| |
Rebate (paid to borrower) |
| |
Other fees not included in a revenue split, if applicable, including a description of those other fees |
| |
Aggregate fees/ compensation paid by the Fund for securities lending activities |
| |
Net income from securities lending activities |
| |||||||||||||||||||||||||||
|
Inflation-Protected
and
Income Fund |
| | | $ | 28,367 | | | | | $ | 1,230 | | | | | $ | 215 | | | | | $ | — | | | | | $ | — | | | | | $ | 19,951 | | | | | $ | — | | | | | $ | 21,396 | | | | | $ | 6,971 | | |
|
Core Bond Fund |
| | | $ | 216,582 | | | | | $ | 3,496 | | | | | $ | 1,449 | | | | | $ | — | | | | | $ | — | | | | | $ | 191,826 | | | | | $ | — | | | | | $ | 196,772 | | | | | $ | 19,810 | | |
|
Diversified Bond
Fund |
| | | $ | 115,744 | | | | | $ | 2,635 | | | | | $ | 758 | | | | | $ | — | | | | | $ | — | | | | | $ | 97,418 | | | | | $ | — | | | | | $ | 100,811 | | | | | $ | 14,933 | | |
|
Balanced Fund |
| | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
|
Disciplined Value
Fund |
| | | $ | 4,397 | | | | | $ | 156 | | | | | $ | 29 | | | | | $ | — | | | | | $ | — | | | | | $ | 3,330 | | | | | $ | — | | | | | $ | 3,515 | | | | | $ | 882 | | |
|
Main Street Fund |
| | | $ | 16,463 | | | | | $ | 1,861 | | | | | $ | 50 | | | | | $ | — | | | | | $ | — | | | | | $ | 4,004 | | | | | $ | — | | | | | $ | 5,915 | | | | | $ | 10,548 | | |
|
Disciplined
Growth Fund |
| | | $ | 20,160 | | | | | $ | 1,588 | | | | | $ | 89 | | | | | $ | — | | | | | $ | — | | | | | $ | 9,486 | | | | | $ | — | | | | | $ | 11,163 | | | | | $ | 8,997 | | |
|
Small Cap
Opportunities Fund |
| | | $ | 55,771 | | | | | $ | 2,836 | | | | | $ | 343 | | | | | $ | — | | | | | $ | — | | | | | $ | 36,519 | | | | | $ | — | | | | | $ | 39,698 | | | | | $ | 16,073 | | |
|
Global Fund |
| | | $ | 89,163 | | | | | $ | 1,812 | | | | | $ | 582 | | | | | $ | — | | | | | $ | — | | | | | $ | 76,500 | | | | | $ | — | | | | | $ | 78,894 | | | | | $ | 10,269 | | |
|
International
Equity Fund |
| | | $ | 140,007 | | | | | $ | 5,743 | | | | | $ | 760 | | | | | $ | — | | | | | $ | — | | | | | $ | 100,963 | | | | | $ | — | | | | | $ | 107,465 | | | | | $ | 32,542 | | |
|
Strategic
Emerging Markets Fund |
| | | $ | 25,659 | | | | | $ | 1,134 | | | | | $ | 170 | | | | | $ | — | | | | | $ | — | | | | | $ | 17,930 | | | | | $ | — | | | | | $ | 19,234 | | | | | $ | 6,425 | | |
|
Description/Requirement |
| |
Barings
Record |
| |
Creator |
| |
Owner |
| |
Retention Period |
| |
Source |
|
| The Compliance review and any approvals needed by GCC of Policy, proxy activity, and approval of Proxy Voting Forms | | | Compliance and GCC meeting materials | | | Proxy Voting Team and Compliance | | | GCC Representative | | |
7
Years |
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Proxy statements, research, recommendations, and records of votes cast | | | Proxy Records | | | Service Provider or Proxy Voting Team | | | Service Provider or Proxy Voting Team | | |
7
Years |
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Proxy Voting Forms (including supporting documentation used in deciding how to vote) | | | Proxy Voting Forms | | | Proxy Voting Team and/or Proxy Analyst | | |
Proxy Voting Team |
| |
7
Years |
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
|
Description/Requirement |
| |
Barings
Record |
| |
Creator |
| |
Owner |
| |
Retention Period |
| |
Source |
|
| Client written requests for proxy voting information and responses thereto | | | Client Proxy Requests | | | Proxy Voting Team | | |
Proxy Voting Team |
| |
7
Years |
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Form N-PX, for proxies voted on behalf of an investment company for which Barings serves as investment adviser and is responsible for making such filing on behalf of its Clients | | | Form N-PX | | | Proxy Voting Team | | |
Legal Department |
| |
7
Years |
| | Barings Policy requirement and Investment
Advisers Act of 1940, Rule 206(4)‑6 for Barings US regulated Advisers
Rule 30b1‑4 |
|
| The Proxy Voting Policy, associated procedures and any amendments thereto | | |
Proxy Voting Policy |
| | Compliance Department | | | Compliance Department | | |
7
Years |
| |
Barings Policy requirement |
|
| A copy of the Research Provider’s proxy voting guidelines | | | Research Provider’s Proxy Voting Guidelines | | | Research Provider | | |
Proxy Voting Team |
| |
7
Years |
| |
Barings Policy requirement |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Adam Cash | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$1,123 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 13 | | | |
$8,349 million |
| | | | 0 | | | |
$0 |
|
| Scott Simler | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$1,123 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 15 | | | |
$14,419 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Yulia Alekseeva | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$1,999 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$171
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 30 | | | |
$21,342 million |
| | | | 0 | | | |
$0 |
|
| Douglas Trevallion, II | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$1,999 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$0.093 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 36 | | | |
$20,962 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Yulia Alekseeva | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$1,585 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$171
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 30 | | | |
$21,342 million |
| | | | 0 | | | |
$0 |
|
| Stephen Ehrenberg | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$1,136 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$372
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 37 | | | |
$38,312 million |
| | | | 0 | | | |
$0 |
|
| Charles Sanford | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$1,136 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$171
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 90 | | | |
$58,505 million |
| | | | 0 | | | |
$0 |
|
| Douglas Trevallion, II | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$1,585 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$0.093 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 36 | | | |
$20,962 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Yulia Alekseeva | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$2,108 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$171
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 30 | | | |
$21,342 million |
| | | | 0 | | | |
$0 |
|
| Stephen Ehrenberg | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$1,659 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$372
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 37 | | | |
$38,312 million |
| | | | 0 | | | |
$0 |
|
| Charles Sanford | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$1,659 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$171
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 90 | | | |
$58,505 million |
| | | | 0 | | | |
$0 |
|
| Douglas Trevallion, II | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$2,108 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$0.093 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 36 | | | |
$20,962 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
|
Jeffrey Bennett |
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 8 | | | |
$7,114.9 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 28 | | | |
$2,042.9 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 742*** | | | |
$58.5
million |
| | | | 0 | | | |
$0 |
|
| Matt Brill | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 8 | | | |
$12,558.7 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 19 | | | |
$5,112.7 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1 | | | |
$256.6
million |
| | | | 0 | | | |
$0 |
|
| Alessio de Longis | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 8 | | | |
$7,114.9 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 26 | | | |
$1,749.8 million |
| | | | 0 | | | |
$0 |
|
|
Other accounts |
| | | | 744*** | | | |
$774.4
million |
| | | | 0 | | | |
$0 |
|
| Pratik Doshi | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 153 | | | |
$159,084.9 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 115 | | | |
$218,183.4 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 42 | | | |
$57,176.4 million |
| | | | 0 | | | |
$0 |
|
| Peter Hubbard | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 209 | | | |
$204,072.2 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 115 | | | |
$218,183.4 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 42 | | | |
$57,176.4 million |
| | | | 0 | | | |
$0 |
|
| Michael D. Hyman | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 10 | | | |
$12,815.2 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 21 | | | |
$4,967.0 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1*** | | | |
$0.2
million |
| | | | 0 | | | |
$0 |
|
| Michael Jeanette | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 154 | | | |
$159,178.8 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 115 | | | |
$218,183.4 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 42 | | | |
$57,176.4 million |
| | | | 0 | | | |
$0 |
|
| Todd Schomberg | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 7 | | | |
$11,585.2 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 21 | | | |
$5,193.1 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| Tony Seisser | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 154 | | | |
$159,178.8 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 115 | | | |
$218,183.4 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
|
Other
accounts |
| | | | 42 | | | |
$57,176.4 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Manind Govil | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 3 | | | |
$9,690.1 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$239.8
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| Benjamin Ram | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$13,075.8 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$239.8
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Joy Budzinski | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$5,931.3 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$84.1
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 47*** | | | |
$11.4
million |
| | | | 0 | | | |
$0 |
|
| Magnus Krantz | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 9 | | | |
$9,625.6 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$84.1
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 47*** | | | |
$11.4
million |
| | | | 0 | | | |
$0 |
|
| Raman Vardharaj | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$7,504.3 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$84.1
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 47*** | | | |
$11.4
million |
| | | | 0 | | | |
$0 |
|
| Adam Weiner | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$4,791.1 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$84.1
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 199*** | | | |
$113.8
million |
| | | | 0 | | | |
$0 |
|
| Matthew P. Ziehl | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$4,791.1 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$84.1
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 199*** | | | |
$113.8
million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| John Delano | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 9 | | | |
$14,904.8 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 7 | | | |
$1,706.5 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 3 | | | |
$4.8
million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Justin Leverenz | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 3 | | | |
$23,550.6 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$1,894.0 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Sub-Adviser |
| |
Performance time
period 1 |
|
|
Invesco Advisers 2
|
| | One-, Three- and Five-year performance against fund peer group. | |
| ICM 2, 3 | | | Not applicable | |
| | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
|
Brandon H. Harrell | | ||||||||||||
Registered investment companies**
|
| |
6 |
| |
$7,123.6 million |
| |
0 |
| |
$0 |
|
Other
pooled investment vehicles |
| |
5 |
| |
$1,759.9 million |
| |
0 |
| |
$0 |
|
Other
accounts |
| |
13 |
| |
$3,418.0 million |
| |
0 |
| |
$0 |
|
| | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
|
Matt J. Kyller | | | | | | | | | | | | | |
Registered investment companies**
|
| |
7 |
| |
$1,062,886,365 |
| |
0 |
| |
$0 |
|
Other
pooled investment vehicles |
| |
9 |
| |
$72,489,200 |
| |
0 |
| |
$0 |
|
Other
accounts |
| |
1 |
| |
$93,503,845 |
| |
0 |
| |
$0 |
|
Tom S. Simon | | | | | | | | | | | | | |
Registered investment companies**
|
| |
10 |
| |
$10,701,062,123 |
| |
0 |
| |
$0 |
|
Other
pooled investment vehicles |
| |
7 |
| |
$91,262,475 |
| |
0 |
| |
$0 |
|
Other
accounts |
| |
3 |
| |
$1,439,429,117 |
| |
0 |
| |
$0 |
|
| | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
|
Matt J. Kyller | | | | | | | | | | | | | |
Registered investment companies**
|
| |
7 |
| |
$985,796,329 |
| |
0 |
| |
$0 |
|
Other
pooled investment vehicles |
| |
9 |
| |
$72,489,200 |
| |
0 |
| |
$0 |
|
Other
accounts |
| |
1 |
| |
$93,503,845 |
| |
0 |
| |
$0 |
|
Tom S. Simon | | | | | | | | | | | | | |
Registered investment companies**
|
| |
10 |
| |
$10,561,571,017 |
| |
0 |
| |
$0 |
|
Other
pooled investment vehicles |
| |
7 |
| |
$91,262,475 |
| |
0 |
| |
$0 |
|
Other
accounts |
| |
3 |
| |
$1,439,429,117 |
| |
0 |
| |
$0 |
|
| | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
|
Peter C. Fisher | | ||||||||||||
Registered investment companies**
|
| |
6 |
| |
$53,145,478,818 |
| |
1 |
| |
$49,273,992,747 |
|
Other
pooled investment vehicles |
| |
5 |
| |
$512,494,028 |
| |
1 |
| |
$72,659,726 |
|
Other
accounts |
| |
5 |
| |
$395,679,113 |
| |
1 |
| |
$42,093,778 |
|
Fund |
| |
Benchmark and/or Peer
Group |
|
Disciplined Value Fund |
| | Russell 1000 Value Index | |
Disciplined Growth Fund |
| | Russell 1000 Growth Index | |
International Equity Fund |
| | MSCI EAFE Index | |