SHARE
CLASS |
GOLDMAN
SACHS FINANCIAL SQUARE FUNDSSM
| ||||
PRIME
OBLIGATIONS
FUND |
MONEY
MARKET
FUND |
TREASURY
OBLIGATIONS
FUND |
TREASURY
INSTRUMENTS
FUND |
TREASURY
SOLUTIONS
FUND | |
INSTITUTIONAL |
FPOXX |
FSMXX |
FTOXX |
FTIXX |
FEDXX |
ADMINISTRATION |
FBAXX |
FADXX |
FGAXX |
FRAXX |
FVAXX |
CAPITAL |
GCPXX |
GCKXX |
GCTXX |
GCIXX |
GCFXX |
CASH
MANAGEMENT |
GFOXX |
GSCXX |
GTOXX |
GICXX |
GFCXX |
PREFERRED |
GPPXX |
GPMXX |
GPOXX |
GPIXX |
GPFXX |
PREMIER |
GOPXX |
GPRXX |
GTPXX |
GIPXX |
GFPXX |
RESOURCE |
GBRXX |
GREXX |
GTRXX |
GIRXX |
GFRXX |
SELECT |
GSPXX |
GSMXX |
GSOXX |
GSIXX |
GSFXX |
SERVICE |
FBSXX |
FSVXX |
FYAXX |
FYSXX |
FVSXX |
SHARE
CLASS |
GOLDMAN
SACHS FINANCIAL SQUARE FUNDSSM
|
GOLDMAN
SACHS
INVESTOR
FUNDSSM
| ||
GOVERNMENT
FUND |
FEDERAL
INSTRUMENTS
FUND |
MONEY
MARKET
FUND |
TAX-EXEMPT
MONEY
MARKET
FUND | |
INSTITUTIONAL/
CLASS I |
FGTXX |
FIRXX |
FMJXX |
FTXXX |
ADMINISTRATION |
FOAXX |
FIOXX |
FMKXX |
FEAXX |
CAPITAL |
GCGXX |
FIKXX |
— |
GCXXX |
CASH
MANAGEMENT |
GVCXX |
FIWXX |
FHMXX |
GXCXX |
CLASS
A |
FSOXX |
— |
FMEXX |
FKIXX |
CLASS
C |
FSGXX |
— |
FMGXX |
FCYXX |
CLASS
D |
GSAXX |
— |
— |
— |
PREFERRED |
GPGXX |
FIHXX |
— |
GPTXX |
PREMIER |
GGPXX |
FIQXX |
— |
GXPXX |
RESOURCE |
GVRXX |
— |
FHRXX |
GXRXX |
CLASS
R6 |
FGGXX |
— |
— |
— |
SELECT |
GSGXX |
FIJXX |
— |
GSTXX |
SERVICE |
FOSXX |
FILXX |
FHSXX |
FESXX |
Name,
Address
and
Age1
|
Position(s)
Held
with
the
Trust |
Term
of
Office
and
Length
of
Time
Served2
|
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee3
|
Other
Directorships
Held
by
Trustee4
|
Jessica
Palmer
Age:
73 |
Chair
of the
Board
of
Trustees |
Since
2018
(Trustee
since
2007) |
Ms.
Palmer is retired. She was formerly Consultant,
Citigroup
Human Resources Department
(2007–2008);
Managing Director, Citigroup
Corporate
and Investment Banking (previously,
Salomon
Smith Barney/Salomon Brothers)
(1984–2006).
Ms. Palmer was a Member of the Board
of
Trustees of Indian Mountain School (private
elementary
and secondary school) (2004–2009).
Chair
of the Board of Trustees—Goldman Sachs Trust
and
Goldman Sachs Variable Insurance Trust. |
103 |
None |
Dwight
L.
Bush
Age:
65 |
Trustee |
Since
2020 |
Ambassador
Bush is President and CEO of D.L. Bush
&
Associates (a financial advisory and private
investment
firm) (2002–2014 and 2017–present);
Director
of MoneyLion, Inc. (an operator of a
data-driven,
digital financial platform)
(2021–present);
and was formerly U.S. Ambassador to
the
Kingdom of Morocco (2014–2017) and a Member
of
the Board of Directors of Santander Bank, N.A.
(2018–2019).
Previously, Ambassador Bush served as
an
Advisory Board Member of Goldman Sachs Trust
and
Goldman Sachs Variable Insurance Trust (October
2019–January
2020).
Trustee—Goldman
Sachs Trust and Goldman Sachs
Variable
Insurance Trust. |
103 |
None |
Kathryn
A.
Cassidy
Age:
68 |
Trustee |
Since
2015 |
Ms.
Cassidy is retired. She is Director, Vertical
Aerospace
Ltd. (an aerospace and technology
company)
(2021–present). Formerly, Ms. Cassidy was
Advisor
to the Chairman (May 2014–December
2014);
and Senior Vice President and Treasurer
(2008–2014),
General Electric Company & General
Electric
Capital Corporation (technology and financial
services
companies).
Trustee—Goldman
Sachs Trust and Goldman Sachs
Variable
Insurance Trust. |
103 |
Vertical
Aerospace
Ltd.
(an
aerospace
and
technology
company) |
Name,
Address
and
Age1 |
Position(s)
Held
with
the
Trust |
Term
of
Office
and
Length
of
Time
Served2 |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee3 |
Other
Directorships
Held
by
Trustee4 |
John
G. Chou
Age:
65 |
Trustee |
Since
2022 |
Mr.
Chou is Executive Vice President and Special
Advisor
to the Chairman and CEO of
AmerisourceBergen
Corporation (a pharmaceutical
and
healthcare company) (2021–present); and
formerly
held various executive management positions
with
AmerisourceBergen Corporation, including
Executive
Vice President and Chief Legal Officer
(2019–2021);
Corporate Secretary (2019–2020);
Executive
Vice President and Chief Legal & Business
Officer
(2017–2019); and Executive Vice President
and
General Counsel (2011–2017).
Trustee—Goldman
Sachs Trust and Goldman Sachs
Variable
Insurance Trust. |
103 |
None |
Diana
M.
Daniels
Age:
73 |
Trustee |
Since
2007 |
Ms.
Daniels is retired. Formerly, she was Vice
President,
General Counsel and Secretary, The
Washington
Post Company (1991–2006). Ms. Daniels
is
a Trustee Emeritus and serves as a Presidential
Councillor
of Cornell University (2013–Present);
former
Member of the Legal Advisory Board, New
York
Stock Exchange (2003–2006) and of the
Corporate
Advisory Board, Standish Mellon
Management
Advisors (2006–2007).
Trustee—Goldman
Sachs Trust and Goldman Sachs
Variable
Insurance Trust. |
103 |
None |
Joaquin
Delgado
Age:
62 |
Trustee |
Since
2020 |
Dr.
Delgado is retired. He is Director, Stepan
Company
(a specialty chemical manufacturer)
(2011–present);
and was formerly Director,
Hexion
Inc. (a specialty chemical manufacturer)
(2019–2022);
Executive Vice President, Consumer
Business
Group of 3M Company (July 2016–July
2019);
and Executive Vice President, Health Care
Business
Group of 3M Company (October 2012–July
2016).
Previously, Dr. Delgado served as an Advisory
Board
Member of Goldman Sachs Trust and Goldman
Sachs
Variable Insurance Trust (October 2019–
January
2020).
Trustee—Goldman
Sachs Trust and Goldman Sachs
Variable
Insurance Trust. |
103 |
Stepan
Company
(a
specialty
chemical
manufacturer)
|
Name,
Address
and
Age1 |
Position(s)
Held
with
the
Trust |
Term
of
Office
and
Length
of
Time
Served2 |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee3 |
Other
Directorships
Held
by
Trustee4 |
Eileen
H.
Dowling
Age:
59 |
Trustee |
Since
2021 |
Ms.
Dowling is retired. Formerly, she was Senior
Advisor
(April 2021–September 2021); and Managing
Director
(2013–2021), BlackRock, Inc. (a financial
services
firm).
Trustee—Goldman
Sachs Trust and Goldman Sachs
Variable
Insurance Trust. |
103 |
None |
Gregory
G.
Weaver
Age:
70 |
Trustee |
Since
2015 |
Mr.
Weaver is retired. He is Director, Verizon
Communications
Inc. (2015–Present); and was
formerly
Chairman and Chief Executive Officer,
Deloitte
& Touche LLP (a professional services firm)
(2001–2005
and 2012–2014); and Member of the
Board
of Directors, Deloitte & Touche LLP
(2006–2012).
Trustee—Goldman
Sachs Trust and Goldman Sachs
Variable
Insurance Trust. |
103 |
Verizon
Communications
Inc.
|
Paul
C. Wirth
Age:
64 |
Trustee |
Since
2022 |
Mr.
Wirth is retired. Formerly, he was Deputy Chief
Financial
Officer and Principal Accounting Officer
(2011–2020);
Finance Director and Principal
Accounting
Officer (2010–2011); and Managing
Director,
Global Controller, and Chief Accounting
Officer
(2005–2010) of Morgan Stanley.
Trustee—Goldman
Sachs Trust and Goldman Sachs
Variable
Insurance Trust. |
103 |
None |
Name,
Address
and
Age1
|
Position(s)
Held
with
the
Trust |
Term
of
Office
and
Length
of
Time
Served2
|
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee3
|
Other
Directorships
Held
by
Trustee4
|
James
A.
McNamara*
Age:
59 |
President
and
Trustee |
Since
2007 |
Advisory
Director, Goldman Sachs (January
2018–Present);
Managing Director, Goldman Sachs
(January
2000–December 2017); Director of
Institutional
Fund Sales, GSAM (April
1998–December
2000); and Senior Vice President and
Manager,
Dreyfus Institutional Service Corporation
(January
1993–April 1998)
President
and Trustee—Goldman Sachs Trust;
Goldman
Sachs Variable Insurance Trust; Goldman
Sachs
Trust II; Goldman Sachs MLP and Energy
Renaissance
Fund; Goldman Sachs ETF Trust;
Goldman
Sachs ETF Trust II; Goldman Sachs Credit
Income
Fund; and Goldman Sachs Real Estate
Diversified
Income Fund.
|
172 |
None |
Name,
Age
and
Address |
Position(s)
Held
with
the Trust |
Term
of Office and
Length
of Time
Served1
|
Principal
Occupation(s) During Past 5 Years |
James
A. McNamara
200
West Street
New
York, NY 10282
Age:
59 |
Trustee
and
President |
Since
2007 |
Advisory
Director, Goldman Sachs (January 2018 – Present);
Managing
Director, Goldman Sachs (January 2000 – December 2017);
Director
of Institutional Fund Sales, GSAM (April 1998 –
December 2000);
and Senior Vice President and Manager, Dreyfus
Institutional
Service Corporation (January 1993 –
April 1998).President
and Trustee—Goldman Sachs Trust; Goldman
Sachs
Variable Insurance Trust; Goldman Sachs Trust II; Goldman
Sachs
ETF Trust; Goldman Sachs ETF Trust II; Goldman Sachs MLP
and
Energy Renaissance Fund; Goldman Sachs Credit Income Fund;
and
Goldman Sachs Real Estate Diversified Income
Fund. |
Joseph
F. DiMaria
30
Hudson Street
Jersey
City, NJ 07302
Age:
54 |
Treasurer,
Principal
Financial
Officer
and
Principal
Accounting
Officer |
Since
2017
(Treasurer
and
Principal
Financial
Officer
since
2019) |
Managing
Director, Goldman Sachs (November 2015 – Present) and
Vice
President – Mutual Fund Administration, Columbia Management
Investment
Advisers, LLC (May 2010 – October 2015).Treasurer,
Principal
Financial Officer and Principal Accounting
Officer—Goldman
Sachs Trust (previously Assistant Treasurer
(2016));
Goldman Sachs Variable Insurance Trust (previously Assistant
Treasurer
(2016)); Goldman Sachs Trust II (previously Assistant
Treasurer
(2017)); Goldman Sachs MLP and Energy Renaissance Fund
(previously
Assistant Treasurer (2017)); Goldman Sachs ETF Trust
(previously
Assistant Treasurer (2017)); Goldman Sachs ETF Trust II;
Goldman
Sachs Credit Income Fund; and Goldman Sachs Real Estate
Diversified
Income Fund. |
Julien
Yoo
200
West Street
New
York, NY 10282
Age:
51 |
Chief
Compliance
Officer |
Since
2019 |
Managing
Director, Goldman Sachs (January 2020–Present); Vice
President,
Goldman Sachs (December 2014–December 2019); and
Vice
President, Morgan Stanley Investment Management
(2005–2010).Chief
Compliance Officer—Goldman Sachs Trust;
Goldman
Sachs Variable Insurance Trust; Goldman Sachs Trust II;
Goldman
Sachs BDC, Inc.; Goldman Sachs Private Middle Market
Credit
LLC; Goldman Sachs Private Middle Market Credit II LLC;
Goldman
Sachs Middle Market Lending Corp.; Goldman Sachs MLP
and
Energy Renaissance Fund; Goldman Sachs ETF Trust; Goldman
Sachs
ETF Trust II; Goldman Sachs Credit Income Fund; and
Goldman
Sachs Real Estate Diversified Income
Fund. |
Name,
Age
and
Address |
Position(s)
Held
with
the Trust |
Term
of Office and
Length
of Time
Served1 |
Principal
Occupation(s) During Past 5 Years |
Peter
W. Fortner
30
Hudson Street
Jersey
City, NJ 07302
Age:
64 |
Assistant
Treasurer |
Since
2000 |
Vice
President, Goldman Sachs (July 2000–Present); Principal
Accounting
Officer and Treasurer, Commerce Bank Mutual Fund
Complex
(2008–Present); Treasurer of Goldman Sachs
Philanthropy
Fund (2019–Present); and Treasurer of Ayco Charitable
Foundation
(2020–Present). Assistant Treasurer—Goldman Sachs
Trust;
Goldman Sachs Variable Insurance Trust; Goldman Sachs Trust
II;
Goldman Sachs MLP and Energy Renaissance Fund; Goldman
Sachs
ETF Trust; Goldman Sachs ETF Trust II; Goldman Sachs Credit
Income
Fund; and Goldman Sachs Real Estate Diversified
Income
Fund. |
Allison
Fracchiolla
30
Hudson Street
Jersey
City, NJ 07302
Age:
39 |
Assistant
Treasurer |
Since
2014 |
Vice
President, Goldman Sachs (January 2013–Present).Assistant
Treasurer—Goldman
Sachs Trust; Goldman Sachs Variable Insurance
Trust;
Goldman Sachs Trust II; Goldman Sachs ETF Trust; Goldman
Sachs
ETF Trust II; Goldman Sachs MLP and Energy
Renaissance
Fund; and Goldman Sachs Real Estate Diversified
Income
Fund. |
Tyler
Hanks
222
S. Main St
Salt
Lake City, UT 84101
Age:
40 |
Assistant
Treasurer
|
Since
2019 |
Vice
President, Goldman Sachs (January 2016—Present); and
Associate,
Goldman Sachs (January 2014—January 2016). Assistant
Treasurer—Goldman
Sachs Trust; Goldman Sachs Variable Insurance
Trust;
Goldman Sachs Trust II; Goldman Sachs MLP and Energy
Renaissance
Fund; Goldman Sachs ETF Trust; Goldman Sachs ETF
Trust
II; Goldman Sachs Credit Income Fund; and Goldman Sachs
Real
Estate Diversified Income Fund. |
Kirsten
Frivold Imohiosen
200
West Street
New
York, NY 10282
Age:
52 |
Assistant
Treasurer
|
Since
2019 |
Managing
Director, Goldman Sachs (January 2018–Present); and Vice
President,
Goldman Sachs (May 1999–December 2017).Assistant
Treasurer—Goldman
Sachs Trust; Goldman Sachs Variable Insurance
Trust;
Goldman Sachs Trust II; Goldman Sachs MLP and Energy
Renaissance
Fund; Goldman Sachs BDC, Inc.; Goldman Sachs Private
Middle
Market Credit LLC; Goldman Sachs Private Middle Market
Credit
II LLC; Goldman Sachs Middle Market Lending Corp.;
Goldman
Sachs ETF Trust; Goldman Sachs ETF Trust II; Goldman
Sachs
Credit Income Fund; and Goldman Sachs Real Estate
Diversified
Income Fund. |
Steven
Z. Indich
30
Hudson Street
Jersey
City, NJ 07302
Age:
53 |
Assistant
Treasurer
|
Since
2019 |
Vice
President, Goldman Sachs (February 2010 – Present).Assistant
Treasurer—Goldman
Sachs Trust; Goldman Sachs Variable Insurance
Trust;
Goldman Sachs Trust II; Goldman Sachs MLP and Energy
Renaissance
Fund; Goldman Sachs BDC, Inc.; Goldman Sachs Private
Middle
Market Credit LLC; Goldman Sachs Private Middle Market
Credit
II LLC; Goldman Sachs Middle Market Lending Corp.;
Goldman
Sachs ETF Trust; Goldman Sachs ETF Trust II; Goldman
Sachs
Credit Income Fund; and Goldman Sachs Real Estate
Diversified
Income Fund. |
Name,
Age
and
Address |
Position(s)
Held
with
the Trust |
Term
of Office and
Length
of Time
Served1 |
Principal
Occupation(s) During Past 5 Years |
Carol
Liu
30
Hudson Street
Jersey
City, NJ 07302
Age:
47 |
Assistant
Treasurer
|
Since
2019 |
Vice
President, Goldman Sachs (October 2017 – Present); Tax
Director,
The Raine Group LLC (August 2015 – October 2017); and
Tax
Director, Icon Investments LLC (January 2012 – August
2015).Assistant
Treasurer—Goldman Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II; Goldman Sachs
MLP
and Energy Renaissance Fund; Goldman Sachs BDC, Inc.;
Goldman
Sachs Private Middle Market Credit LLC; Goldman Sachs
Private
Middle Market Credit II LLC; Goldman Sachs Middle Market
Lending
Corp.; Goldman Sachs ETF Trust; Goldman Sachs ETF Trust
II;
Goldman Sachs Credit Income Fund; and Goldman Sachs Real
Estate
Diversified Income Fund. |
Christopher
Bradford
30
Hudson Street
Jersey
City, NJ 07302
Age:
40 |
Vice
President |
Since
2020 |
Vice
President, Goldman Sachs (January 2014–Present).Vice
President—Goldman
Sachs Trust; Goldman Sachs Variable Insurance
Trust;
Goldman Sachs Trust II; Goldman Sachs ETF Trust; Goldman
Sachs
ETF Trust II; Goldman Sachs MLP and Energy
Renaissance
Fund; Goldman Sachs Real Estate Diversified
Income
Fund; and Goldman Sachs Credit Income Fund. |
Kenneth
Cawley
71
South Wacker Drive
Chicago,
IL 60606
Age:
52 |
Vice
President |
Since
2021 |
Managing
Director, Goldman Sachs (2017 – Present), Vice President
(December
1999–2017); Associate (December 1996–December 1999);
Associate,
Discover Financial (August 1994–December 1996).Vice
President—Goldman
Sachs Trust; Goldman Sachs Variable Insurance
Trust;
and Goldman Sachs Trust II. |
Anney
Chi
200
West Street
New
York, NY 10282
Age:
39 |
Vice
President |
Since
2022 |
Vice
President, Goldman Sachs (2014–Present).Vice
President—Goldman
Sachs Trust; Goldman Sachs Variable Insurance
Trust;
Goldman Sachs Trust II; Goldman Sachs ETF Trust; Goldman
Sachs
ETF Trust II; Goldman Sachs MLP and Energy
Renaissance
Fund; and Goldman Sachs Real Estate Diversified
Income
Fund. |
TP
Enders
200
West Street
New
York, NY 10282
Age:
53 |
Vice
President |
Since
2021 |
Managing
Director, Goldman Sachs (January 2012–Present); Vice
President,
Goldman Sachs (April 2004–December 2011)Vice
President—Goldman
Sachs Trust; Goldman Sachs Variable Insurance
Trust;
Goldman Sachs Trust II; Goldman Sachs ETF Trust; Goldman
Sachs
ETF Trust II; Goldman Sachs MLP and Energy
Renaissance
Fund; Goldman Sachs Credit Income Fund; and Goldman
Sachs
Real Estate Diversified Income Fund. |
Frank
Murphy
200
West Street
New
York, NY 10282
Age:
47 |
Vice
President |
Since
2019 |
Managing
Director, Goldman Sachs (2015 – Present); Vice President,
Goldman
Sachs (2003 – 2014); Associate, Goldman Sachs (2001 –
2002);
and Analyst, Goldman Sachs (1999 – 2001).Vice
President—Goldman
Sachs Trust; and Goldman Sachs Variable
Insurance
Trust. |
Name,
Age
and
Address |
Position(s)
Held
with
the Trust |
Term
of Office and
Length
of Time
Served1 |
Principal
Occupation(s) During Past 5 Years |
Caroline
L. Kraus
200
West Street
New
York, NY 10282
Age:
45 |
Secretary |
Since
2012 |
Managing
Director, Goldman Sachs (January 2016–Present); Vice
President,
Goldman Sachs (August 2006–December 2015); Senior
Counsel,
Goldman Sachs (January 2020–Present); Associate General
Counsel,
Goldman Sachs (2012–December 2019); Assistant General
Counsel,
Goldman Sachs (August 2006–December 2011); and
Associate,
Weil, Gotshal & Manges, LLP
(2002–2006).Secretary—Goldman
Sachs Trust (previously Assistant
Secretary
(2012)); Goldman Sachs Variable Insurance Trust
(previously
Assistant Secretary (2012)); Goldman Sachs Trust II;
Goldman
Sachs BDC, Inc.; Goldman Sachs Private Middle Market
Credit
LLC; Goldman Sachs Private Middle Market Credit II LLC;
Goldman
Sachs Middle Market Lending Corp.; Goldman Sachs MLP
and
Energy Renaissance Fund; Goldman Sachs ETF Trust; Goldman
Sachs
ETF Trust II; Goldman Sachs Credit Income Fund; and
Goldman
Sachs Real Estate Diversified Income Fund. |
David
A. Fishman
200
West Street
New
York, NY 10282
Age:
57 |
Assistant
Secretary |
Since
2001 |
Managing
Director, Goldman Sachs (December 2001 – Present); and
Vice
President, Goldman Sachs (1997 – December 2001).Assistant
Secretary—Goldman
Sachs Trust; and Goldman Sachs Variable
Insurance
Trust. |
Shaun
Cullinan
200
West Street
New
York, NY 10282
Age:
42 |
Assistant
Secretary |
Since
2018 |
Managing
Director, Goldman Sachs (2018 – Present); Vice President,
Goldman
Sachs (2009 – 2017); Associate, Goldman Sachs (2006 –
2008);
Analyst, Goldman Sachs (2004 – 2005).Assistant
Secretary—Goldman
Sachs Trust; Goldman Sachs Variable Insurance
Trust;
and Goldman Sachs Trust II. |
Name
of Trustee |
Dollar
Range of Equity Securities
in
the
Funds(1)
|
Aggregate
Dollar Range of Equity Securities in
All
Portfolios in Fund Complex Overseen By
Trustee |
Jessica
Palmer |
$
–
|
$
–
|
Dwight
L. Bush |
–
|
–
|
Kathryn
A. Cassidy |
33 |
33 |
John
G. Chou(2)
|
–
|
–
|
Diana
M. Daniels |
–
|
–
|
Joaquin
Delgado |
–
|
–
|
Eileen
H. Dowling(3)
|
592,006 |
592,006 |
James
A. McNamara |
305,761
|
331,143
|
Gregory
G. Weaver |
170,753
|
170,753
|
Paul
C. Wirth(2)
|
–
|
–
|
Financial
Square Funds |
Investor
Funds | ||||||||
Name
of Trustee |
Prime
Obligations
Fund |
Money
Market
Fund |
Treasury
Obligations
Fund |
Treasury
Instruments
Fund |
Treasury
Solutions
Fund |
Government
Fund |
Federal
Instruments
Fund |
Money
Market
Fund |
Tax-Exempt
Money
Market
Fund |
Jessica
Palmer(1)
|
$4,275
|
$4,738 |
$13,603 |
$28,528
|
$6,882 |
$56,931
|
$4,599 |
$4,209 |
$4,148 |
Dwight
L. Bush |
2,853
|
3,161 |
9,078 |
19,037 |
4,592 |
37,991
|
3,069
|
2,809 |
2,768 |
Kathryn
A. Cassidy |
2,853
|
3,161 |
9,078 |
19,037 |
4,592 |
37,991
|
3,069
|
2,809 |
2,768 |
John
G. Chou(2)
|
–
|
–
|
–
|
–
|
–
|
–
|
–
|
–
|
–
|
Diana
M. Daniels |
2,853
|
3,161 |
9,078 |
19,037 |
4,592 |
37,991
|
3,069
|
2,809 |
2,768 |
Joaquin
Delgado |
2,853
|
3,161 |
9,078 |
19,037 |
4,592 |
37,991
|
3,069
|
2,809 |
2,768 |
Eileen
H. Dowling(3)
|
–
|
–
|
–
|
–
|
–
|
–
|
–
|
–
|
–
|
Financial
Square Funds |
Investor
Funds | ||||||||
Name
of Trustee |
Prime
Obligations
Fund |
Money
Market
Fund |
Treasury
Obligations
Fund |
Treasury
Instruments
Fund |
Treasury
Solutions
Fund |
Government
Fund |
Federal
Instruments
Fund |
Money
Market
Fund |
Tax-Exempt
Money
Market
Fund |
James
A. McNamara(4)
|
–
|
–
|
–
|
–
|
–
|
–
|
–
|
–
|
–
|
Roy
W. Templin(5)
|
2,853
|
3,161 |
9,078 |
9,078 |
4,592 |
37,991
|
3,069
|
2,809 |
2,768 |
Gregory
G. Weaver(6)
|
3,321 |
3,681 |
10,569
|
22,163 |
5,346 |
44,230 |
3,573
|
3,270 |
3,222 |
Paul
C. Wirth(2)
|
–
|
–
|
–
|
–
|
–
|
–
|
–
|
–
|
–
|
Name
of Trustee |
Pension
or Retirement
Benefits
Accrued as Part
of
the Trust’s Expenses |
Total
Compensation
From
Fund Complex
(including
the Funds)(7)
|
Jessica
Palmer(1)
|
$0 |
$511,000
|
Dwight
L. Bush |
0 |
341,000
|
Kathryn
A. Cassidy |
0 |
341,000
|
John
G. Chou(2)
|
–
|
–
|
Diana
M. Daniels |
0 |
341,000
|
Joaquin
Delgado |
0 |
341,000
|
Eileen
H. Dowling(3)
|
0 |
–
|
James
A. McNamara(4)
|
0 |
–
|
Roy
W. Templin(5)
|
0 |
341,000
|
Gregory
G. Weaver(6)
|
0 |
399,250
|
Paul
C. Wirth(2)
|
–
|
–
|
Fund |
Contractual
Rate |
Fiscal
Year ended
November
30, 2021* |
Financial
Square Prime Obligations Fund |
0.16% |
0.12% |
Financial
Square Money Market Fund |
0.16% |
0.09% |
Financial
Square Treasury Obligations Fund |
0.18% |
0.06% |
Financial
Square Treasury Instruments Fund |
0.18% |
0.07% |
Financial
Square Treasury Solutions Fund |
0.18% |
0.08% |
Financial
Square Government Fund |
0.16% |
0.06% |
Financial
Square Federal Instruments Fund |
0.18% |
0.08% |
Investor
Money Market Fund |
0.16% |
0.16% |
Investor
Tax-Exempt Money Market Fund |
0.16% |
0.16% |
|
Fiscal
Year Ended
November
30, 2021 |
August
31, 2020
through
November
30, 2020 |
Fiscal
Year
ended
August
31, 2020 |
Fiscal
Year
ended
August
31, 2019 | ||||
Fund |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver** |
Without
Fee
Waiver |
With
Fee
Waiver*** |
Without
Fee
Waiver |
With
Fee
Waiver**** |
Without
Fee
Waiver |
Financial
Square
Prime
Obligations
Fund |
$2,117 |
$2,889 |
$1,561 |
$1,561 |
$8,316 |
$9,793 |
$5,038 |
$7,443 |
Financial
Square
Money
Market
Fund |
3,314 |
5,770 |
2,076 |
2,076 |
16,476
|
20,621 |
14,780 |
21,889 |
Financial
Square
Treasury
Obligations
Fund |
19,961 |
62,254 |
10,574 |
10,576 |
41,165 |
41,165 |
29,326 |
29,326 |
Financial
Square
Treasury
Instruments
Fund |
59,401 |
163,933 |
36,016 |
36,021 |
144,867
|
145,038 |
97,509 |
97,509 |
Financial
Square
Treasury
Solutions
Fund |
8,733 |
20,072 |
5,254 |
5,255 |
22,295 |
22,304 |
15,703 |
15,703 |
Financial
Square
Government
Fund |
114,669 |
310,149 |
69,362 |
69,363 |
258,646 |
258,646 |
164,279 |
164,279 |
Financial
Square
Federal
Instruments
Fund |
2,315 |
5,322 |
1,546 |
1,547 |
3,259 |
4,656 |
1,547 |
1,694 |
Investor
Money
Market
Fund |
1,689 |
2,718 |
856 |
856 |
3,177 |
3,199 |
1,576 |
1,576 |
Investor
Tax-Exempt
Money
Market Fund |
453 |
2,353 |
593 |
593 |
2,432 |
2,453 |
1,938
|
1,938
|
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
period
August
31,
2019
through
November
30,
2020 |
Fiscal
year
ended
August
31,
2020 |
Fiscal
year
ended
August
31,
2019 |
Financial
Square Government Fund |
$2,069 |
$2,296 |
$912 |
$2,296 |
|
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31, 2020
through
November
30, 2020 |
Fiscal
Year ended
August
31, 2020 |
Fiscal
Year ended
August
31, 2019 | ||||
Fund |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver** |
Without
Fee
Waiver |
Financial
Square
Prime
Obligations |
|
|
|
|
|
|
|
|
Institutional
Shares |
$53,367
|
$170,011 |
$92,322 |
$92,314 |
$597,861 |
$597,869 |
$454,001 |
$454,055 |
Administration
Shares |
1,052 |
2,251
|
1,336 |
1,336 |
3,701 |
3,701 |
2,403 |
2,403 |
Service
Shares |
-
|
-
|
0 |
0 |
41 |
41 |
520 |
520 |
Preferred
Shares |
68 |
138 |
84 |
84 |
390 |
390 |
262 |
262 |
Select
Shares |
818 |
2,103 |
1,293 |
1,293 |
6,601 |
6,601 |
7,453 |
7,453 |
Capital
Shares |
22
|
91
|
24 |
24 |
719 |
719 |
522 |
522 |
Cash
Management
Shares |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
Premier
Shares |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
Resource
Shares |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
Financial
Square
Money
Market |
|
|
|
|
|
|
|
|
Institutional
Shares |
$19,045 |
$359,785 |
$129,263 |
$129,263 |
$1,284,758 |
$1,284,694 |
$1,363,888 |
$1,364,047 |
Administration
Shares |
23
|
328 |
91 |
91 |
504 |
504 |
214 |
214 |
Service
Shares |
-
|
-
|
0 |
0 |
1.86 |
1 |
7 |
7 |
Preferred
Shares |
0.34
|
7 |
42 |
42 |
318 |
318 |
210 |
210 |
Select
Shares |
11 |
229
|
59 |
59 |
1,959 |
1,959 |
3,231 |
3,231 |
Capital
Shares |
54 |
311 |
301 |
301 |
1,419 |
1,419 |
540 |
530 |
Cash
Management
Shares |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
Premier
Shares |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
Resource
Shares |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31, 2020
through
November
30, 2020 |
Fiscal
Year ended
August
31, 2020 |
Fiscal
Year ended
August
31, 2019 | ||||
Fund |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver** |
Without
Fee
Waiver |
Financial
Square
Treasury
Obligations |
|
|
|
|
|
|
|
|
Institutional
Shares
|
$
- |
$2,944,563 |
$477,512 |
$477,460 |
$1,865,921 |
$1,865,921 |
$1,865,921 |
$1,389,631 |
Administration
Shares |
- |
288,408
|
56,360 |
56,360 |
210,909 |
210,909 |
185,874 |
185,874
|
Service
Shares |
- |
116,990
|
25,520 |
25,520 |
108,692 |
108,692 |
109,176
|
109,176 |
Preferred
Shares |
- |
46,513
|
13,802 |
13,802 |
45,817.78 |
45,817.78 |
35,661 |
35,661
|
Select
Shares |
- |
18,356
|
4,973 |
4,973 |
6,657 |
6,657 |
6,471 |
6,471 |
Capital
Shares |
- |
39,222
|
8,658 |
8,658 |
44,081 |
44,081 |
33,393
|
33,393 |
Cash
Management
Shares |
-
|
3,559.16
|
384 |
384 |
2,805 |
2,805 |
0 |
0 |
Premier
Shares |
- |
1,230.82
|
369 |
369 |
1,958 |
1,958 |
1,631 |
1,631 |
Resource
Shares |
- |
- |
0 |
0 |
0 |
0 |
133 |
133 |
Financial
Square
Treasury
Instruments |
|
|
|
|
|
|
|
|
Institutional
Shares
|
0.02
|
8,741,522 |
$1,921,999
|
$1,921,823
|
$7,730,801
|
$7,730,801 |
$5,070,907 |
$5,071,449 |
Administration
Shares |
0.01
|
181,453
|
41,478
|
41,478
|
172,159
|
172,159 |
215,088 |
215,088 |
Service
Shares |
-
|
60,592 |
2,894
|
2,894
|
5,757
|
5,757 |
10,633 |
10,633 |
Preferred
Shares |
-
|
10,715 |
3,066
|
3,066
|
12,865
|
12,865 |
6,155 |
6,155 |
Select
Shares |
-
|
20,059 |
10,665
|
10,665
|
8,057,363
|
8,057,363 |
29,283 |
29,283 |
Capital
Shares |
-
|
74,871 |
15,968
|
15,968
|
26,974
|
26,974 |
70,498 |
70,498 |
Cash
Management
Shares |
-
|
1,204 |
278
|
278 |
14,827
|
14,827 |
0 |
0 |
Premier
Shares |
-
|
15,550 |
4,806
|
4,806
|
0 |
0 |
13,947 |
13,947 |
Resource
Shares |
0 |
0 |
|
|
92,778 |
92,778 |
644 |
644 |
Financial
Square
Treasury
Solutions |
|
|
|
|
|
|
|
|
Institutional
Shares
|
-
|
981,679.84
|
$1,119,246
|
$1,119,246 |
$777,033 |
$777,121 |
$1,119,246
|
$1,119,246 |
Administration
Shares |
-
|
39,594.06
|
40,606 |
40,606 |
35,787 |
35,787 |
40,606 |
40,606 |
Service
Shares |
-
|
22,562.37
|
15,305 |
15,305 |
12,096 |
12,096 |
15,305 |
15,305 |
Preferred
Shares |
-
|
5,708.90
|
5,384 |
5,384 |
3,826 |
3,826 |
5,384 |
5,384 |
Select
Shares |
-
|
570.43
|
956 |
956 |
640 |
640 |
956 |
956 |
Capital
Shares |
-
|
23,069.59
|
17,911 |
17,911 |
16,849 |
16,849 |
17,911 |
17,911 |
Cash
Management
Shares |
-
|
33,416.51
|
25,985 |
25,985 |
0 |
0 |
25,985 |
25,985 |
|
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31, 2020
through
November
30, 2020 |
Fiscal
Year ended
August
31, 2020 |
Fiscal
Year ended
August
31, 2019 | ||||
Fund |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver** |
Without
Fee
Waiver |
Premier
Shares |
-
|
8,604.86
|
13,656 |
13,656
|
13,797 |
13,797 |
13,656 |
13,656
|
Resource
Shares |
0 |
0 |
0 |
0 |
12,337 |
12,337 |
0 |
0 |
Financial
Square
Government |
|
|
|
|
|
|
|
|
Institutional
Shares |
-
|
17,547,292 |
$4,034,049 |
$4,033,670 |
$14,979,380 |
$14,979,992 |
$9,350,346 |
$9,351,375 |
Administration
Shares |
-
|
664,629
|
135,088 |
135,088 |
565,274 |
565,274 |
506,379 |
506,379 |
Service
Shares |
-
|
90,840
|
23,762 |
23,762 |
80,563 |
80,563 |
61,479 |
61,479 |
Preferred
Shares |
-
|
95,302 |
25,143 |
25,143 |
108,998 |
108,998 |
98,043 |
98,043 |
Select
Shares |
-
|
72,500 |
11,314 |
11,314 |
49,133 |
49,133 |
65,198 |
65,198 |
Capital
Shares |
29,699 |
29,699 |
29,699 |
29,699 |
154,043 |
154,043 |
141,724 |
141,724 |
Cash
Management
Shares |
-
|
29,750 |
4,378 |
4,378 |
16,943 |
16,943 |
6,281 |
6,281 |
Premier
Shares |
-
|
228,608
|
4,824 |
4,824 |
18,973 |
18,973 |
19,935 |
19,935 |
Class
R6 Shares |
-
|
20,057 |
170 |
170 |
577 |
577 |
1,496 |
1,496 |
Resource
Shares |
-
|
7,128 |
2,383 |
2,383 |
8,000 |
8,000 |
459 |
459 |
Class
A Shares |
-
|
39,332 |
2,536 |
2,536 |
9,780 |
9,780 |
5,649 |
5,649 |
Class
C Shares |
-
|
528.10
|
7,803 |
7,803 |
34,086 |
34,086 |
10,471 |
10,471 |
Financial
Square
Federal
Instruments |
|
|
|
|
|
|
|
|
Institutional
Shares
|
$14,653 |
$287,804 |
$81,858
|
$81,851
|
$248,850
|
$248,861
|
$86,592 |
$86,601 |
Administration
Shares |
286 |
5,957 |
1,833
|
1,833
|
6,157
|
6,157
|
5,453 |
5,453 |
Service
Shares |
42 |
993 |
240
|
240 |
1,036
|
1,036
|
1,001 |
1,001 |
Preferred
Shares |
25 |
357 |
233
|
233 |
1,225
|
1,225
|
942 |
942 |
Select
Shares |
0.16
|
4 |
1 |
1 |
3
|
3
|
4 |
4 |
Capital
Shares |
2 |
52 |
30 |
30 |
105
|
105
|
122 |
122 |
Premier
Shares |
0.16
|
4 |
1 |
1 |
3
|
3 |
4 |
4 |
Cash
Management
Shares |
297 |
10,079 |
1,734
|
1,734
|
1,238
|
1,238 |
4 |
4 |
Investor
Money
Market |
|
|
|
|
|
|
|
|
Class
I Shares |
$31,883
|
$138,583 |
$44,398
|
$44,394
|
$162,395
|
$162,401
|
$81,362 |
$81,372 |
Administration
Shares |
728 |
3,678 |
818 |
818 |
3,642
|
3,642
|
10,128 |
10,128 |
Service
Shares |
1,133
|
4,468 |
1,355 |
1,355 |
4,955
|
4,955
|
251 |
251 |
Cash
Management
Shares |
1,081
|
6,197 |
1,114 |
1,114 |
25,525
|
25,525
|
0 |
0 |
Resource
Shares |
0 |
0 |
0 |
0 |
1 |
1 |
956 |
956 |
Class
A Shares |
4,645
|
16,942
|
5,821
|
5,821
|
0 |
0 |
0 |
0 |
|
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31, 2020
through
November
30, 2020 |
Fiscal
Year ended
August
31, 2020 |
Fiscal
Year ended
August
31, 2019 | ||||
Fund |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver** |
Without
Fee
Waiver |
Class
C Shares |
1 |
4 |
1 |
1 |
3,414
|
3,414
|
5,803 |
5,803 |
Investor
Tax-Exempt
Money
Market |
|
|
|
|
|
|
|
|
Class
I Shares |
-
|
$145,751 |
$36,636
|
$36,636
|
$133,960
|
$151,081
|
$120,064 |
$120,077 |
Administration
Shares |
-
|
29 |
7 |
7 |
29
|
29
|
19 |
19 |
Service
Shares |
-
|
83 |
20 |
20 |
99
|
99
|
159 |
159 |
Preferred
Shares |
-
|
15 |
4 |
4 |
42
|
42 |
7 |
7 |
Select
Shares |
0 |
0 |
|
|
0
|
0 |
0 |
0 |
Capital
Shares |
0 |
0 |
|
|
0
|
0
|
0 |
0 |
Cash
Management
Shares |
0 |
0 |
|
|
0 |
0 |
228 |
228 |
Premier
Shares |
0 |
0 |
|
|
0 |
0 |
0 |
0 |
Resource
Shares |
-
|
236 |
80 |
80 |
269
|
269
|
0 |
0 |
Class
A Shares |
-
|
977 |
340 |
340 |
2 |
2 |
674 |
674 |
Class
C Shares |
-
|
1 |
1 |
1 |
1,808
|
1,808 |
0 |
0 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period August 31, 2020
through
November 30, 2020 |
Fiscal
Year ended
August
31, 2020 |
Fiscal
Year ended
August
31, 2019 |
Financial
Square Prime Obligations Fund |
$304
|
$101 |
$195 |
$43 |
Financial
Square Money Market Fund |
60 |
131 |
0 |
0 |
Financial
Square Treasury Obligations Fund |
-
|
57 |
0 |
0 |
Financial
Square Treasury Instruments Fund |
-
|
0 |
0 |
0 |
Financial
Square Treasury Solutions Fund |
-
|
69 |
0 |
0 |
Financial
Square Government Fund |
-
|
107 |
0 |
0 |
Financial
Square Federal Instruments Fund |
42 |
75 |
340 |
210 |
Investor
Money Market Fund |
269
|
218 |
500 |
283 |
Investor
Tax-Exempt Money Market Fund |
267
|
169 |
272 |
268 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through November 30,
2020 |
Fiscal
Year
ended
August
31,
2020 |
Fiscal
Year
ended
August
31,
2019 |
Financial
Square Prime Obligations Fund |
$0 |
$0 |
$0 |
$0 |
Financial
Square Money Market Fund |
0 |
0 |
0 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
0 |
Financial
Square Treasury Instruments Fund |
0 |
0 |
0 |
0 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
0 |
0 |
Financial
Square Government Fund |
0 |
0 |
1 |
1 |
Financial
Square Federal Instruments Fund |
0 |
0 |
0 |
0 |
Investor
Money Market Fund |
0 |
0 |
1 |
0 |
Investor
Tax-Exempt Money Market Fund |
0 |
0 |
7 |
0 |
Type
of Information |
When
Available Upon Request |
Portfolio
Characteristics Information
(Except
for Aggregate Liquidity
Classification
Information) |
Prior
to 15 Business Days After Month-End:
Cannot disclose without (i) a
confidentiality
agreement; (ii) an agreement not to trade on the basis of non-public
information
in violation of the federal securities laws; and (iii) legal or compliance
approval. |
15
Business Days After Month-End:
May disclose to (i) shareholders and (ii) any
non-shareholder
whose request satisfies and/or serves a legitimate business purpose for
the
applicable Fund. | |
Aggregate
Liquidity Classification
Information |
Prior
to 90 Calendar Days After Month-End:
Cannot disclose without (i) a
confidentiality
agreement; (ii) an agreement not to trade on the basis of non-public
information
in violation of the federal securities laws; and (iii) legal or compliance
approval. |
90
Calendar Days After Month-End:
May disclose to (i) shareholders and (ii) any
non-shareholder
whose request satisfies and/or serves a legitimate business purpose for
the
applicable Fund. |
CUSIP |
Issuer
/ Issue |
Coupon |
Maturity
Date |
Purchase
Price
(Fair
Market Value) |
Total
Purchase
Amount |
20272AN44 |
COMMONWEALTH
BANK OF
AUSTRALIA |
2.08 |
09/24/2020 |
$99.651 |
$55,304,342 |
2332K4JY1 |
DNB
BANK ASA |
1.83 |
07/22/2020 |
$99.837 |
$84,969,590 |
51500VLZ0 |
LANDESBANK
HESSEN-THUERINGEN
GIROZENTRALE |
1.61 |
02/24/2021 |
$100.328 |
$43,119,649 |
60683BYZ0 |
MITSUBISHI
UFJ TRUST AND BANKING
CORPORATION |
0.85 |
06/17/2020 |
$99.866 |
$71,908,814 |
60710AHR6 |
MIZUHO
BANK, LTD-NEW YORK
BRANCH |
1.22 |
08/7/2020 |
$99.838 |
$134,831,793 |
60710AHZ8 |
MIZUHO
BANK, LTD-NEW YORK
BRANCH |
0.85 |
05/14/2020 |
$99.969 |
$94,979,924 |
63873N2A8 |
NATIXIS-NEW
YORK BRANCH |
1.67 |
06/5/2020 |
$100 |
$39,026,944 |
65558TUZ6 |
NORDEA
BANK ABP-NEW YORK
BRANCH |
1.51 |
02/25/2021 |
$100.237
|
$128,331,950 |
83050PCF4 |
SKANDINAVISKA
ENSKILDA BANKEN
AB
(PUBL) |
1.85 |
07/20/2020 |
$99.846 |
$69,892,307 |
CUSIP |
Issuer
/ Issue |
Coupon |
Maturity
Date |
Purchase
Price
(Fair
Market Value) |
Total
Purchase
Amount |
22532XLV8 |
CREDIT
AGRICOLE CORPORATE AND
INVESTMENT
BANK |
2.14 |
10/09/2020 |
$100.055 |
$25,123,494 |
51500VJE0 |
LANDESBANK
HESSEN-THUERINGEN
GIROZENTRALE |
2.00 |
04/06/2020 |
$100.060
|
$30,018,032 |
60710AG22 |
MIZUHO
BANK, LTD. |
1.93 |
05/01/2020 |
$100.102 |
$70,611,531 |
63376DBD6 |
NATIONAL
BANK OF KUWAIT S.A.K.P |
1.81 |
06/17/2020 |
$100.049
|
$42,211,901 |
65602VSC1 |
NORINCHUKIN
BANK (THE) |
2.05 |
04/08/2020 |
$100.067 |
$65,679,931 |
65602VZS8 |
NORINCHUKIN
BANK (THE) |
1.45 |
08/28/2020 |
$100.017
|
$20,022,783 |
69033MMZ7 |
OVERSEA-CHINESE
BANKING
CORPORATION
LIMITED |
1.62 |
08/20/2020 |
$99.982 |
$60,073,042 |
78014XCU9 |
ROYAL
BANK OF CANADA |
0.48 |
06/12/2020 |
$99.697 |
$44,875,932 |
85325V3L2 |
STANDARD
CHARTERED BANK-NEW
YORK
BRANCH |
1.94 |
10/13/2020 |
$99.526 |
$49,951,496 |
85325V3S7 |
STANDARD
CHARTERED BANK-NEW
YORK
BRANCH |
1.20 |
02/08/2021 |
$99.413 |
$84,540,302 |
86565B2H3 |
SUMITOMO
MITSUI BANKING
CORPORATION |
1.65 |
05/05/2020 |
$100.032 |
$60,068,369 |
86565BV81 |
SUMITOMO
MITSUI BANKING
CORPORATION |
1.96 |
04/13/2020 |
$100.067
|
$125,934,954 |
86564F4E0 |
SUMITOMO
MITSUI TRUST BANK,
LIMITED |
1.90 |
07/09/2020 |
$99.786 |
$50,088,113 |
CUSIP |
Issuer
/ Issue |
Coupon |
Maturity
Date |
Purchase
Price
(Fair
Market Value) |
Total
Purchase
Amount |
20272AN44 |
COMMONWEALTH
BANK OF AUSTRALIA |
2.08 |
09/24/2020 |
$99.651 |
$21,136,617 |
2332K4JY1 |
DNB
BANK ASA |
1.83 |
07/22/2020 |
$99.837 |
$39,985,689 |
60683BYZ0 |
MITSUBISHI
UFJ TRUST AND BANKING
CORPORATION |
0.85 |
06/17/2020 |
$99.866 |
$29,962,006 |
60710AHR6 |
MIZUHO
BANK, LTD-NEW YORK BRANCH |
1.22 |
08/7/2020 |
$99.838 |
$39,950,161 |
60710AHZ8 |
MIZUHO
BANK, LTD-NEW YORK BRANCH |
0.85 |
05/14/2020 |
$99.969 |
$39,991,547 |
63873N2A8 |
NATIXIS-NEW
YORK BRANCH |
1.67 |
06/5/2020 |
$100 |
$25,017,272 |
65558TUZ6 |
NORDEA
BANK ABP-NEW YORK BRANCH |
1.51 |
02/25/2021 |
$100.237 |
$65,219,521 |
83050PCF4 |
SKANDINAVISKA
ENSKILDA BANKEN AB
(PUBL) |
1.85 |
07/20/2020 |
$99.846 |
$39,938,461 |
CUSIP |
Issuer
/ Issue |
Coupon |
Maturity
Date |
Purchase
Price
(Fair
Market Value) |
Total
Purchase
Amount |
78014XCU9 |
ROYAL
BANK OF CANADA |
0.48 |
06/12/2020 |
$99.697 |
$19,944,859 |
85325V3L2 |
STANDARD
CHARTERED BANK-NEW
YORK
BRANCH |
1.94 |
10/13/2020 |
$99.526 |
$39,961,197 |
86565B2H3 |
SUMITOMO
MITSUI BANKING
CORPORATION |
1.65 |
05/05/2020 |
$100.032 |
$30,034,184 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through
November
30,
2020 |
Fiscal
Year
ended
August
31,
2020 |
Fiscal
Year
ended
August
31,
2019 |
Financial
Square Prime
Obligations
Fund |
$56,256
|
$33,411 |
$92,542 |
$60,063 |
Financial
Square Money Market Fund |
8,198
|
2,269 |
12,620 |
5,342 |
Financial
Square Treasury
Obligations
Fund |
7,209,590
|
1,409,131 |
5,272,818 |
4,646,382 |
Financial
Square Treasury
Instruments
Fund |
4,535,926
|
1,037,052 |
4,304,049 |
5,376,660 |
Financial
Square Government Fund |
16,613,858
|
3,377,410 |
14,131,618 |
12,657,896 |
Financial
Square Federal
Instruments
Fund |
148,927
|
45,840 |
153,932 |
136,306 |
Financial
Square Treasury
Solutions
Fund |
989,773
|
321,399 |
1,015,183 |
894,586 |
Investor
Money Market Fund |
91,940
|
20,444 |
91,068 |
253,180 |
Investor
Tax-Exempt Money
Market
Fund |
763 |
189 |
759 |
475 |
Fund |
Fiscal
Year ended
November
30, 2021* |
Fiscal
Period
August
31,
2020
through
November
30,
2020* |
2020*** |
2019**** |
Financial
Square Prime Obligations Fund |
$0 |
$0 |
$0 |
$1 |
Financial
Square Money Market Fund |
0 |
0 |
0 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
9 |
Financial
Square Treasury Instruments Fund |
1 |
0 |
0 |
11 |
Financial
Square Government Fund |
0 |
1 |
0 |
25 |
Financial
Square Federal Instruments Fund |
0 |
0 |
0 |
0 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
0 |
2 |
Investor
Money Market Fund |
0 |
0 |
0 |
2 |
Investor
Tax-Exempt Money Market Fund |
0 |
0 |
1 |
0 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through
November
30,
2020 |
2020 |
2019 |
Financial
Square Prime Obligations Fund |
$1,375
|
$836 |
$390 |
$2,624 |
Financial
Square Money Market Fund |
66 |
421 |
318 |
2,106 |
Financial
Square Treasury Obligations Fund |
465,085
|
138,037 |
45,817 |
356,578 |
Financial
Square Treasury Instruments Fund |
107,142
|
30,662 |
12,865 |
61,544 |
Financial
Square Government Fund |
952,901
|
251,447 |
108,998 |
980,312 |
Financial
Square Federal Instruments Fund |
3,569
|
2,327 |
1,225 |
9,421 |
Financial
Square Treasury Solutions Fund |
57,085
|
13,794 |
5,384 |
38,254 |
Investor
Tax-Exempt Money Market Fund |
154
|
40 |
42 |
63 |
Fund |
Fiscal
Year ended
November
30, 2021* |
Fiscal
Period
August
31,
2020
through
November
30,
2020** |
2020*** |
2019**** |
Financial
Square Prime Obligations Fund |
$0 |
$1 |
$0 |
$0 |
Financial
Square Money Market Fund |
0 |
0 |
0 |
0 |
Financial
Square Treasury Obligations Fund |
1 |
2 |
3 |
4 |
Financial
Square Treasury Instruments Fund |
0 |
1 |
1 |
0 |
Financial
Square Government Fund |
4 |
6 |
9 |
9 |
Financial
Square Federal Instruments Fund |
1 |
0 |
0 |
0 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
0 |
31 |
Investor
Tax-Exempt Money Market Fund |
1 |
0 |
0 |
0 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through
November
30,
2020 |
2020 |
2019 |
Financial
Square Prime Obligations Fund |
$36 |
$12 |
$2,086 |
$25,970 |
Financial
Square Money Market Fund |
15 |
4 |
118 |
350 |
Financial
Square Treasury
Obligations
Fund |
5,848,987
|
1,276,116 |
5,434,722 |
5,458,267 |
Financial
Square Treasury
Instruments
Fund |
3,029,316
|
144,706 |
287,900 |
531,593 |
Financial
Square Government Fund |
4,541,514
|
1,188,172 |
4,028,150 |
3,073,589 |
Financial
Square Federal
Instruments
Fund |
49,665
|
12,007 |
51,814 |
50,075 |
Financial
Square Treasury Solutions Fund |
1,128,023
|
281,133 |
765,318 |
604,756 |
Investor
Money Market Fund |
223,406
|
67,778 |
247,794 |
12,571 |
Investor
Tax-Exempt Money Market Fund |
4,164
|
1,014 |
4,968 |
7,935 |
Fund |
Fiscal
Year ended
November
30, 2021* |
Fiscal
Period
August
31,
2020
through
November
30,
2020** |
2020*** |
2019**** |
Financial
Square Prime Obligations Fund |
$0 |
$1 |
$0 |
$0 |
Financial
Square Money Market Fund |
0 |
1 |
0 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
11 |
6 |
Financial
Square Treasury Instruments Fund |
0 |
1 |
2 |
1 |
Financial
Square Government Fund |
0 |
0 |
6 |
32 |
Financial
Square Federal Instruments Fund |
0 |
1 |
0 |
0 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
1 |
28 |
Fund |
Fiscal
Year ended
November
30, 2021* |
Fiscal
Period
August
31,
2020
through
November
30,
2020** |
2020*** |
2019**** |
Investor
Money Market Fund |
0 |
0 |
0 |
0 |
Investor
Tax-Exempt Money Market Fund |
0 |
0 |
1 |
0 |
|
Compensation
to
Dealers |
Compensation
and
Expenses
of the
Distributor
and
Its Sales
Personnel |
Allocable
Overhead,
Telephone
and
Travel
Expenses |
Printing
and
Mailing
of
Prospectuses
to
Other
Than
Current
Shareholders |
Preparation
and
Distribution
of
Sales
Literature
and
Advertising |
Totals |
Financial
Square
Prime
Obligations
Fund |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
Financial
Square
Money
Market
Fund |
0
|
0
|
0
|
0
|
0
|
0
|
Financial
Square
Treasury
Obligations
Fund |
0
|
61,940
|
37,988
|
1,636
|
4,708
|
106,272
|
Financial
Square
Treasury
Instruments
Fund |
0
|
34,181
|
20,673
|
890
|
2,562
|
58,307
|
|
Compensation
to
Dealers |
Compensation
and
Expenses
of the
Distributor
and
Its Sales
Personnel |
Allocable
Overhead,
Telephone
and
Travel
Expenses |
Printing
and
Mailing
of
Prospectuses
to
Other
Than
Current
Shareholders |
Preparation
and
Distribution
of
Sales
Literature
and
Advertising |
Totals |
Financial
Square
Government
Fund |
0
|
20,676
|
11,880
|
512
|
1,472
|
34,540
|
Financial
Square
Federal
Instruments
Fund |
0
|
29
|
9
|
0
|
1
|
39
|
Financial
Square
Treasury
Solutions
Fund |
0
|
16,296
|
9,071
|
391
|
1,124
|
26,882
|
Investor
Money
Market
Fund |
0
|
216
|
64
|
3
|
8
|
290
|
Investor
Tax-Exempt
Money
Market
Fund |
0
|
4
|
1
|
0
|
0
|
6
|
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through
November
30,
2020 |
2020 |
2019 |
Financial
Square Prime Obligations Fund |
$6,307
|
$3,880 |
$19,802 |
$22,352 |
Financial
Square Money Market Fund |
687
|
177 |
5,878 |
9,691 |
Financial
Square Treasury Obligations Fund |
55,062
|
14,922 |
19,974 |
19,410 |
Financial
Square Treasury Instruments Fund |
60,172
|
31,998 |
80,926 |
87,840 |
Financial
Square Government Fund |
217,472
|
33,944 |
147,401 |
195,569 |
Financial
Square Federal Instruments Fund |
15
|
4 |
15 |
14 |
Financial
Square Treasury Solutions Fund |
1,712
|
495 |
2,872 |
1,920 |
Investor
Tax-Exempt Money Market Fund |
0 |
0 |
0 |
7,935 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through
November
30,
2020** |
2020*** |
2019**** |
Financial
Square Prime Obligations Fund |
$0 |
$0 |
$0 |
$0 |
Financial
Square Money Market Fund |
0 |
0 |
1 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
4 |
Financial
Square Treasury Instruments Fund |
0 |
0 |
1 |
1 |
Financial
Square Government Fund |
0 |
0 |
4 |
17 |
Financial
Square Federal Instruments Fund |
0 |
0 |
1 |
0 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through
November
30,
2020** |
2020*** |
2019**** |
Financial
Square Treasury Solutions Fund |
0 |
0 |
1 |
0 |
Investor
Tax-Exempt Money Market Fund |
0 |
0 |
1 |
0 |
Fund |
Fiscal
year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through
November
30,
2020 |
2020 |
2019 |
Financial
Square Prime Obligations Fund |
$1,368
|
$10,785 |
$7,822 |
$1,913 |
Financial
Square Money Market Fund |
4,658
|
21,294 |
8,100 |
2 |
Financial
Square Treasury
Obligations
Fund |
588,289
|
661,227 |
500,850 |
484,787 |
Financial
Square Treasury
Instruments
Fund |
1,122,974
|
1,391,696 |
1,057,363 |
1,001,279 |
Financial
Square Government Fund |
1,899,755
|
2,310,644 |
2,125,585 |
1,564,212 |
Financial
Square Federal
Instruments
Fund |
800
|
1,577 |
1,844 |
20,120 |
Financial
Square Treasury Solutions Fund |
346,016
|
268,689 |
252,714 |
274,397 |
Investor
Tax-Exempt Money Market Fund |
0 |
2 |
2 |
1 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through
November
30,
2020** |
2020*** |
2019**** |
Financial
Square Prime Obligations Fund |
$0 |
$0 |
$0 |
$0 |
Financial
Square Money Market Fund |
0 |
0 |
0 |
2 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
76 |
Financial
Square Treasury Instruments Fund |
0 |
0 |
3 |
3 |
Financial
Square Government Fund |
0 |
0 |
6 |
32 |
Financial
Square Federal Instruments Fund |
0 |
0 |
0 |
0 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
1 |
3 |
Investor
Tax-Exempt Money Market Fund |
0 |
2 |
2 |
2 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through
November
30,
2020 |
2020 |
2019 |
Financial
Square Prime Obligations Fund |
$4 |
$4 |
$4 |
$4 |
Financial
Square Money Market Fund |
4 |
4 |
4 |
4 |
Financial
Square Treasury Obligations Fund |
43,075
|
68,550 |
57,061 |
18,499 |
Financial
Square Treasury Instruments Fund |
544,200
|
518,952 |
488,090 |
333,049 |
Financial
Square Government Fund |
8,000,262
|
664,070 |
697,625 |
661,985 |
Financial
Square Federal Instruments Fund |
183
|
182 |
179 |
176 |
Financial
Square Treasury Solutions Fund |
301,139
|
477,976 |
482,853 |
150,608 |
Investor
Tax-Exempt Money Market Fund |
4 |
4 |
4 |
3 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31, 2020
through
November
30,
2020** |
2020*** |
2019**** |
Financial
Square Prime Obligations Fund |
$0 |
$0 |
$0 |
$0 |
Financial
Square Money Market Fund |
0 |
0 |
0 |
0 |
Financial
Square Treasury Obligations Fund |
3 |
0 |
0 |
0 |
Financial
Square Treasury Instruments Fund |
0 |
0 |
1 |
12 |
Financial
Square Government Fund |
0 |
0 |
3 |
4 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31, 2020
through
November
30,
2020** |
2020*** |
2019**** |
Financial
Square Federal Instruments Fund |
1 |
0 |
0 |
1 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
0 |
2 |
Investor
Tax-Exempt Money Market Fund |
0 |
0 |
0 |
0 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31, 2020
through
November
30, 2020 |
2020 |
2019 |
Financial
Square Government Fund |
$983,183
|
$195,075 |
$852,161 |
$261,738 |
Investor
Money Market Fund |
423,506
|
145,540 |
45,214 |
145,063 |
Investor
Tax-Exempt Money Market Fund |
24,428
|
8,502 |
638,157 |
16,842 |
|
Compensation
to
Dealers |
Compensation
and
Expenses
of
the
Distributor
and
Its Sales
Personnel |
Allocable
Overhead,
Telephone
and
Travel
Expenses |
Printing
and
Mailing
of
Prospectuses
to
Other
Than
Current
Shareholders |
Preparation
and
Distribution
of
Sales
Literature
and
Advertising |
Totals |
Financial
Square
Government
Fund |
$0
|
$35,307
|
$15,264
|
$657
|
$1,892
|
$53,120
|
Investor
Money
Market
Fund |
8,485
|
13,161
|
5,603
|
241
|
694
|
28,186
|
Investor
Tax-Exempt
Money
Market
Fund |
0
|
85
|
27
|
1
|
3
|
116
|
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through
November
30,
2020 |
2020 |
2019 |
Financial
Square Government Fund |
52,809
|
17,044 |
57,767 |
41,275 |
Investor
Money Market Fund |
391
|
110 |
244 |
309 |
Investor
Tax-Exempt Money Market Fund |
151
|
0 |
282 |
68 |
|
Compensation
to
Dealers |
Compensation
and
Expenses
of
the
Distributor
and
Its
Sales
Personnel |
Allocable
Overhead,
Telephone
and
Travel
Expenses |
Printing
and
Mailing
of
Prospectuses
to
Other
Than
Current
Shareholders |
Preparation
and
Distribution
of
Sales
Literature
and
Advertising |
Totals |
Financial
Square
Government
Fund |
$0
|
7
|
2
|
0
|
0
|
9
|
Investor
Money
Market
Fund |
0
|
1
|
0
|
0
|
0
|
1
|
Investor
Tax-Exempt
Money
Market
Fund |
0
|
0
|
0
|
0
|
0
|
0
|
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31, 2020
through
November
30, 2020 |
2020 |
2019 |
Financial
Square Prime Obligations Fund |
$4
|
$1 |
$3 |
$3 |
Financial
Square Money Market Fund |
4
|
1 |
3 |
3 |
Financial
Square Treasury
Obligations
Fund |
106,768
|
11,526 |
84,164 |
4,010 |
Financial
Square Treasury
Instruments
Fund |
36,110
|
8,337 |
35,988 |
19,320 |
Financial
Square Government Fund |
892,391
|
131,346 |
508,317 |
44,875 |
Financial
Square Federal
Instruments
Fund |
302,337
|
52,020 |
37,145 |
170 |
Financial
Square Treasury Solutions Fund |
1,002,410
|
215,750 |
779,588 |
370,087 |
Investor
Money Market Fund |
185,895
|
33,432 |
102,452 |
103 |
Investor
Tax-Exempt Money Market Fund |
4 |
1 |
3 |
3 |
Fund |
Fiscal
Year ended
November
30, 2021* |
Fiscal
Period
August
31,
2020
through
November
30,
2020** |
2020*** |
2019**** |
Financial
Square Prime Obligations Fund |
$0 |
$0 |
$0 |
$1 |
Financial
Square Money Market Fund |
0 |
0 |
0 |
1 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
0 |
Financial
Square Treasury Instruments Fund |
0 |
0 |
0 |
0 |
Financial
Square Government Fund |
0 |
1 |
0 |
0 |
Financial
Square Federal Instruments Fund |
0 |
1 |
0 |
0 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
0 |
1 |
Investor
Money Market Fund |
0 |
1 |
0 |
1 |
Investor
Tax-Exempt Money Market Fund |
0 |
1 |
0 |
1 |
|
Compensation
to
Dealers |
Compensation
and
Expenses
of
the
Distributor
and
Its
Sales
Personnel |
Allocable
Overhead,
Telephone
and
Travel
Expenses |
Printing
and
Mailing
of
Prospectuses
to
Other
Than
Current
Shareholders |
Preparation
and
Distribution
of
Sales
Literature
and
Advertising |
Totals |
Financial
Square
Prime
Obligations
Fund |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
Financial
Square
Money
Market
Fund |
0
|
0
|
0
|
0
|
0
|
0
|
Financial
Square
Treasury
Obligations
Fund |
0
|
819
|
284
|
12
|
35
|
1,150
|
Financial
Square
Treasury
Instruments
Fund |
0
|
9
|
3
|
0
|
0
|
13
|
Financial
Square
Government
Fund |
0
|
1,763
|
1,067
|
46
|
132
|
3,009
|
Financial
Square
Federal
Instruments
Fund |
0
|
3,992
|
2,400
|
103
|
297
|
6,793
|
Financial
Square
Treasury
Solutions
Fund |
0
|
14,133
|
8,681
|
374
|
1,076
|
24,263
|
Investor
Money
Market
Fund |
2,352
|
319
|
99
|
4
|
12
|
2,786
|
Investor
Tax-Exempt
Money
Market
Fund |
0
|
0
|
0
|
0
|
0
|
0
|
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through
November
30,
2020 |
2020 |
2019 |
Financial
Square Prime Obligations Fund |
$0 |
$0 |
$2 |
$0 |
Financial
Square Money Market Fund |
0 |
0 |
2 |
2 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
2 |
Financial
Square Treasury Instruments Fund |
0 |
0 |
0 |
2 |
Financial
Square Government Fund |
106,908
|
35,746 |
120,000 |
94,197 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
0 |
2 |
Investor
Money Market Fund |
15
|
4 |
16 |
16 |
Investor
Tax-Exempt Money Market Fund |
3,541
|
1,206 |
4,041 |
3,422 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through
November
30,
2020** |
2020*** |
2019**** |
Financial
Square Prime Obligations Fund |
$0 |
$0 |
$0 |
$0 |
Financial
Square Money Market Fund |
0 |
0 |
0 |
2 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
2 |
Financial
Square Treasury Instruments Fund |
0 |
0 |
0 |
0 |
Financial
Square Government Fund |
0 |
0 |
0 |
0 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
0 |
2 |
Investor
Money Market Fund |
0 |
1 |
1 |
1 |
Investor
Tax-Exempt Money Market Fund |
0 |
1 |
0 |
0 |
|
Compensation
to
Dealers |
Compensation
and
Expenses
of
the
Distributor
and
Its
Sales
Personnel |
Allocable
Overhead,
Telephone
and
Travel
Expenses |
Printing
and
Mailing
of
Prospectuses
to
Other
Than
Current
Shareholders |
Preparation
and
Distribution
of
Sales
Literature
and
Advertising |
Totals |
Financial
Square
Prime
Obligations
Fund |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
Financial
Square
Money
Market
Fund |
0 |
0 |
0 |
0 |
0 |
0 |
Financial
Square
Treasury
Obligations
Fund |
0 |
0 |
0 |
0 |
0 |
0 |
Financial
Square
Treasury
Instruments
Fund |
0 |
0 |
0 |
0 |
0 |
0 |
Financial
Square
Government
Fund |
0
|
79
|
30
|
1
|
4
|
113
|
Financial
Square
Treasury
Solutions
Fund |
0 |
0 |
0 |
0 |
0 |
0 |
Investor
Money
Market
Fund |
0 |
0 |
0 |
0 |
0 |
0 |
Investor
Tax-Exempt
Money
Market
Fund |
0
|
14
|
4
|
0
|
1
|
19
|
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through
November
30,
2020 |
2020 |
2019 |
Financial
Square Prime Obligations Fund |
$4
|
$1 |
$5 |
$5 |
Financial
Square Money Market Fund |
4
|
1 |
5 |
5 |
Financial
Square Treasury Obligations Fund |
106,768
|
19,209 |
140,272 |
6,683 |
Financial
Square Treasury Instruments Fund |
36,110
|
13,895 |
59,979 |
32,200 |
Financial
Square Government Fund |
892,391
|
218,910 |
847,195 |
74,791 |
Financial
Square Federal Instruments Fund |
302,337
|
86,699 |
61,909 |
282 |
Financial
Square Treasury Solutions Fund |
1,002,410
|
359,584 |
1,299,314 |
616,811 |
Investor
Money Market Fund |
185,895
|
0 |
170,753 |
47,805 |
Investor
Tax-Exempt Money Market Fund |
4 |
1 |
5 |
5 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal|
Period
August
31,
2020
through
November
30,
2020** |
2020*** |
2019**** |
Financial
Square Prime Obligations Fund |
$0 |
$0 |
$0 |
$1 |
Financial
Square Money Market Fund |
0 |
0 |
0 |
1 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
0 |
Financial
Square Treasury Instruments Fund |
0 |
0 |
0 |
0 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal|
Period
August
31,
2020
through
November
30,
2020** |
2020*** |
2019**** |
Financial
Square Government Fund |
0 |
1 |
0 |
0 |
Financial
Square Federal Instruments Fund |
0 |
0 |
0 |
1 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
11 |
0 |
Investor
Money Market Fund |
0 |
0 |
0 |
0 |
Investor
Tax-Exempt Money Market Fund |
0 |
1 |
0 |
1 |
Fund |
Fiscal
Year ended
November
30, 2021 |
Fiscal
Period
August
31,
2020
through
November
30,
2020 |
2020 |
2019 |
Financial
Square Prime Obligations Fund |
$0 |
$1 |
$5 |
$7 |
Financial
Square Money Market Fund |
0 |
1 |
5 |
5 |
Financial
Square Treasury Obligations Fund |
0 |
1 |
7 |
5 |
Financial
Square Treasury Instruments Fund |
0 |
1 |
7 |
5 |
Financial
Square Government Fund |
106,908
|
119,154 |
400,001 |
313,990 |
Financial
Square Treasury Solutions Fund |
0 |
1 |
7 |
5 |
Investor
Money Market Fund |
15
|
13 |
53 |
52 |
Investor
Tax-Exempt Money Market Fund |
3,541
|
4,019 |
13,468 |
11,407 |
Fund |
Fiscal
Year ended
November
30, 2021* |
Fiscal
Period
August
31,
2020
through
November
30,
2020** |
2020*** |
2019**** |
Financial
Square Prime Obligations Fund |
$0 |
$0 |
$0 |
$3 |
Financial
Square Money Market Fund |
0 |
0 |
0 |
1 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
1 |
Financial
Square Treasury Instruments Fund |
0 |
0 |
0 |
0 |
Financial
Square Government Fund |
0 |
0 |
0 |
1 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
0 |
5 |
Investor
Money Market Fund |
0 |
0 |
0 |
1 |
Investor
Tax-Exempt Money Market Fund |
0 |
0 |
1 |
0 |
Share
Class |
Name/Address |
Percentage
of
Class |
Administration
Shares |
Citibank
NA, FBO Escrow Concentration A/C, 122089, ATTN Joyce Glencamp, 480
Washington
BLVD Floor 30, Jersey City, NJ 07310-2053 |
80.18% |
Anbee
& Co, C/O Greatbanc Trust Company, 801 Warrenville Rd Ste 500, Lisle,
IL 60532-4347 |
16.59% | |
Capital
Shares |
Bank
of Oklahoma NA, Actus Holdings LLC, 3100 Norge Rd., Chickasha, OK 73018-
6169 |
62.61% |
Bank
of Oklahoma NA, Mackellar Inc., P.O. Box 18298, Oklahoma City, OK
73154-0298 |
17.52% | |
First
National Capital Mkts Inc., NHS Orthopedic Services Inc., ATTN Stephanie
Daubert,
987450
Nebraska Medical Center, Omaha, NE 68198-7450 |
13.74% | |
Bank
of Oklahoma NA, BBJ LLC, P.O. Box 18298, Oklahoma City, OK
73154-0298 |
5.70% | |
Cash
Management
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Institutional
Shares |
Wells
Fargo Clearing Services LLC, Special Custody Account FBO Customer, 2801
Market St.,
Saint
Louis, MO 63103-2523 |
41.88%* |
|
Linsco
Private Ledger, LPL Financial, FBO Customer Accounts, Attn: Mutual Fund
Trading,
4707
Executive Drive, San Diego, CA 92121-3091 |
8.16% |
MSCS
Financial Services LLC, Associated Trust Company, PO Box 22037, Green Bay,
WI
54305-2037 |
6.68% | |
JP
Morgan Chase, FBO Customers, Third Party TS Link Non, 10410 Highland Manor
Drive
Floor
3, Tampa, FL 33610-9128 |
6.26% | |
Goldman
Sachs Direct Accts, Gerlach (Nominee) & Co LLC, 3800 Citigroup Center
Ste B3-1,
Tampa,
FL 33610 |
5.18% | |
Goldman
Sachs Direct Accts, Gerlach (Nominee) & Co LLC, 3800 Citigroup Center
Ste B3-14,
Tampa,
FL 33610 |
5.18% | |
Preferred
Shares |
Bank
of Oklahoma NA, Simergent LLC, 11 NE 11th
Street, Oklahoma City, OK 73104-1417 |
74.53% |
|
Bank
of Oklahoma NA, West Texas Automation Inc., P.O. Box 1610, Joshua, TX
76058- 1610 |
17.70% |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
7.76% | |
Premier
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Resource
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Service
Shares |
ABC
Sample Bank, ACME Company – ENDCLIENTACCOUNT1, ATTN Financial Control,
71
Wacker Drive Suite 500, Chicago, IL 60606-4673 |
54.65% |
|
ABC
Sample Bank, ACME Company - ENDCLIENTACCOUNT2, ATTN Financial Control,
71
Wacker Drive Suite 500, Chicago, IL 60606-4673 |
44.26% |
Select
Shares |
Bank
of Oklahoma NA, Darden Resources Inc., 15 E St, Suite 2020, Tulsa, OK
74103- 4318 |
52.41% |
|
Bank
of Oklahoma NA, Noah Corporation, 7667 E 46th Place, Tulsa, OK
74145-6307 |
17.42% |
Bank
of Oklahoma NA, Strat Land Exploration Co., 15 E St, Suite 2020, Tulsa, OK
74103-4318 |
16.42% | |
Bank
of Oklahoma NA, American Century Life Insurance Company, 4785 E
91st
St, Ste 200,
Tulsa,
OK 74137-2839 |
9.54% |
Share
Class |
Name/Address |
Percentage
of
Class |
Administration
Shares |
Citibank
NA, FBO, ATTN Johaira Rivera, 480 Washington Blvd, Floor 30, Jersey City,
NJ
07310-2053 |
81.32% |
|
Band
& Co Institutional Trust, Capinco & Co, C/O US Bank NA, 1555 N
Rivercenter Dr Ste
302,
Milwaukee, WI 53212-3958 |
7.93% |
Capital
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Share
Class |
Name/Address |
Percentage
of
Class |
Cash
Management
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Institutional
Shares |
Wells
Fargo Bank NA, FBO Customers, Attn Money funds, 1525 W WT Harris Blvd, MSC
D1109-010,
Charlotte, NC 28288-1076 |
17.06% |
|
BOFA
Securities, INC, FBO Customers, 200 N College St, 3rd Flr North,
Charlotte, NC
28202-2191 |
11.90% |
|
Hare
& Co., Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
7.53% |
Spotify
USA Inc., Attn Treasury, 4 World Trade Center, New York, NY
10007-2366 |
5.58% | |
Cachematrix
Holdings LLC, HSBC FBO Mastercard Impact Fund, 2000 Purchase Street,
Purchase,
NY 10577-2509 |
5.32% | |
Preferred
Shares |
Bank
Leumi USA, Eyal Arad, 425 E 58th St., Apt. 16D, New York, NY
10022-2379 |
92.64% |
|
Goldman
Sachs Direct EX DLR Accounts, Hamilton Engineering & Surveying Inc.,
ATTN Jack
S.
Hamilton, Jr., 3409 W Lemon St., Tampa, FL
33609-1433 |
5.74% |
Premier
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Resource
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Select
Shares |
Wells
Fargo Bank NA, Account FEBO Customers, Attn Money Funds, 1525 W WT Harris
Blvd,
Charlotte,
NC 28288-1076 |
60.37% |
|
Bank
of Oklahoma NA, Bonray Investments LLC, 1313 E 45th St, Shawnee, OK 74804-
2214 |
38.67% |
Service
Shares |
Goldman
Sachs Direct EX DLR Accounts, James Leonard Chapman and Brenda Chapman, 30
Moreno
Point Rd., PH 701C, Destin, FL 32541-3186 |
41.59% |
|
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
39.34% |
One
Bank & Trust NA, Treadway Properties Building Fund, One Bank &
Trust, ATTN Melanie
Ellis,
300 W Capital Ave., Little Rock, AR 72201-3544 |
19.01% |
Share
Class |
Name/Address |
Percentage
of
Class |
Administration
Shares |
Hanco,
C/O Hancock Whitney Bank Trust Division, 2285 Lakeshore Dr. Building 4,
New
Orleans,
LA 70122-3533 |
15.83% |
|
Reliance
Trust Co., ATTN Joe White, P.O. Box 78446, Atlanta, GA
30328-5634 |
12.68% |
Commerce
Bank of Kansas City, NA, Mori & Co, Attn. Trust Operations, 911 Main
St. Suite
201,
Kansas City, MO 64105-5304 |
10.91% | |
MSCS
Financial Services LLC, Stratevest & Co, PO Box 2499, Brattleboro, VT
05303- 2499 |
10.63% | |
Fulton
Bank, The Fulton Company, P.O. Box 3215, Lancaster, PA
17604-3215 |
7.90% | |
Capital
Shares |
Goldman
Sachs & Co LLC, FBO, 30 Hudson St., Floor 5, Jersey City, NJ
07302-4699 |
29.10% |
|
Goldman
Sachs & Co LLC, FBO, 30 Hudson St., Floor 5, Jersey City, NJ
07302-4699 |
9.88% |
|
Goldman
Sachs & Co LLC, FBO, 30 Hudson St., Floor 5, Jersey City, NJ
07302-4699 |
7.57% |
|
Goldman
Sachs & Co LLC, FBO, 30 Hudson St., Floor 5, Jersey City, NJ
07302-4699 |
6.05% |
|
Goldman
Sachs & Co LLC, FBO, 30 Hudson St., Floor 5, Jersey City, NJ
07302-4699 |
5.35% |
|
Pershing
LLC, BNY Mellon NA, FB Bank of Custody Solution, Attn. Cash Management, 1
Pershing
Plaza, Jersey City, NJ 07399-0001 |
62.47% |
|
Pershing
LLC, FBO Customers, 1 Pershing Plaza, Jersey City, NJ
07399-0002 |
37.53% |
Institutional
Shares |
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
12.89% |
Share
Class |
Name/Address |
Percentage
of
Class |
|
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
12.78% |
Band
& Co Institutional Trust, C/O US Bank, Attn ACM Dept, PO Box 1787,
Milwaukee, WI
53201-1787 |
9.78% | |
Booking
Holdings Treasury Company, Attn Treasury, 251 Little Falls Dr.,
Wilmington, DE
19808-1674 |
5.28% | |
Preferred
Shares |
M
& T Bank, Tice & Co., C/O M&T Trust Co., P.O. Box 1377,
Buffalo, NY 14240-1377 |
54.77% |
|
BBC
Partnership, ATTN Cathy Risley, 1401 Avenue Q, Lubbock, TX
79401-3819 |
20.51% |
|
Pershing
LLC, P.O. Box 2052, Jersey City, NJ 07303-2052 |
14.17% |
Premier
Shares |
Commerce
Bank – Lenexa, Oklahoma Center for Nonprofits Inc., ATTN Marion Taylor
President,
720 W Wilshire Blvd., Suite 115, Oklahoma City, OK
73116-7737 |
17.74% |
|
Commerce
Bank – Lenexa, Class LTD., ATTN Cyndie Howell, 1200 Merle Evans Dr., P.O.
Box
266,
Columbus, KS, 66725-0266 |
16.16% |
|
Commerce
Bank - SE MO, C&E Investment, 1 Sixpence Way, Coronado, CA
92118-3213 |
15.95% |
|
Commerce
Bank – Lenexa, Cement Masons and Plasterers Local, 518 Health Care Fund
Holding
Acct.,
Attn Dawnette Butterworth, 2156 W 2200 S, Salt Lake City, UT
84119-1326 |
10.22% |
|
Commerce
Bank – Lenexa, Local 264, Attn Reggie Thomas, 1101 East 87th
St., Kansas City, MO
64131-3099 |
9.88% |
Service
Shares |
Fulton
Bank, c/o FFC Cash Management Operations, One Penn Square, PO Box 4887,
Lancaster,
PA 17604-4887 |
30.73% |
|
SEI
Private Trust Company, C/O Regions Bank, 1 Freedom Valley Dr., Oaks, PA
19456-9989 |
22.52% |
|
MSCS
Financial Services LLC, Stratevest & Co, PO Box 2499, Brattleboro, VT
05303-2499 |
19.28% |
|
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
9.59% |
|
BBC
Partnership, ATTN Cathy Waller, 1401 Avenue Q, Lubbock, TX
79401-3819 |
8.11% |
Select
Shares |
Enterprise
Bank & Trust, ATTN Frank J. Sgroi, VP, 1281 N Warson Rd., Saint Louis,
MO
63132-1805 |
94.13% |
Resource
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Share
Class |
Name/Address |
Percentage
of
Class |
Administration
Shares |
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
10.85% |
|
BMO
Harris Bank NA, Account FBO BMO Harris Bank NA GS, Sweep Account Holders
Not in
a
Fiduciary Capacity, 111 W Monroe St., Floor 9, Chicago, IL
60603-4096 |
7.79% |
Goldman
Sachs & Co, FBO, 30 Hudson Street, Floor 5, Jersey City, NJ
07302-4699 |
7.69% | |
Goldman
Sachs & Co, FBO, 30 Hudson Street, Floor 5, Jersey City, NJ
07302-4699 |
5.22% | |
Capital
Shares |
CIBC
Bank USA, The Private Bank and Trust Company, 120 S Lasalle St, Chicago,
IL
60603-3403 |
20.26% |
|
Goldman
Sachs & Co LLC, FBO, 30 Hudson St., Floor 5, Jersey City, NJ
07302-4699 |
13.44% |
Goldman
Sachs & Co LLC, FBO, 30 Hudson St., Floor 5, Jersey City, NJ
07302-4699 |
11.17% | |
Goldman
Sachs & Co LLC, FBO, 30 Hudson St., Floor 5, Jersey City, NJ
07302-4699 |
7.62% | |
Goldman
Sachs & Co LLC, FBO, 30 Hudson St., Floor 5, Jersey City, NJ
07302-4699 |
6.90% | |
Goldman
Sachs & Co LLC, FBO, 30 Hudson St., Floor 5, Jersey City, NJ
07302-4699 |
5.53% | |
Cash
Management
Shares |
Pershing
LLC, BNY Mellon N A, FBO Bank of Custody Solution, ATTN Cash Management, 1
Pershing
Plaza, Jersey City, NJ 07399-0002 |
83.68% |
|
Pershing
LLC, FBO Customers, 1 Pershing Plaza, Jersey City, NJ
07399-0002 |
16.31% |
Institutional
Shares |
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
15.93% |
|
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
11.68% |
Goldman
Sachs & Co, 295 Chipeta Way, Flr 4, Salt Lake City, UT
84108-1285 |
9.63% |
Share
Class |
Name/Address |
Percentage
of
Class |
Preferred
Shares |
Pershing
LLC, FBO Customers, 1 Pershing Plaza, Jersey City, NJ
07399-0002 |
67.59% |
|
Deutsche
Bank Trust Co., Burgess Biopower LLC Revenue Account, 1 Cate St. Ste. 100,
Portsmouth,
NH 03801-7107 |
10.57% |
|
Deutsche
Bank Trust Co., Berlin Station LLC, Debt Service Reserve Account, 1 Cate
St. Ste.
100,
Portsmouth, NH 03801-7107 |
6.48% |
Premier
Shares |
Bank
of Oklahoma, NaBank & Co., C/O Bank of Oklahoma, Attn. Trust
Securities, P.O. Box
2180,
Tulsa, OK 74101-2180 |
100.00% |
Resource
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Service
Shares |
UMB
Financial Services Inc., UMB Bank NA, 928 Grand Blvd MS1010405, Kansas
City, MO
64106-2008 |
94.61% |
Select
Shares |
Deutsche
Bank Trust Co, Horseshoe RE II LTD, Segregated Account, PO Box HM3352,
Hamilton,
Bermuda, HM PX |
21.55% |
|
Deutsche
Bank Trust Co, Horseshoe RE II LTD, Segregated Account, PO Box HM3352,
Hamilton,
Bermuda, HM PX |
11.87% |
Deutsche
Bank Trust Co, Horseshoe RE II LTD, Segregated Account, PO Box HM3352,
Hamilton,
Bermuda, HM PX |
10.79% | |
Deutsche
Bank Trust Co, Horseshoe RE II LTD, Segregated Account, PO Box HM3352,
Hamilton,
Bermuda, HM PX |
7.77% | |
Deutsche
Bank Trust Co, Horseshoe RE II LTD, Segregated Account, PO Box HM3352,
Hamilton,
Bermuda, HM PX |
6.98% | |
Deutsche
Bank Trust Co, Horseshoe RE II LTD, Segregated Account, PO Box HM3352,
Hamilton,
Bermuda, HM PX |
6.51% | |
Deutsche
Bank Trust Co, Horseshoe RE II LTD, Segregated Account, PO Box HM3352,
Hamilton,
Bermuda, HM PX |
5.97% |
Share
Class |
Name/Address |
Percentage
of
Class |
Administration
Shares |
First
Hawaiian Bank, Attn Wealth Management, 999 Bishop St. Fl 3, Honolulu, HI
96813-4424 |
38.69% |
|
Harris
Associates, L.P., The Oakmark Funds, Attn. Mutual Fund Operations, C/O
Harris and
Associates,
111 S Wacker Dr., Suite 4600, Chicago, IL 60606-4319 |
8.04% |
Jefferies
LLC, FBO Venrock Healthcare Capital, 101 Hudson St., 11th Floor, Jersey
City, NJ
07302-3915 |
8.62% | |
Jefferies
LLC, FBO Venrock Healthcare Capital, 101 Hudson St., 11th Floor, Jersey
City, NJ
07302-3915 |
6.66% | |
Capital
Shares |
Commerce
Bank – Lenexa, IPHFHA Inc., Ad Comm, ATTN Dana Carr, 7829 E Rockhill St.,
Suite
201, Wichita, KS, 67206-3918 |
38.18% |
|
Commerce
Bank – Lenexa, BKD LLP, Main Firm Account, ATTN Betty Hunter, P.O. Box
1900,
Springfield,
MO 65801-1900 |
15.46% |
Commerce
Bank – Lenexa, Favorite Healthcare Staffing, Attn Controller, 7255 W
98th
Ter Ste
150
Bldg 5, Shawnee Msn, KS 66212-2215 |
12.72% | |
Cash
Management
Shares |
MSCS
Financial Services LLC, Stratevest & Co, PO Box 2499, Brattleboro, VT
05303- 2499 |
83.49% |
|
Pershing
LLC, BNY Mellon NA, FBO Bank of Custody Solution, Attn. Cash Management, 1
Pershing
Plaza, Jersey City, NJ 07399-0001 |
12.48% |
Institutional
Shares |
Goldman
Sachs & Co, 295 Chipeta Way, Flr 4, Salt Lake City, UT
84108-1285 |
36.51%* |
Share
Class |
Name/Address |
Percentage
of
Class |
|
Busey
Trust Company, Park Randolph & Co., Trust Operations, 100 W
University, PO Box 260,
Champaign,
IL 61824-0260 |
8.25% |
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
5.52% | |
Preferred
Shares |
Pershing
LLC, FBO Customers, 1 Pershing Plaza, Jersey City, NJ
07399-0002 |
77.47% |
|
Commerce
Bank of Kansas City, NA Mori & Co, Commerce Bank of Kansas City, Attn.
Trust
Operations,
911 Main St. Suite 201, Kansas City, MO 64105-5304 |
13.09% |
Jefferies
LLC, Langdon Street Capital LP, 101 Hudson St, Flr 11, Jersey City, NJ
07302-3915 |
6.41% | |
Premier
Shares |
Bank
of Oklahoma, NaBank & Co., C/O Bank of Oklahoma, Attn. Trust
Securities, P.O. Box
2180,
Tulsa, OK 74101-2180 |
83.04% |
Resource
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Service
Shares |
Charlevoix
State Bank, ATTN Daniel Elliott P.O. Box 217, Charlevoix, MI
49720-0217 |
13.70% |
|
Midamerica
National Bank, P.O. Box 1300, Macomb, IL 61455-5600 |
32.68% |
Amg
National Trust Bank, Haws & Co., 6295 Greenwood Plaza Blvd., Greenwood
Vlg, CO
80111-4968 |
29.44% | |
Blue
Ridge Bank and Trust Co., Attn Yvonne Hall, 4200 Little Blue Pkwy,
Independence, MO
64057-8310 |
6.08% | |
Select
Shares |
Commerce
Bank of Kansas City, Leesa K. Jabara, Special Account, P.O. Box 782050,
Wichita,
KS
67278-2050 |
90.24% |
|
Commerce
Bank of Kansas City, Lori Fran Simmons, C/O Fran Jabara, P.O. Box 782050,
Wichita,
KS 67278-2050 |
9.11% |
Share
Class |
Name/Address |
Percentage
of
Class |
Class
A Shares |
Edward
D Jones & Co., ATTN Mutual Fund, Shareholder Accounting, 12555
Manchester Road,
Maryland
Hts, MO 63043 |
64.48% |
|
RBC
Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus
Processing,
Omnibus, Attn: Mutual Fund Ops Manager, 60 S 6th ST. Ste. 700 #P08,
Minneapolis,
MN 55402-4413 |
26.93% |
Administration
Shares |
Commerce
Bank of Kansas City, NA, Mori & Co, Attn. Trust Operations, 911 Main
St. Suite
201,
Kansas City, MO 64105-5304 |
19.28% |
|
Hanco,
C/O Hancock Whitney Bank Trust Division, 2285 Lakeshore Dr. Building 4,
New
Orleans,
LA 70122-3533 |
18.33% |
M
& T Bank, Tice & Co., C/O M&T Trust Co., P.O. Box 1377,
Buffalo, NY 14240- 1377 |
10.82% | |
Amalgamated
Bank of Chicago, Attn Debra Outlaw, 30 N LaSalle St. 38th
Fl, Chicago, IL
60602-2590 |
8.11% | |
BMO
Harris Bank NA, Account FBO BMO Harris Bank NA GS, Sweep Account Holders
Not in
a
Fiduciary Capacity, 111 W Monroe St., Floor 9, Chicago, IL
60603-4096 |
6.91% | |
Reliance
Trust Company/FIS, Maril & Co. FBO Harris Bank, ACM Dept., 4900 W
Brown Deer
Rd,
Brown Deer, WI 53223-2422 |
5.96% | |
Class
C Shares |
Wells
Fargo Clearing Services LLC, Special Custody Account FBO Customer, 2801
Market St.,
Saint
Louis, MO 63103-2523 |
26.11% |
Share
Class |
Name/Address |
Percentage
of
Class |
|
Goldman
Sachs Direct Ex DLR Accounts, Stracq Inc. DBA Stryka Botanics, Goldman
Sachs/
ADP
401k Plan, 239 Homestead Rd, Hillsborough, NJ
08844-1913 |
14.40% |
Western
International SEC Inc, Smelly Mels Plumbing Inc., Goldman Sachs/ADP 401k
Plan,
123
Manor Drive, Pacifica, CA 94044-1953 |
6.75% | |
Goldman
Sachs Direct Ex DLR Accounts, Rocky Run Family Medicine, Goldman Sachs/
ADP
401k
Plan, 5645 Stone Road, Centerville, VA 20120- 1618 |
6.83% | |
Morgan
Stanley Smith Barney LLC, Garrod Trust, Goldman Sachs/ADP 401k Plan, 22600
Mount
Eden Rd, Saratoga, CA 95070-9758 |
5.43% | |
Capital
Shares |
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
42.51% |
|
SEI
Private Trust Company, SEI Private Trust Company, C/O Regions Bank, 1
Freedom Valley
Dr.,
Oaks, PA 19456-9989 |
14.67% |
MSCS
Financial Services LLC, Stratevest & Co, PO Box 2499, Brattleboro, VT
05303- 2499 |
8.16% | |
Parkside
Financial Bank & Trust, 8112 Maryland Ave., Suite 101, Saint Louis, MO
63105-3700 |
7.09% | |
Cash
Management
Shares |
Pershing
LLC, BNY Mellon NA, FBO Bank of Custody Solution, Attn. Cash Management, 1
Pershing
Plaza, Jersey City, NJ 07399-0001 |
66.94% |
|
Pershing
LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ
07399-0002 |
33.06% |
Institutional
Shares |
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
10.56% |
Preferred
Shares |
M
& T Bank, Tice & Co., C/O M&T Trust Co., P.O. Box 1377,
Buffalo, NY 14240- 1377 |
44.80% |
|
Commerce
Bank of Kansas City, NA, Mori & Co., Attn. Trust Operations, 911 Main
St., Suite
201,
Kansas City, MO 64105-5304 |
10.35% |
Cachematrix
Holdings LLC, Citizens Bank NA, Attn Commercial Banking, Treasury
Solutions
Product,
One Citizens Plaza, Providence, RI 02903-1339 |
9.49% | |
Pershing
LLC, FBO Customers, 1 Pershing Plaza, Jersey City, NJ
07399-0002 |
6.79% | |
MSCS
Financial Services LLC, SEI Private Trust Company, c/o Suntrust, Attn
Mutual Fund
Admin,
1 Freedom Valley Dr., Oaks, PA 19456-9989 |
6.74% | |
Commerce
Bank – Lenexa, PFS Holding Company, 1055 Broadway Blvd Fl 11th,
Kansas City,
MO
64105-2289 |
5.92% | |
Commerce
Bank - SE MO, Post Holding Inc., ATTN Frank Ricchio, 2503 S Hanley Rd.,
Saint
Louis,
MO 63144-2503 |
5.33% | |
Premier
Shares |
Linsco
Private Ledger, LPL Financial Corporation, FBO Customer Accounts, Attn:
Cinthya
Leite,
4707 Executive Drive, San Diego, CA 92121-3091 |
99.13% |
Class
R6 Shares |
Goldman
Sachs Trust, Goldman Sachs Collective Trust, Tactical Exposure Fund, Attn
Gordon
Lui,
200 West St, Fl 36, New York, NY 10282-2102 |
62.46% |
|
Goldman
Sachs Trust, GS Income Builder Fund, 200 West St, New York, NY
10282-2198 |
9.47% |
Goldman
Sachs Trust, GS Multi Manager, Global Equity Fund, 200 West St, New York,
NY
10282-2198 |
6.44% | |
Resource
Shares |
American
United Life Insurance Co., FBO Group Retirement Account, Attn: Separate
Accounts,
P.O.
Box 368, Indianapolis, IN 46206-0368 |
50.19% |
|
American
United Life Insurance Co., FBO Unit Investment Trust, Attn: Separate
Accounts, P.O.
Box
368, Indianapolis, IN 46206-0368American |
49.68% |
Select
Shares |
Bank
of Oklahoma NA, Muscogee Creek Nation Invest Savings Ops, PO Box 580,
Okmulgee,
OK
74447-0580 |
28.36% |
|
Cachematrix
Holdings LLC, Citizens Bank NA, Attn Commercial Banking, Treasury
Solutions
Product,
One Citizens Plaza, Providence, RI 02903-1339 |
15.37% |
Share
Class |
Name/Address |
Percentage
of
Class |
|
Wells
Fargo Bank NA, FBO Customers, Attn Money funds, 1525 W WT Harris Blvd, MSC
D1109-010,
Charlotte, NC 28288-1076 |
12.63% |
Bank
of Oklahoma NA, Muscogee Creek Nation Health HIS-CRF, Attn Clay Darnell,
PO Box
580,
Okmulgee, OK 74447-0580 |
9.89% | |
Bank
of Oklahoma NA, Muscogee Creek Nation Health IHA, Attn Clay Darnell, PO
Box 580,
Okmulgee,
OK 74447-0580 |
7.79% | |
Bank
of Oklahoma NA, Craft Capital LLC, Attn Deborah Lackey, 1717 S Boulder Ave
Ste 400,
Tulsa,
OK 74119-4833 |
6.03% | |
Service
Shares |
MSCS
Financial Services LLC, Stratevest & Co, PO Box 2499, Brattleboro, VT
05303-2499 |
37.14% |
|
SEI
Private Trust Company, C/O Regions Bank, 1 Freedom Valley Dr., Oaks, PA
19456-9989 |
13.09% |
SEI
Private Trust Company, C/O City National Bank, 1 Freedom Valley Dr., Oaks,
PA 19456-
9989 |
6.32% | |
Laba
& Co, 135 S Lasalle St, Chicago, IL 60603 |
5.24% | |
Security
National Bank of Omaha, PO Box 31400, Omaha, NE
68131-0400 |
5.03% |
Share
Class |
Percentage
of Name/Address |
Percentage
of
Class |
Administration
Shares |
Amalgamated
Bank of Chicago, 30 N Lasalle St, 38th Floor, Chicago, IL
60602-2590 |
96.65% |
Capital
Shares |
Goldman
Sachs & Co LLC, FBO, 30 Hudson St., Floor 5, Jersey City, NJ
07399-0002 |
90.08% |
|
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
9.92% |
Cash
Management
Shares |
Pershing
LLC, FBOC, 1 Pershing Plz., Jersey City, NJ
07399-0002 |
99.95% |
Institutional
Shares |
Goldman
Sachs & Co, 295 Chipeta Way, Flr 4, Salt Lake City, UT
84108-1285 |
48.76%* |
|
Baymount
Management LP, Baymount Master Fund I LP, 404 Washington Ave Ste 705,
Miami
Beach,
FL 33139-6600 |
9.23% |
JP
Morgan Securities LLC, JPMS - Chase Processing, JPMS IB, FBO Braeburn
Capital Inc., 4
Chase
Metrotech Center 7th Floor, Brooklyn, NY 11245-0003 |
8.61% | |
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
6.02% | |
JetBlue
Airways Corporation, Corporate Finance, 2701 Queen Plaza North, Long
Island City,
NY
11101-4020 |
5.45% | |
Preferred
Shares |
Pershing
LLC, FBOC, 1 Pershing Plz., Jersey City, NJ
07399-0002 |
98.61% |
Premier
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
99.90% |
Select
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Service
Shares |
Amalgamated
Bank of Chicago, 30 N Lasalle St, 38th Floor, Chicago, IL
60602-2590 |
99.99% |
Share
Class |
Name/Address |
Percentage
of
Class |
Class
A Shares |
Edward
D Jones & Co., FBO Customers, 12555 Manchester Road, Saint Louis, MO
63131-3710 |
91.44% |
Administration
Shares |
Pershing
LLC, FBOC, 1 Pershing Plz., Jersey City, NJ
07399-0002 |
27.38% |
Share
Class |
Name/Address |
Percentage
of
Class |
|
Ameriprise
Financial, American Enterprise Investment SVC, 707 2nd Ave S, Minneapolis,
MN
55402-2405 |
25.56% |
Reliance
Trust Company/FIS, Maril & Co FBO BMO Harris Bank, ACM Department,
4900 W
Brown
Deer Road, Brown Deer, WI 53223-2422 |
15.67% | |
BMO
Harris Bank NA, 111 W Monroe St, Ste 1000, Chicago, IL
60603-4098 |
11.94% | |
Union
Bank & Trust Co., Industricorp & Co., 312 Central Ave. S.E., Suite
508, Minneapolis, MN
55414-1166 |
5.81% | |
Class
C Shares |
Stifel
Nicolaus & Co., FBO Customers, 501 N. Broadway, St. Louis, MO
63102-2188 |
73.35% |
|
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
26.64% |
Cash
Management
Shares |
Pershing
LLC, FBOC, 1 Pershing Plz., Jersey City, NJ
07399-0002 |
99.97% |
Institutional
Shares |
Wells
Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO
Customer,
2801
Market St., Saint Louis, MO 63103-2523 |
35.69%* |
|
LPL
Financial Corporation, FBO Customer Accounts, Attn: Mutual Fund
Operations, PO Box
509046,
San Diego, CA 92150-9046 |
21.94% |
SEI
Private Trust Company, c/o BMO Wealth Management, 1 Freedom Valley Drive,
Oaks, PA
19456-9989 |
13.49% | |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
11.06% | |
Hanco,
Hancock Bank, Trust Ops, 2285 Lakeshore Dr. Building 4, New Orleans, LA
70122 |
6.50% | |
SEI
Private Trust Company, c/o Bankers Trust Swp, 1 Freedom Valley Drive,
Oaks, PA
19456-9989 |
5.92% | |
Resource
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Service
Shares |
Pershing
LLC, FBOC, 1 Pershing Plz., Jersey City, NJ
07399-0002 |
99.96% |
Share
Class |
Name/Address |
Percentage
of
Class |
Class
A Shares |
Edward
D Jones & Co., Attn: Mutual Fund Shareholder Accounting, 12555
Manchester Road,
Maryland
Heights, MO 63043 |
64.22% |
|
RBC
Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus
Processing,
Omnibus, Attn: Mutual Fund Ops Manager, 60 S 6th ST. Ste. 700 #P08,
Minneapolis,
MN 55402-4413 |
33.48% |
Administration
Shares |
Linsco
Private Ledger, LPL Financial Corporation, FBO Customer Accounts, Attn:
Cinthya
Leite,
4707 Executive Drive, San Diego, CA 92121-3091 |
70.22% |
|
BMO
Harris Bank NA, 111 W Monroe St, Ste 1000, Chicago, IL
60603-4098 |
16.92% |
Class
C Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Capital
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Cash
Management
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Class
I Shares |
The
Glenmede Trust Company NA, 1650 Market St., Suite 1200, Philadelphia, PA
19103- 7391 |
54.66%* |
|
SEI
Private Trust Company, c/o BMO Wealth Management, 1 Freedom Valley Drive,
Oaks, PA
19456-9989 |
20.24% |
First
Premier Bank, Unifalls & Co, P.O. Box 2640, Sioux Falls, SD
57101-2640 |
11.34% | |
Preferred
Shares |
Band
& Co Institutional Trust, C/O US Bank, Attn. ACM Department, P.O. Box
1787,
Milwaukee,
WI 53201-1787 |
76.50% |
Share
Class |
Name/Address |
Percentage
of
Class |
|
Pershing
LLC, FBOC, 1 Pershing Plz., Jersey City, NJ
07399-0002 |
22.56% |
Premier
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Resource
Shares |
Pershing
LLC, FBOC, 1 Pershing Plz., Jersey City, NJ
07399-0002 |
100.00% |
Select
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
99.97% |
Service
Shares |
Bank
Of Oklahoma NA, 4280 Kings Pl., Springdale, AR
72762-0160 |
63.41% |
|
SEI
Private Trust Company, SEI Private Trust Company, C/O City National Bank,
1 Freedom
Valley
Dr., Oaks, PA 19456-9989 |
35.76% |
| |
2-B | |
3-B | |
7-B | |
10-B | |
11-B | |
13-B | |
| |
18-B | |
19-B | |
24-B | |
26-B | |
26-B | |
29-B | |
| |
33-B | |
34-B | |
39-B | |
41-B | |
41-B | |
43-B | |
| |
48-B | |
49-B | |
53-B | |
53-B | |
54-B | |
55-B |