Fund
Name
|
| |
Class
I
|
| |
Class
R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class
R4
|
| |
Class
A
|
| |
Class
R3
|
| |
Class
Y |
| |
Class
L |
| |
Class
C |
| ||||||||||||||||||||||||||||||
MassMutual Short-
Duration Bond Fund |
| | | | MSTZX | | | | | | MSTDX | | | | | | MSBYX | | | | | | MSTLX | | | | | | MPSDX | | | | | | MSHAX | | | | | | MSDNX | | | | | | BXDYX | | | | | | BXDLX | | | | | | BXDCX | | |
MassMutual High
Yield Fund |
| | | | MPHZX | | | | | | MPHSX | | | | | | DLHYX | | | | | | MPHLX | | | | | | MPHRX | | | | | | MPHAX | | | | | | MPHNX | | | | | | BXHYX | | | | | | | | | | | | BXHCX | | |
| | |
Page |
| |||
| | | | B-3 | | | |
| | | | B-3 | | | |
| | | | B-47 | | | |
| | | | B-49 | | | |
| | | | B-50 | | | |
| | | | B-59 | | | |
| | | | B-64 | | | |
| | | | B-68 | | | |
| | | | B-69 | | | |
| | | | B-70 | | | |
| | | | B-71 | | | |
| | | | B-71 | | | |
| | | | B-71 | | | |
| | | | B-72 | | | |
| | | | B-73 | | | |
| | | | B-75 | | | |
| | | | B-77 | | | |
| | | | B-77 | | | |
| | | | B-78 | | | |
| | | | B-79 | | | |
| | | | B-89 | | | |
| | | | B-90 | | | |
| | | | B-94 | | | |
| | | | B-103 | | |
| 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 I |
| |
MassMutual 20/80 Allocation
Fund
1295
State Street
Springfield, MA 01111 |
| | | | 20.23% | | |
| | |
Voya Institutional Trust
Company
P.O. Box
3015
New
York, NY 10116 |
| | | | 19.36% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of
Class |
| |||
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 16.97% | | | |
| | |
MassMutual 40/60 Allocation
Fund
1295
State Street
Springfield, MA 01111 |
| | | | 15.37% | | |
| | |
MassMutual 60/40 Allocation
Fund
1295
State Street
Springfield, MA 01111 |
| | | | 9.45% | | |
| | |
Benefit Trust Company
FBO CSA
Government DB Plan
5901
College Boulevard
Overland
Park, KS 66211 |
| | | | 6.00% | | |
Class R5 |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 51.84% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 40.03% | | |
| | |
State Street Bank and Trust
Company
1
Lincoln Street
Boston,
MA 02111 |
| | | | 5.49% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 87.85% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.81% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 94.14% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 5.18% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 51.51% | | |
| | |
Matrix Trust Company
FBO
Kayser-Roth Corporation
717 17th
Street, Suite 1300
Denver,
CO 80202 |
| | | | 20.10% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 14.85% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of
Class |
| |||
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 10.91% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 53.00% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 24.57% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 14.99% | | |
Class R3 |
| |
Sammons Financial Network,
LLC
4546
Corporate Drive, Suite 100
West Des
Moines, IA 50266 |
| | | | 47.47% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 42.34% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 8.86% | | |
Class Y |
| |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 30.45% | | |
| | |
Charles Schwab & Co.,
Inc.
211 Main
Street
San
Francisco, CA 94105 |
| | | | 22.91% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 16.90% | | |
| | |
UBS Financial Services,
Inc.
1000
Harbor Boulevard, Floor 8
Weehawken, NJ 07086 |
| | | | 9.04% | | |
| | |
RBC Capital Markets, LLC
250
Nicollet Mall, Suite 1800
Minneapolis, MN 55401 |
| | | | 8.08% | | |
| | |
Raymond James &
Associates
880
Carillon Parkway
St.
Petersburg, FL 33716 |
| | | | 7.85% | | |
Class L |
| |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 67.96% | | |
| | |
RBC Capital Markets, LLC
250
Nicollet Mall, Suite 1800
Minneapolis, MN 55401 |
| | | | 15.66% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of
Class |
| |||
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 6.21% | | |
Class C |
| |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 55.82% | | |
| | |
RBC Capital Markets, LLC
250
Nicollet Mall, Suite 1800
Minneapolis, MN 55401 |
| | | | 25.75% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 11.24% | | |
| | |
Raymond James &
Associates
880
Carillon Parkway
St.
Petersburg, FL 33716 |
| | | | 7.20% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 31.50% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 21.43% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 13.86% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2030 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 5.25% | | |
Class R5 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 34.78% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 29.77% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 12.68% | | |
| | |
DCGT
FBO PLIC
Various Retirement Plans Omnibus
711 High
Street
Des
Moines, IA 50392 |
| | | | 8.04% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 7.93% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 45.56% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 34.48% | | |
| | |
The Hartford
One
Hartford Plaza
Hartford, CT 06155 |
| | | | 8.44% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 53.30% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 36.09% | | |
| | |
The Hartford
One
Hartford Plaza
Hartford, CT 06155 |
| | | | 6.85% | | |
Class R4 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 48.23% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 31.85% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 10.93% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 61.49% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 17.64% | | |
| | |
Millennium Trust Company,
LLC
2001
Spring Road, Suite 700
Oak
Brook, IL 60523 |
| | | | 8.93% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 5.64% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 52.23% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 38.73% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 7.94% | | |
Class Y |
| |
Jewish Communal Fund
130 East
59th Street, Suite 1204
New
York, NY 10022 |
| | | | 90.51% | | |
| | |
Charles Schwab & Co.,
Inc.
211 Main
Street
San
Francisco, CA 94105 |
| | | | 23.37% | | |
Class C |
| |
Barings LLC
300
South Tryon Street, Suite 2500
Charlotte, NC 28202 |
| | | | 85.44% | | |
| | |
LPL Financial
4707
Executive Drive
San
Diego, CA 92121 |
| | | | 14.56% | | |
Fund |
| | | |
Short-Duration Bond Fund |
| |
0.35% on the first $500 million;
and
0.30% on
assets over $500 million |
|
High
Yield Fund |
| |
0.48% on the first $250 million;
and
0.455%
on assets over $250 million |
|
|
Short-Duration Bond Fund |
| | 0.08% | |
|
High
Yield Fund |
| | 0.20% | |
| | | |
Class I |
| |
Class R5 |
| |
Service Class |
| |
Administrative Class |
| |
Class R4 |
| |
Class A |
| |
Class R3 |
| |
Class Y |
| |
Class L |
| |
Class C |
| |||||||||||||||||||||||||||
|
Short-Duration
Bond Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | | | | | 0.05% | | | |
0.05% |
|
|
High Yield Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.05% | | | |
N/A |
| |
None |
|
| | |
Fiscal Year Ended
September 30, 2023 |
| |||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Other Expenses Reimbursed |
| |||||||||||||||
Short-Duration Bond Fund 1
|
| | | $ | 1,062,581 | | | | | $ | 239,670 | | | | | $ | — | | | | | $ | 237,179 | | | | | $ | (730,936) | | |
High
Yield Fund |
| | | | 1,860,725 | | | | | | 787,516 | | | | | | — | | | | | | 248,614 | | | | | | — | | |
| | |
Fiscal Year Ended
September 30, 2022 |
| |||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Other Expenses Reimbursed |
| |||||||||||||||
Short-Duration Bond Fund 1
|
| | | $ | 2,767,030 | | | | | $ | 672,427 | | | | | $ | — | | | | | $ | 720,029 | | | | | $ | (426,071) | | |
High
Yield Fund |
| | | | 2,330,607 | | | | | | 989,512 | | | | | | — | | | | | | 325,502 | | | | | | — | | |
| | | |
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 |
| ||||||||||||||||||
|
Short-Duration Bond Fund |
| | | $ | 1,393,181 | | | | | $ | 315,802 | | | | | $ | — | | | | | $ | 342,861 | | | | | $ | 31,547 | | | | | $ | — | | |
|
High
Yield Fund |
| | | | 2,686,755 | | | | | | 1,141,390 | | | | | | — | | | | | | 378,655 | | | | | | 23,028 | | | | | | — | | |
| | | | | | | | | |
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 |
| |||||||||||||||||||||
|
High Yield Fund –
Class A |
| | | | 2023 | | | | | $ | 1,155 | | | | | $ | 945 | | | | | $ | 210 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 1,650 | | | | | $ | 1,050 | | | | | $ | 600 | | | | | | | | $ | 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 |
| |
2.50% |
| |
2.56% |
| | | | 2.00% | | |
$25,000-$49,999 |
| |
2.25% |
| |
2.30% |
| | | | 1.75% | | |
$50,000-$99,999 |
| |
2.00% |
| |
2.04% |
| | | | 1.50% | | |
$100,000-$249,999 |
| |
1.75% |
| |
1.78% |
| | | | 1.25% | | |
$250,000-$499,999 |
| |
1.50% |
| |
1.52% |
| | | | 1.00% | | |
$500,000-$999,999 |
| |
1.25% |
| |
1.27% |
| | | | 1.00% | | |
$1,000,000-$4,999,999 1 | | |
None |
| |
None |
| | | | 0.50% | | |
$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 |
| |
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% | | |
| | |
Class R4 12b-1 Fees |
| |
Class A 12b-1 Fees |
| |
Class R3 12b-1 Fees |
| |
Class L 12b-1 Fees |
| |
Class C 12b-1 Fees |
| |||||||||||||||
Short-Duration Bond Fund |
| | | $ | 14,970 | | | | | $ | 17,170 | | | | | $ | 35,315 | | | | | $ | 138,993 | | | | | $ | 5,056 | | |
High
Yield Fund |
| | | | 58,243 | | | | | | 20,638 | | | | | | 119,566 | | | | | | N/A | | | | | | 907 | | |
| | | | $ | 73,213 | | | | | $ | 37,808 | | | | | $ | 154,881 | | | | | $ | 138,993 | | | | | $ | 5,963 | | |
| | |
Fiscal Year ended September 30, 2023 |
| |
Fiscal Year ended September 30, 2022 |
| |
Fiscal Year ended September 30, 2021 |
| |||||||||
Short-Duration Bond Fund |
| | | $ | 47,783 | | | | | $ | 148,280 | | | | | $ | 51,367 | | |
High
Yield Fund |
| | | $ | — | | | | | $ | 1,993 | | | | | $ | — | | |
Regular
Broker or Dealer |
| |
Aggregate Value of Securities Held |
| |||
Morgan Stanley |
| | | $ | 2,187,345 | | |
Barclays plc |
| | | | 1,628,129 | | |
UBS
AG |
| | | | 1,451,410 | | |
Bank
of America Corp. |
| | | | 1,129,853 | | |
HSBC
Securities, Inc. |
| | | | 1,014,015 | | |
Wells Fargo & Company |
| | | | 556,087 | | |
JPMorgan Chase & Co. |
| | | | 556,055 | | |
| | | | $ | 8,522,894 | | |
|
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 |
| |||||||||||||||||||||||||||
|
Short-Duration
Bond
Fund |
| | | $ | 200,186 | | | | | $ | 5,430 | | | | | $ | 1,478 | | | | | $ | — | | | | | $ | — | | | | | $ | 162,506 | | | | | $ | — | | | | | $ | 169,414 | | | | | $ | 30,772 | | |
|
High Yield Fund |
| | | $ | 788,597 | | | | | $ | 24,251 | | | | | $ | 5,150 | | | | | $ | — | | | | | $ | — | | | | | $ | 621,775 | | | | | $ | — | | | | | $ | 651,176 | | | | | $ | 137,421 | | |
|
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* |
| ||||||
| Yulia Alekseeva | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$2,045 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 | | | |
$1,596 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$372
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 37 | | | |
$38,312 million |
| | | | 0 | | | |
$0 |
|
| Natalia Krol | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 3 | | | |
$323
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 12 | | | |
$161
million |
| | | | 0 | | | |
$0 |
|
| Omotunde Lawal | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$253
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$204
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 17 | | | |
$2,897 million |
| | | | 0 | | | |
$0 |
|
| Charles Sanford | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$1,596 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 | | | |
$2,045 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* |
| ||||||
| Sean Feeley | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 10 | | | |
$1,331 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 7 | | | |
$3,382 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 23 | | | |
$4,006 million |
| | | | 0 | | | |
$0 |
|
| Scott Roth | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$573
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 12 | | | |
$5,076 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 26 | | | |
$4,749 million |
| | | | 0 | | | |
$0 |
|