FUND |
Class
A
Shares |
Class
C
Shares |
Class
R
Shares |
Investor
Shares |
Service
Shares |
Institutional
Shares |
Administration
Shares |
Separate
Account
Institutional
Shares |
Class
R6
Shares |
Class
P
Shares |
GOLDMAN
SACHS
ENHANCED
INCOME
FUND |
GEIAX |
– |
– |
GHIRX |
GESVX |
GEIIX |
GEADX |
– |
GEIUX |
GAEPX |
GOLDMAN
SACHS
SHORT
DURATION
GOVERNMENT
FUND |
GSSDX |
GSDCX |
– |
GTDTX |
GSDSX |
GSTGX |
– |
– |
GSTUX
|
GMDPX |
GOLDMAN
SACHS
SHORT
DURATION
TAX-FREE
FUND |
GSDTX |
GSTCX |
– |
GDIRX |
GSFSX |
GSDUX |
– |
– |
GDUSX |
GANPX |
GOLDMAN
SACHS
GOVERNMENT
INCOME
FUND |
GSGOX |
GSOCX |
GSORX |
GSOTX |
GSOSX |
GSOIX |
– |
– |
GSOUX |
GGTPX |
GOLDMAN
SACHS
DYNAMIC
MUNICIPAL
INCOME
FUND |
GSMIX |
GSMUX |
– |
GUIRX |
GSMEX |
GSMTX |
– |
– |
GYISX |
GAJPX |
GOLDMAN
SACHS
U.S.
MORTGAGES FUND |
GSUAX |
– |
– |
GGIRX |
– |
GSUIX |
– |
GSUPX |
GGIUX |
GSBPX |
GOLDMAN
SACHS CORE
FIXED
INCOME
FUND |
GCFIX |
GCFCX |
GDFRX |
GDFTX |
GSCSX |
GSFIX |
– |
– |
GCFUX |
GAKPX |
GOLDMAN
SACHS BOND
FUND |
GSFAX |
GSFCX |
GSNRX |
GSNTX |
GSNSX |
GSNIX |
– |
– |
GSFUX
|
GMVPX |
GOLDMAN
SACHS SHORT
DURATION
BOND FUND |
GDIAX |
GDICX |
GIFRX |
GSSRX |
– |
GDFIX |
– |
– |
GDIUX |
GMCPX |
GOLDMAN
SACHS
INVESTMENT
GRADE
CREDIT
FUND |
GSGAX |
– |
– |
GTIRX |
– |
GSGDX |
– |
GSCPX |
GTIUX |
GGBPX |
GOLDMAN
SACHS
GLOBAL
CORE FIXED
INCOME
FUND |
GSGIX |
GSLCX |
– |
GBIRX |
GGISX |
GSGLX |
– |
– |
GBIUX |
GGXPX |
GOLDMAN
SACHS
HIGH
YIELD MUNICIPAL
FUND |
GHYAX |
GHYCX |
– |
GYIRX |
– |
GHYIX |
– |
– |
GHYSX |
GGLPX |
GOLDMAN
SACHS
HIGH
YIELD FUND |
GSHAX |
GSHCX |
GSHRX |
GSHTX |
GSHSX |
GSHIX |
– |
– |
GSHUX |
GGMPX |
GOLDMAN
SACHS
HIGH
YIELD FLOATING
RATE
FUND |
GFRAX |
GFRCX |
GFRRX |
GFRIX |
– |
GSFRX |
– |
– |
GFRSX |
GGNPX |
GOLDMAN
SACHS
STRATEGIC
INCOME
FUND |
GSZAX |
GSZCX |
GSZRX |
GZIRX |
– |
GSZIX |
– |
– |
GSZUX |
GSOPX |
FUND |
Class
A
Shares |
Class
C
Shares |
Class
R
Shares |
Investor
Shares |
Service
Shares |
Institutional
Shares |
Administration
Shares |
Separate
Account
Institutional
Shares |
Class
R6
Shares |
Class
P
Shares |
GOLDMAN
SACHS
EMERGING
MARKETS
DEBT
FUND |
GSDAX |
GSCDX |
– |
GSIRX |
– |
GSDIX |
– |
– |
GSIUX |
GAIPX |
GOLDMAN
SACHS
LOCAL
EMERGING
MARKETS
DEBT FUND |
GAMDX |
GCMDX |
– |
GLIRX |
– |
GIMDX |
– |
– |
GIMSX |
GMWPX |
GOLDMAN
SACHS
INFLATION
PROTECTED
SECURITIES
FUND |
GSAPX |
GSCFX |
GSRPX |
GSTPX |
– |
GSIPX |
– |
– |
GSRUX |
GGJPX |
GOLDMAN
SACHS
LONG
SHORT
CREDIT
STRATEGIES
FUND |
GSAUX |
GSAVX |
GSAZX |
GSAYX |
– |
GSAWX |
– |
– |
GSSAX |
GMUPX |
GOLDMAN
SACHS INCOME
FUND |
GSCHX |
GSCJX |
GSCNX |
GSCMX |
– |
GSNCX |
– |
– |
GSCRX |
GSCUX |
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. |
104 |
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. |
104 |
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. |
104 |
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) (2021–2022); 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. |
104 |
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. |
104 |
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. |
104 |
Stepan
Company
(a
specialty
Chemical
manufacturer) |
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. |
104 |
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 |
Roy
W.
Templin
Age:
61 |
Trustee |
Since
2013 |
Mr.
Templin is retired. He is Director, Armstrong
World
Industries, Inc. (a designer and manufacturer of
ceiling
and wall systems) (2016–Present); and was
formerly
Chairman of the Board of Directors,
Con-Way
Incorporated (a transportation, logistics and
supply
chain management service company)
(2014–2015);
Executive Vice President and Chief
Financial
Officer, Whirlpool Corporation (an
appliance
manufacturer and marketer)
(2004–2012).
Trustee—Goldman
Sachs Trust and Goldman Sachs
Variable
Insurance Trust. |
104 |
Armstrong
World
Industries,
Inc. (a
ceiling
and wall
systems
manufacturer) |
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. |
104 |
Verizon
Communications;
Inc.
|
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 |
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. |
104 |
None |
James
A.
McNamara*
Age:
59 |
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 Credit Income Fund; and Goldman
Sachs
Real Estate Diversified Income Fund.
|
173 |
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:
58 |
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 MLP and Energy
Renaissance
Fund; Goldman Sachs ETF Trust; Goldman Sachs Credit
Income
Fund; and Goldman Sachs Real Estate Diversified Income
Fund. |
Joseph
F. DiMaria
30
Hudson Street
Jersey
City, NJ 07302
Age:
53 |
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 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 |
Julien
Yoo
200
West Street
New
York, NY 10282
Age:
50 |
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 Credit
Income
Fund; and Goldman Sachs Real Estate Diversified Income
Fund. |
Peter
W. Fortner
30
Hudson Street
Jersey
City, NJ 07302
Age:
63 |
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 Credit
Income
Fund; and Goldman Sachs Real Estate Diversified Income
Fund. |
Allison
Fracchiolla
30
Hudson Street
Jersey
City, NJ 07302
Age:
38 |
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 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:
39 |
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 Credit
Income
Fund; and Goldman Sachs Real Estate Diversified Income Fund.
|
Kirsten
Frivold
Imohiosen
200
West Street
New
York, NY 10282
Age:
51 |
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 Credit Income Fund; and Goldman Sachs
Real
Estate Diversified Income Fund. |
Steven
Z. Indich
30
Hudson Street
Jersey
City, NJ 07302
Age:
52 |
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 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:
46 |
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 Credit Income Fund; and Goldman Sachs
Real
Estate Diversified Income Fund. |
Christopher
Bradford
30
Hudson Street
Jersey
City, NJ 07302
Age:
39 |
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
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:
51 |
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 II; Goldman Sachs Trust; Goldman Sachs Variable Insurance
Trust;
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:
52 |
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
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:
44 |
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 Credit Income Fund; and Goldman Sachs
Real
Estate Diversified Income Fund. |
David
A. Fishman
200
West Street
New
York, NY 10282
Age:
56 |
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. |
Robert
Griffith
200
West Street
New
York, NY 10282
Age:
46 |
Assistant
Secretary |
Since
2011 |
Vice
President, Goldman Sachs (August 2011 – Present); Associate General
Counsel,
Goldman Sachs (December 2014 – Present); Assistant General
Counsel,
Goldman Sachs (August 2011 – December 2014); Vice President
and
Counsel, Nomura Holding America, Inc. (2010 – 2011); and Associate,
Simpson
Thacher & Bartlett LLP (2005 – 2010).
Assistant
Secretary—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 Credit
Income
Fund; and Goldman Sachs Real Estate Diversified Income
Fund. |
Shaun
Cullinan
200
West Street
New
York, NY 10282
Age:
41 |
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 |
Dynamic
Municipal Income Fund:
Over
$100,000 |
Over
$100,000 |
|
Long
Short Credit Strategies Fund:
Over
$100,000 |
|
Dwight
L. Bush |
None |
None |
Kathryn
A. Cassidy |
Dynamic
Municipal Income Fund:
$50,001-$100,000 |
Over
$100,000 |
|
Inflation
Protected Securities Fund:
$50,001-$100,000 |
|
|
High
Yield Fund: Over $100,000 |
|
John
G. Chou2
|
— |
— |
Diana
M. Daniels |
Dynamic
Municipal Income Fund:
Over
$100,000 |
Over
$100,000 |
|
Inflation
Protected Securities Fund:
$50,001-$100,000 |
|
|
Long
Short Credit Strategies Fund:
$1-$10,000 |
|
|
Short
Duration Tax-Free Fund: Over
$100,000 |
|
Joaquin
Delgado |
Dynamic
Municipal Income Fund:
Over
$100,000 |
Over
$100,000 |
|
Bond
Fund: $10,001-$50,000 |
|
Eileen
H. Dowling3
|
Dynamic
Municipal Income Fund:
$10,001
– 50,000 |
Over
$100,000 |
|
High
Yield Municipal Fund: $10,001
–
50,000 |
|
|
Inflation
Protected Securities Fund:
10,001
– 50,000 |
|
|
High
Yield Floating Rate Fund:
10,001
– 50,000 |
|
James
A. McNamara |
High
Yield Municipal Fund: Over
$100,000 |
Over
$100,000 |
|
High
Yield Floating Rate Fund: Over
$100,000 |
|
|
Strategic
Income Fund: Over
$100,000 |
|
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 |
Roy
W. Templin |
Short
Duration Tax-Free Fund: Over
$100,000 |
Over
$100,000 |
Gregory
G. Weaver |
None |
Over
$100,000 |
Paul
C. Wirth2
|
— |
— |
Name
of Trustee |
Enhanced
Income |
Short
Duration
Government |
Short
Duration
Tax-Free |
Government
Income |
Dynamic
Municipal
Income |
U.S.
Mortgages |
Jessica
Palmer1
|
$4,046 |
$4,020 |
$7,214 |
$3,871 |
$6,632 |
$3,883 |
Dwight
L. Bush |
2,700 |
2,683 |
4,814 |
2,583 |
4,425 |
2,591 |
Kathryn
A. Cassidy |
2,700 |
2,683 |
4,814 |
2,583 |
4,425 |
2,591 |
John
G. Chou2
|
— |
— |
— |
— |
— |
— |
Diana
M. Daniels |
2,700 |
2,683 |
4,814 |
2,583 |
4,425 |
2,591 |
Joaquin
Delgado |
2,700 |
2,683 |
4,814 |
2,583 |
4,425 |
2,591 |
Eileen
H. Dowling3
|
1,384 |
1,358 |
2,443 |
1,317 |
2,268 |
1,318 |
James
A. McNamara4
|
— |
— |
— |
— |
— |
— |
Roy
W. Templin |
2,700 |
2,683 |
4,814 |
2,583 |
4,425 |
2,591 |
Gregory
G. Weaver5
|
3,177 |
3,156 |
5,664 |
3,040 |
5,207 |
3,049 |
Paul
C. Wirth2
|
— |
— |
— |
— |
— |
— |
Name
of Trustee |
Core
Fixed
Income |
Bond |
Short
Duration
Bond |
Investment
Grade
Credit |
Global
Core
Fixed
Income |
High
Yield
Municipal |
High
Yield |
Jessica
Palmer1
|
$4,336 |
$3,922 |
$4,477 |
$3,959 |
$3,973 |
$6,845 |
$4,360 |
Dwight
L. Bush |
2,893 |
2,617 |
2,988 |
2,642 |
2,651 |
4,567 |
2,910 |
Kathryn
A. Cassidy |
2,893 |
2,617 |
2,988 |
2,642 |
2,651 |
4,567 |
2,910 |
John
G. Chou2
|
— |
— |
— |
— |
— |
— |
— |
Diana
M. Daniels |
2,893 |
2,617 |
2,988 |
2,642 |
2,651 |
4,567 |
2,910 |
Joaquin
Delgado |
2,893 |
2,617 |
2,988 |
2,642 |
2,651 |
4,567 |
2,910 |
Name
of Trustee |
Core
Fixed
Income |
Bond |
Short
Duration
Bond |
Investment
Grade
Credit |
Global
Core
Fixed
Income |
High
Yield
Municipal |
High
Yield |
Eileen
H. Dowling3
|
1,466 |
1,331 |
1,523 |
1,348 |
1,349 |
2,316 |
1,474 |
James
A. McNamara4
|
— |
— |
— |
— |
— |
— |
— |
Roy
W. Templin |
2,893 |
2,617 |
2,988 |
2,642 |
2,651 |
4,567 |
2,910 |
Gregory
G. Weaver5
|
3,404 |
3,079 |
3,515 |
3,065 |
3,119 |
5,374 |
3,423 |
Paul
C. Wirth2
|
— |
— |
— |
— |
— |
— |
— |
Name
of Trustee |
High
Yield
Floating
Rate |
Strategic
Income |
Emerging
Markets
Debt |
Inflation
Protected
Securities |
Local
Emerging
Markets
Debt |
Long
Short
Credit
Strategies |
Income |
Jessica
Palmer1
|
$4,661 |
$4,024 |
$4,123 |
$3,937 |
$3,813 |
$3,830 |
$3,822 |
Dwight
L. Bush |
3,110 |
2,685 |
2,751 |
2,627 |
2,544 |
2,555 |
2,550 |
Kathryn
A. Cassidy |
3,110 |
2,685 |
2,751 |
2,627 |
2,544 |
2,555 |
2,550 |
John
G. Chou2
|
— |
— |
— |
— |
— |
— |
— |
Diana
M. Daniels |
3,110 |
2,685 |
2,751 |
2,627 |
2,544 |
2,555 |
2,550 |
Joaquin
Delgado |
3,110 |
2,685 |
2,751 |
2,627 |
2,544 |
2,555 |
2,550 |
Eileen
H. Dowling3
|
1,639 |
1,365 |
1,392 |
1,339 |
1,296 |
1,302 |
1,300 |
James
A. McNamara4
|
— |
— |
— |
— |
— |
— |
— |
Roy
W. Templin |
3,110 |
2,685 |
2,751 |
2,627 |
2,544 |
2,555 |
2,550 |
Gregory
G. Weaver5
|
3,660 |
3,159 |
3,237 |
3.091 |
2,994 |
3,007 |
3,000 |
Paul
C. Wirth2
|
— |
— |
— |
— |
— |
— |
— |
Name
of Trustee |
Pension
or Retirement
Benefits
Accrued as Part
of
the Trust’s Expenses |
Total
Compensation
From
Fund Complex
(including
the Funds)(6)
|
Jessica
Palmer(1)
|
$0 |
$518,500 |
Dwight
L. Bush |
0 |
346,000 |
Kathryn
A. Cassidy |
0 |
346,000 |
John
G. Chou(2)
|
— |
— |
Diana
M. Daniels |
0 |
346,000 |
Joaquin
Delgado |
0 |
346,000 |
Eileen
H. Dowling(3)
|
0 |
175,500 |
James
A. McNamara(4)
|
— |
— |
Roy
W. Templin |
0 |
346,000 |
Gregory
G. Weaver(5)
|
0 |
406,500 |
Paul
C. Wirth(2)
|
— |
— |
Fund |
Contractual
Rate |
Actual
Rate for the Fiscal
Year
Ended
March
31, 2022 |
GSAM-Advised
Funds |
|
|
Enhanced
Income Fund |
0.25%
on the first $1 billion |
0.24% |
|
0.23%
on the next $1 billion |
|
|
0.22%
over $2 billion |
|
Short
Duration Government Fund |
0.44%
on the first $1 billion |
0.44% |
|
0.40%
on the next $1 billion |
|
|
0.38%
on the next $3 billion |
|
|
0.37%
on the next $3 billion |
|
|
0.36%
over $8 billion |
|
Short
Duration Tax-Free Fund |
0.39%
on the first $1 billion |
0.34% |
|
0.35%
on the next $1 billion |
|
|
0.33%
on the next $6 billion |
|
|
0.32%
over $8 billion |
|
Government
Income Fund |
0.53%
on the first $1 billion |
0.48% |
|
0.48%
on the next $1 billion |
|
|
0.45%
on the next $3 billion |
|
|
0.44%
over $5 billion |
|
Dynamic
Municipal Income Fund |
0.40%
on the first $1 billion |
0.35% |
|
0.36%
on the next $1 billion |
|
|
0.34%
on the next $6 billion |
|
|
0.33%
over $8 billion |
|
U.S.
Mortgages Fund |
0.34%
on the first $1 billion |
0.33% |
|
0.31%
on the next $1 billion |
|
|
0.29%
on the next $3 billion |
|
|
0.28%
over $5 billion |
|
Core
Fixed Income Fund |
0.40%
on the first $1 billion |
0.33% |
|
0.36%
on the next $1 billion |
|
|
0.34%
on the next $3 billion |
|
|
0.33%
on the next $3 billion |
|
|
0.32%
over $8 billion |
|
Bond
Fund |
0.41%
on the first $1 billion |
0.40% |
|
0.37%
on the next $1 billion |
|
|
0.35%
on the next $3 billion |
|
|
0.34%
over $5 billion |
|
Short
Duration Bond Fund |
0.40%
on the first $1 billion |
|
|
0.36%
on the next $1 billion |
0.35% |
|
0.34%
on the next $3 billion |
|
|
0.33%
on the next $3 billion |
|
|
0.32%
over $8 billion |
|
Fund |
Contractual
Rate |
Actual
Rate for the Fiscal
Year
Ended
March
31, 2022 |
Investment
Grade Credit Fund |
0.34%
on the first $1 billion |
0.33% |
|
0.31%
on the next $1 billion |
|
|
0.29%
on the next $3 billion |
|
|
0.28%
over $5 billion |
|
High
Yield Municipal Fund |
0.55%
on the first $2 billion |
0.49% |
|
0.50%
on the next $3 billion |
|
|
0.48%
on the next $3 billion |
|
|
0.47%
over $8 billion |
|
High
Yield Fund |
0.70%
on the first $2 billion |
0.68% |
|
0.63%
on the next $3 billion |
|
|
0.60%
on the next $3 billion |
|
|
0.59%
over $8 billion |
|
High
Yield Floating Rate Fund |
0.60%
on the first $1 billion |
0.53% |
|
0.54%
on the next $1 billion |
|
|
0.51%
on the next $3 billion |
|
|
0.50%
on the next $3 billion |
|
|
0.49%
over $8 billion |
|
Strategic
Income Fund |
0.60%
on the first $1 billion |
0.58% |
|
0.54%
on the next $1 billion |
|
|
0.51%
on the next $3 billion |
|
|
0.50%
on the next $3 billion |
|
|
0.49%
over $8 billion |
|
Emerging
Markets Debt Fund |
0.80%
on the first $2 billion |
0.79% |
|
0.72%
on the next $3 billion |
|
|
0.68%
on the next $3 billion |
|
|
0.67%
over $8 billion |
|
Local
Emerging Markets Debt Fund |
0.80%
on the first $2 billion |
0.79% |
|
0.72%
on the next $3 billion |
|
|
0.68%
on the next $3 billion |
|
|
0.67%
over $8 billion |
|
Inflation
Protected Securities Fund |
0.26%
on the first $1 billion |
0.26% |
|
0.23%
on the next $1 billion |
|
|
0.22%
on the next $6 billion |
|
|
0.21%
over $8 billion |
|
Long
Short Credit Strategies Fund |
1.00%
on the first $1 billion |
0.99% |
|
0.90%
on the next $1 billion |
|
|
0.86%
on the next $3 billion |
|
|
0.84%
on the next $3 billion |
|
|
0.82%
over $8 billion |
|
Fund |
Contractual
Rate |
Actual
Rate for the Fiscal
Year
Ended
March
31, 2022 |
Income
Fund |
0.55%
on the first $1 billion |
0.54% |
|
0.50%
on the next $1 billion |
|
|
0.47%
on the next $3 billion |
|
|
0.46%
on the next $3 billion |
|
|
0.45%
over $8 billion |
|
GSAMI-Advised
Fund |
|
|
Global
Core Fixed Income Fund |
0.65%
on the first $1 billion |
0.59% |
|
0.59%
on the next $1 billion |
|
|
0.56%
on the next $3 billion |
|
|
0.55%
on the next $3 billion |
|
|
0.54%
over $8 billion |
|
|
Fiscal
Year ended
March
31, 2022 |
Fiscal
Year ended
March
31, 2021 |
Fiscal
Year ended
March
31, 2020 | |||
Fund |
Without
Fee
Waivers |
With
Fee
Waivers |
Without
Fee
Waivers |
With
Fee
Waivers |
Without
Fee
Waivers |
With
Fee
Waivers |
Enhanced
Income Fund |
$2,235,231 |
$2,191,781 |
$1,381,734 |
$1,316,573 |
$1,237,244 |
$1,210,360 |
Short
Duration Government Fund |
3,794,112 |
3,760,846
|
4,375,230 |
4,137,122 |
3,979,149 |
3,965,360 |
Short
Duration Tax-Free Fund |
43,108,311
|
43,108,311
|
32,942,637 |
32,942,637 |
25,163,172 |
25,163,172 |
Government
Income Fund |
1,592,191
|
1,532,872
|
1,847,858 |
1,655,473 |
1,604,956 |
1,566,279 |
Dynamic
Municipal Income Fund |
36,919,437
|
36,919,437 |
28,531,010 |
28,531,010 |
23,734,341 |
23,734,341 |
|
Fiscal
Year ended
March
31, 2022 |
Fiscal
Year ended
March
31, 2021 |
Fiscal
Year ended
March
31, 2020 | |||
Fund |
Without
Fee
Waivers |
With
Fee
Waivers |
Without
Fee
Waivers |
With
Fee
Waivers |
Without
Fee
Waivers |
With
Fee
Waivers |
Core
Fixed Income Fund |
7,804,590
|
6,705,806
|
6,950,087 |
5,721,715 |
4,633,774 |
4,168,864 |
Short
Duration Bond Fund |
9,556,169
|
9,107,544
|
6,434,182 |
6,116,867 |
3,142,984 |
3,126,144 |
Global
Core Fixed Income Fund |
4,406,931
|
3,964,790
|
4,429,440 |
4,358,641 |
4,400,197 |
4,334,329 |
High
Yield Municipal Fund |
56,657,194
|
56,657,194
|
44,468,309 |
44,468,309 |
42,067,959 |
42,067,959 |
High
Yield Fund |
14,826,360
|
14,783,618
|
14,378,040 |
14,338,238 |
15,581,887 |
15,486,553 |
High
Yield Floating Rate Fund |
16,754,415
|
16,160,258
|
7,902,545 |
7,799,450 |
11,758,850 |
11,694,673 |
Strategic
Income Fund |
5,242,570
|
5,080,526
|
6,130,005 |
6,037,276 |
8,404,191 |
8,264,926 |
Emerging
Markets Debt Fund |
10,073,417
|
10,008,006
|
10,409,723 |
10,348,506 |
12,037,629 |
11,998,412 |
U.S.
Mortgages Fund |
1,160,395
|
1,115,567
|
1,292,895 |
1,273,800 |
1,581,887 |
1,548,328 |
Investment
Grade Credit Fund |
2,028,941
|
2,000,107
|
2,067,720 |
2,059,943 |
1,723,338 |
1,714,655 |
Inflation
Protected Securities Fund |
1,426,075
|
1,397,535
|
1,157,295 |
1,140,263 |
1,004,801 |
995,782 |
Local
Emerging Markets Debt Fund |
565,353
|
556,891
|
667,334 |
660,355 |
1,099,280 |
1,093,888 |
Long
Short Credit Strategies Fund |
1,328,361
|
1,315,976
|
1,111,633 |
1,102,712 |
1,105,263 |
1,094,034 |
Bond
Fund |
1,999,699 |
1,974,169
|
2,021,435 |
1,975,324 |
1,850,710 |
1,816,398 |
Income
Fund* |
584,418 |
579,364
|
409,201 |
404,301 |
44,983 |
44,800 |
|
Number
of Other Accounts Managed and Total Assets by Account
Type |
Number
of Accounts and Total Assets for
Which
Advisory Fee is Performance Based | ||||||||||
|
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts |
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | ||||||
Name
of Portfolio
Manager |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Enhanced
Income
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income– Investment Management Team | ||||||||||||
John
Olivo |
24 |
$375,362 |
184 |
$231,287 |
1212 |
$102,394 |
— |
— |
4 |
$77 |
— |
— |
Dave
Fishman |
24 |
$375,362 |
184 |
$231,287 |
1212 |
$102,394 |
— |
— |
4 |
$77 |
— |
— |
Short
Duration
Government
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income– Investment Management Team | ||||||||||||
John
Olivo |
24 |
$375,362 |
184 |
$231,287 |
1212 |
$102,394 |
— |
— |
4 |
$77 |
— |
— |
Dave
Fishman |
24 |
$375,362 |
184 |
$231,287 |
1212 |
$102,394 |
— |
— |
4 |
$77 |
— |
— |
Short
Duration
Tax-Free
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
U.S.
Municipal Investment Management Team | ||||||||||||
Sylvia
Yeh |
66 |
$417,755 |
205 |
$242,602 |
24,034 |
$349,417 |
— |
— |
21 |
$2,325 |
2 |
$413 |
Scott
Diamond |
66 |
$417,755 |
205 |
$242,602 |
24,034 |
$349,417 |
— |
— |
21 |
$2,325 |
2 |
$413 |
Joseph
Wenzel |
66 |
$417,755 |
205 |
$242,602 |
24,034 |
$349,417 |
— |
— |
21 |
$2,325 |
2 |
$413 |
Government
Income
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income– Investment Management Team | ||||||||||||
Jon
Calluzzo |
42 |
$17,231 |
26 |
$21,738 |
2,819 |
$299,589 |
— |
— |
21 |
$1,832 |
1 |
$24 |
Raghaan
Gopalsamy |
51 |
$20,582 |
103 |
$36,396 |
5,223 |
$347,850 |
— |
— |
40 |
$9,090 |
5 |
$767 |
Peter
Stone |
51 |
$20,582 |
103 |
$36,396 |
5,223 |
$347,850 |
— |
— |
40 |
$9,090 |
5 |
$767 |
Dynamic
Municipal
Income
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
U.S.
Municipal Investment Management Team | ||||||||||||
Sylvia
Yeh |
66 |
$417,755 |
205 |
$242,602 |
24,034 |
$349,417 |
— |
— |
21 |
$2,325 |
2 |
$413 |
Scott
Diamond |
66 |
$417,755 |
205 |
$242,602 |
24,034 |
$349,417 |
— |
— |
21 |
$2,325 |
2 |
$413 |
Joseph
Wenzel |
66 |
$417,755 |
205 |
$242,602 |
24,034 |
$349,417 |
— |
— |
21 |
$2,325 |
2 |
$413 |
U.S.
Mortgages
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income– Investment Management Team | ||||||||||||
Christopher
Hogan |
93 |
$429,747 |
324 |
$267,692 |
30,800 |
$586,053 |
— |
— |
48 |
$11,579 |
6 |
$869 |
Jon
Calluzzo |
42 |
$17,231 |
26 |
$21,738 |
2,819 |
$299,589 |
— |
— |
21 |
$1,832 |
1 |
$24 |
Strategic
Income
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income– Investment Management Team | ||||||||||||
Ashish
Shah |
93 |
$429,747 |
324 |
$267,692 |
30,800 |
$586,053 |
— |
— |
48 |
$11,579 |
6 |
$869 |
|
Number
of Other Accounts Managed and Total Assets by Account
Type |
Number
of Accounts and Total Assets for
Which
Advisory Fee is Performance Based | ||||||||||
|
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts |
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | ||||||
Name
of Portfolio
Manager |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Core
Fund Fixed
Income |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income– Investment Management Team | ||||||||||||
Ashish
Shah |
93 |
$429,747 |
324 |
$267,692 |
30,800 |
$586,053 |
— |
— |
48 |
$11,579 |
6 |
$869 |
Bond
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income– Investment
Management
Team | ||||||||||||
Ashish
Shah |
93 |
$429,747 |
324 |
$267,692 |
30,800 |
$586,053 |
— |
— |
48 |
$11,579 |
6 |
$869 |
Short
Duration
Bond
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income– Management Team | ||||||||||||
Dave
Fishman |
24 |
$375,362 |
184 |
$231,287 |
1212 |
$102,394 |
— |
— |
4 |
$77 |
— |
— |
John
Olivo |
24 |
$375,362 |
184 |
$231,287 |
1212 |
$102,394 |
— |
— |
4 |
$77 |
— |
— |
Investment
Grade
Credit
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income– Investment Management Team | ||||||||||||
Ben
Johnson |
93 |
$429,747 |
324 |
$267,692 |
30,800 |
$586,053 |
— |
— |
48 |
$11,579 |
6 |
$869 |
Global
Core Fixed
Income
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income– Investment Management Team | ||||||||||||
Simon
Dangoor |
93 |
$429,747 |
324 |
$267,692 |
30,800 |
$586,053 |
— |
— |
48 |
$11,579 |
6 |
$869 |
Sophia
Ferguson* |
56 |
$19,557 |
95 |
$35,171 |
9,708 |
$412,559 |
— |
— |
36 |
$4,407 |
23 |
$8,193 |
High
Yield
Municipal
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
U.S.
Municipal Investment Management Team | ||||||||||||
Sylvia
Yeh |
66 |
$417,755 |
205 |
$242,602 |
24,034 |
$349,417 |
— |
— |
21 |
$2,325 |
2 |
$413 |
Scott
Diamond |
66 |
$417,755 |
205 |
$242,602 |
24,034 |
$349,417 |
— |
— |
21 |
$2,325 |
2 |
$413 |
Joseph
Wenzel |
66 |
$417,755 |
205 |
$242,602 |
24,034 |
$349,417 |
— |
— |
21 |
$2,325 |
2 |
$413 |
High
Yield Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income–High Yield Investment Management Team | ||||||||||||
Robert
Magnuson |
36 |
$12,581 |
101 |
$27,941 |
7,643 |
$248,350 |
— |
— |
32 |
$6,569 |
4 |
$656 |
Lori
Pomerantz |
65 |
$2,834 |
112 |
$39,928 |
9,450 |
$447,111 |
— |
— |
39 |
$6,655 |
4 |
$656 |
Ashish
Shah |
93 |
$429,747 |
324 |
$267,692 |
30,800 |
$586,053 |
— |
— |
48 |
$11,579 |
6 |
$869 |
High
Yield
Floating
Rate
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income–High Yield Investment Management Team | ||||||||||||
Peter
Campo |
65 |
$2,834 |
112 |
$39,928 |
9,450 |
$447,111 |
— |
— |
39 |
$6,655 |
4 |
$656 |
Lori
Pomerantz |
65 |
$2,834 |
112 |
$39,928 |
9,450 |
$447,111 |
— |
— |
39 |
$6,655 |
4 |
$656 |
Ashish
Shah |
93 |
$429,747 |
324 |
$267,692 |
30,800 |
$586,053 |
— |
— |
48 |
$11,579 |
6 |
$869 |
Emerging
Markets
Debt
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income– Investment Management Team | ||||||||||||
Samuel
Finkelstein |
93 |
$429,747 |
324 |
$267,692 |
30,800 |
$586,053 |
— |
— |
48 |
$11,579 |
6 |
$869 |
Ricardo
Penfold |
53 |
$20,317 |
101 |
$36,364 |
5,178 |
$312,567 |
— |
— |
37 |
$8,951 |
5 |
$767 |
|
Number
of Other Accounts Managed and Total Assets by Account
Type |
Number
of Accounts and Total Assets for
Which
Advisory Fee is Performance Based | ||||||||||
|
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts |
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | ||||||
Name
of Portfolio
Manager |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Number
of
Accounts |
Assets
Managed
(mm) |
Kay
Haigh |
93 |
$429,747 |
324 |
$267,692 |
30,800 |
$586,053 |
— |
— |
48 |
$11,579 |
6 |
$869 |
Inflation
Protected
Securities
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income–Investment Management Team | ||||||||||||
Jon
Calluzzo |
42 |
$17,231 |
26 |
$21,738 |
2,819 |
$299,589 |
— |
— |
21 |
$1,832 |
1 |
$24 |
Raghaan
Gopalsamy |
51 |
$20,582 |
103 |
$36,396 |
5,223 |
$347,850 |
— |
— |
40 |
$9,090 |
5 |
$767 |
Peter
Stone |
51 |
$20,582 |
103 |
$36,396 |
5,223 |
$347,850 |
— |
— |
40 |
$9,090 |
5 |
$767 |
Local
Emerging
Markets
Debt
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income–Investment Management Team | ||||||||||||
Samuel
Finkelstein |
93 |
$429,747 |
324 |
$267,692 |
30,800 |
$586,053 |
— |
— |
48 |
$11,579 |
6 |
$869 |
Ricardo
Penfold |
53 |
$20,317 |
101 |
$36,364 |
5,178 |
$312,567 |
— |
— |
37 |
$8,951 |
5 |
$767 |
Kay
Haigh |
93 |
$429,747 |
324 |
$267,692 |
30,800 |
$586,053 |
— |
— |
48 |
$11,579 |
6 |
$869 |
Long
Short Credit
Strategies
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Opportunistic
Corporate Credit Portfolio Management Team | ||||||||||||
Aakash
Thombre |
18 |
$9,810 |
49 |
$13,863 |
4,334 |
$157,272 |
— |
— |
7 |
$2,488 |
2 |
$127 |
Ashish
Shah |
93 |
$429,747 |
324 |
$267,692 |
30,800 |
$586,053 |
— |
— |
48 |
$11,579 |
6 |
$869 |
Michael
McGuiness |
11 |
$8,283 |
24 |
$5,657 |
185 |
$10,432 |
— |
— |
3 |
$1,988 |
1 |
$24 |
Income
Fund |
|
|
|
|
|
|
|
|
|
|
|
|
Fixed
Income–Investment Management Team | ||||||||||||
Ashish
Shah |
93 |
$429,747 |
324 |
$267,692 |
30,800 |
$586,053 |
— |
— |
48 |
$11,579 |
6 |
$869 |
Ron
Arons |
27 |
$6,866 |
30 |
$9,665 |
4,872 |
$268,556 |
— |
— |
9 |
$582 |
1 |
$102 |
Aakash
Thombre |
18 |
$9,810 |
49 |
$13,863 |
4,334 |
$157,272 |
— |
— |
7 |
$2,488 |
2 |
$127 |
Name
of Portfolio Manager |
Dollar
Range of Equity Securities Beneficially Owned by Portfolio
Manager | |
Enhanced
Income Fund | ||
John
Olivo |
$1 -
$10,000 | |
Dave
Fishman |
$50,001
- $100,000 | |
High
Quality Floating Rate Fund |
| |
John
Olivo |
$1
- $10,000 | |
Dave
Fishman |
$50,001
- $100,000 | |
Short
Duration Government Fund | ||
John
Olivo |
$1 -
$10,000 | |
Dave
Fishman |
$100,001
- $500,000 | |
Short
Duration Tax-Free Fund | ||
Scott
Diamond |
$100,001
- $500,000 | |
Joseph
Wenzel |
$10,001
- $50,000 | |
Sylvia
Yeh |
None | |
Government
Income Fund | ||
Peter
Stone |
None | |
Raghavan
Gopalsamy
|
None | |
Jon
Calluzzo |
None | |
Dynamic
Municipal Income Fund | ||
Scott
Diamond |
$100,001
- $500,000 | |
Joseph
Wenzel |
$10,001
- $50,000
| |
Sylvia
Yeh |
None | |
U.S.
Mortgages Fund |
Name
of Portfolio Manager |
Dollar
Range of Equity Securities Beneficially Owned by Portfolio
Manager | |
Christopher
Hogan |
$100,001
- $500,000 | |
Jon
Calluzzo |
None | |
Rob
Pyne |
None | |
Core
Fixed Income Fund | ||
Ashish
Shah |
None | |
Bond
Fund | ||
Ashish
Shah |
$1,000,0001
- $2,000,000 | |
Short
Duration Bond Fund | ||
Dave
Fishman |
$500,001
- $1,000,000 | |
John
Olivo |
$10,001
- $50,000 | |
Investment
Grade Credit Fund | ||
Ben
Johnson |
$100,001
- $500,000 | |
Global
Core Fixed Income Fund | ||
Simon
Dangoor |
$100,001
- $500,000 | |
Sophia
Ferguson* |
None
| |
High
Yield Municipal Fund | ||
Scott
Diamond |
$1,000,001
- $2,000,000 | |
Joseph
Wenzel |
$10,001
- $50,000 | |
Sylvia
Yeh |
$1
- $10,000 | |
High
Yield Fund | ||
Robert
Magnuson |
None | |
Lori
Pomerantz |
None | |
Ashish
Shah |
None | |
High
Yield Floating Rate Fund | ||
Peter
Campo |
None | |
Lori
Pomerantz |
None | |
Ashish
Shah |
None | |
Strategic
Income Fund | ||
Ashish
Shah |
None | |
Emerging
Markets Debt Fund | ||
Samuel
Finkelstein |
$500,001
- $1,000,000 | |
Ricardo
Penfold |
$1 -
$10,000 | |
Kay
Haigh |
None | |
Local
Emerging Markets Debt Fund
| ||
Samuel
Finkelstein
|
$1,000,001
- $2,000,000 | |
Ricardo
Penfold |
$1 -
$10,000 | |
Kay
Haigh |
None | |
Inflation
Protected Securities
| ||
Peter
Stone |
None | |
Raghavan
Gopalsamy
|
None | |
Jon
Calluzzo |
None | |
Long
Short Credit Strategies Fund
| ||
Ashish
Shah |
None
| |
Michael
McGuiness |
None | |
Akash
Thombre |
None | |
Income
Fund
| ||
Ashish
Shah |
None
| |
Ron
Arons |
$50,001
- 100,000 | |
Akash
Thombre
|
None |
Fund |
Fiscal
year ended
March
31, 2022 |
Fiscal
year ended
March
31, 2021 |
Fiscal
year ended
March
31, 2020 |
Enhanced
Income Fund1
|
$0 |
$0 |
$0 |
Short
Duration Government Fund |
804 |
5,439 |
2,312 |
Short
Duration Tax-Free Fund |
5,311
|
10,896 |
6,554 |
Government
Income Fund |
4,652
|
3,544 |
2,908 |
Dynamic
Municipal Income Fund |
31,987
|
38,413 |
113,941 |
Core
Fixed Income Fund |
4,510
|
11,825 |
8,037 |
Short
Duration Bond Fund |
1,689
|
3,123 |
440 |
Global
Core Fixed Income Fund |
552
|
694 |
1,284 |
High
Yield Municipal Fund |
33,864
|
41,724 |
94,009 |
High
Yield Fund |
7,644
|
9,472 |
14,346 |
High
Yield Floating Rate Fund |
635
|
46 |
137 |
Strategic
Income Fund |
483
|
1,395 |
4,180 |
Emerging
Markets Debt Fund |
1,025
|
604 |
5,202 |
U.S.
Mortgages Fund1
|
517
|
838 |
1,027 |
Investment
Grade Credit Fund1
|
1,853
|
1,692 |
143 |
Bond
Fund |
4,991
|
10,616 |
4,564 |
Inflation
Protected Securities Fund |
6,669
|
6,721 |
473 |
Local
Emerging Markets Debt Fund |
1,279
|
125 |
366 |
Long
Short Credit Strategies Fund |
1 |
549 |
95 |
Income
Fund2
|
469
|
2,244 |
0 |
Fund |
%
of sales charge
re-allowed
to broker/dealers |
Short
Duration Government Fund |
1.36% |
Short
Duration Tax-Free Fund |
1.46% |
Fund |
%
of sales charge
re-allowed
to broker/dealers |
Government
Income Fund |
3.15% |
Dynamic
Municipal Income Fund |
3.70% |
Core
Fixed Income Fund |
3.27% |
Short
Duration Bond Fund |
1.37% |
Global
Core Fixed Income Fund |
3.59% |
High
Yield Municipal Fund |
4.28% |
High
Yield Fund |
3.97% |
High
Yield Floating Rate Fund |
1.94% |
Strategic
Income Fund |
3.61% |
Emerging
Markets Debt Fund |
3.97% |
U.S.
Mortgages Fund |
3.33% |
Investment
Grade Credit Fund |
3.07% |
Bond
Fund |
3.21% |
Local
Emerging Markets Debt Fund |
3.74% |
Inflation
Protected Securities Fund |
3.45% |
Long
Short Credit Strategies Fund |
3.31% |
Income
Fund |
2.99% |
Fund |
Class
A
and
C
Shares |
Class
R
Shares |
Investor
Shares |
Institutional
Shares |
Service
Shares |
Administration
Shares |
Separate
Account
Institutional
Shares |
Class
R6
Shares |
Class
P
Shares |
Enhanced
Income Fund |
$24,788 |
$— |
$12,660 |
$170,388 |
$2 |
$3,533 |
$— |
$7,784 |
$121,112 |
Short
Duration Government Fund |
118,111 |
— |
39,978 |
163,344 |
7,697 |
— |
— |
4,402 |
86,698 |
Fund |
Class
A
and
C
Shares |
Class
R
Shares |
Investor
Shares |
Institutional
Shares |
Service
Shares |
Administration
Shares |
Separate
Account
Institutional
Shares |
Class
R6
Shares |
Class
P
Shares |
Short
Duration Tax-Free Fund |
298,944 |
— |
234,049 |
1,037,443 |
54 |
— |
— |
23,984 |
2,924,992 |
Government
Income Fund |
83,922 |
16,110 |
41,097 |
52,092 |
12,482 |
— |
— |
2,871 |
3,540 |
Dynamic
Municipal Income Fund |
2,047,132 |
— |
1,696,653 |
1,862,775 |
11 |
— |
— |
39,928 |
807,805 |
Core
Fixed Income Fund |
214,661 |
5,780 |
512,885 |
246,025 |
439 |
— |
— |
15,345 |
234,917 |
Short
Duration Bond Fund |
99,719 |
329 |
38,539 |
94,720 |
— |
— |
— |
6,783 |
660,134 |
Global
Core Fixed Income Fund |
66,162 |
— |
88,363 |
106,100 |
251 |
— |
— |
82,371 |
2,631 |
High
Yield Municipal Fund |
840,648 |
— |
713,053 |
732,774 |
— |
— |
— |
4,245 |
2,496,606 |
High
Yield Fund |
154,163 |
6,939 |
18,543 |
137,956 |
2,897 |
— |
— |
13,878 |
475,186 |
High
Yield Floating Rate Fund |
5,869 |
27 |
6,662 |
37,315 |
— |
— |
— |
58,938 |
824,954 |
Strategic
Income Fund |
201,192 |
3,115 |
25,266 |
163,829 |
— |
— |
— |
4,336 |
77,527 |
Emerging
Markets Debt Fund |
62,339 |
— |
69,158 |
359,581 |
— |
— |
— |
64,944 |
10,249 |
U.S.
Mortgages Fund |
39,776 |
— |
55,542 |
41,644 |
— |
— |
41,455 |
3,664 |
2,206 |
Investment
Grade Credit Fund |
12,051 |
— |
5,562 |
44,220 |
— |
— |
47,449 |
40,992 |
53,015 |
Bond
Fund |
95,837 |
4,638 |
80,683 |
65,776 |
37 |
— |
— |
22,692 |
28,978 |
Inflation
Protected Securities Fund |
77,372 |
22,406 |
93,382 |
80,530 |
— |
— |
— |
40,425 |
15,435 |
Local
Emerging Markets Debt Fund |
7,842 |
— |
5,464 |
4,625 |
— |
— |
— |
6,638 |
7,767 |
Long
Short Credit Strategies Fund |
2,281 |
34 |
3,149 |
5,945 |
— |
— |
— |
712 |
33,314 |
Income
Fund |
808 |
65 |
95 |
10,469 |
— |
— |
— |
17 |
23,768 |
Fund |
Class
A
and
C
Shares |
Class
R
Shares |
Investor
Shares |
Institutional
Shares |
Service
Shares |
Administration
Shares |
Separate
Account
Institutional
Shares |
Class
R6
Shares |
Class
P
Shares |
Enhanced
Income Fund |
14,042 |
$— |
$9,801 |
$80,117 |
$— |
$2,108 |
$— |
$13,858 |
$84,429 |
Short
Duration Government Fund |
142,564 |
— |
47,617 |
175,659 |
7,703 |
— |
— |
4,280 |
110,740 |
Short
Duration Tax-Free Fund |
269,772 |
— |
179,380 |
801,080 |
66 |
— |
— |
2,131 |
2,226,053 |
Government
Income Fund |
99,664 |
19,612 |
12,319 |
71,332 |
14,470 |
— |
— |
3,448 |
4,565 |
Dynamic
Municipal Income Fund |
1,913,424 |
— |
1,273,912 |
1,464,759 |
72 |
— |
— |
25,069 |
544,419 |
Core
Fixed Income Fund |
194,518 |
5,969 |
346,949 |
183,080 |
482 |
— |
— |
35,463 |
238,201 |
Short
Duration Bond Fund |
60,465 |
1,510 |
16,333 |
42,737 |
— |
— |
— |
1,653 |
451,896 |
Global
Core Fixed Income Fund |
66,176 |
— |
75,443 |
107,481 |
241 |
— |
— |
86,147 |
2,692 |
High
Yield Municipal Fund |
689,523 |
— |
476,924 |
454,073 |
— |
— |
— |
1,787 |
2,031,666 |
High
Yield Fund |
166,339 |
9,509 |
17,669 |
126,300 |
2,886 |
— |
— |
15,715 |
459,029 |
High
Yield Floating Rate Fund |
4,628 |
16 |
1,223 |
45,418 |
— |
— |
— |
17,090 |
353,104 |
Strategic
Income Fund |
251,285 |
3,589 |
28,267 |
215,468 |
— |
— |
— |
1,888 |
75,066 |
Emerging
Markets Debt Fund |
66,221 |
— |
89,022 |
379,505 |
— |
— |
— |
59,563 |
8,181 |
U.S.
Mortgages Fund |
44,276 |
— |
72,196 |
17,576 |
— |
— |
64,773 |
4,849 |
2,924 |
Investment
Grade Credit Fund |
13,988 |
— |
7,983 |
35,686 |
— |
— |
74,246 |
332 |
75,713 |
Bond
Fund |
127,483 |
6,627 |
63,859 |
59,480 |
31 |
— |
— |
26,875 |
27,776 |
Inflation
Protected Securities Fund |
80,417 |
20,660 |
64,562 |
76,096 |
— |
— |
— |
22,678 |
13,052 |
Local
Emerging Markets Debt Fund |
9,735 |
— |
5,865 |
5,115 |
— |
— |
— |
8,041 |
9,328 |
Long
Short Credit Strategies Fund |
2,353 |
33 |
2,862 |
6,245 |
— |
— |
— |
760 |
26,618 |
Income
Fund |
523 |
64 |
64 |
9,869 |
— |
— |
— |
15 |
14,742 |
Fund |
Class
A
and
C
Shares |
Class
R
Shares |
Investor
Shares |
Institutional
Shares |
Service
Shares |
Administration
Shares |
Separate
Account
Institutional
Shares |
Class
R6
Shares |
Class
P
Shares |
Enhanced
Income Fund |
$16,344 |
$— |
$10,962 |
$96,170 |
$— |
$1,392 |
$— |
$15,272 |
$53,724 |
Short
Duration Government Fund |
118,684 |
— |
38,470 |
141,431 |
7,264 |
— |
— |
1,933 |
121,617 |
Short
Duration Tax-Free Fund |
182,697 |
— |
106,263 |
643,811 |
86 |
— |
— |
1,662 |
1,663,829 |
Government
Income Fund |
113,535 |
25,838 |
2,633 |
54,811 |
14,548 |
— |
— |
2,597 |
3,460 |
Dynamic
Municipal Income Fund |
1,703,992 |
— |
981,308 |
1,239,013 |
90 |
— |
— |
18,832 |
456,375 |
Core
Fixed Income Fund |
131,623 |
6,218 |
62,813 |
95,145 |
394 |
— |
— |
51,349 |
183,506 |
Short
Duration Bond Fund |
14,538 |
170 |
23,347 |
26,464 |
— |
— |
— |
379 |
206,715 |
Global
Core Fixed Income Fund |
83,821 |
— |
70,335 |
102,073 |
438 |
— |
— |
88,186 |
2,443 |
High
Yield Municipal Fund |
672,322 |
— |
391,624 |
386,021 |
— |
— |
— |
4 |
1,972,035 |
High
Yield Fund |
216,807 |
16,012 |
22,450 |
132,800 |
3,197 |
— |
— |
20,715 |
494,037 |
High
Yield Floating Rate Fund |
5,805 |
25 |
1,813 |
44,024 |
— |
— |
— |
10,183 |
577,053 |
Strategic
Income Fund |
370,979 |
5,806 |
78,859 |
314,220 |
— |
— |
— |
2,256 |
90,496 |
Emerging
Markets Debt Fund |
99,603 |
— |
124,137 |
426,048 |
— |
— |
— |
75,596 |
4,647 |
U.S.
Mortgages Fund |
38,295 |
— |
199,930 |
13,554 |
— |
— |
66,943 |
4,916 |
2,579 |
Investment
Grade Credit Fund |
12,867 |
— |
5,115 |
19,324 |
— |
— |
72,257 |
277 |
60,883 |
Bond
Fund |
125,334 |
12,452 |
42,937 |
57,100 |
15 |
— |
— |
23,877 |
27,000 |
Inflation
Protected Securities Fund |
73,515 |
20,604 |
26,441 |
65,124 |
— |
— |
— |
13,236 |
26,038 |
Local
Emerging Markets Debt Fund |
11,734 |
— |
9,434 |
10,383 |
— |
— |
— |
15,662 |
12,889 |
Long
Short Credit Strategies Fund |
3,493 |
34 |
4,079 |
8,264 |
— |
— |
— |
630 |
24,575 |
Income
Fund* |
73 |
21 |
21 |
3,196 |
— |
— |
— |
5 |
25 |
Fund |
Other
Expenses Limitation |
Enhanced
Income Fund |
0.064% |
Short
Duration Government Fund |
0.004% |
Government
Income Fund |
0.004% |
Core
Fixed Income Fund |
0.014% |
Short
Duration Bond Fund |
0.014% |
Global
Core Fixed Income Fund |
0.004% |
Strategic
Income Fund |
0.054% |
Bond
Fund |
0.004% |
Inflation
Protected Securities Fund |
0.044% |
Short
Duration Tax-Free Fund |
0.004% |
Dynamic
Municipal Income Fund |
0.004% |
High
Yield Municipal Fund |
0.004% |
High
Yield Fund |
0.004% |
High
Yield Floating Rate Fund |
0.104% |
Emerging
Markets Debt Fund |
0.024% |
U.S.
Mortgages Fund |
0.074% |
Investment
Grade Credit Fund |
0.004% |
Local
Emerging Markets Debt Fund |
0.074% |
Long
Short Credit Strategies Fund |
0.094% |
Income
Fund |
0.054% |
Fund |
Fiscal
year ended
March
31, 2021 |
Fiscal
year ended
March
31, 2020 |
Fiscal
year ended
March
31, 2020 |
Enhanced
Income Fund |
$
— |
$138,409 |
$178,015 |
Short
Duration Government Fund |
541,402 |
539,680 |
678,591 |
Short
Duration Tax-Free Fund |
1,777,163 |
1,677,545 |
1,318,129 |
Government
Income Fund |
571,039 |
552,688 |
527,563 |
Dynamic
Municipal Income Fund |
1,736,164 |
2,212,210 |
1,223,893 |
Core
Fixed Income Fund |
759,264 |
714,441 |
660,481 |
Fund |
Fiscal
year ended
March
31, 2021 |
Fiscal
year ended
March
31, 2020 |
Fiscal
year ended
March
31, 2020 |
Short
Duration Bond Fund |
545,642 |
573,858 |
514,575 |
Global
Core Fixed Income Fund |
893,538 |
926,001 |
601,327 |
High
Yield Municipal Fund |
1,475,479 |
1,708,050 |
1,519,688 |
High
Yield Fund |
657,082 |
450,971 |
269,181 |
High
Yield Floating Rate Fund |
— |
470,263 |
0 |
Strategic
Income Fund |
319,268 |
233,027 |
213,639 |
Emerging
Markets Debt Fund |
299,590 |
673,568 |
625,292 |
U.S.
Mortgages Fund |
187,697 |
103,825 |
217,887 |
Investment
Grade Credit Fund |
446,854 |
443,407 |
417,009 |
Bond
Fund |
831,987 |
695,186 |
696,742 |
Inflation
Protected Securities Fund |
217,113 |
309,019 |
256,569 |
Local
Emerging Markets Debt Fund |
334,431 |
487,254 |
491,631 |
Long
Short Credit Strategies Fund |
309,748 |
291,576 |
400,643 |
Income
Fund* |
351,821 |
504,994 |
181,666 |
|
High
Yield |
High
Yield
Floating
Rate |
Gross
Income from Securities Lending Activities1 |
$578,215 |
$325,544 |
Fees
and/or Compensation for Securities Lending Activities and Related
Services |
|
|
Revenue
Split2 |
$50,227 |
$27,709 |
Cash
Collateral Management Fees3 |
$0 |
$0 |
Rebates
to Borrowers |
$0 |
$0 |
Aggregate
Fees/Compensation for Securities Lending Activities |
$126,097 |
$76,142 |
Net
Income from the Securities Lending Activities |
$452,118 |
$249,402 |
Fiscal
Year Ended
March
31, 2022 |
Total
Brokerage
Commissions
Paid1
|
Total
Brokerage
Commissions
Paid
to
Goldman Sachs2
|
Total
Amount of
Transactions
on which
Commissions
Paid3
|
Amount
of
Transactions
Effected
Through
Brokers
Providing
Research4
|
Brokerage
Commissions
Paid to
Brokers
Providing
Research4
|
Enhanced
Income Fund |
$49,496 |
$
45,141 (100%) |
$
4,685,458,321 (0%) |
$0 |
$0 |
Short
Duration Government Fund |
82,327
|
82,053
(100%) |
7,713,730,687
(0%) |
0 |
0 |
Short
Duration Tax-Free Fund |
0 |
0
(0%) |
0
(0%) |
0 |
0 |
Government
Income Fund |
18,886
|
18,174
(100%) |
1,493,926,496
(0%) |
0 |
0 |
Dynamic
Municipal Income Fund |
0 |
0
(0%) |
5,071,207,871
(0%) |
0 |
0 |
Core
Fixed Income Fund |
128,608
|
126,929
(100%) |
11,055,031,717
(0%) |
0 |
0 |
Short
Duration Bond Fund |
221,469
|
218,813
(100%) |
19,955,806,134
(0%) |
0 |
0 |
Global
Core Fixed Income Fund |
0 |
0
(0%) |
4,497,017,510
(0%) |
0 |
0 |
High
Yield Municipal Fund |
0 |
0
(0%) |
5,197,839,888
(0%) |
0 |
0 |
High
Yield Fund |
0 |
0
(0%) |
4,930,398,035
(0%) |
0 |
0 |
High
Yield Floating Rate Fund |
0 |
0
(0%) |
1,575,439,086
(0%) |
0 |
0 |
Strategic
Income Fund |
208,926
|
208,935
(100%) |
17,311,741,605
(0%)
|
0 |
0 |
Emerging
Markets Debt Fund |
71,969
|
71,969
(100%) |
5,844,478,606
(0%) |
0 |
0 |
U.S.
Mortgages Fund |
14,070
|
13,570
(100%) |
1,094,299,290
(0%) |
0 |
0 |
Investment
Grade Credit Fund |
29,442
|
29,345
(100%) |
2,488,067,732
(0%) |
0 |
0 |
Bond
Fund |
57,164
|
56,543
(100%) |
4,667,259,404
(0%) |
0 |
0 |
Inflation
Protected Securities Fund |
23,847
|
0
(0%) |
1,779,218,678
(0%) |
0 |
0 |
Local
Emerging Markets Debt Fund |
3,716
|
3,716
(100%) |
302,182,589
(0%) |
0 |
0 |
Fiscal
Year Ended
March
31, 2022 |
Total
Brokerage
Commissions
Paid1 |
Total
Brokerage
Commissions
Paid
to
Goldman Sachs2 |
Total
Amount of
Transactions
on which
Commissions
Paid3 |
Amount
of
Transactions
Effected
Through
Brokers
Providing
Research4 |
Brokerage
Commissions
Paid to
Brokers
Providing
Research4 |
Long
Short Credit Strategies Fund |
0 |
0
(0%) |
0 |
0 |
0 |
Income
Fund |
0 |
0
(0%) |
395,367,781
(0%) |
0 |
0 |
Fiscal
Year Ended
March
31, 2021 |
Total
Brokerage
Commissions
Paid1
|
Total
Brokerage
Commissions
Paid
to
Goldman Sachs2
|
Total
Amount of
Transactions
on which
Commissions
Paid2,
3
|
Amount
of
Transactions
Effected
Through
Brokers
Providing
Research4
|
Brokerage
Commissions
Paid to
Brokers
Providing
Research4
|
Enhanced
Income Fund |
$24,825
|
$
24,825 (100%) |
$
2,381,118,758 (0%) |
$0 |
$0 |
Short
Duration Government Fund |
86,764
|
86,764
(100%) |
8,711,794,073
(0%) |
0 |
0 |
Short
Duration Tax-Free Fund |
0 |
0
(0%) |
0
(0%) |
0 |
0 |
Government
Income Fund |
18,466
|
18,466
(100%) |
1,621,959,695
(0%) |
0 |
0 |
Dynamic
Municipal Income Fund |
0 |
0
(0%) |
189,679,761
(0%) |
0 |
0 |
Core
Fixed Income Fund |
85,971
|
85,971
(100%) |
7,875,899,424
(0%) |
0 |
0 |
Short
Duration Bond Fund |
108,407
|
108,407
(100%) |
$
9,981,446,817 (0%) |
0 |
0 |
Global
Core Fixed Income Fund |
0 |
0
(0%) |
5,199,797,395
(0%) |
0 |
0 |
High
Yield Municipal Fund |
0 |
0
(0%) |
211,857,513
(0%) |
0 |
0 |
High
Yield Fund |
0 |
0
(0%) |
7,178,046,264
(0%) |
0 |
0 |
High
Yield Floating Rate Fund |
2,505 |
0
(0%) |
545,630,375
(0%) |
0 |
0 |
Strategic
Income Fund |
235,468
|
235,468
(100%) |
19,879,274,274
(0%) |
0 |
0 |
Emerging
Markets Debt Fund |
104,499
|
104,499
(100%) |
8,463,744,770
(0%) |
0 |
0 |
U.S.
Mortgages Fund |
15,056 |
15,056
(100%) |
1,418,670,259
(0%) |
0 |
0 |
Investment
Grade Credit Fund |
38,272 |
38,272
(100%) |
3,366,226,290
(0%) |
0 |
0 |
Bond
Fund |
40,936 |
40,936
(100%) |
3,501,263,206
(0%) |
0 |
0 |
Inflation
Protected Securities Fund |
15,034
|
15,034
(100%) |
1,307,546,893
(0%) |
0 |
0 |
Local
Emerging Markets Debt Fund |
4,719 |
4,719
(100%) |
406,166,460
(0%) |
0 |
0 |
Long
Short Credit Strategies Fund |
0 |
0
(0%) |
0
(0%) |
0 |
0 |
Income
Fund |
0 |
0
(0%) |
479,294,003
(0%) |
0 |
0 |
Fiscal
Year Ended
March
31, 2020 |
Total
Brokerage
Commissions
Paid1 |
Total
Brokerage
Commissions
Paid
to
Goldman Sachs2
|
Total
Amount of
Transactions
on which
Commissions
Paid2,
3
|
Amount
of
Transactions
Effected
Through
Brokers
Providing
Research4
|
Brokerage
Commissions
Paid to
Brokers
Providing
Research4
| |
Enhanced
Income Fund |
$17,747 |
$
17,747 (100%) |
$
1,685,720,427 (100%) |
$0 |
$0 | |
Short
Duration Government Fund |
112,001 |
112,001
(100%) |
11,782,632,397
(100%) |
0 |
0 | |
Short
Duration Tax-Free Fund |
0 |
0
(0%) |
0
(0%) |
0 |
0 | |
Government
Income Fund |
23,213 |
23,213
(100%) |
2,116,823,927
(100%) |
0 |
0 | |
Dynamic
Municipal Income Fund |
5,392 |
0
(0%) |
561,001,457
(0%) |
0 |
0 | |
Core
Fixed Income Fund |
74,330 |
74,330
(100%) |
6,707,188,022
(100%) |
0 |
0 | |
Short
Duration Bond Fund |
86,472 |
86,472
(100%) |
8,778,833,573
(100%) |
0 |
0 | |
Global
Core Fixed Income Fund |
57,579 |
0
(0%) |
5,101,891,290
(0%) |
0 |
0 | |
High
Yield Municipal Fund |
5,253 |
0
(0%) |
550,836,313
(0%) |
0 |
0 | |
High
Yield Fund |
101,460 |
0
(0%) |
8,737,683,442
(0%) |
0 |
0 | |
High
Yield Floating Rate Fund |
4,260 |
0
(0%) |
342,719,764
(0%) |
0 |
0 | |
Strategic
Income Fund |
463,781 |
463,781
(100%) |
41,684,988,174
(100%) |
0 |
0 | |
Emerging
Markets Debt Fund |
105,990 |
105,990
(100%) |
9,394,543,870
(100%) |
0 |
0 | |
U.S.
Mortgages Fund |
24,339 |
24,339
(100%) |
2,152,984,592
(100%) |
0 |
0 | |
Investment
Grade Credit Fund |
31,949 |
31,949
(100%) |
2,968,117,418
(100%) |
0 |
0 | |
Bond
Fund |
58,447 |
58,447
(100%) |
5,264,839,243
(100%) |
0 |
0 | |
Inflation
Protected Securities Fund |
31,924 |
31,924
(100%) |
2,880,489,260
(100%) |
0 |
0 | |
Local
Emerging Markets Debt Fund |
7,840 |
7,840
(100%) |
701,446,339
(100%) |
0 |
0 | |
Long
Short Credit Strategies Fund |
0 |
0
(0%) |
0
(0%) |
0 |
0 | |
Income
Fund5
|
715 |
0
(0%) |
64,030,948
(0%) |
0 |
0 |
Fund |
Broker/Dealer |
Amount
(000s) |
Enhanced
Income Fund |
Citigroup
Global Markets Inc.
|
45,141 |
Short
Duration Bond Fund |
Citigroup
Global Markets Inc. |
182,663 |
|
J.P.
Morgan Securities PLC |
11,876 |
|
Morgan
Stanley & Co. LLC |
7,540 |
|
BofA
Securities, Inc. |
5,247 |
|
Nomura
Securities
International,
Inc.
|
3,774 |
|
Barclays
Capital Inc.
|
2,548 |
Fund |
Broker/Dealer |
Amount
(000s) |
|
Merrill
Lynch International
|
2,889 |
|
UBS
AG |
597 |
|
RBC
Europe Limited |
940 |
|
BNP
Paribas-London Branch |
605 |
Short
Duration Government Fund
|
Citigroup
Global Markets Inc.
|
77,567 |
|
BofA
Securities, Inc.
|
1,854 |
|
Morgan
Stanley & Co. LLC |
1,608 |
|
J.P.
Morgan Securities PLC |
951 |
|
Barclays
Capital Inc.
|
73 |
Bond
Fund |
Citigroup
Global Markets Inc. |
42,094 |
|
J.P.
Morgan Securities PLC |
5,308 |
|
Morgan
Stanley & Co. LLC |
3,109 |
|
BofA
Securities, Inc. |
2,643 |
|
Barclays
Capital Inc.
|
845 |
|
Nomura
Securities
International,
Inc.
|
1,016 |
|
Merrill
Lynch International
|
778 |
|
UBS
AG |
287 |
|
RBC
Europe Limited |
252 |
|
BNP
Paribas-London Branch |
190 |
Core
Fixed Income Fund |
Citigroup
Global Markets Inc. |
103,606 |
|
J.P.
Morgan Securities PLC |
7,579 |
|
Morgan
Stanley & Co. LLC |
4,806 |
|
BofA
Securities, Inc. |
6,014 |
|
Barclays
Capital Inc |
1,243 |
|
UBS
AG |
101 |
|
Nomura
Securities
International,
Inc. |
1,594 |
|
Merrill
Lynch International
|
1,244 |
|
RBC
Europe Limited |
399 |
|
BNP
Paribas-London Branch |
280 |
Global
Core Fixed Income Fund |
Citigroup
Global Markets Inc. |
15,118 |
|
J.P.
Morgan Securities PLC |
19,716 |
|
Morgan
Stanley & Co. LLC |
6,537 |
|
Barclays
Capital Inc. |
5,408 |
|
Deutsche
Bank AG-London Branch |
1,852 |
|
Citigroup
Global Markets Limited |
1,143 |
|
Merrill
Lynch International
|
1,079 |
|
Nomura
Securities
International,
Inc.
|
1,042 |
|
UBS
AG |
833 |
|
RBC
Europe Limited |
261 |
Income
Fund |
Citigroup
Global Markets Inc. |
4,489 |
|
Morgan
Stanley & Co. LLC |
231 |
|
UBS
AG |
9 |
|
Barclays
Capital Inc.
|
32 |
|
J.P.
Morgan Securities PLC |
45 |
Government
Income Fund |
Citigroup
Global Markets Inc.
|
15,195 |
|
Morgan
Stanley & Co. LLC |
1,179 |
|
Barclays
Capital Inc.
|
46 |
|
J.P.
Morgan Securities PLC |
617 |
Fund |
Broker/Dealer |
Amount
(000s) |
|
BofA
Securities, Inc.
|
1,137 |
Strategic
Income Fund |
Citigroup
Global Markets Inc.
|
154,107 |
|
J.P.
Morgan Securities PLC |
20,821 |
|
Morgan
Stanley & Co. LLC |
12,629 |
|
Nomura
Securities
International,
Inc. |
6,732 |
|
Merrill
Lynch International
|
5,186 |
|
Barclays
Capital Inc. |
4,847 |
|
RBC
Europe Limited |
1,680 |
|
BNP
Paribas-London Branch |
1,091 |
|
UBS
AG |
1,058 |
|
BofA
Securities, Inc. |
661 |
Inflation
Protected Securities Fund |
Citigroup
Global Markets Inc.
|
19,153 |
|
Morgan
Stanley & Co. LLC |
1,087 |
|
Barclays
Capital Inc.
|
41 |
|
J.P.
Morgan Securities PLC |
808 |
|
BofA
Securities, Inc. |
1,134 |
High
Yield Municipal Fund |
Citigroup
Global Markets Inc.
|
62,033 |
High
Yield Fund |
Citigroup
Global Markets Inc.
|
53,206 |
|
Morgan
Stanley & Co. LLC |
4,276 |
|
Barclays
Capital Inc. |
175 |
|
J.P.
Morgan Securities OLC |
2,714 |
High
Yield Floating Rate Fund |
Citigroup
Global Markets Inc. |
21,585 |
Investment
Grade Credit Fund |
Citigroup
Global Markets Inc. |
27,720 |
|
Morgan
Stanley & Co. LLC |
1,196 |
|
BofA
Securities, Inc. |
13 |
|
Barclays
Capital Inc.
|
47 |
|
Deutsche
Bank AG-London Branch |
5 |
|
J.P.
Morgan Securities PLC |
362 |
Dynamic
Municipal Income Fund |
Citigroup
Global Markets Inc.
|
60,668 |
U.S.
Mortgages Fund |
BofA
Securities, Inc. |
588 |
|
Citigroup
Global Markets Inc. |
11,778 |
|
Morgan
Stanley & Co. LLC |
635 |
|
Barclays
Capital Inc.
|
25 |
|
J.P.
Morgan Securities PLC |
544 |
Emerging
Markets Debt Fund |
Citigroup
Global Markets Inc. |
64,798 |
|
Morgan
Stanley & Co. LLC |
4,778 |
|
UBS
AG |
57 |
|
Deutsche
Bank AG-London Branch |
301 |
|
Barclays
Capital Inc.
|
215 |
|
J.P.
Morgan Securities PLC
|
1,820 |
Local
Emerging Markets Debt Fund
|
Citigroup
Global Markets Inc.
|
2,955 |
|
Morgan
Stanley & Co. LLC |
246 |
|
Citigroup
Global Markets Limited
|
103 |
|
Deutsche
Bank AG-London Branch |
48 |
|
Barclays
Capital Inc.
|
13 |
|
Merrill
Lynch International
|
23 |
|
J.P.
Morgan Securities PLC |
329 |
Fund |
Amount
($) |
Year
of Expiration |
Enhanced
Income Fund |
$4,334,440 |
Perpetual
Short-term |
|
3,881,721 |
Perpetual
Long-term |
Short
Duration Government Fund |
13,826,642 |
Perpetual
Short-term |
|
25,728,455 |
Perpetual
Long-term |
Government
Income Fund |
3,089,007 |
Perpetual
Short-term |
|
4,680,660 |
Perpetual
Long-term |
Strategic
Income Fund |
1,193,508,000 |
Perpetual
Short-term |
|
743,099,146 |
Perpetual
Long-term |
Long
Short Credit Strategies Fund |
29,420,016 |
Perpetual
Short-term |
|
7,430,474 |
Perpetual
Long-term |
Emerging
Markets Debt Fund |
30,951,626 |
Perpetual
Short-term |
|
90,801,842 |
Perpetual
Long-term |
High
Yield Fund |
144,064,022 |
Perpetual
Short-term |
|
323,719,033 |
Perpetual
Long-term |
High
Yield Floating Rate Fund |
122,946,076 |
Perpetual
Short-term |
|
264,794,225 |
Perpetual
Long-term |
Local
Emerging Markets Debt Fund |
106,165,077 |
Perpetual
Short-term |
|
42,896,309 |
Perpetual
Long-term |
U.S.
Mortgages Fund |
4,615,804 |
Perpetual
Short-term |
|
6,986,423 |
Perpetual
Long-term |
Core
Fixed Income Fund |
5,836,719 |
Perpetual
Short-term |
Bond
Fund |
872,329 |
Perpetual
Short-term |
|
604,149 |
Perpetual
Long-term |
Dynamic
Municipal Income Fund |
254,051,738 |
Perpetual
Short-term |
High
Yield Municipal Fund |
310,682,673 |
Perpetual
Short-term |
|
76,796,044 |
Perpetual
Long-term |
Short
Duration Tax-Free Fund |
26,578,110 |
Perpetual
Short-term |
|
27,159,408 |
Perpetual
Long-term |
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. |
Fund |
Net
Asset
Value |
Maximum
Sales
Charge |
Offering
Price to
Public |
Enhanced
Income Fund |
$9.37 |
0.00% |
$9.37 |
Short
Duration Bond Fund |
$9.72 |
1.50% |
$9.87 |
Short
Duration Government Fund |
$9.52 |
1.50% |
$9.66 |
Short
Duration Tax-Free Fund |
$10.43 |
1.50% |
$10.59 |
Strategic
Income Fund |
$9.14 |
3.75% |
$9.50 |
Government
Income Fund |
$14.09 |
3.75% |
$14.64 |
Dynamic
Municipal Income Fund |
$15.72 |
3.75% |
$16.33 |
Core
Fixed Income Fund |
$10.11 |
3.75% |
$10.50 |
Global
Core Fixed Income Fund |
$12.00 |
3.75% |
$12.47 |
U.S.
Mortgages Fund |
$9.87 |
3.75% |
$10.25 |
Investment
Grade Credit Fund |
$8.76 |
3.75% |
$9.10 |
Bond
Fund |
$9.83 |
3.75% |
$10.21 |
Inflation
Protected Securities Fund |
$11.16 |
3.75% |
$11.59 |
High
Yield Municipal Fund |
$9.86 |
4.50% |
$10.32 |
High
Yield Fund |
$6.00 |
4.50% |
$6.28 |
High
Yield Floating Rate Fund |
$9.23 |
2.25% |
$9.44 |
Emerging
Markets Debt Fund |
$10.65 |
4.50% |
$11.15 |
Local
Emerging Markets Debt Fund |
$5.00 |
4.50% |
$5.24 |
Long
Short Credit Strategies Fund |
$8.52 |
3.75% |
$8.85 |
Income
Fund |
$9.55 |
3.75% |
$9.92 |
Fund |
Fiscal
year ended
March
31, 2022 |
Fiscal
year ended
March
31, 2021 |
Fiscal
year ended
March
31, 2020 |
Enhanced
Income Fund1
|
$30,986 |
$17,234 |
$18,858 |
Short
Duration Government Fund |
217,506 |
252,798 |
195,427 |
Short
Duration Tax-Free Fund |
591,960 |
515,692 |
311,571 |
Government
Income Fund |
169,676 |
192,916 |
208,933 |
Dynamic
Municipal Income Fund |
3,875,107 |
3,541,255 |
2,971,694 |
Core
Fixed Income Fund |
417,843 |
369,642 |
235,531 |
Short
Duration Bond Fund |
200,400 |
120,610 |
23,992 |
Global
Core Fixed Income Fund |
128,109 |
120,619 |
142,356 |
High
Yield Municipal Fund |
1,541,312 |
1,208,461 |
1,104,409 |
High
Yield Fund |
305,358 |
316,494 |
382,853 |
High
Yield Floating Rate Fund |
10,101 |
7,840 |
8,680 |
Strategic
Income Fund |
315,223 |
320,626 |
410,726 |
Emerging
Markets Debt Fund |
104,977 |
102,435 |
144,767 |
U.S.
Mortgages Fund |
82,865 |
90,484 |
73,645 |
Investment
Grade Credit Fund |
25,105 |
28,554 |
24,745 |
Bond
Fund |
174,179 |
227,960 |
218,013 |
Inflation
Protected Securities Fund |
152,709 |
158,551 |
133,485 |
Local
Emerging Markets Debt Fund |
11,332 |
12,471 |
14,163 |
Long
Short Credit Strategies Fund |
3,926 |
3,573 |
4,838 |
Income
Fund2
|
1,420 |
854 |
96 |
Fund |
Compensation
to
Dealers1
|
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* |
Enhanced
Income
Fund |
$30,223 |
$22,272 |
$7,430 |
$310 |
$846 |
$61,080 |
Short
Duration
Government
Fund |
217,884 |
38,014 |
13,464 |
562 |
1,532 |
271,456 |
Short
Duration
Tax-Free
Fund |
595,007 |
39,813 |
13,566 |
567 |
1,544 |
650,498 |
Government
Income
Fund |
164,920 |
20,205 |
7,125 |
298 |
811 |
193,359 |
Dynamic
Municipal
Income
Fund |
3,858,289 |
346,213 |
122,434 |
5,114 |
13,934 |
4,345,982 |
Core
Fixed
Income
Fund |
415,039 |
130,097 |
38,092 |
1,591 |
4,335 |
589,154 |
Short
Duration
Bond
Fund |
201,220 |
94,272 |
27,139 |
1,134 |
3,089 |
326,854 |
Fund |
Compensation
to
Dealers1 |
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* |
Global
Core Fixed
Income
Fund |
121,762 |
37,331 |
11,915 |
498 |
1,356 |
172,861 |
High
Yield
Municipal
Fund |
1,528,623 |
308,001 |
104,682 |
4,372 |
11,913 |
1,957,591 |
High
Yield Fund |
298,580 |
122,839 |
41,903 |
1,750 |
4,769 |
469,841 |
High
Yield Floating
Rate
Fund |
10,295 |
6,133 |
1,880 |
79 |
214 |
18,601 |
Strategic
Income
Fund |
313,029 |
154,487 |
52,467 |
2,191 |
5,971 |
528,146 |
Emerging
Markets
Debt
Fund |
105,361 |
61,230 |
20,127 |
841 |
2,291 |
189,849 |
U.S.
Mortgages
Fund |
82,998 |
11,821 |
4,096 |
171 |
466 |
99,553 |
Investment
Grade
Credit
Fund |
24,861 |
2,538 |
884 |
37 |
101 |
28,420 |
Bond
Fund |
172,173 |
15,832 |
5,735 |
240 |
653 |
194,633 |
Inflation
Protected
Securities
Fund |
151,956 |
23,103 |
7,966 |
333 |
907 |
184,264 |
Local
Emerging
Markets
Debt
Fund |
11,373 |
3,198 |
1,092 |
46 |
124 |
15,833 |
Long
Short Credit
Strategies
Fund |
3,990 |
1,711 |
585 |
24 |
67 |
6,377 |
Income
Fund |
1,283 |
64 |
27 |
1 |
3 |
1,378 |
Fund1
|
Fiscal
year ended
March
31, 2022 |
Fiscal
year ended
March
31, 2021 |
Fiscal
year ended
March
31, 2020 |
Short
Duration Government Fund2
|
$45,692 |
$61,813 |
$85,311 |
Short
Duration Tax-Free Fund2
|
49,338 |
60,642 |
103,409 |
Government
Income Fund |
15,486 |
31,774 |
37,617 |
Dynamic
Municipal Income Fund |
1,169,168 |
1,108,305 |
1,220,972 |
Core
Fixed Income Fund |
88,097 |
84,960 |
70,365 |
Short
Duration Bond Fund 2
|
11,757 |
7,161 |
10,310 |
Global
Core Fixed Income Fund |
29,183 |
44,124 |
75,284 |
High
Yield Municipal Fund |
630,078 |
607,483 |
754,121 |
High
Yield Fund |
47,444 |
69,133 |
136,335 |
High
Yield Floating Rate Fund |
6,381 |
4,833 |
9,938 |
Strategic
Income Fund |
311,780 |
576,159 |
1,210,773 |
Emerging
Markets Debt Fund |
74,686 |
97,241 |
187,111 |
Bond
Fund |
76,444 |
97,364 |
92,065 |
Fund1 |
Fiscal
year ended
March
31, 2022 |
Fiscal
year ended
March
31, 2021 |
Fiscal
year ended
March
31, 2020 |
Inflation
Protected Securities Fund |
25,451 |
17,980 |
31,548 |
Local
Emerging Markets Debt Fund |
15,014 |
22,234 |
33,609 |
Long
Short Credit Strategies Fund |
2,481 |
3,728 |
7,518 |
Income
Fund3
|
786 |
669 |
179 |
Fund |
Compensation
to
Dealer1
|
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* |
Short
Duration
Government
Fund |
$69,350 |
$24,667 |
$8,313 |
$392 |
$897 |
$103,619 |
Short
Duration
Tax-Free
Fund |
65,595 |
10,393 |
3,577 |
168 |
386 |
80,119 |
Government
Income
Fund |
28,911 |
3,591 |
1,134 |
53 |
122 |
33,812 |
Dynamic
Municipal
Income
Fund |
992,620 |
171,520 |
56,629 |
2,667 |
6,113 |
1,229,550 |
Core
Fixed
Income
Fund |
65,898 |
23,660 |
7,903 |
372 |
853 |
98,686 |
Short
Duration
Bond
Fund |
7,316 |
4,665 |
1,423 |
67 |
154 |
13,625 |
Global
Core Fixed
Income
Fund |
56,848 |
5,468 |
1,777 |
84 |
192 |
64,368 |
High
Yield
Municipal
Fund |
544,066 |
120,456 |
39,771 |
1,873 |
4,293 |
710,460 |
High
Yield Fund |
79,119 |
12,067 |
3,843 |
181 |
415 |
95,625 |
High
Yield Floating
Rate
Fund |
6,283 |
177 |
50 |
2 |
5 |
6,518 |
Strategic
Income
Fund |
770,489 |
95,068 |
32,190 |
1,516 |
3,475 |
902,738 |
Emerging
Markets
Debt
Fund |
119,144 |
19,101 |
6,205 |
292 |
670 |
145,411 |
Bond
Fund |
109,913 |
20,633 |
6,939 |
327 |
749 |
138,562 |
Inflation
Protected
Securities
Fund |
18,954 |
1,767 |
508 |
24 |
55 |
21,307 |
Fund |
Compensation
to
Dealer1 |
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* |
Local
Emerging
Markets
Debt
Fund |
23,204 |
2,730 |
788 |
37 |
85 |
26,843 |
Long
Short Credit
Strategies
Fund |
4,662 |
74 |
11 |
1 |
1 |
4,749 |
Income
Fund |
257 |
215 |
67 |
3 |
7 |
549 |
Fund1
|
Fiscal
year ended
March
31, 2022 |
Fiscal
year ended
March
31, 2021 |
Fiscal
year ended
March
31, 2020 |
Government
Income Fund |
$67,124 |
$79,930 |
$99,376 |
Core
Fixed Income Fund |
24,085 |
24,367 |
23,913 |
Short
Duration Bond Fund |
1,371 |
6,274 |
654 |
Inflation
Protected Securities Fund |
93,357 |
84,344 |
79,248 |
High
Yield Fund |
28,913 |
38,562 |
61,583 |
High
Yield Floating Rate Fund |
118 |
66 |
99 |
Strategic
Income Fund |
12,978 |
14,636 |
22,330 |
Bond
Fund |
19,326 |
27,041 |
47,893 |
Long
Short Credit Strategies Fund |
144 |
134 |
131 |
Income
Fund2
|
273 |
260 |
81 |
Fund |
Compensation
to
Dealer |
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* |
Government
Income
Fund |
$78,629 |
$1,690 |
$551 |
$26 |
$59 |
$80,955 |
Core
Fixed
Income
Fund |
24,367 |
2,394 |
927 |
44 |
100 |
27,832 |
Short
Duration
Bond
Fund |
7,672 |
2,742 |
1,094 |
52 |
118 |
11,677 |
Fund |
Compensation
to
Dealer |
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* |
Inflation
Protected
Securities
Fund |
81,639 |
737 |
143 |
7 |
15 |
82,541 |
High
Yield Fund |
38,659 |
1,037 |
407 |
19 |
44 |
40,166 |
High
Yield Floating
Rate
Fund |
4 |
0 |
0 |
0 |
0 |
4 |
Strategic
Income Fund |
13,043 |
1,584 |
614 |
29 |
66 |
15,336 |
Bond
Fund |
24,198 |
2,110 |
832 |
39 |
90 |
27,269 |
Long
Short Credit
Strategies
Fund |
1 |
1 |
0 |
0 |
0 |
2 |
Income
Fund |
0 |
3 |
0 |
0 |
0 |
3 |
Fund1
|
Fiscal
year ended
March
31, 2022 |
Fiscal
year ended
March
31, 2021 |
Fiscal
year ended
March
31, 2020 |
Enhanced
Income Fund2
|
$22,099 |
$— |
$— |
Short
Duration Government Fund |
48,108 |
48,146 |
90,804 |
Short
Duration Tax-Free Fund |
342 |
410 |
1,076 |
Government
Income Fund |
78,010 |
90,437 |
181,848 |
Dynamic
Municipal Income Fund |
65 |
447 |
1,118 |
Core
Fixed Income Fund |
2,743 |
3,012 |
4,926 |
Global
Core Fixed Income Fund |
1,568 |
1,504 |
5,468 |
High
Yield Fund |
18,109 |
18,037 |
39,962 |
Bond
Fund |
233 |
194 |
192 |
Fund |
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** |
Enhanced
Income
Fund |
0 |
0 |
0 |
0 |
0 |
0 |
Short
Duration
Government
Fund |
0 |
10,687 |
3,905 |
163 |
444 |
15,200 |
Short
Duration
Tax-Free
Fund |
0 |
0 |
0 |
0 |
0 |
1 |
Government
Income
Fund |
0 |
12,671 |
5,138 |
215 |
585 |
18,608 |
Dynamic
Municipal
Income
Fund |
0 |
0 |
0 |
0 |
0 |
0 |
Core
Fixed
Income
Fund |
0 |
43 |
17 |
1 |
2 |
62 |
Global
Core
Fixed
Income
Fund |
0 |
14 |
6 |
0 |
1 |
21 |
High
Yield Fund |
0 |
4,506 |
2,011 |
84 |
229 |
6,830 |
High
Quality
Floating
Rate
Fund |
0 |
3 |
1 |
0 |
0 |
4 |
Bond
Fund |
0 |
2 |
1 |
0 |
0 |
3 |
Fund |
Compensation
to
Dealer |
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* |
Enhanced
Income
Fund |
$0 |
$979 |
$562 |
$23 |
$64 |
$1,629 |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
7.80% |
Class
A |
RBC
Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus
Processing,
Attn Mutual Fund Ops. Manager, 60 S 6th St. Ste. 700 #P08, Minneapolis, MN
55402-4413 |
13.59% |
Class
A |
UBS
Financial Services Inc., UBS WM USA, Omni Account M/F Special Custody A/C,
1000
Harbor
Blvd., Weehawken, NJ 07086-6761 |
5.44% |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
25.58% |
Class
A |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-
3710 |
8.55% |
Class
A |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
12.07% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
80.32% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
11.07% |
Institutional |
The
Huntington National Bank, OhioHealth Corporation, 3430 Ohio Health Pkwy,
Columbus
OH
43202-1575 |
13.61% |
Institutional |
The
Huntington National Bank, The Reynolds And Reynolds Company, 1 Reynolds
Way,
Kettering
OH 45430-1586 |
11.01% |
Institutional |
The
Huntington National Bank, The Dispatch Printing Company, 34 S 3rd St Ste
600, Columbus
OH
43215-3082 |
8.67% |
Institutional |
National
Grid Insurance USA Ltd., 1 Metrotech Center, Brooklyn, NY
11201-3948 |
13.18% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
17.70% |
Institutional |
Rutgers,
The State University, Attention: University Treasury, 33 Knightsbridge
Road, Floor 2
West,
Piscataway, NJ 08854-3987 |
12.14% |
Service |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
61.94% |
Service |
GSAM
Holdings LLC Seed Accounts, Attn IMD-India-SAOS, Crystal Downs Fl. 3,
Embassy
Golf
Links Business Park, Bengaluru India 560071 |
35.78% |
Administration |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
99.36% |
Class
R6 |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept.,
499
Washington Blvd. 4th Flr., Jersey City, NJ
07310-1995 |
60.21% |
Class
R6 |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-
3710 |
38.87% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
94.25%* |
Class
P
|
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
5.74% |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
5.82% |
Class
A |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
5.55% |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
22.05% |
Class
A |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716- 1102 |
7.46% |
Class
A |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
8.95% |
Class
A |
Nationwide
Investment Services, Nationwide Trust CO FSB, C/O IPO Portfolio
Accounting, PO
Box
182029, Columbus, OH 43218-2029 |
6.38% |
Class
A |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-3710 |
8.88% |
Class
C |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716- 1102 |
10.39% |
Class
C |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
10.96% |
Class
C |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
43.11% |
Class
C |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
7.33% |
Class
C |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
9.08% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
39.17% |
Investor |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
7.69% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
12.70% |
Investor |
Principal
Securities Inc., DCGT as TTEE and/or Cust., FBO PLIC Various Retirement
Plans,
Omnibus,
Attn NPIO Trade Desk, 711 High St., Des Moines, IA
50392-0001 |
31.24% |
Institutional |
John
Hancock Trust Company, 690 Canton Street, Suite 100, Westwood, MA
02090-2324 |
5.56% |
Institutional |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
7.28% |
Institutional |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
17.95% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
26.84% |
Institutional |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
9.29% |
Institutional |
Minnesota
Life Insurance, 400 Robert St N Suite A, Saint Paul, MN
55101-2099 |
5.33% |
Service |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
37.85% |
Service |
Devon
Bank, DB CO/Devon Bank, 6445 N Western Ave. Ste. 300, Chicago, IL
60645-5452 |
57.09% |
Class
R6 |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-
3710 |
37.98% |
Class
R6 |
Mid
Atlantic Clearing & Settlement, Johnson Financial Group Master
Account, 1251 Waterfront
Place,
Suite 525, Pittsburgh, PA 15222-4228 |
8.51% |
Class
R6 |
Principal
Securities Inc., DCGT as TTEE and/or Cust., FBO PLIC Various Retirement
Plans,
Omnibus,
Attn NPIO Trade Desk, 711 High St., Des Moines, IA
50392-0001 |
23.19% |
Class |
Name/Address |
Percentage
of
Class |
Class
R6 |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
13.42% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
94.98%* |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
27.19% |
Class
A |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-
3710 |
10.37% |
Class
A |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
5.93% |
Class
A |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
22.00% |
Class
A |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
7.42% |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
8.74% |
Class
C |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
28.84% |
Class
C |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
17.18% |
Class
C |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
26.74% |
Class
C |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
10.43% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
33.05% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
52.34% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
11.11% |
Institutional |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
8.35% |
Institutional |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
10.09% |
Institutional |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
42.87% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
19.96% |
Service |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
96.25% |
Class |
Name/Address |
Percentage
of
Class |
Class
R6 |
MSCS
Financial Services LLC SEI Private trust Company, C/O Johnson Bank ETS ID
243,
Attn:
Mutual Fund Administrator, One Freedom Valley Drive, Oaks, PA
19456-9989 |
84.46% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
99.26%* |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Hartford
Life Insurance Company, Separate Account 401, 1 Griffin Rd. N, Windsor, CT
06095-1512 |
19.04% |
Class
A |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
8.62% |
Class
A |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-3710 |
6.65% |
Class
C |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
41.62% |
Class
C |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
7.12% |
Class
C |
Principal
Securities Inc, DCGT as TTEE and/or Customer FBO PLIC Various Retirement
Plans
Omnibus,
Attn: NPIO Trade Desk, 711 High St. Des Moines, IA
50392-0001 |
5.06% |
Class
C |
Stifel
Nicolaus & Co, Exclusive Benefit of Customers, 501 N. Broadway, St.
Louis, MO
63102-2188 |
5.76% |
Class
R |
Hartford
Life Insurance Company, Separate Account, 1 Griffin Rd. N, Windsor, CT
06095-1512 |
72.69% |
Class
R |
MML
Distributors, LLC-Aviator, Mass Mutual Life Insurance Co., 1295 State St.
MIP
M200-INVST,
Springfield, MA 01111-0001 |
5.45% |
Class
R |
Great-West
Trust Company LLC, FBO Empower Benefit Grandfathered Plan, 8515 E Orchard
Rd
# 2T2, Greenwood VLG CO 80111-50002 |
16.94% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
93.12%* |
Institutional |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
6.24% |
Institutional |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
14.34% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
28.95% |
Institutional |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
7.85% |
Institutional |
Principal
Securities Inc, DCGT as TTEE and/or Customer FBO PLIC Various Retirement
Plans
Omnibus,
Attn: NPIO Trade Desk, 711 High St. Des Moines, IA
50392-0001 |
5.31% |
Institutional |
MSCS
Financial Services LLC, SEI Private Trust Company, C/O First Horizon ID
683,
Attn:
Mutual Fund Administrator, One Freedom Valley Drive, Oaks, PA
19456-9989 |
8.32% |
Service |
Hartford
Life Insurance Co., Separate Account, 200 Hopmeadow St., Weatogue, CT
06089-9793 |
13.19% |
Service |
Security
Benefit Life Insurance Co., UMB Bank NA, FBO Fiduciary for Tax Deferred
Acct., 1
SW
Security Benefit Pl., Topeka, KS 66636-1000 |
29.91% |
Service |
Security
Benefit Life Insurance Co., UMB Bank NA, FBO Fiduciary for Tax Deferred
Accts., 1
SW
Security Benefit Pl., Topeka, KS 66636-1000 |
47.73% |
Class
R6 |
Matrix
Trust Company as Agent Fot Newport Trust Company Medallion Instrumentation
Systems,
LLC Employee 401(k) Plan, 35 Iron Point Circle, Folsom, CA
95630-8587 |
7.01% |
Class |
Name/Address |
Percentage
of
Class |
Class
R6 |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
15.50% |
Class
R6 |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-3710 |
8.26% |
Class
R6 |
Mid
Atlantic Trust Company FBOJohnson financial Group Master ACCO, 1251
Waterfront
Place,
Suite 525, Pittsburgh, PA 15222-4228 |
9.48% |
Class
R6 |
Hartford
Life Insurance Company, The Hartford, 1 Hartford Plz., Hartford, CT
06155-0001 |
10.34% |
Class
R6 |
MML
Distributors LLC, Massachusetts Mutual Insurance Co., 1295 State Street,
MIP
M200-INVST,
Springfield, MA 01111-0001 |
22.94% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
99.88% |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
15.08% |
Class
A |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
5.38% |
Class
A |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
20.84% |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
9.03% |
Class
A |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-3710 |
12.81% |
Class
A |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PP5, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
9.78% |
Class
A |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
5.20% |
Class
C |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97RR9, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
17.02% |
Class
C |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
25.73% |
Class
C |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
17.07% |
Class
C |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
9.00% |
Class
C |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
13.21% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
24.68% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
39.14% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
30.01% |
Institutional |
UBS
Financial Services Inc., UBS WM USA, Omni Account M/F Special Custody A/C,
1000
Harbor
Blvd., Weehawken, NJ 07086-6761 |
6.90% |
Class |
Name/Address |
Percentage
of
Class |
Institutional |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
15.46% |
Institutional |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
8.19% |
Institutional |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
19.79% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
18.95% |
Institutional |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
5.46% |
Institutional |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
13.19% |
Service |
TCA
TrustCorp. America, 5301 Wisconsin Ave. NW, Fourth Floor, Washington, DC
20015-2047 |
83.84% |
Service |
GSAM
Holdings LLC Seed Accounts, Attn IMD-India-SAOS, Crystal Downs Fl. 3,
Embassy
Golf
Links Business Park, Bengaluru India 560071 |
16.15% |
Class
R6 |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-3710 |
72.71% |
Class
R6 |
Reliance
Trust Company/FIS Laciba & Co/Cash, C/O Lake City Bank, Attn: Trust
Ops, 114 E
Market
St, Warsaw, IN 46580-2806 |
20.68% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
99.43% |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Mid
Atlantic Capital Corp., Wright – Falcon International Bank, Falcon
International Bank,
19230
Stone Oak Parkway, San Antonio, TX 78258-3282 |
6.75% |
Class
A |
Mid
Atlantic Capital Corp., Wright – First National Huntsville Company, 1300
11th St.,
Huntsville,
TX 77340-3802 |
5.97% |
Class
A |
ADP/Broker
Dealer Inc., State Street Bank Trustee and or Custodian FBO ADP Access
Product,
1
Lincoln St., Boston, MA 02111-2901 |
6.24% |
Class
A |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
14.50% |
Class
A |
TD
Ameritrade Clearing Inc., TD Ameritrade Inc. for the exclusive benefit of
our clients, PO
Box
2226, Omaha, NE 68103-2226 |
5.80% |
Class
A |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
11.83% |
Class
A |
GWFS
Equities Inc., Great-West Trust Company LLC TTEE F Employee Benefits
Clients 401K,
8515
E Orchard Rd. 2T2, Greenwood Village, CO, 80111-5002 |
5.72% |
Investor |
ADP/Broker
Dealer Inc., State Street Bank Trustee and or Custodian FBO ADP Access
Product,
1
Lincoln St., Boston, MA 02111-2901 |
5.23% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
12.38% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
70.13% |
Institutional |
MSCS
Financial Services LLC SEI Private trust Company, C/O Johnson Bank ETS ID
243,
Attn:
Mutual Fund, One Freedom Valley Drive, Oaks, PA
19456-9989 |
9.17% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
47.93% |
Institutional |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
8.92% |
Class |
Name/Address |
Percentage
of
Class |
Institutional |
GWFS
Equities Inc., Great-West Trust Company LLC TTEE F Energy Northwest 401k
Deferred
Comp,
8515 E Orchard Rd. 2T2, Greenwood Village, CO,
80111-5002 |
15.53% |
Separate
Account |
GS
PWM Institutional Class, Goldman, Sachs & Co., FBO Account, C/O Mutual
Fund Ops,
200
West Street, New York, NY 10282-2198 |
8.63% |
Separate
Account |
GS
PWM Institutional Class, Goldman, Sachs & Co., FBO Account, C/O Mutual
Fund Ops,
200
West Street, New York, NY 10282-2198 |
6.20% |
Separate
Account |
GS
PWM Institutional Class, Goldman, Sachs & Co., FBO Account, C/O Mutual
Fund Ops,
200
West Street, New York, NY 10282-2198 |
17.51% |
Separate
Account |
GS
PWM Institutional Class, Goldman, Sachs & Co., FBO Account, C/O Mutual
Fund Ops,
200
West Street, New York, NY 10282-2198 |
13.57% |
Separate
Account |
GS
PWM Institutional Class, Goldman, Sachs & Co., FBO Account, C/O Mutual
Fund Ops,
200
West Street, New York, NY 10282-2198 |
9.44% |
Class
R6 |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-3710 |
16.88% |
Class
R6 |
GWFS
Equities Inc., Great-West Trust Company LLC TTEE F Employee Benefits
Clients 401K,
8515
E Orchard Rd. 2T2, Greenwood Village, CO, 80111-5002 |
8.19% |
Class
R6 |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
55.67% |
Class
R6 |
ADP/Broker
Dealer Inc., State Street Bank Trustee and or Custodian FBO ADP Access
Product,
1
Lincoln St., Boston, MA 02111-2901 |
10.52% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
99.76% |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
55.69% |
Class
A |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-
3710 |
19.57% |
Class
C |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
26.18% |
Class
C |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
8.76% |
Class
C |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
18.48% |
Class
C |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97RT5, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
7.48% |
Class
C |
Mid
Atlantic Clearing & Securities, FBO Account, Pleasantville, NJ
08232
|
5.20% |
Class
R |
ADP/Broker
Dealer Inc., State Street Bank Trustee and or Custodian FBO ADP Access
Product,
1
Lincoln St., Boston, MA 02111-2901 |
82.73% |
Class
R |
American
Portfolios Financial, Ascensus trust company FBO, Envirotrac LTD 401K Plan
197093,
PO Box 10758, Fargo, ND |
5.37% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
52.58% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
21.62% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
21.38% |
Class |
Name/Address |
Percentage
of
Class |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
46.06% |
Institutional |
TD
Ameritrade Clearing Inc., TD Ameritrade Inc. for the exclusive benefit of
our clients, PO
Box
2226, Omaha, NE 68103-2226 |
11.59% |
Institutional |
Reliance
Trust Company/FIS, Mitra & Co. FBO Customer C/O Reliance Trust Co
(WI),
Mailcode: BD1N – Attn: MF, 4900 W Brown Deer Rd, Milwaukee, WI
53223-2422 |
7.75% |
Institutional |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
5.60% |
Institutional |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
5.10% |
Service |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
11.37% |
Service |
TCA
TrustCorp. America, 5301 Wisconsin Ave. NW Ste. 450, Washington, DC
20015-2047 |
8.24% |
Class
R6 |
Goldman
Sachs Asset Management LP, US Bank TT&SS Alternative, FBO Account, 601
Childrens
Ln, Norfolk, VA 23507-1910 |
46.71% |
Class
R6 |
Goldman
Sachs Direct Accounts, FBO Accounts, Mutual Fund Operations, 500 Grant
St.,
Pittsburgh
PA 15219-2502 |
39.66% |
Class
R6 |
Goldman
Sachs Trust, GS Trust Balanced Strategy Core Fixed Income, C/O Fund
Management
Team,
200 West St., New York, NY 10282-2102 |
5.42% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
99.45%* |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
5.66% |
Class
A |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-
3710 |
32.08% |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
18.55% |
Class
A |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market St, Saint Louis, MO 63103-2523 |
6.13% |
Class
C |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PRR1, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
12.84% |
Class
C |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
9.48% |
Class
C |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
6.20% |
Class
C |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
22.16% |
Class
C |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO, 707 2nd
Ave.
S.,
Minneapolis, MN 55402-2405 |
11.89% |
Class
C |
Raymond
James & Associates, Omnibus for Mutual Funds, Attn Courtney Waller,
880 Carillon
Parkway,
St. Petersburg, FL. 33716-1102 |
8.68% |
Class
C |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York
Plaza
Floor 12, New York, NY 10004-1932 |
5.89% |
Class |
Name/Address |
Percentage
of
Class |
Class
C |
UBS
Financial Services Inc., UBS WM USA, Omni Account M/F Special Custody A/C
EBOC
UBSFSI,
1000 Harbor Blvd., Weehawken, NJ 07086-6761 |
7.24% |
Class
R |
Mid
Atlantic Trust Company FBO Equity Building Services LLC 401(K), 1521
Waterfront
Place,
Suite 525, Pittsburgh, PA 15222-4228 |
7.45% |
Class
R |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
14.73% |
Class
R |
MML
Distributors, LLC-Aviator, Mass Mutual Life Insurance Co., 1295 State St.
MIP
M200-INVST,
Springfield, MA 01111-0001 |
58.50% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
18.56% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO , 707 2nd
Ave.
S.,
Minneapolis, MN 55402-2405 |
42.70% |
Investor |
GWFS
Equities Inc., Great West Trust CO LLC FBO Recordkeeping For Various
Benefit Pl
Omniputnam,
8515 E Orchard Rd. 2T2, Greenwood Village, CO,
80111-5002 |
8.79% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
27.19% |
Institutional |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
6.37% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
20.15% |
Institutional |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
17.93% |
Institutional |
Charles
Schwab & Co Inc, Special Custody Account For Benefit of Customers,
Attn
Mutual
Funds, 211 Main St, San Francisco, CA 94105-1901 |
7.32% |
Institutional |
Voya
Institutional Plan Services LLC, Voya Institutional TR Co as TTEE,
Custodian for Core
Market
Solutions, 30 Braintree Hill Office Park, Braintree, MA
02184-8747 |
18.01% |
Service |
MSCS
Financial Services LLC, PAI Trust Company, INC. Sanjay Kandoth MD PC
401(K) P/S
PLA
1300 Enterprise Dr., De Pere WI 54115-4934 |
82.19% |
Service |
GSAM
Holdings LLC Seed Account, Attn IMD-India-SAOS, Helios Business Park, 150
Outer
Ring
Road, Kadubeesanahalli, Bengaluru, 560103 India |
17.80% |
Class
R6 |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-3710 |
5.00% |
Class
R6 |
Valic
Financial Advisors Inc., VRSCO, FBO AIGFSB Cust. TTEE FBO Coop School
District of
Greater
St. Louis 403B, 2727-A Allen Parkway, 4-D1, Houston, TX
77019-2107 |
7.21% |
Class
R6 |
Pims/Prudential
Retirement As Nominee For The Ttee/Cust Pl 106 Profit Sharing And Salary
PO
BOX
5788, Portland OR 97228-5788 |
6.06% |
Class
R6 |
Valic
Financial Advisors Inc., VRSCO, FBO AIGFSB Cust. TTEE FBO Minneapolis
Public
Schools
403B, 2727-A Allen Parkway, 4-D1, Houston, TX
77019-2107 |
6.21% |
Class
R6 |
GWFS
Equities Inc., Great-West Trust Company LLC FBO Employee Benefits Clients
401k,
8515
E Orchard Rd. 2T2, Greenwood Village, CO 80111-5002 |
11.06% |
Class
R6 |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
30.53% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
99.98% |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
56.84% |
Class
A |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
16.82% |
Class
A |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-
3710 |
11.08% |
Class
C |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
31.78% |
Class
C |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
28.54% |
Class
C |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
14.51% |
Class
C |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
11.53% |
Class
R |
Ascensus
Broker Dealer Services LLC, Ascensus Trust Company FBO, Kriegman &
Smith, Inc
401(K)
Saving, P.O. Box 10758, Fargo ND 58106-0758 |
82.31% |
Class
R |
Ascensus
Broker Dealer Services LLC, Ascensus Trust Company FBO, MTW Aerospace 401k
Plan,
P.O. Box 10758, Fargo ND 58106-0758 |
8.95% |
Class
R |
GSAM
Holdings LLC Seed Account, Attn IMD-India-SAOS, Helios Business Park, 150
Outer
Ring
Road, Kadubeesanahalli, Bengaluru, 560103 India |
7.04% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
46.38% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
33.16% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
18.08% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
30.57% |
Institutional |
Ziff
Brothers Investments LLC DR Hedge LP C/O DR Capital Management LLC, 420
Fifth Ave
Fl
5, New York NY 10018-0941 |
27.30% |
Institutional
|
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
12.37% |
Institutional |
UBS
Financial Services Inc., UBS WM USA, Omni Account M/F Special Custody A/C
EBOC
UBSFSI,
1000 Harbor Blvd., Weehawken, NJ 07086-6761 |
6.69% |
Institutional |
SEI
Private Trust Company, C/O ID 261, Attn Mutual Funds, 1 Freedom Valley
Dr., Oaks, PA
19456-9989
|
5.73% |
Class
R6 |
Goldman
Sachs Trust, State Street Bank & Trust Co. Cust. FBO Goldman Sachs
Growth and
Income
Strategy Portfolio, Omnibus A/C Global Income Fund, C/O State Street
Corporation, 2
Avenue
de Lafayette Fl. 6, Boston, MA 02111-1888 |
36.42% |
Class
R6 |
Goldman
Sachs Trust, State Street Bank & Trust Co. Cust. GS Trust Growth
Strategy, C/O State
Street
Corporation, 2 Avenue de Lafayette Fl. 6, Boston, MA
02111-1888 |
34.47% |
Class
R6 |
Goldman
Sachs Trust, State Street Bank & Trust Co. Cust. FBO Goldman Sachs
Balanced
Strategy
Fund, Omnibus A/C – Global Income Fund, C/O State Street Corporation, 2
Avenue de
Lafayette
Fl. 6, Boston, MA 02111-1888 |
22.34% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
99.89%* |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-
3710 |
30.63% |
Class
A |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
13.86% |
Class
A |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
12.97% |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
11.43% |
Class
A |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
5.77% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
65.37% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
21.75% |
Investor |
Mid
Atlantic Capital Corp., Mid Atlantic Trust Company FBO Liberty National
Bank Safe
Harbor
401(k) Profit Sharing Plan, 1251 Waterfront Pl. Ste. 525, Pittsburgh, PA
15222-4228 |
7.06% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
5.11% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
54.10% |
Institutional
|
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
21.24% |
Institutional |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
10.55% |
Institutional |
RBC
Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus
Processing,
Attn Mutual Fund Ops. Manager, 60 S 6th St. Ste. 700 #P08, Minneapolis, MN
55402-4413 |
5.34% |
Separate
Account |
GS
PWM Institutional Class, Goldman, Sachs & Co., FBO Account, C/O Mutual
Fund Ops,
200
West Street, New York, NY 10282-2198 |
15.85% |
Separate
Account |
GS
PWM Institutional Class, Goldman, Sachs & Co., FBO Account, C/O Mutual
Fund Ops,
200
West Street, New York, NY 10282-2198 |
12.30% |
Separate
Account |
GS
PWM Institutional Class, Goldman, Sachs & Co., FBO Account, C/O Mutual
Fund Ops,
200
West Street, New York, NY 10282-2198 |
8.72% |
Separate
Account |
GS
PWM Institutional Class, Goldman, Sachs & Co., FBO Account, C/O Mutual
Fund Ops,
200
West Street, New York, NY 10282-2198 |
8.20% |
Separate
Account |
GS
PWM Institutional Class, Goldman, Sachs & Co., FBO Account, C/O Mutual
Fund Ops,
200
West Street, New York, NY 10282-2198 |
7.96% |
Separate
Account |
GS
PWM Institutional Class, Goldman, Sachs & Co., FBO Account, C/O Mutual
Fund Ops,
200
West Street, New York, NY 10282-2198 |
5.86% |
Class
R6 |
Goldman
Sachs Asset Management LP, DLRT-GSAM IG Credit MF, 200 West St Fl 29, New
York
NY 10282-2198 |
59.92%* |
Class
R6 |
Goldman
Sachs Asset Management LP, US Bank TT&SS Alternative, FBO Account, 601
Childrens
Ln, Norfolk, VA 23507-1910 |
20.96% |
Class
R6 |
Goldman
Sachs Asset Management LP, US Bank GS Investment Grade Credit, Fund FBO
GFS,
1300
Gezon Pkwy SW, Wyoming, MI 49509-9300 |
18.79% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
98.96% |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
15.52% |
Class
A |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-3710 |
14.88% |
Class
A |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
13.14% |
Class
A |
USI
Securities Inc., Charles Schwab Trust Bank Cust, Knox County Asset
Accumulation
401(A)
Plan, 2423 E Lincoln Dr., Phoenix AZ 85016-1215 |
11.16% |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn: Mutual Funds
Dept.
4th
Flr., 499 Washington Blvd., Jersey City, NJ
07310-1995 |
11.14% |
Class
C |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
34.81% |
Class
C |
UBS
Financial Services Inc., UBS WM USA, Omni Account M/F, Special Custody
A/C, 1000
Harbor
Blvd., Weehawken, NJ 07086-6761 |
11.08% |
Class
C |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
12.70% |
Class
C |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
9.48% |
Class
C |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
6.28% |
Class
C |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn: Mutual Funds
Dept.
4th
Flr., 499 Washington Blvd., Jersey City, NJ
07310-1995 |
5.36% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
50.16% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
18.56% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
15.02% |
Investor |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
8.83% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn: Mutual Funds
Dept.
4th
Flr., 499 Washington Blvd., Jersey City, NJ
07310-1995 |
56.17 |
Institutional |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
13.72% |
Institutional |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
8.84% |
Institutional |
Vanguard
Fiduciary Trust Company, Attn: Outside Funds K22, PO Box 2600, Valley
Forge, PA
19482-
2600 |
7.63% |
Service |
Principal
Securities, Inc., DCGT as TTEE and/or Cust. FBO PLIC various retirement
plans,
Omnibus,
Attn NPIO Trade Desk, 711 High St., Des Moines, IA
50392-0001 |
96.73% |
Class
R6 |
Goldman
Sachs Trust, State Street Bank & Trust Co. Cust. FBO Goldman Sachs
Balanced
Strategy
Fund, Omnibus A/C – Global Income Fund, C/O State Street Corporation, 2
Avenue de
Lafayette
Fl. 6, Boston, MA 02111-1888 |
53.38% |
Class
R6 |
Goldman
Sachs Trust, State Street Bank & Trust Co. Cust. FBO Goldman Sachs
Growth and
Income
Strategy Portfolio, Omnibus A/C Global Income Fund, C/O State Street
Corporation, 2
Avenue
de Lafayette Fl. 6, Boston, MA 02111-1888 |
36.17% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
99.86% |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
15.18% |
Class
A |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
13.95% |
Class
A |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
12.37% |
Class
A |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
11.12% |
Class
A |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-
3710 |
10.79% |
Class
A |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
6.27% |
Class
A |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
5.84% |
Class
A |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
5.48% |
Class
C |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
31.19% |
Class
C |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
10.53% |
Class
C |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
8.35% |
Class
C |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
8.09% |
Class
C |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
7.81% |
Class
C |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
6.53% |
Class
C |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
6.36% |
Class
C |
Stifel
Nicolaus & Co, Exclusive Benefit Of Customers, 501 N Broadway, Saint
Louis MO
63102-2188 |
6.10% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
33.00% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
29.88% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
23.68% |
Investor |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
7.17% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
23.11% |
Institutional |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
18.15% |
Institutional |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
9.95% |
Institutional |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
7.79% |
Institutional |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
7.36% |
Class |
Name/Address |
Percentage
of
Class |
Institutional |
UBS
Financial Services Inc., UBS WM USA, Omni Account M/F Special Custody A/C,
1000
Harbor
Blvd., Weehawken, NJ 07086-6761 |
6.92% |
Institutional |
MSCS
Financial Services LLC, Zions First National Bank, PO Box 30880, Salt Lake
Cty UT
84130-0880 |
6.68% |
Institutional |
TD
Ameritrade Clearing Inc., TD Ameritrade Inc. for the exclusive benefit of
our clients, PO
Box
2226, Omaha, NE 68103-2226 |
5.44% |
Class
R6 |
JP
Morgan Securities LLC FEBO Customers, Mutual Fund Dept., 3 Chase Metrotech
Center, Fl.
3,
Brooklyn, NY 11245-0001 |
64.42% |
Class
R6 |
Reliance
Trust Company/FIS, Vallee & Co FBO 50, C/O Reliance Trust Company WI,
Attn: MF,
4900
Brown Deer Road, Milwaukee, WI 53223-2422 |
15.91% |
Class
R6 |
Edward
D Jones & Co, Attn: Mutual Funds, Shareholder Accounting, 201 Progress
Pkwy,
Maryland
HTS, MO 63043-3042 |
10.75% |
Class
R6 |
MSCS
Financial Services LLC SEI Private trust Company, C/O Johnson Bank ETS ID
243,
Attn:
Mutual Fund Administrator, One Freedom Valley Drive, Oaks, PA
19456-9989 |
8.84% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
98.73%* |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-3710 |
23.65% |
Class
A |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
9.52% |
Class
A |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
7.67% |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
6.77% |
Class
A |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
5.51% |
Class
A |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
5.26% |
Class
C |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
20.35% |
Class
C |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
15.63% |
Class
C |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
11.11% |
Class
C |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
10.68% |
Class
C |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
10.00% |
Class
C |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
6.94% |
Class
R |
Hartford
Life Insurance Company, Separate Account 401, 1 Griffin Rd. N, Windsor, CT
06095-1512 |
74.68% |
Class
R |
MML
Distributors, LLC-Aviator, Mass Mutual Life Insurance Co., 1295 State St.
MIP
M200-INVST,
Springfield, MA 01111-0001 |
10.30% |
Class
R |
GWFS
Equities Inc, Great-West Trust Company LLC, FBO Empower Benefit
Grandfathered
Plan,
8515 E Orchard Rd # 2T2, Greenwood VLG CO
80111-50002 |
8.59% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
43.20% |
Class |
Name/Address |
Percentage
of
Class |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
43.07% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
8.99% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
36.57% |
Institutional |
Factory
Mutual Insurance Company, Pension Plan, 404 Wyman St. Ste. 390, Waltham,
MA
02451-1275 |
16.59% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
36.57% |
Institutional |
GS
PWM Instl Class, State Street Bank And Trust Co, FBO American Bureau Of
Shipping, Attn
Tom
Francis, 801 Pennsylvania Ave, Kansas City MO
64105-1307 |
6.67% |
Institutional |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
5.78% |
Institutional |
TD
Ameritrade Clearing Inc., TD Ameritrade Inc. for the exclusive benefit of
our clients, PO
Box
2226, Omaha, NE 68103-2226 |
5.73% |
Service |
Hartford
Life Insurance Co., Separate Account, 200 Hopmeadow St., Weatogue, CT
06089-9793 |
44.14% |
Service |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
43.95% |
Service |
GWFS
Equities Inc, Great-West Trust Company LLC FBO Empower Benefit Grandfather
Plan,
8515
E Orchard Rd 2T2, Greenwood Village, CO 80111-5002 |
5.52% |
Class
R6 |
Goldman
Sachs Direct Accounts, MAC & Co. A/C, For the Benefit of GS 529 Plan,
Mutual
Operations
500 Grant St. Rm 151-1010 Pittsburgh, PA 15219-2502 |
30.16% |
Class
R6 |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
27.73% |
Class
R6 |
Goldman
Sachs Trust, State Street Bank & Trust Co. Cust. GS VIT GS
Multi-Strategy Alt
Portfolio,
C/O Fund Management Team, 200 West Street, New York, NY
10282-2102 |
8.63% |
Class
R6 |
Goldman
Sachs Trust, State Street Bank & Trust Co. Cust. GS VIT GS
Multi-Strategy Alt
Portfolio,
C/O Fund Management Team, 200 West Street, New York, NY
10282-2102 |
8.63% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
99.60%* |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
11.40% |
Class
A |
TD
Ameritrade Clearing Inc., TD Ameritrade Inc. for the exclusive benefit of
our clients, PO
Box
2226, Omaha, NE 68103-2226 |
7.26% |
Class
A |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
11.32% |
Class
A |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716- 1102 |
6.31% |
Class
A |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
5.99% |
Class
A |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
18.14% |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
15.18% |
Class
C |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
32.95% |
Class
C |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
5.07% |
Class
C |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
5.25% |
Class
C |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
17.01% |
Class
C |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716- 1102 |
9.20% |
Class
C |
UBS
Financial Services Inc., UBS WM USA, Omni Account M/F Special Custody A/C,
1000
Harbor
Blvd., Weehawken, NJ 07086-6761 |
15.36% |
Class
R |
Hartford
Life Insurance Company, The Hartford, 1 Hartford Plz., Hartford, CT
06155-0001 |
7.21% |
Class
R |
Principal
Securities Inc., DCGT as TTEE and/or Cust., FBO PLIC Various Retirement
Plans,
Omnibus,
Attn NPIO Trade Desk, 711 High St., Des Moines, IA
50392-0001 |
11.44% |
Class
R |
Avantax
Investment Services, Ascensus Trust Company Brian W Dossett M.D. LTD
Profit Sha,
P.O.
Box 10758, Fargo, ND 58106-0758 |
14.01% |
Class
R |
MML
Distributors, LLC-Aviator, Mass Mutual Life Insurance Co., 1295 State St.
MIP
M200-INVST,
Springfield, MA 01111-0001 |
17.47% |
Class
R |
GWFS
Equities Inc., Capital Bank & Trust Company TTEE F, Churchill &
Banks Ltd 401K,
8515
E Orchard Rd #2T2, Greenwood VLG Co 80111-5002 |
5.12% |
Class
R |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
32.00% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
8.70% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
45.05% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
29.26% |
Institutional |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
12.44% |
Institutional |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
15.44% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
15.79% |
Institutional |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
5.50% |
Institutional |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1901 |
19.85% |
Institutional |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
14.17% |
Class
R6 |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
7.63% |
Class
R6 |
Goldman
Sachs & Co. LLC, GS Variable Insurance Trust – GS Multi-Strategy
Alternatives
Portfolio,
200 W St. 37th
Flr. New York, NY 10282-2102 |
6.49% |
Class
R6 |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
77.60% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
99.87%* |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
19.21% |
Class
A |
UBS
Financial Services Inc., UBS WM USA, Omni Account M/F Special Custody A/C,
1000
Harbor
Blvd., Weehawken, NJ 07086-6761 |
17.79% |
Class
A |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
9.42% |
Class
A |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716- 1102 |
20.87% |
Class
A |
Pershing
LLC, 1 Pershing Plz, Jersey City, NJ 07399-0002 |
18.87% |
Class
C |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
11.14% |
Class
C |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
26.02% |
Class
C |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716- 1102 |
7.32% |
Class
C |
RBC
Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus
Processing,
Attn Mutual Fund Ops. Manager, 60 S 6th St. Ste. 700 #P08, Minneapolis, MN
55402-4413 |
17.30% |
Class
C |
Stifel
Nicolaus & Co, Exclusive Benefit of Customers, 501 N. Broadway, St.
Louis, MO
63102-2188 |
31.94% |
Class
R |
GSAM
Holdings LLC Seed Account, Attn IMD-India-SAOS, Helios Business Park, 150
Outer
Ring
Road, Kadubeesanahalli, Bengaluru, 560103 India |
20.00% |
Class
R |
GWFS
Equities Inc., Great-West Trust Company LLC FBO Fascore LLC Retirement
Plans, 8515
E
Orchard Rd. 2T2, Greenwood Village, CO 80111-5002 |
79.99% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
74.60% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
21.13% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
55.46% |
Institutional |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1901 |
18.83% |
Institutional |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
5.49% |
Institutional |
JP
Morgan Securities LLC FEBO Customers, Mutual Fund Dept., 3 Chase Metrotech
Center, Fl.
3,
Brooklyn, NY 11245-0001 |
12.43% |
Class
R6 |
Goldman
Sachs Trust, Goldman Sachs Collective Trust, Tactical Exposure Fund, C/O
Fund
Management
Team, 200 W St New York NY 10282-2102 |
5.44% |
Class
R6 |
Goldman
Sachs Trust, Goldman Sachs Tactical Tilt Overlay Fund, C/O Fund Management
Team,
200
W St New York NY 10282-2102 |
77.05% |
Class
R6 |
Goldman
Sachs & Co LLC, Tax-Advantaged Global Equity Portfolio, C/O Fund
Management
Team,
200 W St 37th
Fl., New York NY 10282-2102 |
7.15% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
99.74%* |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1901 |
19.44% |
Class
A |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team,
Goldman
Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl., Jacksonville, FL
32246-6484 |
33.86% |
Class
A |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
10.17% |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
7.17% |
Class
A |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
14.93% |
Class
C |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
5.24% |
Class
C |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
47.31% |
Class
C |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716- 1102 |
14.70% |
Class
C |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
15.98% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
35.81% |
Investor |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1901 |
9.02% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
9.92% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
41.53% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
33.70% |
Institutional |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team,
Goldman
Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl., Jacksonville, FL
32246-6484 |
5.12% |
Institutional |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
9.08% |
Institutional |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1901 |
7.22% |
Institutional |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
17.86% |
Institutional |
UBS
Financial Services Inc., UBS WM USA, Omni Account M/F Special Custody A/C,
1000
Harbor
Blvd., Weehawken, NJ 07086-6761 |
5.51% |
Institutional |
Goldman
Sachs Foundation, ATTN GS Foundation Team, 200 West St Fl 29 New York, NY
10282-2198 |
6.47% |
Class
R6 |
GWFS
Equities Inc., Employee & Agent Pension Benefit Plan, GWLA Fin., 8515
E Orchard Rd.
2T2,
Greenwood Village, CO 80111-5002 |
13.64% |
Class
R6 |
Goldman
Sachs Trust, GS Satellite Strategies Portfolio, C/O State Street
Corporation, C/O Fund
Management
Team, 200 W St New York NY 10282-2102 |
8.47% |
Class
R6 |
Goldman
Sachs Trust, GS Growth Strategy Portfolio, C/O Fund Management Team, 200 W
St
New
York NY 10282-2102 |
11.91% |
Class
R6 |
JP
Morgan Securities LLC FEBO Customers, Mutual Fund Dept., 3 Chase Metrotech
Center, Fl.
3,
Brooklyn, NY 11245-0001 |
27.44% |
Class
R6 |
Goldman
Sachs Trust, GS Trust Balanced Strategy Portfolio, C/O Fund Management
Team, 200
W
St New York NY 10282-2102 |
5.6% |
Class |
Name/Address |
Percentage
of
Class |
Class
R6 |
Goldman
Sachs Trust, GS Trust Growth & Income Strategy, C/O Fund Management
Team, 200
W
St New York NY 10282-2102 |
10.44% |
Class
R6 |
Goldman
Sachs Direct Accounts, MAC & Co. A/C, For the Benefit of GS 529 Plan,
Mutual
Operations
500 Grant St. Rm 151-1010 Pittsburgh, PA 15219-2502 |
5.24% |
Class
R6 |
Principal
Securities Inc., DCGT as TTEE and/or Cust., FBO PLIC Various Retirement
Plans,
Omnibus,
Attn NPIO Trade Desk, 711 High St., Des Moines, IA
50392-0001 |
6.07% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
99.30% |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
25.72% |
Class
A |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
21.41% |
Class
A |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, 707 2nd Ave.
S.,
Minneapolis,
MN 55402-2405 |
12.31% |
Class
A |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
11.38% |
Class
A |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
7.07% |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
5.17% |
Class
C |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
88.83% |
Investor |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
65.81% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, 707 2nd Ave.
S.,
Minneapolis,
MN 55402-2405 |
29.82% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
43.55% |
Institutional |
MSCS
Financial Services LLC, NAIDOT & CO, FBO Pineone Trust Custody
Account, C/O
Bessemer
Trust Co, 100 Woodbridge Center Dr, Woodbridge NJ
07095-1162 |
14.72% |
Institutional |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
11.66% |
Institutional |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
8.28% |
Institutional |
GSAM
Holdings LLC Comp Hedge, Attn IMD-India-SAOS, Crystal Downs Fl. 3, Embassy
Golf
Links
Business Park, Bangalore 560071 India |
5.38% |
Class
R6 |
Goldman
Sachs Trust, State Street Bank & Trust Co. Cust., GS Satellite
Strategies Portfolio,
Local
Emerging Markets Debt, C/O State Street Corporation, 2 Avenue de Lafayette
Fl. 6,
Boston,
MA 02111-1888 |
99.17% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
88.69% |
Class
P |
GS
PWM Instl Class, Goldman Sachs & Co, C/O Mutual Fund Ops, 200 West St,
New York NY
10282-2198 |
7.82%* |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97RS6, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
22.56% |
Class
A |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-3710 |
15.67% |
Class
A |
ADP/Broker
Dealer Inc., State Street Bank and TR TTEE/CUST, FBO ADOP Access Product,
1
Lincoln St., Boston, MA 02111-2901 |
11.06% |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
5.30% |
Class
C |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
26.77% |
Class
C |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
24.38% |
Class
C |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
20.80% |
Class
C |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, 707 2nd Ave.
S.,
Minneapolis,
MN 55402-2405 |
9.63% |
Class
C |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
5.57% |
Investor |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, 707 2nd Ave.
S.,
Minneapolis,
MN 55402-2405 |
40.04% |
Investor |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
14.96% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
29.79% |
Investor |
MSCS
Financial Services LLC, Matrix Trust Company, Newport Trust Company, Texas
Roadhouse
Management Corp Def, 35 Iron Point Cir Ste 300, Folsom CA
95630-8589 |
6.72% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
21.81% |
Institutional |
Reliance
Trust Company, Reliance Trust CO FBO, Huntington National Bank, PO Box
78446,
Atlanta,
GA 30357-2446
|
12.25% |
Institutional |
Merrill
Lynch Pierce Fenner & Smith, for the sole benefit of its customers,
Attn: Service Team
SEC
#97PR8, Goldman Sachs Funds, 4800 Deer Lake Dr. East 3rd Fl.,
Jacksonville, FL
32246-6484 |
8.85% |
Institutional
|
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
8.73% |
Institutional |
UBS
Financial Services Inc., UBS WM USA, Omni Account M/F Special Custody A/C,
1000
Harbor
Blvd., Weehawken, NJ 07086-6761 |
7.41% |
Institutional |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
5.97% |
Institutional |
Wells
Fargo Clearing Services LLC, Special Custody Account for the Exclusive
Benefit of
Customer,
2801 Market Street, Saint Louis, MO 63103-2523 |
5.61% |
Class
R6 |
ADP/Broker
Dealer Inc., State Street Bank and Trust AS, Trustee and/or Custodian, FBO
ADOP
Access
Product, 1 Lincoln St., Boston, MA 02111-2901 |
28.73% |
Class
R6 |
Edward
D Jones & Co., For the benefit of Customers, 12555 Manchester Rd.,
Saint Louis, MO
63131-3710 |
24.14% |
Class
R6 |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
23.42% |
Class |
Name/Address |
Percentage
of
Class |
Class
R6 |
Goldman
Sachs Trust, State Street Bank & Trust Co. Cust., GS Satellite
Strategies Portfolio, GS
Inflation
Protected Sec Fund, C/O State Street Corporation, 2 Avenue de Lafayette
Fl. 6, Boston,
MA
02111-1888 |
5.86% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
99.93% |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
25.29% |
Class
A |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
23.10% |
Class
A |
TD
Ameritrade Clearing Inc., TD Ameritrade Inc. for the exclusive benefit of
our clients, PO
Box
2226, Omaha, NE 68103-2226 |
17.44% |
Class
A |
Morgan
Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1
New York Plz.
Fl.
12, New York, NY 10004-1932 |
13.39% |
Class
A |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
11.87% |
Class
A |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
6.06% |
Class
C |
UBS
Financial Services Inc., UBS WM USA, Omni Account M/F Special Custody A/C,
1000
Harbor
Blvd., Weehawken, NJ 07086-6761 |
26.70% |
Class
C |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
18.98% |
Class
C |
GSAM
Holdings LLC Seed Account, Attn IMD-India-SAOS, Helios Business Park, 150
Outer
Ring
Road, Kadubeesanahalli, Bengaluru 560103 India |
15.58% |
Class
C |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
15.26% |
Class
C |
RBC
Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus
Processing,
Attn Mutual Fund Ops. Manager, 60 S 6th St. Ste. 700 #P08, Minneapolis, MN
55402-4413 |
12.71% |
Class
C |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
10.75% |
Class
R |
GSAM
Holdings LLC Seed Account, Attn IMD-India-SAOS, Helios Business Park, 150
Outer
Ring
Road, Kadubeesanahalli, Bengaluru 560103 India |
96.51% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
56.44% |
Investor |
TD
Ameritrade Clearing Inc., TD Ameritrade Inc. for the exclusive benefit of
our clients, PO
Box
2226, Omaha, NE 68103-2226 |
30.14% |
Investor |
Charles
Schwab & Co. Inc., Special Custody Account for the Benefit of
Customers, Attn: Mutual
Funds,
211 Main Street, San Francisco, CA 94105-1905 |
7.51% |
Institutional |
National
Financial Services LLC, FEBO Customers, Mutual Funds, Attn Mutual Funds
Dept. 4th
Flr.,
499 Washington Blvd., Jersey City, NJ 07310-1995 |
30.96% |
Institutional |
TD
Ameritrade Clearing Inc., TD Ameritrade Inc. for the exclusive benefit of
our clients, PO
Box
2226, Omaha, NE 68103-2226 |
29.24% |
Institutional |
UBS
Financial Services Inc., UBS WM USA, Omni Account M/F Special Custody A/C,
1000
Harbor
Blvd., Weehawken, NJ 07086-6761 |
18.67% |
Institutional |
GSAM
Holdings LLC Comp Hedge, Attn IMD-India-SAOS, Crystal Downs Fl. 3, Embassy
Golf
Links
Business Park, Bangalore 560071 India |
5.74% |
Class |
Name/Address |
Percentage
of
Class |
Class
R6 |
Goldman
Sachs & Co. LLC, GS Variable Insurance Trust – GS Multi-Strategy
Alternatives
Portfolio,
70 Fargo Street, Boston, MA 02210-2126 |
99.86% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
99.99%* |
Class |
Name/Address |
Percentage
of
Class |
Class
A |
GSAM
Holdings LLC Seed Account, Attn IMD-India-SAOS, Helios Business Park, 150
Outer
Ring
Road, Kadubeesanahalli, Bengaluru 560103 India |
10.16% |
Class
A |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
11.51% |
Class
A |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
9.13% |
Class
A |
RBC
Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus
Processing,
Attn Mutual Fund Ops. Manager, 60 S 6th St. Ste. 700 #P08, Minneapolis, MN
55402-4413 |
60.70% |
Class
A |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
7.99% |
Class
C |
GSAM
Holdings LLC Seed Account, Attn IMD-India-SAOS, Helios Business Park, 150
Outer
Ring
Road, Kadubeesanahalli, Bengaluru 560103 India |
26.13% |
Class
C |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
66.91% |
Class
C |
Ameriprise
Financial Services Inc., American Enterprise Investment SVC, FBO Customer,
707
2nd
Ave. S., Minneapolis, MN 55402-2405 |
6.95% |
Class
R |
GSAM
Holdings LLC Seed Account, Attn IMD-India-SAOS, Helios Business Park, 150
Outer
Ring
Road, Kadubeesanahalli, Bengaluru 560103 India |
100% |
Investor |
GSAM
Holdings LLC Seed Account, Attn IMD-India-SAOS, Helios Business Park, 150
Outer
Ring
Road, Kadubeesanahalli, Bengaluru 560103 India |
38.61% |
Investor |
LPL
Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading,
4707
Executive
Dr., San Diego, CA 92121-3091 |
61.39% |
Institutional |
GSAM
Holdings LLC Seed Account, Attn IMD-India-SAOS, Helios Business Park, 150
Outer
Ring
Road, Kadubeesanahalli, Bengaluru 560103 India |
83.61% |
Institutional |
SEI
Private Trust Co., C/O Dorsey & Whitney Trust Co., 1 Freedom Valley
Dr., Oaks, PA
19456-9989 |
5.69% |
Class
R6 |
GSAM
Holdings LLC Seed Account, Attn IMD-India-SAOS, Helios Business Park, 150
Outer
Ring
Road, Kadubeesanahalli, Bengaluru 560103 India |
100% |
Class
P |
Goldman
Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St.,
Salt Lake
City,
UT 84101-2199 |
100%* |
| |
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 |