|
Ticker
Symbol: |
AGGRESSIVE
GROWTH LIFESTYLE FUND |
VLAGX |
ASSET
ALLOCATION FUND |
VCAAX |
BLUE
CHIP GROWTH FUND |
VCBCX |
CAPITAL
APPRECIATION FUND |
VAPPX |
CONSERVATIVE
GROWTH LIFESTYLE FUND |
VGCLX |
CORE
BOND FUND |
VCBDX |
DIVIDEND
VALUE FUND |
VCIGX |
DYNAMIC
ALLOCATION FUND |
VDAFX |
EMERGING
ECONOMIES FUND |
VCGEX |
GLOBAL
REAL ESTATE FUND |
VGREX |
GLOBAL
STRATEGY FUND |
VGLSX |
GOVERNMENT
SECURITIES FUND |
VCGSX |
GROWTH
FUND |
VCULX |
HIGH
YIELD BOND FUND |
VHYLX |
INFLATION
PROTECTED FUND |
VCTPX |
INTERNATIONAL
EQUITIES INDEX FUND |
VCIEX |
INTERNATIONAL
GOVERNMENT BOND FUND |
VCIFX |
INTERNATIONAL
GROWTH FUND |
VCINX |
INTERNATIONAL
OPPORTUNITIES FUND |
VIOPX |
INTERNATIONAL
SOCIALLY RESPONSIBLE FUND |
VCSOX |
INTERNATIONAL
VALUE FUND |
VCFVX |
LARGE
CAPITAL GROWTH FUND |
VLCGX |
MID
CAP INDEX FUND |
VMIDX |
MID
CAP STRATEGIC GROWTH FUND |
VMSGX |
MID
CAP VALUE FUND |
VVMCX |
MODERATE
GROWTH LIFESTYLE FUND |
VLSMX |
NASDAQ-100®
INDEX FUND |
VCNIX |
SCIENCE
& TECHNOLOGY FUND |
VCSTX |
SMALL
CAP GROWTH FUND |
VVSGX |
SMALL
CAP INDEX FUND |
VCSLX |
SMALL
CAP SPECIAL VALUES FUND |
VSSVX |
SMALL
CAP VALUE FUND |
VVSCX |
STOCK
INDEX FUND |
VSTIX |
SYSTEMATIC
CORE FUND |
VCGAX |
SYSTEMATIC
VALUE FUND |
VBCVX |
U.S.
SOCIALLY RESPONSIBLE FUND |
VSRDX |
Name
Prior to 10/1/2000 |
Name
from 10/2000 to 12/31/2001 |
Name
effective 12/31/2001 |
American
General Aggressive Growth
Lifestyle
Fund |
North
American–AG
Aggressive Growth
Lifestyle
Fund |
Aggressive
Growth Lifestyle Fund |
AGSPC
Asset Allocation Fund |
North
American–AG
Asset Allocation
Fund |
Asset
Allocation Fund |
N/A
(new fund 11/1/2000) |
North
American–T.
Rowe Price Blue
Chip
Growth Fund |
Blue
Chip Growth Fund |
American
General Large Cap Growth
Fund |
North
American–AG
Goldman Sachs
Large
Cap Growth Fund |
Capital
Appreciation Fund |
American
General Conservative Growth
Lifestyle
Fund |
North
American–AG
Conservative
Growth
Lifestyles Fund |
Conservative
Growth Lifestyle Fund |
American
General Core Bond Fund |
North
American–AG
Core Bond Fund |
Core
Bond Fund |
N/A
(new fund 12/19/2012) |
N/A |
Dynamic
Allocation Fund |
AGSPC
Government Securities Fund |
North
American–AG
Government
Securities
Fund |
Government
Securities Fund |
American
General High Yield Bond Fund |
North
American–AG
High Yield Bond
Fund |
High
Yield Bond Fund |
AGSPC
International Government Bond
Fund |
North
American–AG
International
Government
Bond Fund |
International
Government Bond Fund |
N/A
(new fund 10/1/2000) |
North
American–Founders
Large Cap
Growth
Fund |
Large
Cap Growth Fund |
AGSPC
Mid Cap Index Fund |
North
American–AG
Mid Cap Index
Fund |
Mid
Cap Index Fund |
American
General Mid Cap Value Fund |
North
American–AG
Neuberger Berman
MidCap
Value Fund |
Mid
Cap Value Fund |
Name
Prior to 10/1/2000 |
Name
from 10/2000 to 12/31/2001 |
Name
effective 12/31/2001 |
American
General Moderate Growth
Lifestyle
Fund |
North
American–AG
Moderate Growth
Lifestyle
Fund |
Moderate
Growth Lifestyle Fund |
N/A
(new fund 10/1/2000) |
North
American–AG
Nasdaq-100®
Index
Fund |
Nasdaq-100®
Index Fund |
AGSPC
Science & Technology Fund |
North
American–T.
Rowe Price Science
&
Technology Fund |
Science
& Technology Fund |
American
General Small Cap Growth
Fund |
North
American–J.P.
Morgan Small Cap
Growth
Fund |
Small
Cap Growth Fund |
AGSPC
Small Cap Index Fund |
North
American–AG
Small Cap Index
Fund |
Small
Cap Index Fund |
American
General Small Cap Value Fund |
North
American Small Cap Value Fund |
Small
Cap Value Fund |
AGSPC
Stock Index Fund |
North
American–AG
Stock Index Fund |
Stock
Index Fund |
Acquiring
Fund |
Target
Fund(s) |
Mid
Cap Strategic Growth Fund |
Mid
Cap Growth Fund, a series of VC II
Small-Mid
Growth Fund, a series of VC I |
Science
& Technology Fund |
Health
Sciences Fund, a series of VC I |
Systematic
Core Fund |
Core
Equity Fund, a series of VC I
Large
Cap Core Fund, a series of VC
I |
Acquiring
Fund |
Target
Fund(s) |
Systematic
Value Fund |
Large
Cap Value Fund, a series of VC II
Value
Fund, a series of VC I |
Acquiring
Fund |
Target
Fund(s) |
Aggressive
Growth Lifestyle Fund |
Aggressive
Growth Lifestyle Fund, a series of VC II* |
Capital
Appreciation Fund |
Capital
Appreciation Fund, a series of VC II* |
Conservative
Growth Lifestyle Fund |
Conservative
Growth Lifestyle Fund, a series of VC II* |
Core
Bond Fund |
Capital
Conservation Fund, a series of VC I
Core
Bond Fund, a series of VC II* |
High
Yield Bond Fund |
High
Yield Bond Fund, a series of VC II* |
International
Opportunities Fund |
International
Opportunities Fund, a series of VC II* |
Mid
Cap Value Fund |
Mid
Cap Value Fund, a series of VC II* |
Moderate
Growth Lifestyle Fund |
Moderate
Growth Lifestyle Fund, a series of VC II* |
Small
Cap Growth Fund |
Small
Cap Aggressive Growth Fund, a series of VC I
Small
Cap Fund, a series of VC I
Small
Cap Growth Fund, a series of VC II* |
Small
Cap Value Fund |
Small
Cap Value Fund, a series of VC II* |
U.S.
Socially Responsible Fund |
U.S.
Socially Responsible Fund, a series of VC
II* |
100% |
Emerging
Economies Fund |
|
International
Value Fund |
|
Global
Strategy Fund |
|
International
Equities Index Fund |
|
International
Government Bond Fund |
|
International
Opportunities Fund |
|
International
Growth Fund |
|
International
Socially Responsible Fund |
75% |
Global
Real Estate Fund |
50% |
Inflation
Protected Fund |
|
Science
& Technology Fund |
40% |
Asset
Allocation Fund |
|
Core
Bond Fund |
35% |
Dividend
Value Fund |
|
Systematic
Core Fund |
|
High
Yield Bond Fund |
25% |
Large
Capital Growth Fund |
|
Mid
Cap Strategic Growth Fund |
|
Small
Cap Growth Fund |
|
Small
Cap Value Fund |
20% |
Blue
Chip Growth Fund |
|
Mid
Cap Value Fund |
|
U.S.
Socially Responsible Fund |
|
Capital
Appreciation Fund |
|
Government
Securities Fund |
|
Growth
Fund |
|
Mid
Cap Index Fund |
|
Nasdaq-100®
Index Fund |
|
Small
Cap Index Fund |
|
Small
Cap Special Values Fund |
|
Stock
Index Fund |
|
Systematic
Value Fund |
0% |
Dynamic
Allocation Fund* |
|
Lifestyle
Funds** |
|
Gross
income
from
securities
lending
activities |
Fees
and/or compensation for securities lending activities and related
services |
Aggregate
fees/
compensation
for
securities
lending
activities |
Net
income
from
securities
lending
activities | |||||
Fees
paid
to
securities
lending
agent
from
a
revenue
split |
Fees
paid for any
cash
collateral
management
service
(including
fees
deducted
from
a pooled
cash
collateral
reinvestment
vehicle)
that
are
not included
in
the
revenue
split |
Administrative
fees
not
included
in
revenue
split |
Indemnification
fees
not
included
in
revenue
split |
Rebate
(paid
to
borrower) |
Other
fees
not
included
in
revenue
split | ||||
Asset
Allocation Fund |
$2,332 |
$305 |
$137 |
$—
|
$—
|
$160 |
$— |
$602 |
$1,730 |
Blue
Chip Growth Fund |
24,749 |
3,459 |
249 |
— |
— |
991 |
— |
4,699 |
20,050 |
Capital
Appreciation Fund |
1,124 |
169 |
— |
— |
— |
— |
— |
169 |
955 |
Core
Bond Fund |
245,885 |
33,218 |
12,845 |
— |
— |
10,722 |
— |
56,785 |
189,100 |
Dividend
Value Fund |
37,057 |
4,838 |
534 |
— |
— |
3,653 |
— |
9,025 |
28,032 |
Emerging
Economies Fund |
89,229 |
12,842 |
1,213 |
— |
— |
2,396 |
— |
16,451 |
72,778 |
Global
Real Estate Fund |
45,708 |
6,674 |
481 |
— |
— |
207 |
— |
7,362 |
38,346 |
Global
Strategy Fund |
37,166 |
5,096 |
914 |
— |
— |
2,081 |
— |
8,091 |
29,075 |
Government
Securities Fund |
2,880 |
366 |
141 |
— |
— |
133 |
— |
640 |
2,240 |
Growth
Fund |
34,362 |
4,625 |
2,004 |
— |
— |
961 |
— |
7,590 |
26,772 |
High
Yield Bond Fund |
57,593 |
7,489 |
2,314 |
— |
— |
4,994 |
— |
14,797 |
42,796 |
Inflation
Protected Fund |
22,269 |
3,075 |
1,170 |
— |
— |
179 |
— |
4,424 |
17,845 |
International
Equities Index Fund |
265,125 |
37,027 |
10,960 |
— |
— |
11,566 |
— |
59,553 |
205,572 |
International
Government Bond
Fund |
12,640 |
1,730 |
544 |
— |
— |
402 |
— |
2,676 |
9,964 |
International
Growth Fund |
83,617 |
11,709 |
3,525 |
— |
— |
1,097 |
— |
16,331 |
67,286 |
International
Opportunities Fund |
262,502 |
38,180 |
3,466 |
— |
— |
2,083 |
— |
43,729 |
218,773 |
International
Socially Responsible
Fund |
210 |
31 |
3 |
— |
— |
— |
— |
34 |
176 |
International
Value Fund |
104,046 |
24,729 |
1,000 |
— |
— |
2,217 |
— |
27,946 |
76,100 |
Large
Capital Growth Fund |
590 |
75 |
51 |
— |
— |
— |
— |
126 |
464 |
Mid
Cap Index Fund |
248,760 |
34,806 |
7,003 |
— |
— |
10,000 |
— |
51,809 |
196,951 |
Mid
Cap Strategic Growth Fund |
67,233 |
9,585 |
1,395 |
— |
— |
1,364 |
— |
12,344 |
54,889 |
Mid
Cap Value Fund |
16,600 |
2,276 |
146 |
— |
— |
1,040 |
— |
3,462 |
13,138 |
Nasdaq-100®
Index Fund |
126,483 |
18,899 |
429 |
— |
— |
44 |
— |
19,372 |
107,111 |
Science
& Technology Fund |
391,727 |
57,220 |
3,109 |
— |
— |
3,209 |
— |
63,538 |
328,189 |
Small
Cap Growth Fund |
113,950 |
16,222 |
1,980 |
— |
— |
1,358 |
— |
19,560 |
94,390 |
Small
Cap Index Fund |
707,029 |
102,181 |
10,741 |
— |
— |
6,631 |
— |
119,553 |
587,476 |
Small
Cap Special Values Fund |
32,110 |
4,399 |
1,083 |
— |
— |
1,465 |
— |
6,947 |
25,163 |
Small
Cap Value Fund |
46,426 |
6,229 |
1,447 |
— |
— |
1,823 |
— |
9,499 |
36,927 |
Stock
Index Fund |
15,751 |
2,229 |
253 |
— |
— |
355 |
— |
2,837 |
12,914 |
Systematic
Core Fund |
38,706 |
5,333 |
774 |
— |
— |
1,045 |
— |
7,152 |
31,554 |
Systematic
Value Fund |
5,955 |
718 |
224 |
— |
— |
824 |
— |
1,766 |
4,189 |
U.
S. Socially Responsible Fund |
584 |
85 |
— |
— |
— |
— |
— |
85 |
499 |
Fund
Name |
Advisory
Fee Rate |
Aggressive
Growth Lifestyle Fund1
|
0.10% |
Asset
Allocation Fund2
|
0.50%
on the first $300 million
0.475%
on the next $200 million
and
0.45% on assets over $500 million |
Blue
Chip Growth Fund3
|
0.75%
on the first $250 million
0.725%
on the next $250 million
and
0.70% on assets over $500 million |
Capital
Appreciation Fund |
0.55%
on the first $1 billion
0.525%
on assets over $1 billion |
Conservative
Growth Lifestyle Fund1
|
0.10% |
Core
Bond Fund |
0.50%
on the first $200 million
0.45%
on the next $300 million
0.40%
on assets over $500 million |
Dividend
Value Fund4
|
0.75%
on the first $250 million
0.72%
on the next $250 million
0.67%
on the next $500 million
and
0.62% on assets over $1 billion |
Dynamic
Allocation Fund5
|
0.25%
on the first $1 billion
0.22%
on the next $1 billion
and
0.20% on assets over $2 billion |
Emerging
Economies Fund |
0.81%
on the first $250 million
0.76%
on the next $250 million
0.71%
on the next $500 million
and
0.66% on assets over $1
billion |
Fund
Name |
Advisory
Fee Rate |
Global
Real Estate Fund |
0.75%
on the first $250 million
0.70%
on the next $250 million
and
0.65% on assets over $500 million |
Global
Strategy Fund6
|
0.50%
on the first $500 million
and
0.46% on assets over $500 million |
Government
Securities Fund |
0.50%
on the first $250 million
0.45%
on the next $250 million
0.40%
on the next $500 million
and
0.35% on assets over $1 billion |
Growth
Fund7
|
0.73%
on the first $500 million
0.67%
on the next $500 million
0.64%
on the next $500 million
and
0.61% on assets over $1.5 billion |
High
Yield Bond Fund |
0.65%
on the first $150 million
0.60%
on the next $350 million
0.55%
on assets over $500 million |
Inflation
Protected Fund8
|
0.50%
on the first $250 million
0.45%
on the next $250 million
and
0.40% on assets over $500 million |
International
Equities Index Fund |
0.35%
on the first $500 million
0.25%
on the next $500 million
and
0.24% on assets over $1 billion |
International
Government Bond Fund |
0.50%
on the first $250 million
0.45%
on the next $250 million
0.40%
on the next $500 million
and
0.35% on assets over $1 billion |
International
Growth Fund9
|
0.95%
on the first $250 million
0.90%
on the next $250 million
0.85%
on the next $500 million
and
0.80% on assets over $1 billion |
International
Opportunities Fund |
0.90%
on the first $100 million
0.80%
on the next $650 million
0.75%
on assets over $750 million |
International
Socially Responsible Fund |
0.50%
on the first $500 million
0.475%
on the next $500 million
and
0.45% on assets over $1 billion |
International
Value Fund10
|
0.73%
on the first $250 million
0.68%
on the next $250 million
0.63%
on the next $500 million
and
0.58% on assets over $1 billion |
Large
Capital Growth Fund |
0.64%
on the first $750 million
and
0.59% on assets over $750 million |
Mid
Cap Index Fund |
0.35%
on the first $500 million
0.25%
on the next $2.5 billion
0.20%
on the next $2 billion
and
0.15% on assets over $5
billion |
Fund
Name |
Advisory
Fee Rate |
Mid
Cap Strategic Growth Fund |
0.70%
on the first $250 million
0.65%
on the next $250 million
and
0.60% on assets over $500 million |
Mid
Cap Value Fund |
0.75%
on the first $100 million
0.725%
on the next $150 million
0.70%
on the next $250 million
0.675%
on the next $250 million
0.65%
on assets over $750 million |
Moderate
Growth Lifestyle Fund1
|
0.10% |
Nasdaq-100®
Index Fund11
|
0.40%
on the first $250 million
0.38%
on the next $250 million
and
0.36% on assets over $500 million |
Science
& Technology Fund12
|
0.90%
on the first $500 million
and
0.85% on assets over $500 million |
Small
Cap Growth Fund13
|
0.85%
on the first $100 million
0.80%
on assets over $100 million |
Small
Cap Index Fund14
|
0.35%
on first $500 million
0.25%
on the next $2.5 billion
0.20%
on the next $2 billion
and
0.15% on assets over $5 billion |
Small
Cap Special Values Fund |
0.75%
on the first $500 million
and
0.70% on assets over $500 million |
Small
Cap Value Fund |
0.75%
on the first $50 million
0.65%
on assets over $50 million |
Stock
Index Fund |
0.35%
on the first $500 million
0.25%
on the next $2.5 billion
0.20%
on the next $2 billion
and
0.15% on assets over $5 billion |
Systematic
Core Fund15
|
0.75%
on the first $500 million
and
0.725% on assets over $500 million |
Systematic
Value Fund16
|
0.70%
of the first $250 million
0.65%
on the next $250 million
0.60%
on the next $500 million
and
0.55% on assets over $1 billion |
U.S.
Socially Responsible Fund |
0.25%
on the first $1 billion
0.24%
on assets over $1 billion |
Fund
Name |
2022 |
2021 |
2020 |
Aggressive
Growth Lifestyle Fund |
722,082 |
$499,782 |
N/A |
Asset
Allocation Fund |
773,743 |
716,329 |
$715,342 |
Blue
Chip Growth Fund |
6,939,191 |
6,878,182 |
5,908,671 |
Capital
Appreciation Fund |
821,511 |
529,723 |
N/A |
Conservative
Growth Lifestyle Fund |
362,643 |
265,282 |
N/A |
Core
Bond Fund |
11,614,851 |
5,223,995 |
N/A |
Dividend
Value Fund |
9,488,965 |
7,113,813 |
7,138,661 |
Dynamic
Allocation Fund |
472,913 |
488,229 |
497,768 |
Emerging
Economies Fund |
6,100,689 |
6,971,722 |
5,957,592 |
Global
Real Estate Fund |
3,960,717 |
2,680,638 |
3,384,011 |
Global
Strategy Fund |
1,347,741 |
1,458,032 |
1,551,965 |
Government
Securities Fund |
819,987 |
725,199 |
728,608 |
Growth
Fund |
9,223,629 |
10,360,070 |
8,754,809 |
High
Yield Bond Fund |
3,625,840 |
2,504,254 |
N/A |
Inflation
Protected Fund |
3,808,635 |
3,844,052 |
3,133,461 |
International
Equities Index Fund |
4,854,150 |
4,344,365 |
3,440,060 |
International
Government Bond Fund |
854,648 |
974,861 |
901,509 |
International
Growth Fund |
5,250,533 |
5,178,575 |
4,365,674 |
International
Opportunities Fund |
4,993,521 |
4,245,484 |
N/A |
International
Socially Responsible Fund |
1,816,155 |
1,792,356 |
1,813,830 |
International
Value Fund |
4,605,327 |
4,753,093 |
4,591,265 |
Large
Capital Growth Fund |
4,571,464 |
3,828,389 |
3,319,381 |
Mid
Cap Index Fund |
9,266,483 |
8,449,422 |
8,024,077 |
Mid
Cap Strategic Growth Fund |
5,627,514 |
2,920,249 |
2,168,971 |
Mid
Cap Value Fund |
6,342,152 |
4,402,146 |
N/A |
Moderate
Growth Lifestyle Fund |
1,150,200 |
814,404 |
N/A |
Nasdaq-100®
Index Fund |
3,356,597 |
2,909,571 |
2,120,816 |
Science
& Technology Fund |
25,028,320 |
18,321,257 |
12,834,682 |
Small
Cap Growth Fund |
5,730,029 |
1,706,013 |
N/A |
Small
Cap Index Fund |
3,674,444 |
3,479,967 |
3,054,187 |
Small
Cap Special Values Fund |
1,927,195 |
1,681,887 |
1,603,346 |
Small
Cap Value Fund |
3,172,425 |
1,965,957 |
N/A |
Stock
Index Fund |
13,774,195 |
12,647,749 |
11,724,043 |
Systematic
Core Fund |
5,075,839 |
1,550,836 |
926,077 |
Systematic
Value Fund |
3,498,500 |
711,998 |
348,435 |
U.S.
Socially Responsible Fund |
2,013,874 |
1,454,085 |
N/A |
Predecessor
Fund Name |
2020 |
2019 |
Aggressive
Growth Lifestyle Fund |
$576,306 |
$576,725 |
Capital
Appreciation Fund |
581,475 |
565,284 |
Conservative
Growth Lifestyle Fund |
327,839 |
323,046 |
Core
Bond Fund |
6,652,458 |
6,452,575 |
High
Yield Bond Fund |
3,319,681 |
3,668,858 |
International
Opportunities Fund |
4,777,918 |
4,903,772 |
Mid
Cap Value Fund |
5,066,864 |
5,345,718 |
Moderate
Growth Lifestyle Fund |
962,340 |
926,617 |
Small
Cap Growth Fund |
1,544,723 |
1,599,067 |
Small
Cap Value Fund |
2,008,154 |
2,595,456 |
U.S.
Socially Responsible Fund |
1,774,630 |
1,781,328 |
Fund |
Current
Maximum
Fund
Expense |
Expenses
Before
Limitation
(during
fiscal year ended
May
31, 2022) |
Dynamic
Allocation Fund* |
0.32% |
0.33% |
High
Yield Bond Fund |
0.68% |
0.71% |
International
Oportunities Fund |
0.95% |
0.98% |
Small
Cap Value Fund |
0.77% |
0.79% |
Stock
Index Fund |
0.29% |
0.31% |
|
Amounts
Waived or Reimbursed (Recouped) by VALIC
For
the Fiscal Year Ended May 31, | ||
Fund
Name |
2022 |
2021 |
2020 |
Aggressive
Growth Lifestyle Fund* |
$266,978 |
$196,649 |
N/A |
Asset
Allocation Fund |
77,374 |
29,254 |
$— |
Blue
Chip Growth |
259,002 |
— |
— |
Capital
Appreciation Fund* |
169,961 |
144,719 |
N/A |
Conservative
Growth Lifestyle Fund* |
36,618 |
135,871 |
N/A |
Core
Bond Fund* |
— |
107,285 |
N/A |
|
Amounts
Waived or Reimbursed (Recouped) by
VALIC
For
the Fiscal Year Ended May 31, | ||
Fund
Name |
2022 |
2021 |
2020 |
Dividend
Value Fund1 |
$1,537,155 |
$1,121,469 |
$761,455 |
Dynamic
Allocation Fund |
19,560 |
12,805 |
34,608 |
Global
Strategy Fund |
102,944 |
58,321 |
19,257 |
Growth
Fund |
2,156,080 |
2,444,308 |
1,605,648 |
High
Yield Bond Fund* |
173,845 |
185,654 |
N/A |
Inflation
Protected Fund |
257,523 |
174,159 |
— |
International
Growth Fund1 |
1,148,710 |
1,130,519 |
942,485 |
International
Opportunities Fund* |
201,441 |
191,981 |
N/A |
International
Value Fund |
470,036 |
486,455 |
— |
Mid
Cap Value Fund* |
— |
100,360 |
N/A |
Moderate
Growth Lifestyle Fund* |
— |
260,851 |
N/A |
Nasdaq-100®
Index Fund |
— |
— |
19,850 |
Science
& Technology |
375,175 |
— |
— |
Small
Cap Growth Fund* |
317,856 |
163,584 |
N/A |
Small
Cap Value Fund* |
80,458 |
154,439 |
N/A |
Stock
Index Fund2 |
1,151,563 |
1,596,320 |
1,480,338 |
Systematic
Core Fund |
1,502,324 |
456,528 |
169,777 |
Systematic
Value Fund1 |
1,562,449 |
314,133 |
180,254 |
|
Amounts
Waived or Reimbursed (Recouped) by VALIC
For
the Fiscal Year Ended August 31, | |
Predecessor
Fund Name |
2020 |
2019 |
Aggressive
Growth Lifestyle Fund |
$251,880 |
$224,872 |
Capital
Appreciation Fund |
159,685 |
152,302 |
Conservative
Growth Lifestyle Fund |
174,191 |
162,040 |
Core
Bond Fund |
168,481 |
84,233 |
High
Yield Bond Fund1 |
223,812 |
41,280 |
International
Opportunities Fund2 |
501,211 |
1,345,570 |
Mid
Cap Value Fund |
158,365 |
99,451 |
Moderate
Growth Lifestyle Fund |
363,029 |
308,346 |
Small
Cap Growth Fund3 |
179,439 |
135,804 |
Small
Cap Value Fund4 |
294,795 |
436,551 |
U.S.
Socially Responsible Fund5 |
113,168 |
351,643 |
Fund
Name |
Subadviser
Name |
Aggressive
Growth Lifestyle Fund |
J.P.
Morgan Investment Management Inc. (“JPMIM”)1
|
Asset
Allocation Fund |
JPMIM2
|
Blue
Chip Growth Fund |
T.
Rowe Price |
Capital
Appreciation Fund |
Columbia
Management Investment Advisers, LLC (“Columbia”) |
Conservative
Growth Lifestyle Fund |
JPMIM1
|
Core
Bond Fund |
PineBridge
Investments LLC (“PineBridge”) |
Dividend
Value Fund |
BlackRock
Investment Management, LLC (“BlackRock”) and ClearBridge
Investments,
LLC (“ClearBridge”)3
|
Dynamic
Allocation Fund |
AllianceBernstein
and SunAmerica Asset Management, LLC
(“SunAmerica”) |
Emerging
Economies Fund |
JPMIM |
Global
Real Estate Fund |
Goldman
Sachs Asset Management, L.P. (“GSAM”) and Invesco Advisers,
Inc.
(“Invesco”) |
Global
Strategy Fund |
Franklin
Advisers, Inc. (“Franklin Advisers”)and
Brandywine Global
Investment
Management LLC (“Brandywine”)4
|
Government
Securities Fund |
JPMIM |
Growth
Fund |
BlackRock
and SunAmerica5
|
High
Yield Bond Fund |
Wellington
Management Company LLP (“Wellington Management”) |
Inflation
Protected Fund |
Wellington
Management6
|
International
Equities Index Fund |
SunAmerica |
International
Government Bond Fund |
PineBridge |
International
Growth Fund |
Morgan
Stanley Investment Management Inc. (“MSIM”) |
International
Opportunities Fund |
Massachusetts
Financial Services Company (“MFS”) and Delaware
Investments
Fund Advisers (“DIFA”) |
International
Socially Responsible Fund |
SunAmerica |
International
Value Fund |
Allspring
Global Investments, LLC (“Allspring”), formerly, Wells Capital
Management
Incorporated.7
|
Large
Capital Growth Fund |
MFS |
Mid
Cap Index Fund |
SunAmerica |
Mid
Cap Strategic Growth Fund |
Janus
Henderson Investors US LLC (“Janus”) and Voya Investment
Management
Co. LLC (“Voya IM”)8
|
Mid
Cap Value Fund |
Boston
Partners Global Investors, Inc. d/b/a Boston Partners (“Boston
Partners”)
and Wellington Management |
Moderate
Growth Lifestyle Fund |
JPMIM1
|
Nasdaq-100®
Index Fund |
SunAmerica |
Fund
Name |
Subadviser
Name |
Science
& Technology Fund |
Voya
IM8,
T. Rowe Price and Wellington Management |
Small
Cap Growth Fund |
JPMIM
and T. Rowe Price9
|
Small
Cap Index Fund |
SunAmerica |
Small
Cap Special Values Fund |
Allspring |
Small
Cap Value Fund |
JPMIM |
Stock
Index Fund |
SunAmerica |
Systematic
Core Fund |
GSAM10
|
Systematic
Value Fund |
Wellington
Management11
|
U.S.
Socially Responsible Fund |
SunAmerica |
Fund
Name |
Aggregate
Sub-Advisory
Fee
Rate |
Aggressive
Growth Lifestyle Fund |
0.10% |
Asset
Allocation Fund |
0.20% |
Blue
Chip Growth Fund |
0.34% |
Capital
Appreciation Fund1 |
0.22% |
Conservative
Growth Lifestyle Fund |
0.10% |
Core
Bond Fund |
0.16% |
Dividend
Value Fund2 |
0.28% |
Dynamic
Allocation Fund |
0.09% |
Emerging
Economies Fund |
0.43% |
Global
Real Estate Fund |
0.49% |
Global
Strategy Fund |
0.26% |
Government
Securities Fund |
0.22% |
Growth
Fund |
0.19% |
High
Yield Bond Fund |
0.33% |
Inflation
Protected Fund |
0.11% |
International
Equities Index Fund |
0.10% |
International
Government Bond Fund |
0.25% |
International
Growth Fund |
0.36% |
International
Opportunities Fund |
0.50% |
International
Socially Responsible Fund |
0.25% |
International
Value Fund |
0.33% |
Large
Capital Growth Fund |
0.36% |
Mid
Cap Index Fund |
0.02% |
Mid
Cap Strategic Growth Fund |
0.40% |
Mid
Cap Value Fund |
0.40% |
Moderate
Growth Lifestyle Fund |
0.10% |
Nasdaq-100®
Index Fund |
0.13% |
Science
& Technology Fund |
0.52% |
Small
Cap Growth Fund |
0.42% |
Small
Cap Index Fund |
0.02% |
Small
Cap Special Values Fund |
0.54% |
Small
Cap Value Fund |
0.41% |
Stock
Index Fund |
0.01% |
Systematic
Core Fund |
0.07% |
Systematic
Value Fund |
0.10% |
Fund
Name |
Aggregate
Sub-Advisory
Fee
Rate |
U.S.
Socially Responsible Fund |
0.12% |
Predecessor
Fund |
Aggregate
Sub-Advisory
Fee
Rate |
Aggressive
Growth Lifestyle Fund |
0.10% |
Capital
Appreciation Fund |
0.22% |
Conservative
Growth Lifestyle Fund |
0.10% |
Core
Bond Fund |
0.17% |
High
Yield Bond Fund |
0.33% |
International
Opportunities Fund |
0.50% |
Mid
Cap Value Fund |
0.41% |
Moderate
Growth Lifestyle Fund |
0.10% |
Small
Cap Growth Fund |
0.44% |
Small
Cap Value Fund |
0.41% |
U.S.
Socially Responsible Fund |
0.13% |
Fund |
Subadviser |
2022 |
2021 |
2020 |
Aggressive
Growth Lifestyle Fund |
PineBridge |
$722,082 |
$499,782 |
N/A |
Asset
Allocation Fund |
JPMIM1
|
309,497 |
117,017 |
$— |
|
PineBridge |
— |
211,893 |
357,671 |
Blue
Chip Growth Fund |
T.
Rowe Price |
3,297,050 |
3,532,841 |
3,048,086 |
Capital
Appreciation Fund |
BNY
AM |
— |
— |
N/A |
|
BMO
AM2
|
181,702 |
211,889 |
N/A |
|
Columbia |
146,902 |
— |
— |
Conservative
Growth Lifestyle Fund |
PineBridge |
362,643 |
265,282 |
N/A |
Core
Bond Fund |
PineBridge |
4,574,319 |
2,122,611 |
N/A |
Dividend
Value Fund |
BlackRock |
2,477,023 |
1,858,265 |
1,868,202 |
|
ClearBridge3
|
1,245,922 |
— |
— |
|
SAAMCo |
137,945 |
1,028,331 |
1,135,313 |
Dynamic
Allocation Fund |
AllianceBernstein |
61,402 |
63,960 |
67,755 |
|
SAAMCo |
109,377 |
113,557 |
111,814 |
Emerging
Economies Fund |
JPMIM |
3,451,895 |
3,947,292 |
3,370,122 |
Global
Real Estate Fund |
GSAM |
1,487,449 |
1,073,616 |
1,321,820 |
|
Invesco |
1,241,119 |
764,497 |
1,012,587 |
Global
Strategy Fund |
Franklin
Advisers4
|
705,700 |
816,498 |
646,940 |
|
Templeton
Investment |
— |
— |
479,090 |
Government
Securities Fund |
JPMIM |
358,418 |
327,579 |
328,500 |
Growth
Fund |
American
Century |
— |
— |
1,202,319 |
|
BlackRock5
|
2,563,546 |
2,932,969 |
1,663,356 |
|
SAAMCo5
|
42,108 |
47,734 |
29,824 |
High
Yield Bond Fund |
Wellington
Management |
1,975,458 |
1,364,257 |
N/A |
Inflation
Protected Fund |
PineBridge |
— |
552,359 |
1,409,423 |
|
Wellington
Management6
|
947,568 |
640,423 |
— |
International
Equities Index Fund |
SAAMCo |
1,695,306 |
1,504,137 |
1,164,795 |
International
Government Bond Fund |
PineBridge |
427,324 |
486,269 |
450,288 |
International
Growth Fund |
MSIM |
2,070,243 |
2,038,408 |
1,709,348 |
International
Opportunities Fund |
MFS |
1,436,345 |
1,239,377 |
N/A |
|
DIFA |
1,627,395 |
1,355,908 |
1,468,753 |
International
Socially Responsible Fund |
SAAMCo |
908,077 |
896,178 |
906,915 |
International
Value Fund |
WellsCap7
|
2,230,145 |
2,295,819 |
2,223,315 |
Large
Capital Growth Fund |
MFS |
2,562,957 |
2,156,150 |
1,877,786 |
Mid
Cap Index Fund |
SAAMCo |
741,648 |
663,715 |
623,427 |
Mid
Cap Strategic Growth Fund |
AllianzGI |
1,513,098 |
788,998 |
495,775 |
|
Janus |
1,946,821 |
984,143 |
802,262 |
Mid
Cap Value Fund |
Wellington
Management |
1,732,479 |
1,200,420 |
N/A |
|
Boston
Partners |
1,964,221 |
1,365,586 |
N/A |
Moderate
Growth Lifestyle Fund |
PineBridge |
1,150,200 |
814,404 |
N/A |
Nasdaq-100®
Index Fund |
SAAMCo |
1,129,794 |
993,202 |
751,850 |
Science
& Technology Fund |
AllianzGI |
6,389,026 |
5,143,004 |
3,460,218 |
|
T.
Rowe Price |
4,902,135 |
3,731,813 |
2,724,146 |
|
Wellington
Management |
3,973,887 |
2,862,572 |
2,137,810 |
Small
Cap Growth Fund |
JPMIM |
2,933,752 |
927,281 |
N/A |
|
T.
Rowe Price8
|
28,750 |
645 |
N/A |
Small
Cap Index Fund |
SAAMCo |
268,956 |
253,397 |
219,335 |
Small
Cap Special Values Fund |
Allspring |
1,384,797 |
1,221,258 |
1,168,897 |
Small
Cap Value Fund |
JPMIM |
1,971,492 |
1,224,203 |
N/A |
Stock
Index Fund |
SAAMCo |
808,385 |
731,383 |
679,420 |
Fund |
Subadviser |
2022 |
2021 |
2020 |
Systematic
Core Fund |
GSAM9 |
$495,615 |
$217,377 |
$15,173 |
|
JPMIM |
— |
— |
280,701 |
Systematic
Value Fund |
BHMS |
— |
— |
85,610 |
|
Wellington
Management10 |
540,816 |
115,129 |
38,665 |
U.S.
Socially Responsible Fund |
SAAMCo |
1,006,937 |
727,042 |
N/A |
Predecessor
Fund |
Sub-Adviser |
2020 |
2019 |
Aggressive
Growth Lifestyle Fund |
PineBridge |
$576,306 |
$576,725 |
Capital
Appreciation Fund |
BNY
Mellon Asset Management
North
America Corporation1 |
— |
— |
|
BMO
AM |
232,590 |
226,113 |
Conservative
Growth Lifestyle Fund |
PineBridge |
327,839 |
323,046 |
Core
Bond Fund |
PineBridge |
2,713,422 |
2,638,466 |
High
Yield Bond Fund |
Wellington
Management |
1,810,581 |
1,998,922 |
International
Opportunities Fund |
MFS |
1,477,862 |
1,526,265 |
|
DIFA |
1,468,753 |
1,495,983 |
Mid
Cap Value Fund |
Wellington
Management |
1,527,796 |
1,627,994 |
|
Boston
Partners |
1,574,373 |
1,641,636 |
Moderate
Growth Lifestyle Fund |
PineBridge |
962,340 |
926,617 |
Small
Cap Growth Fund |
JPMIM |
912,053 |
1,018,167 |
Small
Cap Value Fund |
JPMIM |
1,255,018 |
1,616,434 |
U.S.
Socially Responsible Fund |
SunAmerica |
887,315 |
890,664 |
|
Fees
Retained by VALIC for Fiscal Year Ended May
31, | ||
Fund
Name |
2022 |
2021 |
2020 |
Aggressive
Growth Lifestyle Fund |
$— |
$— |
N/A |
Asset
Allocation Fund |
464,246 |
387,419 |
$357,671 |
Blue
Chip Growth Fund |
3,642,141 |
3,345,341 |
2,860,585 |
Capital
Appreciation Fund |
492,907 |
317,834 |
N/A |
Conservative
Growth Lifestyle Fund |
— |
— |
N/A |
Core
Bond Fund |
7,040,532 |
3,101,384 |
N/A |
|
Fees
Retained by VALIC for Fiscal Year Ended May
31, | ||
Fund
Name |
2022 |
2021 |
2020 |
Dividend
Value Fund |
$5,628,075 |
$4,227,217 |
$4,135,146 |
Dynamic
Allocation Fund |
302,134 |
310,712 |
318,199 |
Emerging
Economies Fund |
2,648,794 |
3,024,430 |
2,587,470 |
Global
Real Estate Fund |
1,232,149 |
842,525 |
1,049,604 |
Global
Strategy Fund |
642,041 |
641,534 |
425,935 |
Government
Securities Fund |
461,569 |
397,620 |
400,108 |
Growth
Fund |
6,617,975 |
7,379,367 |
5,859,310 |
High
Yield Bond Fund |
1,650,382 |
1,139,997 |
N/A |
Inflation
Protected Fund |
2,861,067 |
2,651,270 |
1,724,038 |
International
Equities Index Fund |
3,158,844 |
2,840,228 |
2,275,265 |
International
Government Bond Fund |
427,324 |
488,592 |
451,221 |
International
Growth Fund |
3,180,290 |
3,140,167 |
2,656,326 |
International
Opportunities Fund |
1,929,781 |
1,650,200 |
N/A |
International
Socially Responsible Fund |
908,078 |
896,178 |
906,915 |
International
Value Fund |
2,375,182 |
2,457,274 |
2,367,950 |
Large
Capital Growth Fund |
2,008,507 |
1,672,239 |
1,441,595 |
Mid
Cap Index Fund |
8,524,835 |
7,785,707 |
7,400,650 |
Mid
Cap Strategic Growth Fund |
2,167,595 |
1,147,108 |
870,934 |
Mid
Cap Value Fund |
2,645,452 |
1,836,140 |
N/A |
Moderate
Growth Lifestyle Fund |
— |
— |
N/A |
Nasdaq-100®
Index Fund |
2,226,803 |
1,916,369 |
1,368,966 |
Science
& Technology Fund |
9,763,272 |
6,583,868 |
4,512,508 |
Small
Cap Growth Fund |
2,767,527 |
778,086 |
N/A |
Small
Cap Index Fund |
3,405,488 |
3,226,570 |
2,834,852 |
Small
Cap Special Values Fund |
542,398 |
460,629 |
434,449 |
Small
Cap Value Fund |
1,200,933 |
741,754 |
N/A |
Stock
Index Fund |
12,965,810 |
11,916,366 |
11,044,623 |
Systematic
Core Fund |
4,580,224 |
1,333,459 |
630,203 |
Systematic
Value Fund |
2,957,684 |
596,869 |
224,160 |
U.S.
Socially Responsible Fund |
1,006,937 |
727,043 |
N/A |
Fees
Retained by VALIC | ||
Predecessor
Fund Name |
2020 |
2019 |
Aggressive
Growth Lifestyle Fund |
$— |
$— |
Capital
Appreciation Fund |
348,885 |
339,171 |
Conservative
Growth Lifestyle Fund |
— |
— |
Core
Bond Fund |
3,939,036 |
3,814,109 |
High
Yield Bond Fund |
1,509,100 |
1,669,936 |
International
Opportunities Fund |
1,831,303 |
1,881,524 |
Mid
Cap Value Fund |
1,964,695 |
2,076,088 |
Moderate
Growth Lifestyle Fund |
— |
— |
Small
Cap Growth Fund |
632,670 |
580,900 |
Small
Cap Value Fund |
753,136 |
979,022 |
U.S.
Socially Responsible Fund |
887,315 |
890,664 |
Fund
Name |
2022 |
2021 |
2020 |
Aggressive
Growth Lifestyle Fund |
- |
— |
N/A |
Asset
Allocation Fund |
103,296 |
$95,559 |
$95,478 |
Blue
Chip Growth Fund |
643,774 |
637,538 |
545,440 |
Capital
Appreciation Fund |
99,703 |
64,234 |
N/A |
Conservative
Growth Lifestyle Fund |
- |
— |
N/A |
Core
Bond Fund |
1,879,835 |
827,319 |
N/A |
Dividend
Value Fund |
932,715 |
680,000 |
680,577 |
Dynamic
Allocation Fund |
21,972 |
22,054 |
26,270 |
Emerging
Economies Fund |
538,441 |
620,712 |
524,730 |
Global
Real Estate Fund |
368,290 |
243,508 |
310,896 |
Global
Strategy Fund |
179,919 |
194,500 |
207,146 |
Government
Securities Fund |
109,470 |
96,739 |
97,249 |
Growth
Fund |
899,483 |
1,018,994 |
850,334 |
High
Yield Bond Fund |
400,595 |
274,180 |
N/A |
Inflation
Protected Fund |
573,030 |
578,480 |
460,222 |
International
Equities Index Fund |
1,183,147 |
1,040,651 |
789,819 |
International
Government Bond Fund |
114,092 |
130,048 |
120,328 |
International
Growth Fund |
383,347 |
377,036 |
314,488 |
International
Opportunities Fund |
408,280 |
347,703 |
N/A |
International
Socially Responsible Fund |
242,450 |
239,101 |
242,097 |
International
Value Fund |
448,211 |
463,530 |
446,696 |
Large
Capital Growth Fund |
476,898 |
398,996 |
346,124 |
Mid
Cap Index Fund |
2,425,206 |
2,163,489 |
2,030,204 |
Mid
Cap Strategic Growth Fund |
584,360 |
289,149 |
209,892 |
Mid
Cap Value Fund |
610,202 |
421,143 |
N/A |
Moderate
Growth Lifestyle Fund |
- |
— |
N/A |
Nasdaq-100®
Index Fund |
594,543 |
511,305 |
365,436 |
Science
& Technology Fund |
1,945,686 |
1,418,105 |
988,056 |
Small
Cap Growth Fund |
473,878 |
139,113 |
N/A |
Small
Cap Index Fund |
847,497 |
795,081 |
681,835 |
Small
Cap Special Values Fund |
171,521 |
149,578 |
142,670 |
Fund
Name |
2022 |
2021 |
2020 |
Small
Cap Value Fund |
320,648 |
$197,884 |
N/A |
Stock
Index Fund |
4,127,078 |
3,626,300 |
$3,254,900 |
Systematic
Core Fund |
455,814 |
138,413 |
82,403 |
Systematic
Value Fund |
347,647 |
69,842 |
33,219 |
U.S.
Socially Responsible Fund |
537,704 |
387,901 |
N/A |
Accounting
Basis Point Fee (Fund complex)† | |
Net
Assets Per Fund |
Basis
Points |
First
$25 Billion |
0.61 |
Next
$75 Billion |
0.70 |
Excess |
0.50 |
Predecessor
Fund Name |
2020 |
2019 |
Capital
Appreciation Fund |
$70,559 |
$68,555 |
Core
Bond Fund |
1,051,555 |
1,017,646 |
High
Yield Bond Fund |
363,864 |
405,530 |
International
Opportunities Fund |
390,250 |
400,513 |
Mid
Cap Value Fund |
480,496 |
507,836 |
Small
Cap Growth Fund |
124,697 |
129,157 |
Small
Cap Value Fund |
201,061 |
261,199 |
U.S.
Socially Responsible Fund |
473,747 |
475,265 |
Predecessor
Fund Name |
2020 |
2019 |
Capital
Appreciation Fund |
$264,307 |
$256,947 |
Core
Bond Fund |
3,939,036 |
3,814,110 |
High
Yield Bond Fund |
1,362,984 |
1,519,935 |
International
Opportunities Fund |
1,461,849 |
1,501,179 |
Mid
Cap Value Fund |
1,799,899 |
1,903,427 |
Small
Cap Growth Fund |
467,101 |
484,083 |
Small
Cap Value Fund |
753,136 |
979,022 |
U.S.
Socially Responsible Fund |
1,774,630 |
1,781,328 |
Fund
Name |
2022 |
2021 |
2020 |
Aggressive
Growth Lifestyle Fund |
$2,930 |
$834 |
N/A |
Asset
Allocation Fund |
1,460 |
816 |
$1,093 |
Blue
Chip Growth Fund |
3,404 |
1,905 |
2,491 |
Capital
Appreciation Fund |
3,873 |
1,667 |
N/A |
Conservative
Growth Lifestyle Fund |
2,048 |
834 |
N/A |
Core
Bond Fund |
6,372 |
1,637 |
N/A |
Dividend
Value Fund |
3,403 |
1,901 |
2,555 |
Dynamic
Allocation Fund |
1,533 |
544 |
729 |
Emerging
Economies Fund |
4,863 |
2,720 |
3,643 |
Global
Real Estate Fund |
3,405 |
1,903 |
2,552 |
Global
Strategy Fund |
1,459 |
816 |
1,093 |
Government
Securities Fund |
4,377 |
2,449 |
3,361 |
Growth
Fund |
2,432 |
1,360 |
1,822 |
High
Yield Bond Fund |
3,900 |
1,667 |
N/A |
Inflation
Protected Fund |
3,404 |
1,904 |
2,552 |
International
Equities Index Fund |
7,291 |
4,057 |
5,524 |
International
Government Bond Fund |
3,405 |
1,903 |
2,551 |
International
Growth Fund |
3,405 |
1,903 |
2,552 |
International
Opportunities Fund |
4,360 |
1,458 |
N/A |
International
Socially Responsible Fund |
3,168 |
1,540 |
2,186 |
International
Value Fund |
3,891 |
2,176 |
2,915 |
Large
Capital Growth Fund |
3,892 |
2,177 |
2,944 |
Mid
Cap Index Fund |
8,864 |
4,667 |
6,983 |
Mid
Cap Strategic Growth Fund |
3,915 |
1,904 |
2,552 |
Mid
Cap Value Fund |
4,601 |
1,874 |
N/A |
Moderate
Growth Lifestyle Fund |
2,597 |
834 |
N/A |
Nasdaq-100®
Index Fund |
6,581 |
3,275 |
5,102 |
Science
& Technology Fund |
7,293 |
4,071 |
5,600 |
Small
Cap Growth Fund |
4,037 |
1,667 |
N/A |
Small
Cap Index Fund |
8,514 |
4,540 |
6,433 |
Small
Cap Special Values Fund |
3,397 |
2,101 |
2,187 |
Small
Cap Value Fund |
3,893 |
1,224 |
N/A |
Stock
Index Fund |
10,185 |
5,712 |
7,653 |
Systematic
Core Fund |
4,935 |
1,895 |
2,684 |
Systematic
Value Fund |
3,479 |
1,088 |
1,458 |
U.S.
Socially Responsible Fund |
2,498 |
983 |
N/A |
Predecessor
Fund Name |
2020 |
2019 |
Aggressive
Growth Lifestyle Fund |
$1,397 |
$1,447 |
Predecessor
Fund Name |
2020 |
2019 |
Capital
Appreciation Fund |
$2,794 |
$2,893 |
Conservative
Growth Lifestyle Fund |
1,397 |
1,447 |
Core
Bond Fund |
2,794 |
2,893 |
High
Yield Bond Fund |
2,794 |
2,893 |
International
Opportunities Fund |
2,445 |
2,531 |
Mid
Cap Value Fund |
3,143 |
3,255 |
Moderate
Growth Lifestyle Fund |
1,397 |
1,447 |
Small
Cap Growth Fund |
2,794 |
2,893 |
Small
Cap Value Fund |
2,444 |
2,532 |
U.S.
Socially Responsible Fund |
1,688 |
1,447 |
Fund |
Advisers/
Subadviser |
Portfolio
Manager |
Other
Accounts
(As
of May 31, 2022) | |||||
Registered
Investment
Companies |
Pooled
Investment
Vehicles |
Other
Accounts | ||||||
No.
of
Accounts |
Assets
($
millions) |
No.
of
Accounts |
Assets
($
millions) |
No.
of
Accounts |
Assets
($
millions) | |||
Aggressive
Growth
Lifestyle
Fund |
JPMIM1
|
Gary
Herbert
Morgan
Moriarty
Navdeep
Saini |
7
6
0 |
$20,887,720
$8,793,539
$0 |
23
3
0 |
$36,649,796
$1,620,310
$0 |
5
43
0 |
$5,050,046
$13,322,038
$0 |
Asset
Allocation
Fund |
JPMIM1
|
Jeffrey
Geller
Gary
Herbert
Morgan
Moriarty |
35
7
6 |
84,407,080
20,887,720
8,793,539 |
46
23
3 |
55,596,129
36,649,796
1,620,310 |
19
5
43 |
14,268,435
5,050,046
13,222,038 |
Blue
Chip
Growth
Fund |
T.
Rowe
Price |
Paul
D. Greene II |
9 |
84,230.8
|
31 |
31,559.3 |
6 |
3,048.8 |
Capital
Appreciation
Fund |
Columbia |
J.P.
Gurnee
Jason
Hans
Ernesto
Ramos |
2
4
4 |
246.6
922.2
922.2 |
0
0
0 |
0
0
0 |
37
60
60 |
5,445.7
6,589.5
6,510.8 |
Conservative
Growth
Lifestyle
Fund |
JPMIM1
|
Gary
Herbert
Morgan
Moriarty
Navdeep
Saini |
7
6
0 |
$20,887,720
$8,793,539
$0 |
23
3
0 |
$36,649,796
$1,620,310
$0 |
5
43
0 |
$5,050,046
$13,322,038
$0 |
Core
Bond Fund |
PineBridge |
John
Yovanovic
Dana
Burns
Robert
Vanden Assem |
5
3
7 |
3,400.56
2,994.19
2,812.64 |
11
2
14 |
4,430.95
359.41
2,787.90 |
20
15
16 |
6,402.04
5,055.80
5,079.31 |
Dividend
Value
Fund |
BlackRock |
Tony
DeSpirito
David
Zhao |
12
12 |
30,110
30,110 |
11
11 |
4,810
4,810 |
7
7 |
1,200
1,200 |
ClearBridge |
John
Baldi
Michael
Clarfeld
Peter
Vanderlee |
4
7
9 |
8,779
10,652
11,333 |
1
2
6 |
103
238
1,016 |
43,724
43,724
45,272 |
16,692
16,692
17,199 |
Fund |
Advisers/
Subadviser |
Portfolio
Manager |
Other
Accounts
(As
of May 31, 2022) | |||||
Registered
Investment
Companies |
Pooled
Investment
Vehicles |
Other
Accounts | ||||||
No.
of
Accounts |
Assets
($
millions) |
No.
of
Accounts |
Assets
($
millions) |
No.
of
Accounts |
Assets
($
millions) | |||
Dynamic
Allocation
Fund |
SunAmerica |
Andrew
Sheridan
Manisha
Singh
Robert
Wu |
13
13
13 |
17,336
17,336
17,336 |
0
0
0 |
0
0
0 |
0
0
0 |
0
0
0 |
Alliance
Bernstein |
Joshua
Lisser
Benjamin
Sklar |
48
47 |
37,378
37,368 |
33
33 |
4,666
4,666 |
869
866 |
30,639
30,503 | |
Emerging
Economies
Fund |
JPMIM1
|
Joyce
Weng
Anuj
Arora
Harold
Yu |
5
4
0 |
1,451,731
1,394,029
0 |
6
11
0 |
620,698
5,422,822
0 |
4
19
(3)
0 |
773,994
5,532,456
(763,908)
0 |
Global
Real
Estate
Fund |
Invesco |
Mark
Blackburn
James
Cowen
Darin
Turner
Ping-Ying
Wang
Grant
Jackson
Chip
McKinley |
8
8
9
9
9
7 |
3,525.3
3,399.3
3,528.7
3,528.7
3,528.7
3,395.1 |
4
4
4
4
4
4 |
306.6
306.6
306.6
306.6
306.6
306.6 |
25
25
25
25
25
25 |
6,831.9
6,831.9
6,831.9
6,831.9
6,831.9
6,831.9 |
GSAM |
Frankie
Chun Wah Lee
Abhinav
Zutshi |
2
3 |
419
533 |
5
3 |
164
255 |
8
0 |
143
0 | |
Global
Strategy
Fund |
Franklin
Advisers |
Chandra
Seethamraju
Sundaram
Chettiappan
Tom
Nelson
Berkeley
Revenaugh |
9
8
19
16 |
2,181.1
2,180.0
1,263.7
509.7 |
11
10
126
30 |
1,638.4
1,218.5
3,075.4
1,361.1 |
1
1
3
0 |
88.1
88.1
173.9
0 |
Brandywine |
Michael
Arno
Tracy
Chen
Brian
L. Kloss
Renato
Latini
John
P. McIntyre
Anujeet
Sareen |
2
16
16
2
15
15 |
313
5,936
5,936
313
5,729
5,729 |
24
52
52
24
52
52 |
5,503
12,974
12,974
5,503
12,864
12,864 |
8
66
66
8
67
67 |
1,578
25,667
25,667
1,578
26,433
26,433 | |
Government
Securities
Fund |
JPMIM1
|
Michael
Sais
Robert
Manning
|
4
3 |
8,867,024
4,814,419
|
1
0 |
995,000
0 |
3
(2)
56
(1) |
4,977,800
(1,191,127)
46,241,709
(624,075) |
Growth
Fund |
BlackRock |
Lawrence
Kemp
Philip
H. Ruvinsky
Caroline
Bottinelli |
12
14
10 |
28,300
30,740
14,510 |
4
4
2 |
3,680
3,680
2,190 |
0
0
0 |
0
0
0 |
SunAmerica |
Timothy
Campion
Elizabeth
Mauro |
15
15 |
6,889
6,889 |
0
0 |
0
0 |
0
0 |
0
0 | |
High
Yield Bond
Fund |
Wellington
Management |
Christopher
A. Jones
Mike
Barry |
10
5 |
1,363
558 |
24
14 |
3,454
769 |
20
9 |
2,240
840 |
Inflation
Protected
Fund |
Wellington
Management |
Joseph
F. Marvan
Jeremy
Forster |
21
8 |
33,504
2,985 |
28
14 |
11,288
790 |
77
54 |
33,362
6,753 |
International
Equities
Index
Fund |
SunAmerica |
Timothy
Campion
Elizabeth
Mauro |
15
15 |
6,889
6,889 |
0
0 |
0
0 |
0
0 |
0
0 |
International
Government
Bond
Fund |
PineBridge |
Anders
Faergemann
Dmitri
Savin |
5
1 |
4,930.08
140.63 |
11
9 |
644.53
620.42 |
6
3 |
2,557.81
550.86 |
International
Growth
Fund |
MSIM |
Kristian
Heugh
Wendy
Wang |
8
3 |
10,986
4,920 |
32
4 |
31,481
1,295 |
354
2 |
3,425
93 |
Fund |
Advisers/
Subadviser |
Portfolio
Manager |
Other
Accounts
(As
of May 31, 2022) | |||||
Registered
Investment
Companies |
Pooled
Investment
Vehicles |
Other
Accounts | ||||||
No.
of
Accounts |
Assets
($
millions) |
No.
of
Accounts |
Assets
($
millions) |
No.
of
Accounts |
Assets
($
millions) | |||
International
Opportunities
Fund |
MFS |
Jose
Luis Garcia
Peter
Fruzzetti
Robert
Lau
Sandeep
Mehta
Lionel
Gomez
Nicholas
Spratt |
5
3
3
3
2
2 |
14,824
7,071
7,983
7,071
6,999
6,999 |
7
4
1
4
1
1 |
645,173
611,091
159,542
611,091
159,542
159,542 |
7
2
4
2
3
2 |
923,418
480,278
1,151
480,278
482,232
480,278 |
DIFA |
Joseph
Devine
Stephan
Maikkula
Gabriel
Wallach |
3
3
3 |
423.9
423.9
423.9 |
2
2
2 |
34
34
34 |
5
5
5 |
704.8
704.8
704.8 | |
International
Socially
Responsible
Fund |
SunAmerica |
Timothy
Campion
Elizabeth
Mauro |
15
15 |
6,889
6,889 |
0
0 |
0
0 |
0
0 |
0
0 |
International
Value
Fund |
Allspring |
Dale
A. Winner
Venkateshwar
Lal |
4
4 |
2,458.96
2,458.96 |
0
0 |
0
0 |
2
2 |
69.95
69.95 |
Large
Capital
Growth
Fund |
MFS |
Jeffrey
Constantino
Joseph
Skorski |
6
6 |
12,394
12,394 |
7
7 |
1,654
1,654 |
13
13 |
5,204
5,204 |
Mid
Cap
Index
Fund |
SunAmerica |
Timothy
Campion
Elizabeth
Mauro |
15
15 |
6,889
6,889 |
0
0 |
0
0 |
0
0 |
0
0 |
Mid
Cap
Strategic
Growth
Fund |
Voya
IM |
Jeffrey
Parker
Raymond
Cunha |
4
1 |
632.5
322.9 |
65
0 |
757.85
0 |
4
2 |
354.3
281.2 |
Janus |
Brian
Demain
Cody
Wheaton |
5
5 |
22,405.34
22,405.34 |
0
0 |
0
0 |
8
8 |
1,755.17
1,755.17 | |
Mid
Cap Value Fund |
Boston
Partners |
Steven
L. Pollack
Joseph
F. Feeney, Jr. |
4
9 |
23,138.67
24,485.84 |
1
2 |
827.02
882.7 |
432
432
|
5,062.21
5,062.21 |
Wellington
Management |
Gregory
J. Garabedian |
7 |
2,846 |
3 |
234 |
3 |
1,058 | |
Moderate
Growth
Lifestyle
Fund |
JPMIM1
|
Gary
Herbert
Morgan
Moriarty
Navdeep
Saini |
7
6
0 |
$20,887,720
$8,793,539
$0 |
23
3
0 |
$36,649,796
$1,620,310
$0 |
5
43
0 |
$5,050,046
$13,322,038
$0 |
Nasdaq-
100®
Index
Fund |
SunAmerica |
Timothy
Campion
Elizabeth
Mauro |
15
15 |
6,889
6,889 |
0
0 |
0
0 |
0
0 |
0
0 |
Science
&
Technology
Fund |
T.
Rowe Price |
Kennard
Allen |
3 |
6,412.1 |
1 |
6.4 |
0 |
0 |
Voya
IM |
Walter
C. Price
Huachen
Chen
Michael
A. Seidenberg |
5
5
5 |
2,464.3
2,464.3
2,464.3 |
43
43
43
|
5,432.03
5,432.03
5,432.03
|
0
0
0 |
0
0
0 | |
Wellington
Management |
Brian
Barbetta
Bruce
L.Glazer
Eunhak
Bae
Jeffrey
Wantman |
9
15
9
9 |
1,555
1,286
1,040
1,230 |
27
40
23
22 |
1,187
1,553
326
447 |
50
58
71
71 |
1,024
1,180
1,163
1,427 | |
Small
Cap Growth
Fund |
JPMIM1
|
Eytan
Shapiro
Matthew
Cohen |
3
3 |
5,642,882
5,017,758 |
4
3 |
3,290,839
5,419,655 |
2
1
(1) |
365,500
54,964
(1,822,975) |
T.
Rowe Price |
Francisco
Alonso |
3 |
14,137.6 |
6 |
5,012.6 |
1 |
123.9 | |
Small
Cap
Index
Fund |
SunAmerica |
Timothy
Campion
Elizabeth
Mauro |
15
15 |
6,889
6,889 |
0
0 |
0
0 |
0
0 |
0
0 |
Small
Cap
Special
Values
Fund |
Allspring |
James
M. Tringas
Bryant
VanCronkhite
Brian
Martin |
8
8
2 |
18,019.99
18,019.99
5,198.44 |
7
7
3 |
688.13
688.13
140.92 |
30
30
8 |
2,391.55
2,391.55
674.84 |
Fund |
Advisers/
Subadviser |
Portfolio
Manager |
Other
Accounts
(As
of May 31, 2022) | |||||
Registered
Investment
Companies |
Pooled
Investment
Vehicles |
Other
Accounts | ||||||
No.
of
Accounts |
Assets
($
millions) |
No.
of
Accounts |
Assets
($
millions) |
No.
of
Accounts |
Assets
($
millions) | |||
Small
Cap
Value
Fund |
JPMIM1
|
Phillip
Hart
Wonseok
Choi
Jonathan
L. Tse
Aksah
Gupta |
14
16
14
13 |
5,372,855
6,862,273
6,469,852
5,372,831 |
2
1
1
1 |
892,698
177,244
177,244
177,244 |
3
3
3
3 |
839,652
839,652
839,652
839,652 |
Stock
Index
Fund |
SunAmerica |
Timothy
Campion
Elizabeth
Mauro |
15
15 |
6,889
6,889 |
0
0 |
0
0 |
0
0 |
0
0 |
Systematic
Core
Fund |
GSAM |
Khalid
Ghayur
Ronan
G. Heaney
Karhan
E. Akcoglu |
5
5
5 |
1,005.9
1,005.9
1,005.9 |
0
0
0 |
0
0
0 |
10
10
10 |
5,651.9
5,651.9
5,651.9 |
Systematic
Value
Fund |
Wellington
Management |
Thomas
Simon
Matthew
Kyller |
9
3 |
11,390
759 |
7
6 |
194
21 |
4
0 |
3,246
0 |
U.S.
Socially
Responsible
Fund |
SunAmerica |
Timothy
Campion
Elizabeth
Mauro |
15
15 |
6,889
6,889 |
0
0 |
0
0 |
0
0 |
0
0 |
Portfolio
Manager |
Benchmarks |
Tony
DeSpirito
David
Zhao |
FTSE
United States in GBP; MSCI All Country (AC) Americas Index;
Russell
1000 Index (GBP); Russell 1000 Index (Gross Total Return); Russell
1000
Value Index (Total Return); Russell 1000 Value Index TR in GBP;
Russell
1000 Value TR Customized Index Performance Benchmark JPY;
Russell
1000, expressed in EUR; Russell MidCap Value Index; S&P
United
States MidSmallCap Index; S&P US MidSmallCap Index
(GBP). |
Portfolio
Manager |
Benchmarks |
Lawrence
Kemp
Philip
H. Ruvinsky
Caroline
Bottinelli |
Russell
1000 Growth Custom Index; Russell 1000 Growth Index; Russell
2500
Growth Index; Russell MidCap Growth
Index. |
Sub-Advisor |
Performance
time period1
|
Invesco2
|
One-,
Three- and Five-year performance against fund peer
group |
Invesco-Listed
Real Assets Division2
|
N/A |
Large
Capital Growth Fund |
Jeffrey
Constantino: Russell 1000®
Growth Index
Joseph
Skorski: Russell 1000®
Growth Index |
International
Opportunities Fund |
Peter
Fruzzetti: MSCI ACWI ex USA SMID Cap Index
Jose
Luis Garcia: MSCI ACWI ex USA SMID Cap Index
Robert
Lau: MSCI ACWI ex USA SMID Cap Index
Sandeep
Mehta: MSCI ACWI ex USA SMID Cap Index
Lionel
Gomez: MSCI ACWI ex USA SMID Cap Index
Nicholas
Spratt: MSCI ACWI ex USA SMID Cap
Index |
Fund |
Benchmark
Index and/or Peer Group for Incentive
Period |
High
Yield Bond Fund |
FTSE
High Yield Market Index |
Mid
Cap Value Fund |
Russell
2500 Value Index |
Science
& Technology Fund |
S&P
North American Technology Sector (TR) Index |
Systematic
Value Fund |
Russell
1000 Value |
|
Fiscal
Year
Ending
05/31/2022 |
%
of
Average
Net
Assets
05/31/2022 |
Fiscal
Year
Ending
05/31/2021 |
%
of
Average
Net
Assets
05/31/2021 |
Fiscal
Year
Ending
05/31/2020 |
%
of
Average
Net
Assets
05/31/2020 |
Aggressive
Growth Lifestyle Fund |
— |
— |
— |
— |
||
Asset
Allocation Fund |
$421 |
0.00% |
$501 |
0.00% |
$4,373 |
0.00% |
Blue
Chip Growth Fund |
— |
— |
— |
— |
— |
— |
Capital
Appreciation Fund |
7 |
0.00% |
— |
— |
|
|
Conservative
Growth Lifestyle Fund |
— |
— |
— |
— |
||
Core
Bond Fund |
— |
— |
— |
— |
|
|
Dividend
Value Fund |
2,737 |
0.00% |
— |
— |
— |
— |
Dynamic
Allocation Fund |
— |
— |
— |
— |
— |
— |
Emerging
Economies Fund |
163 |
0.00% |
1,431 |
0.00% |
1,141 |
0.00% |
Global
Real Estate Fund |
694 |
0.00% |
13 |
0.00% |
— |
— |
Global
Strategy Fund |
23,840 |
0.01% |
376 |
0.00% |
1,958 |
0.00% |
Government
Securities Fund |
— |
— |
— |
— |
— |
— |
Growth
Fund |
— |
— |
— |
— |
— |
— |
High
Yield Bond Fund |
— |
— |
— |
— |
|
|
Inflation
Protected Fund |
— |
— |
— |
— |
— |
— |
International
Equities Index Fund |
— |
— |
— |
— |
— |
— |
International
Government Bond Fund |
— |
— |
— |
— |
— |
— |
International
Growth Fund |
— |
— |
— |
— |
— |
— |
International
Opportunities Fund |
8,034 |
0.00% |
6,813 |
0.00% |
||
International
Socially Responsible Fund |
— |
— |
— |
— |
— |
— |
International
Value Fund |
5,405 |
0.00% |
— |
— |
2,612 |
0.00% |
Large
Capital Growth Fund |
— |
— |
— |
— |
698 |
0.00% |
Mid
Cap Index Fund |
— |
— |
— |
— |
— |
— |
Mid
Cap Strategic Growth Fund |
15,408 |
0.00% |
7,815 |
0.00% |
14,911 |
0.00% |
Mid
Cap Value Fund |
3,440 |
0.00% |
8,259 |
0.00% |
||
Moderate
Growth Lifestyle Fund |
— |
— |
— |
— |
|
|
Nasdaq-100®
Index Fund |
— |
— |
— |
— |
— |
— |
Science
& Technology Fund |
47,803 |
0.00% |
87,404 |
0.00% |
81,519 |
0.01% |
Small
Cap Growth Fund |
17,423 |
0.00% |
6,449 |
0.00% |
||
Small
Cap Index Fund |
— |
— |
— |
— |
— |
— |
Small
Cap Special Values Fund |
7,702 |
0.00% |
6,992 |
0.00% |
6,320 |
0.00% |
Small
Cap Value Fund |
25,210 |
0.01% |
32,476 |
0.01% |
|
|
Stock
Index Fund |
— |
— |
— |
— |
— |
— |
Systematic
Core Fund |
16 |
0.00% |
4,778 |
0.00% |
1,036 |
0.00% |
|
Fiscal
Year
Ending
05/31/2022 |
%
of
Average
Net
Assets
05/31/2022 |
Fiscal
Year
Ending
05/31/2021 |
%
of
Average
Net
Assets
05/31/2021 |
Fiscal
Year
Ending
05/31/2020 |
%
of
Average
Net
Assets
05/31/2020 |
Systematic
Value Fund |
$12 |
0.00% |
$2,469 |
0.00% |
$1,072 |
0.00% |
U.S.
Socially Responsible Fund |
— |
— |
— |
— |
|
|
Predecessor
Fund |
Fiscal
Year Ending 08/31/2020 |
Fiscal
Year Ending 08/31/2019 |
Capital
Appreciation Fund |
$150 |
$468 |
International
Opportunities Fund |
5,462 |
2,918 |
Mid
Cap Value Fund |
11,417 |
2,563 |
Small
Cap Growth Fund |
14,808 |
16,858 |
Small
Cap Value Fund |
32,520 |
53,781 |
Fund |
Aggregate
Brokerage
Commission |
Amount
paid to
Affiliated
Broker-Dealers* |
Percentage
of
Commissions
paid
to
Affiliated
Broker-Dealers* |
Percentage
of
Amount
of
Transactions
Involving
Payments
of
Commissions
to
Affiliated
Broker-Dealers |
Aggressive
Growth Lifestyle Fund |
$- |
$- |
0.00% |
0.00% |
Asset
Allocation Fund |
11,885 |
- |
0.00% |
0.00% |
Blue
Chip Growth Fund |
59,179 |
- |
0.00% |
0.00% |
Capital
Appreciation Fund |
19,316 |
- |
0.00% |
0.00% |
Conservative
Growth Lifestyle Fund |
- |
- |
0.00% |
0.00% |
Core
Bond Fund |
6 |
- |
0.00% |
0.00% |
Dividend
Value Fund |
487,790 |
- |
0.00% |
0.00% |
Dynamic
Allocation Fund |
- |
- |
0.00% |
0.00% |
Emerging
Economies Fund |
623,963 |
- |
0.00% |
0.00% |
Global
Real Estate Fund |
287,057 |
- |
0.00% |
0.00% |
Global
Strategy Fund |
177,485 |
- |
0.00% |
0.00% |
Government
Securities Fund |
- |
- |
0.00% |
0.00% |
Growth
Fund |
184,403 |
- |
0.00% |
0.00% |
High
Yield Bond Fund |
304 |
- |
0.00% |
0.00% |
Inflation
Protected Fund |
- |
- |
0.00% |
0.00% |
International
Equities Index Fund |
105,077 |
- |
0.00% |
0.00% |
International
Government Bond Fund |
- |
- |
0.00% |
0.00% |
International
Growth Fund |
121,251 |
- |
0.00% |
0.00% |
International
Opportunities Fund |
726,279 |
- |
0.00% |
0.00% |
International
Socially Responsible Fund |
51,301 |
- |
0.00% |
0.00% |
International
Value Fund |
1,077,651 |
- |
0.00% |
0.00% |
Large
Capital Growth Fund |
24,380 |
- |
0.00% |
0.00% |
Mid
Cap Index Fund |
175,391 |
- |
0.00% |
0.00% |
Mid
Cap Strategic Growth Fund |
345,236 |
- |
0.00% |
0.00% |
Mid
Cap Value Fund |
369,954 |
- |
0.00% |
0.00% |
Moderate
Growth Lifestyle Fund |
- |
- |
0.00% |
0.00% |
Nasdaq-100®
Index Fund |
10,250 |
- |
0.00% |
0.00% |
Science
& Technology Fund |
928,247 |
- |
0.00% |
0.00% |
Small
Cap Growth Fund |
247,009 |
- |
0.00% |
0.00% |
Small
Cap Index Fund |
216,834 |
- |
0.00% |
0.00% |
Small
Cap Special Values Fund |
117,544 |
- |
0.00% |
0.00% |
Small
Cap Value Fund |
419,863 |
- |
0.00% |
0.00% |
Stock
Index Fund |
52,917 |
- |
0.00% |
0.00% |
Systematic
Core Fund |
9,133 |
- |
0.00% |
0.00% |
Systematic
Value Fund |
38,366 |
- |
0.00% |
0.00% |
U.S.
Socially Responsible Fund |
40,412 |
- |
0.00% |
0.00% |
Fund |
Aggregate
Brokerage
Commission |
Amount
paid to
Affiliated
Broker-Dealers* |
Percentage
of
Commissions
paid
to
Affiliated
Broker-Dealers* |
Percentage
of
Amount
of
Transactions
Involving
Payments
of
Commissions
to
Affiliated
Broker-Dealers |
Aggressive
Growth Lifestyle Fund |
$— |
$— |
0.00% |
0.00% |
Asset
Allocation Fund |
128,596 |
— |
0.00% |
0.00% |
Blue
Chip Growth Fund |
83,545 |
— |
0.00% |
0.00% |
Capital
Appreciation Fund |
13,770 |
— |
0.00% |
0.00% |
Conservative
Growth Lifestyle Fund |
— |
— |
0.00% |
0.00% |
Core
Bond Fund |
— |
— |
0.00% |
0.00% |
Dividend
Value Fund |
406,570 |
— |
0.00% |
0.00% |
Dynamic
Allocation Fund |
— |
— |
0.00% |
0.00% |
Emerging
Economies Fund |
672,390 |
— |
0.00% |
0.00% |
Global
Real Estate Fund |
288,845 |
507 |
0.18% |
0.27% |
Global
Strategy Fund |
49,434 |
— |
0.00% |
0.00% |
Government
Securities Fund |
— |
— |
0.00% |
0.00% |
Growth
Fund |
179,544 |
— |
0.00% |
0.00% |
High
Yield Bond Fund |
817 |
— |
0.00% |
0.00% |
Inflation
Protected Fund |
— |
— |
0.00% |
0.00% |
International
Equities Index Fund |
27,691 |
— |
0.00% |
0.00% |
International
Government Bond Fund |
— |
— |
0.00% |
0.00% |
International
Growth Fund |
78,503 |
— |
0.00% |
0.00% |
International
Opportunities Fund |
679,986 |
— |
0.00% |
0.00% |
International
Socially Responsible Fund |
61,668 |
— |
0.00% |
0.00% |
International
Value Fund |
1,077,746 |
— |
0.00% |
0.00% |
Large
Capital Growth Fund |
49,930 |
— |
0.00% |
0.00% |
Mid
Cap Index Fund |
212,746 |
— |
0.00% |
0.00% |
Mid
Cap Strategic Growth Fund |
196,945 |
— |
0.00% |
0.00% |
Mid
Cap Value Fund |
256,620 |
— |
0.00% |
0.00% |
Moderate
Growth Lifestyle Fund |
— |
— |
0.00% |
0.00% |
Nasdaq-100®
Index Fund |
10,007 |
— |
0.00% |
0.00% |
Science
& Technology Fund |
1,042,458 |
— |
0.00% |
0.00% |
Small
Cap Growth Fund |
80,785 |
— |
0.00% |
0.00% |
Small
Cap Index Fund |
65,476 |
— |
0.00% |
0.00% |
Small
Cap Special Values Fund |
140,183 |
— |
0.00% |
0.00% |
Small
Cap Value Fund |
— |
— |
0.00% |
0.00% |
Stock
Index Fund |
86,155 |
— |
0.00% |
0.00% |
Systematic
Core Fund |
4,506 |
— |
0.00% |
0.00% |
Systematic
Value Fund |
58,019 |
— |
0.00% |
0.00% |
U.S.
Socially Responsible Fund |
46,610 |
— |
0.00% |
0.00% |
Fund |
Aggregate
Brokerage
Commission |
Amount
paid to
Affiliated
Broker-Dealers* |
Percentage
of
Commissions
paid
to
Affiliated
Broker-Dealers* |
Percentage
of
Amount
of
Transactions
Involving
Payments
of
Commissions
to
Affiliated
Broker-Dealers |
Asset
Allocation Fund |
$235,208 |
$— |
0.00% |
0.00% |
Blue
Chip Growth Fund |
79,142 |
— |
0.00% |
0.00% |
Dividend
Value Fund |
581,416 |
— |
0.00% |
0.00% |
Dynamic
Allocation Fund |
— |
— |
0.00% |
0.00% |
Emerging
Economies Fund |
573,764 |
— |
0.00% |
0.00% |
Global
Real Estate Fund |
505,627 |
29,027 |
5.74% |
4.16% |
Global
Strategy Fund |
120,080 |
— |
0.00% |
0.00% |
Government
Securities Fund |
— |
— |
0.00% |
0.00% |
Growth
Fund |
464,718 |
— |
0.00% |
0.00% |
Inflation
Protected Fund |
— |
— |
0.00% |
0.00% |
International
Equities Index Fund |
173,635 |
— |
0.00% |
0.00% |
International
Government Bond Fund |
— |
— |
0.00% |
0.00% |
International
Growth Fund |
97,755 |
— |
0.00% |
0.00% |
International
Socially Responsible Fund |
173,730 |
— |
0.00% |
0.00% |
International
Value Fund |
1,320,728 |
— |
0.00% |
0.00% |
Large
Capital Growth Fund |
102,520 |
— |
0.00% |
0.00% |
Mid
Cap Index Fund |
185,240 |
— |
0.00% |
0.00% |
Mid
Cap Strategic Growth Fund |
180,702 |
— |
0.00% |
0.00% |
Nasdaq-100®
Index Fund |
9,902 |
— |
0.00% |
0.00% |
Science
& Technology Fund |
1,006,594 |
— |
0.00% |
0.00% |
Small
Cap Index Fund |
160,711 |
— |
0.00% |
0.00% |
Small
Cap Special Values Fund |
165,716 |
— |
0.00% |
0.00% |
Stock
Index Fund |
66,575 |
— |
0.00% |
0.00% |
Systematic
Core Fund |
54,938 |
— |
0.00% |
0.00% |
Systematic
Value Fund |
43,912 |
— |
0.00% |
0.00% |
Predecessor
Fund |
Aggregate
Brokerage
Commission |
Amount
paid to
Affiliated
Broker-Dealers |
Percentage
of
Commissions
paid
to
Affiliated
Broker-Dealers |
Percentage
of
Amount
of
Transactions
Involving
to
Affiliated
Broker-Dealers |
Aggressive
Growth Lifestyle Fund |
$— |
$— |
— |
— |
Capital
Appreciation Fund |
34,001 |
— |
— |
— |
Conservative
Growth Lifestyle Fund |
— |
— |
— |
— |
Core
Bond Fund |
3 |
— |
— |
— |
High
Yield Bond Fund |
— |
— |
— |
— |
International
Opportunities Fund |
569,405 |
— |
— |
— |
Mid
Cap Value Fund |
467,419 |
— |
— |
— |
Moderate
Growth Lifestyle Fund |
— |
— |
— |
— |
Small
Cap Growth Fund |
87,409 |
— |
— |
— |
Small
Cap Value Fund |
450,674 |
— |
— |
— |
Predecessor
Fund |
Aggregate
Brokerage
Commission |
Amount
paid to
Affiliated
Broker-Dealers |
Percentage
of
Commissions
paid
to
Affiliated
Broker-Dealers |
Percentage
of
Amount
of
Transactions
Involving
to
Affiliated
Broker-Dealers |
U.S.
Socially Responsible Fund |
$66,743 |
$— |
$— |
$— |
Predecessor
Fund |
Aggregate
Brokerage
Commission |
Amount
paid to
Affiliated
Broker-Dealers |
Percentage
of
Commissions
paid
to
Affiliated
Broker-Dealers |
Percentage
of
Amount
of
Transactions
Involving
to
Affiliated
Broker-Dealers |
Aggressive
Growth Lifestyle Fund |
$— |
$— |
— |
— |
Capital
Appreciation Fund |
32,916 |
— |
— |
— |
Conservative
Growth Lifestyle Fund |
— |
— |
— |
— |
Core
Bond Fund |
271 |
— |
— |
— |
High
Yield Bond Fund |
— |
— |
— |
— |
International
Opportunities Fund |
594,695 |
— |
— |
— |
Mid
Cap Value Fund |
337,292 |
— |
— |
— |
Moderate
Growth Lifestyle Fund |
— |
— |
— |
— |
Small
Cap Growth Fund |
116,383 |
— |
— |
— |
Small
Cap Value Fund |
460,365 |
— |
— |
— |
U.S.
Socially Responsible Fund |
100,587 |
— |
— |
— |
Portfolio |
Gross
Dollar Value of
Purchase/Sales
Directed
to
Research Providers ($) |
Dollar
Amount of
Commissions
Directed to
Research
Providers ($) | ||
Aggressive
Growth Lifestyle Fund |
$0 |
$0 |
||
Asset
Allocation Fund |
113,450,742 |
|
4,565 |
|
Blue
Chip Growth Fund |
0 |
0 |
||
Capital
Appreciation Fund |
0 |
|
0 |
|
Conservative
Growth Lifestyle Fund |
0 |
0 |
||
Core
Bond Fund |
0 |
|
0 |
|
Dividend
Value Fund |
27,337,620.21 |
(BlackRock) |
11,492.83 |
(BlackRock) |
90,717,767.72 |
(ClearBridge) |
26,873.23 |
(ClearBridge) | |
Dynamic
Allocation Fund |
0 |
0 |
||
Emerging
Economies Fund |
687,079 |
|
0 |
|
Global
Real Estate Fund |
229,685,078 |
(GSAM) |
94,419 |
(GSAM) |
204,846,475.10 |
(Invesco) |
48,977.34 |
(Invesco) | |
Global
Strategy Fund |
210,243,755 |
(Franklin) |
315 |
(Franklin) |
Government
Securities Fund |
0 |
|
0 |
|
Growth
Fund |
38,056,016.09 |
(BlackRock) |
2,989.62 |
(BlackRock) |
High
Yield Bond Fund |
1,136,394 |
|
61 |
|
Inflation
Protected Fund |
0 |
0 |
||
International
Equities Index Fund |
0 |
|
0 |
|
International
Government Bond Fund |
0 |
0 |
||
International
Growth Fund |
54,227,935.66 |
|
15,375.15 |
|
International
Opportunities Fund |
497,966,915.36 |
(Delaware) |
328,644.46 |
(Delaware) |
0 |
(MFS) |
0 |
(MFS) | |
International
Socially Responsible Fund |
47,083,711 |
35,730 |
Portfolio |
Gross
Dollar Value of
Purchase/Sales
Directed
to
Research Providers ($) |
Dollar
Amount of
Commissions
Directed to
Research
Providers ($) | ||
International
Value Fund |
$666,882,201 |
$639,348 |
||
Large
Capital Growth Fund |
0 |
|
0 |
|
Mid
Cap Index Fund |
0 |
0 |
||
Mid
Cap Strategic Growth Fund |
161,316,466 |
(Janus) |
137,200 |
(Janus) |
491,682,138 |
(Voya
IM) |
145,273 |
(Voya
IM) | |
Mid
Cap Value Fund |
202,311,887 |
(Boston
Partners) |
95,105 |
(Boston
Partners) |
456,923,227 |
(Wellington) |
38,505 |
(Wellington) | |
Moderate
Growth Lifestyle Fund |
0 |
|
0 |
|
NASDAQ-100®
Index Fund |
0 |
0 |
||
Science
& Technology Fund |
696,277,106 |
(Wellington) |
34,680 |
(Wellington) |
1,607,419,406 |
(Voya
IM) |
322,108 |
(Voya
IM) | |
Small
Cap Growth Fund |
0 |
|
0 |
|
Small
Cap Index Fund |
0 |
0 |
||
Small
Cap Special Values Fund |
96,570,777 |
|
70,042 |
|
Small
Cap Value Fund |
0 |
0 |
||
Stock
Index Fund |
0 |
|
0 |
|
Systematic
Core Fund |
0 |
0 |
||
Systematic
Value Fund |
300,160,429 |
|
5,911 |
|
U.S.
Socially Responsible Fund |
149,171,493 |
25,807 |
Fund |
Broker
Dealer |
Value
(000’s) |
Debt/Equity |
Aggressive
Growth Lifestyle Fund |
State
Street Corp. |
50,592 |
Equity |
Asset
Allocation Fund |
Bank
of America Corp. |
692 |
Debt |
|
Citigroup,
Inc. |
364 |
Debt |
|
Deutsche
Bank AG |
134 |
Debt |
|
Goldman
Sachs Group, Inc. |
649 |
Debt |
|
HSBC |
107 |
Debt |
|
Morgan
Stanley |
256 |
Debt |
|
Morgan
Stanley |
1,578 |
Equity |
|
State
Street Corp. |
561 |
Equity |
|
Wells
Fargo & Co. |
135 |
Debt |
|
Wells
Fargo & Co. |
1,486 |
Equity |
Blue
Chip Growth Fund |
Goldman
Sachs Group, Inc. |
8,496 |
Equity |
|
State
Street Corp. |
2,244 |
Equity |
|
T.
Rowe Price Investment Services, Inc. |
201 |
Equity |
Capital
Appreciation |
State
Street Corp. |
895 |
Equity |
Conservative
Growth Lifestyle Fund |
State
Street Corp. |
26,336 |
Equity |
Fund |
Broker
Dealer |
Value
(000’s) |
Debt/Equity |
Core
Bond Fund |
Bank
of America Corp. |
23,570 |
Debt |
|
Barclays
PLC |
3,263 |
Debt |
|
Citigroup,
Inc. |
16,838 |
Debt |
|
Goldman
Sachs Group, Inc. |
12,643 |
Debt |
|
JP
Morgan Chase & Co. |
19,792 |
Debt |
|
JP
Morgan Chase & Co. |
2,515 |
Equity |
|
Morgan
Stanley |
12,359 |
Debt |
|
State
Street Corp. |
371,900 |
Equity |
Dividend
Value Fund |
Bank
of America Corp. |
22,362 |
Equity |
|
Citigroup,
Inc. |
22,779 |
Equity |
|
JPMorgan
Chase & Co. |
20,259 |
Equity |
|
Wells
Fargo & Co. |
24,957 |
Equity |
|
State
Street Corp. |
52,941 |
Equity |
Global
Real Estate Fund |
State
Street Corp. |
7,825 |
Equity |
Global
Strategy Fund |
BNY
Mellon Corp. |
154 |
Equity |
|
HSBC
Holdings PLC |
149 |
Equity |
|
HSBC
Holdings PLC |
1,089 |
Debt |
|
RBC |
146 |
Equity |
|
State
Street Corp. |
13,089 |
Equity |
|
UBS
AG |
493 |
Equity |
Government
Securities Fund |
Citigroup,
Inc. |
1,528 |
Debt |
|
Goldman
Sachs Group, Inc. |
1,072 |
Debt |
|
State
Street Corp. |
62 |
Equity |
Growth
Fund |
Bank
of America Corp. |
1,777 |
Equity |
|
Goldman
Sachs Group, Inc. |
1,695 |
Equity |
|
JPMorgan
Chase & Co. |
2,746 |
Equity |
|
Morgan
Stanley |
914 |
Equity |
|
State
Street Corp. |
15,469 |
Equity |
High
Yield Bond Fund |
Credit
Suisse |
3,497 |
Debt |
|
State
Street Corp. |
19,188 |
Equity |
Inflation
Protected Fund |
State
Street Bank |
46 |
Equity |
International
Equities Index Fund |
ABN
AMRO Bank NV |
475 |
Equity |
|
BNP
Paribas SA |
6,144 |
Equity |
|
Mizuho
Financial Group, Inc. |
2,721 |
Equity |
|
Nomura
Holdings, Inc. |
1,157 |
Equity |
|
State
Street Corp. |
34,916 |
Equity |
|
UBS
AG |
6,325 |
Equity |
International
Government Bond
Fund |
State
Street Corp. |
1,189 |
Equity |
International
Opportunities Fund |
State
Street Corp. |
9,754 |
Equity |
International
Socially Responsible
Fund |
State
Street Corp. |
8,053 |
Equity |
International
Value Fund |
State
Street Corp. |
16,167 |
Equity |
Fund |
Broker
Dealer |
Value
(000’s) |
Debt/Equity |
Mid
Cap Index Fund |
State
Street Corp. |
25,269 |
Equity |
|
Fixed
Income Clearing Corp. |
89,915 |
Debt |
Mid
Cap Value Fund |
State
Street Corp. |
18,620 |
Equity |
Moderate
Growth Lifestyle Fund |
State
Street Corp. |
111,170 |
Equity |
Nasdaq-100
Index Fund |
State
Street Corp. |
3,659 |
Equity |
Science
& Technology Fund |
State
Street Corp. |
14,356 |
Equity |
Small
Cap Growth Fund |
Evercore
Group LLC |
2,731 |
Equity |
Small
Cap Index Fund |
State
Street Corp. |
21,902 |
Equity |
Small
Cap Special Values Fund |
State
Street Corp. |
10,543 |
Equity |
Small
Cap Value Fund |
State
Street Corp. |
1,938 |
Equity |
Stock
Index Fund |
Wells
Fargo & Co. |
27,963 |
Equity |
|
Goldman
Sachs Group, Inc. |
17,444 |
Equity |
|
Bank
of America Corp. |
41,576 |
Equity |
|
State
Street Corp. |
4,171 |
Equity |
Systematic
Core Fund |
Morgan
Stanley |
1,817 |
Equity |
|
Bank
of America Corp. |
2,974 |
Equity |
|
Citigroup |
1,279 |
Equity |
Systematic
Value Fund |
State
Street Corp. |
233 |
Equity |
|
JPMorgan
Chase & Co. |
13,308 |
Equity |
U.S.
Socially Responsible Fund |
State
Street Corp. |
1,094 |
Equity |
Fund |
Broker
Dealer |
Value
(000’s) |
Debt/Equity |
Core
Bond Fund |
Bank
of America Corp. |
14,469 |
Debt |
|
Barclays
PLC |
1,134 |
Debt |
|
Citigroup,
Inc. |
9,893 |
Debt |
|
Goldman
Sachs Group, Inc. |
10,317 |
Debt |
|
JP
Morgan Chase & Co. |
11,014 |
Debt |
|
HSBC |
2,712 |
Debt |
|
Morgan
Stanley |
7,877 |
Debt |
|
State
Street Bank & Trust Co. |
148,729 |
Debt |
|
Wells
Fargo & Co. |
11,216 |
Debt |
High
Yield Bond Fund |
Credit
Suisse |
3,928 |
Debt |
|
State
Street Bank & Trust Co. |
4,036 |
Equity |
International
Opportunities Fund |
Daiwa
Securities Group, Inc |
942 |
Equity |
|
State
Street Bank & Trust Co. |
2,364 |
Equity |
Mid
Cap Value Fund |
State
Street Bank & Trust Co. |
9,491 |
Equity |
Small
Cap Value Fund |
State
Street Bank & Trust Co. |
195 |
Equity |
|
Cowen
Group |
353 |
Equity |
U.S.
Socially Responsible Fund |
Bank
of New York Mellon Corp. |
2,784 |
Equity |
|
State
Street Bank & Trust Co. |
1,977 |
Equity |
|
VALIC |
AGL |
USL |
VAG |
VCG |
VDA |
VMG |
Aggressive
Growth Lifestyle Fund |
100.00% |
— |
— |
— |
— |
— |
— |
Asset
Allocation Fund |
100.00% |
— |
— |
— |
— |
— |
— |
Blue
Chip Growth Fund |
98.66% |
* |
— |
* |
* |
* |
* |
Capital
Appreciation Fund |
39.19% |
— |
— |
21.75% |
5.84% |
* |
28.78% |
Conservative
Growth Lifestyle Fund |
100.00% |
— |
— |
— |
— |
— |
— |
Core
Bond Fund |
80.37% |
* |
— |
* |
5.17% |
* |
9.53% |
Dividend
Value Fund |
98.08% |
— |
— |
* |
* |
* |
* |
Dynamic
Allocation Fund |
95.41% |
* |
— |
— |
— |
— |
— |
Emerging
Economies Fund |
96.23% |
* |
* |
* |
* |
* |
* |
Global
Real Estate Fund |
91.63% |
— |
— |
* |
* |
* |
* |
Global
Strategy Fund |
100.00% |
— |
— |
— |
— |
— |
— |
Government
Securities Fund |
56.91% |
* |
— |
11.25% |
5.67% |
3.24% |
22.76% |
Growth
Fund |
99.38% |
— |
— |
— |
— |
* |
— |
High
Yield Bond Fund |
93.23% |
* |
— |
* |
* |
* |
* |
Inflation
Protected Fund |
91.46% |
— |
— |
* |
* |
* |
* |
International
Equities Index Fund |
91.58% |
* |
* |
* |
* |
* |
* |
International
Government Bond Fund |
69.84% |
— |
— |
5.74% |
8.79% |
* |
15.17% |
International
Growth Fund |
99.25% |
— |
— |
— |
— |
* |
— |
International
Opportunities Fund |
85.59% |
— |
— |
6.23% |
* |
* |
6.45% |
International
Socially Responsible Fund |
98.98% |
* |
— |
— |
— |
* |
— |
International
Value Fund |
93.47% |
* |
— |
* |
* |
* |
* |
Large
Capital Growth Fund |
84.88% |
— |
— |
6.03% |
* |
* |
6.85% |
Mid
Cap Index Fund |
97.18% |
* |
* |
* |
* |
* |
* |
Mid
Cap Strategic Growth Fund |
93.71% |
— |
— |
* |
* |
* |
* |
Mid
Cap Value Fund |
94.03% |
* |
— |
* |
* |
* |
* |
Moderate
Growth Lifestyle Fund |
100.00% |
— |
— |
— |
— |
— |
— |
Nasdaq-100®
Index Fund |
92.92% |
* |
* |
* |
* |
— |
* |
Science
& Technology Fund |
99.25% |
* |
— |
* |
* |
— |
* |
Small
Cap Growth Fund |
96.84% |
— |
— |
* |
* |
* |
* |
Small
Cap Index Fund |
96.03% |
* |
* |
* |
* |
* |
* |
Small
Cap Special Values Fund |
97.40% |
— |
— |
* |
* |
* |
* |
Small
Cap Value Fund |
99.92% |
— |
— |
— |
— |
* |
— |
Stock
Index Fund |
91.37% |
* |
* |
* |
* |
* |
* |
Systematic
Core Fund |
92.22% |
* |
— |
* |
* |
* |
* |
Systematic
Value Fund |
66.85% |
— |
— |
11.84% |
* |
* |
15.14% |
U.S.
Socially Responsible Fund |
98.83% |
* |
— |
— |
— |
* |
— |
Name
and Age |
Position(s)
Held
With
Fund1
|
Term
of
Office
and
Length
of
Time
Served |
Principal
Occupation(s)
During
Past
5
Years |
Number
of
Portfolios
In
Fund
Complex
Overseen
by
Director2
|
Other
Directorships
Held
by Director3
|
Independent
Directors |
|
|
|
|
|
Thomas
J. Brown
AGE:
76 |
Director |
2005–
Present |
Retired. |
36 |
Trustee,
Virtus Funds (2011-
2020). |
Name
and Age |
Position(s)
Held
With
Fund1 |
Term
of
Office
and
Length
of
Time
Served |
Principal
Occupation(s)
During
Past
5
Years |
Number
of
Portfolios
In
Fund
Complex
Overseen
by
Director2 |
Other
Directorships
Held
by Director3 |
Dr.
Judith L. Craven
AGE:
76 |
Director |
1998–
Present |
Retired. |
36 |
Director,
A.G. Belo
Corporation,
a media
company
(1992-2014);
Director,
SYSCO
Corporation,
a food
marketing
and distribution
company
(1996-2017);
Director,
Luby’s Inc. (1998-
2019). |
Yvonne
M. Curl
AGE:
67 |
Director |
2020–
Present |
Retired. |
36 |
Director,
Encompass Health,
provider
of post-acute
healthcare
services (2004-
2022);
Director, Community
Foundation
of the
Lowcountry
(2018-Present);
Director,
Nationwide
Insurance,
insurance
company
(1998- 2019);
Director,
Hilton Head
Humane
Association, animal
shelter
(2006-2019);
Director,
Enhabit, Inc.,
provider
of home health and
hospice
services. |
Dr.
Timothy J. Ebner
AGE:
72 |
Director |
1998–
Present |
Professor
and
Head–
Department of
Neuroscience
Medical
School
(1980-Present) and
Pickworth
Chair (2000-
Present),
University of
Minnesota;
Scientific
Director,
Society for
Research
on the Cerebellum
(2008-Present);
President,
Association
of Medical
School
Neuroscience
Department
Chairpersons
(2011-2014). |
36 |
Trustee,
Minnesota Medical
Foundation
(2003-2013). |
Dr.
John E. Maupin, Jr.
Chairman,
January
2021
AGE:
75 |
Director |
1998–
Present |
Retired.
President/CEO,
Morehouse
School of
Medicine,
Atlanta, Georgia
(2006-2014). |
36 |
Director,
Regions Financials
Inc.,
bank holding company
(2007-2019);
Director,
LifePoint
Hospitals, Inc.,
hospital
management (1999-
2018);
Director, Enhabit,
Inc.,
provider of home health
and
hospice services (2022-
Present);
Director,
Encompass
Health, provider
of
post-acute healthcare
services
(2004-2022). |
Name
and Age |
Position
Held
With
Fund1
|
Length
of
Time
Served |
Principal
Occupation(s)
During
Past
5
Years |
Number
of
Portfolios
In
Fund
Complex
Overseen
by
Director2
|
Other
Directorships
Held
By Director3
|
Interested
Directors |
|
|
|
|
|
Name
and Age |
Position
Held
With
Fund1 |
Length
of
Time
Served |
Principal
Occupation(s)
During
Past
5
Years |
Number
of
Portfolios
In
Fund
Complex
Overseen
by
Director2 |
Other
Directorships
Held
By Director3 |
Peter
A. Harbeck4
Harborside
5
185
Hudson Street
Suite
3300
Jersey
City, NJ
07311-4992
AGE:
68 |
Director |
2001–
Present |
Retired
June 2019, formerly
President
(1995-2019), CEO
(1997-2019)
and Director
(1992-2019),
SunAmerica;
Director,
AIG Capital
Services,
Inc. (“ACS”)
(1993-2019);
Chairman,
President
and CEO, Advisor
Group,
Inc. (2004-2016). |
36 |
None. |
Eric
S. Levy5
2919
Allen Parkway
Houston,
TX 77019
AGE:
57 |
Director |
2017–
Present |
Executive
Vice President,
VALIC
(2015-Present);
Executive
Vice President,
Group
Retirement, AIG
(2015-Present);
and Senior
Vice
President, Lincoln
Financial
Group (2010-
2015). |
36 |
None. |
Name
and Age |
Position(s)
Held
With
Fund |
Length
of
Time
Served |
Principal
Occupation(s)
During
Past
5
Years |
Officers |
|
|
|
Kevin
J. Adamson
AGE:
56 |
Vice
President |
2018–
Present |
Senior
Vice President,
VALIC
Trust - Investments
(2018-
Present); Vice
President
Lincoln Financial
Group
(2004-2017). |
Gregory
N. Bressler
Harborside
5
185
Hudson Street Suite 3300
Jersey
City, NJ
07311-4992
AGE:
55 |
Vice
President
and
Assistant
Secretary |
2005–
Present |
Senior
Vice President and
General
Counsel (2005-
Present);
and Assistant
Secretary,
SunAmerica
(2013-Present). |
Kathleen
D. Fuentes
Harborside
5
185
Hudson Street Suite 3300
Jersey
City, NJ
07311-4992
AGE:
53 |
Vice
President,
Chief
Legal
Officer
and
Secretary |
2015–
Present |
Vice
President and Deputy
General
Counsel,
SunAmerica
(2006-Present). |
John
T. Genoy
Harborside
5
185
Hudson Street Suite 3300
Jersey
City, NJ
07311-4992
AGE:
53 |
President
and
Principal
Executive
Officer |
2014–
Present |
President
(2021-Present),
Chief
Financial Officer
(2002-Present),
Senior Vice
President
(2004-2021), Chief
Operating
Officer (2006-
Present)
and Director,
SunAmerica
(2014-Present). |
Matthew
J. Hackethal
Harborside
5
185
Hudson Street Suite 3300
Jersey
City, NJ
07311-4992
AGE:
50 |
Anti-Money
Laundering
(“AML”)
Compliance
Officer |
2006–
Present |
Acting
Chief Compliance
Officer
(2016-2017), Vice
President
(2011-Present),
and
Chief Compliance
Officer,
SunAmerica (2006-
Present);
AML Compliance
Officer,
SunAmerica Fund
Complex
(2006-Present). |
Christopher
C. Joe
Harborside
5
185
Hudson Street Suite 3300
Jersey
City, NJ
07311-4992
AGE:
53 |
Chief
Compliance
Officer
and Vice
President |
2017–
Present |
Chief
Compliance Officer,
AIG
Funds, Anchor Series
Trust,
Seasons Series Trust,
SunAmerica
Series Trust,
VALIC
Company I and
VALIC
Company II (2017-
Present);
Chief Compliance
Officer,
VALIC Retirement
Services
Company (2017-
Present);
Chief Compliance
Officer,
Invesco
PowerShares
(2012-2017);
Chief
Compliance Officer,
Invesco
Investment Advisers,
LLC
(2010-2013);
U.S.
Compliance Director,
Invesco
Ltd. (2006-2014);
Deputy
Chief Compliance
Officer,
Invesco Advisers,
LLC
(2014-2015). |
Gregory
R. Kingston
AGE:
56 |
Treasurer
and
Principal
Financial
and
Accounting
Officer |
2000–
Present |
Vice
President (2001-
Present)
and Head of Mutual
Fund
Administration,
SunAmerica
(2014-Present). |
Name
and Age |
Position(s)
Held
With
Fund |
Length
of
Time
Served |
Principal
Occupation(s)
During
Past
5
Years |
Donna
McManus
Harborside
5
185
Hudson Street Suite 3300
Jersey
City, NJ
07311-4992
AGE:
61 |
Vice
President
and
Assistant
Treasurer |
2014–
Present |
Vice
President, SunAmerica
(2014-Present);
Managing
Director,
BNY Mellon
(2009-2014). |
Shawn
Parry
AGE:
49 |
Vice
President
and
Assistant
Treasurer |
2014–
Present |
Vice
President (2014-
Present)
and Assistant Vice
President,
SunAmerica
(2010-2014). |
Mark
R. Szycher
AGE:
57 |
Vice
President
and
Senior
Investment
Officer |
2021–
Present |
Managing
Director, GM
Asset
Management (2015-
2019);
Vice President,
Investment
Specialist, AIG
life
& Retirement f/k/a
VALIC
(2019-2021); Vice
President,
Senior Investment
Officer,
AIG life &
Retirement
f/k/a VALIC
(2021-Present). |
Christopher
J. Tafone
Harborside
5
185
Hudson Street Suite 3300
Jersey
City, NJ
07311-4992
AGE:
47 |
Vice
President
and
Assistant
Secretary |
2021–
Present
(Vice
President);
2016–
Present
(Assistant
Secretary) |
Vice
President, SunAmerica
(2016–
Present); Associate
General
Counsel, AIG Life
&
Retirement
(2016–
Present). |
Thomas
M. Ward
AGE:
55 |
Vice
President |
2008–
Present |
Vice
President (2009-
Present),
VALIC; Vice
President,
VALIC Financial
Advisors,
Inc.
(2009-Present). |
Name
of Director |
Dollar
Range of Equity
Securities
in the Fund1
|
Aggregate
Dollar Range
of
Equity Securities in All
Registered
Investment Companies
Overseen
by Director in Family2
|
Thomas
J. Brown |
$0 |
$0 |
Dr.
Judith L. Craven |
0 |
0 |
Yvonne
M. Curl |
0 |
0 |
Dr.
Timothy J. Ebner |
0 |
0 |
Dr.
John E. Maupin, Jr. |
0 |
0 |
Name
of Director |
Dollar
Range of Equity
Securities
in the Fund1
|
Aggregate
Dollar Range
of
Equity Securities in All
Registered
Investment Companies
Overseen
by Director in Family2
|
Peter
A. Harbeck |
$0 |
$0 |
Eric
S. Levy |
0 |
0 |
Name
of Director1
|
Aggregate
Compensation
from
Fund* |
Total
Compensation
From
Fund Complex
Paid
to Directors** |
Mr.
Thomas J. Brown |
$305,375 |
$305,375 |
Dr.
Judith L. Craven2 |
281,875 |
343,999 |
Yvonne
M. Curl |
266,875 |
266,875 |
Dr.
Timothy Ebner3 |
260,700 |
260,700 |
Dr.
John E. Maupin, Jr. |
324,625 |
324,625 |
Aaa |
Obligations
rated Aaa are judged to be of the highest quality, subject to the lowest
level of credit risk. |
Aa |
Obligations
rated Aa are judged to be of high quality and are subject to very low
credit risk. |
A |
Obligations
rated A are judged to be upper-medium grade and are subject to low credit
risk. |
Baa |
Obligations
rated Baa are judged to be medium-grade and subject to moderate credit
risk and as such may possess certain
speculative
characteristics. |
Ba |
Obligations
rated Ba are judged to be speculative and are subject to substantial
credit risk. |
B |
Obligations
rated B are considered speculative and are subject to high credit
risk. |
Caa |
Obligations
rated Caa are judged to be speculative of poor standing and are subject to
very high credit risk. |
Ca |
Obligations
rated Ca are highly speculative and are likely in, or very near, default,
with some prospect of recovery of
principal
and interest. |
C |
Obligations
rated C are the lowest rated and are typically in default, with little
prospect for recovery of principal or
interest. |
P-1 |
Ratings
of Prime-1 reflect a superior ability to repay short-term debt
obligations. |
P-2 |
Ratings
of Prime-2 reflect a strong ability to repay short-term debt
obligations. |
P-3 |
Ratings
of Prime-3 reflect an acceptable ability to repay short-term
obligations. |
NP |
Issuers
(or supporting institutions) rated Not Prime do not fall within any of the
Prime rating categories. |
AAA |
An
obligation rated ‘AAA’ has the highest rating assigned by S&P Global
Ratings’. The obligor’s capacity to meet its
financial
commitments on the obligation is extremely
strong. |
AA |
An
obligation rated ‘AA’ differs from the highest-rated obligations only to a
small degree. The obligor’s capacity to
meet
its financial commitments on the obligation is very
strong. |
A |
An
obligation rated ‘A’ is somewhat more susceptible to the adverse effects
of changes in circumstances and economic
conditions
than obligations in higher-rated categories. However, the obligor’s
capacity to meet its financial
commitments
on the obligation is still strong. |
BBB |
An
obligation rated ‘BBB’ exhibits adequate protection parameters. However,
adverse economic conditions or
changing
circumstances are more likely to weaken the obligor’s capacity to meet its
financial commitments on the
obligation. |
BB,
B,
CCC,
CC,
and
C |
Obligations
rated ‘BB’, ‘B’, ‘CCC’, ‘CC’, and ‘C’ are regarded as having significant
speculative characteristics. ‘BB’
indicates
the least degree of speculation and ‘C’ the highest. While such
obligations will likely have some quality and
protective
characteristics, these may be outweighed by large uncertainties or major
exposure to adverse conditions. |
BB |
An
obligation rated ‘BB’ is less vulnerable to nonpayment than other
speculative issues. However, it faces major
ongoing
uncertainties or exposure to adverse business, financial, or economic
conditions that could lead to the
obligor’s
inadequate capacity to meet its financial commitments on the
obligation. |
B |
An
obligation rated ‘B’ is more vulnerable to nonpayment than obligations
rated ‘BB’, but the obligor currently has the
capacity
to meet its financial commitments on the obligation. Adverse business,
financial, or economic conditions will
likely
impair the obligor’s capacity or willingness to meet its financial
commitments on the obligation. |
CCC |
An
obligation rated ‘CCC’ is currently vulnerable to nonpayment and is
dependent upon favorable business, financial,
and
economic conditions for the obligor to meet its financial commitments on
the obligation. In the event of adverse
business,
financial, or economic conditions, the obligor is not likely to have the
capacity to meet its financial
commitments
on the obligation. |
CC |
An
obligation rated ‘CC’ is currently highly vulnerable to nonpayment. The
‘CC’ rating is used when a default has not
yet
occurred but S&P Global Ratings’ expects default to be a virtual
certainty, regardless of the anticipated time to
default. |
C |
An
obligation rated ‘C’ is currently highly vulnerable to nonpayment, and the
obligation is expected to have lower
relative
seniority or lower ultimate recovery compared with obligations that are
rated higher. |
D |
An
obligation rated ‘D’ is in default or in breach of an imputed promise. For
non-hybrid capital instruments, the ‘D’
rating
category is used when payments on an obligation are not made on the date
due, unless S&P Global Ratings
believes
that such payments will be made within the next five business days in the
absence of a stated grace period or
within
the earlier of the stated grace period or the next 30 calendar days. The
‘D’ rating also will be used upon the
filing
of a bankruptcy petition or the taking of similar action and where default
on an obligation is a virtual certainty,
for
example due to automatic stay provisions. A rating on an obligation is
lowered to ‘D’ if it is subject to a distressed
debt
restructuring. |
A-1 |
A
short-term obligation rated ‘A-1’ is rated in the highest category by
S&P Global Ratings. The obligor’s capacity to meet its
financial
commitments on the obligation is strong. Within this category, certain
obligations are designated with a plus sign
(+).
This indicates that the obligor’s capacity to meet its financial
commitments on these obligations is extremely
strong. |
A-2 |
A
short-term obligation rated ‘A-2’ is somewhat more susceptible to the
adverse effects of changes in circumstances and
economic
conditions than obligations in higher rating categories. However, the
obligor’s capacity to meet its financial
commitments
on the obligation is satisfactory. |
A-3 |
A
short-term obligation rated ‘A-3’ exhibits adequate protection parameters.
However, adverse economic conditions or
changing
circumstances are more likely to weaken an obligor’s capacity to meet its
financial commitments on the obligation. |
B |
A
short-term obligation rated ‘B’ is regarded as vulnerable and has
significant speculative characteristics. The obligor
currently
has the capacity to meet its financial commitments; however, it faces
major ongoing uncertainties that could lead to
the
obligor’s inadequate capacity to meet its financial
commitments. |
C |
A
short-term obligation rated ‘C’ is currently vulnerable to nonpayment and
is dependent upon favorable business, financial,
and
economic conditions for the obligor to meet its financial commitments on
the obligation. |
D |
A
short-term obligation rated ‘D’ is in default or in breach of an imputed
promise. For non-hybrid capital instruments, the ‘D’
rating
category is used when payments on an obligation are not made on the date
due, unless S&P Global Ratings believes
that
such payments will be made within any stated grace period. However, any
stated grace period longer than five business
days
will be treated as five business days. The ‘D’ rating also will be used
upon the filing of a bankruptcy petition or the
taking
of a similar action and where default on an obligation is a virtual
certainty, for example due to automatic stay
provisions.
A rating on an obligation is lowered to ‘D’ if it is subject to a
distressed debt
restructuring. |
L |
Ratings
qualified with ‘L’ apply only to amounts invested up to federal deposit
insurance limits. |
p |
This
suffix is used for issues in which the credit factors, the terms, or both
that determine the likelihood of receipt of payment
of
principal are different from the credit factors, terms, or both that
determine the likelihood of receipt of interest on the
obligation.
The ‘p’ suffix indicates that the rating addresses the principal portion
of the obligation only and that the interest is
not
rated. |
t |
This
symbol indicates termination structures that are designed to honor their
contracts to full maturity or, should certain events
occur,
to terminate and cash settle all their contracts before their final
maturity date. |
cir |
This
symbol indicates a counterparty instrument rating (CIR), which is a
forward-looking opinion about the creditworthiness
of
an issuer in a securitization structure with respect to a specific
financial obligation to a counterparty (including interest rate
swaps,
currency swaps, and liquidity facilities). The CIR is determined on an
ultimate payment basis; these opinions do not
take
into account timeliness of
payment. |
B
Category |
•Default
risk is commensurate with an Issuer
Default
Rating (“IDR”) in the ranges “BB” to “C”.
For
issuers with an IDR below “B”, the overall
credit
risk of this obligation is moderated by the
expected
level of recoveries should a default occur. •For
issuers with an IDR above “B”, the overall
credit
risk of this obligation is exacerbated by the
expected
low level of recoveries should a default
occur. •Default
risk is commensurate with an IDR in the
ranges
“B” to “C”. |
The
obligation or issuer is in default, or has deferred
payment,
but the rated obligation is expected to have
extremely
high recovery rates consistent with a
Recovery
Rating of “RR1”. |
CCC
Category |
•Default
risk is commensurate with an IDR in the
ranges
“B” to “C”. •For
issuers with an IDR below “CCC”, the overall
credit
risk of this obligation is moderated by the
expected
level of recoveries should a default occur. •For
issuers with an IDR above “CCC”, the overall
credit
risk of this obligation is exacerbated by the
expected
low level of recoveries should a default
occur. •Default
risk is commensurate with an IDR in the
ranges
“B” to “C”. |
The
obligation or issuer is in default, or has deferred
payment,
but the rated obligation is expected to have
a
superior recovery rate consistent with a Recovery
Rating
of “RR2”. |
CC
Category |
•For
issuers with an IDR below “CC”, the overall
credit
risk of this obligation is moderated by the
expected
level of recoveries should a default occur. •For
issuers with an IDR above “CC”, the overall
credit
risk of this obligation is exacerbated by the
expected
low level of recoveries should a default
occur. •Default
risk is commensurate with an IDR in the
ranges
“B” to “C”. |
The
obligation or issuer is in default, or has deferred
payment,
but the rated obligation is expected to have
a
good recovery rate consistent with a Recovery
Rating
of “RR3”. |
C
Category |
•The
overall credit risk of this obligation is
exacerbated
by the expected low level of
recoveries
should a default occur. |
The
obligation or issuer is in default, or has deferred
payment,
and the rated obligation is expected to have
an
average, below-average or poor recovery rate
consistent
with a Recovery Rating of “RR4”, “RR5”
or
“RR6”. |
|
Aggressive
Growth
Lifestyle
Fund |
Asset
Allocation |
Blue
Chip
Growth |
Capital
Appreciation
Fund |
Conservative
Growth
Lifestyle
Fund |
Core
Bond
Fund |
Dividend
Value |
Dynamic
Allocation |
Emerging
Economies |
Global
Real
Estate |
Global
Strategy |
Government
Securities |
Adjustable
Rate Securities |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Asset-Backed
Securities |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
N |
Y |
Bank
Obligations |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Convertible
Securities |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
N |
Depositary
Receipts |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Equity
Investments |
N |
Y |
Y |
Y |
N |
Y
(20%) |
Y |
Y |
Y
(˃=80%) |
Y |
Y |
Y |
Common
Stock - Large Cap Issuers |
N |
Y |
Y
(˃=80%) |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Common
Stocks - Mid-Cap Issuers |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Common
Stocks - Small Cap Issuers |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Preferred
Stocks |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
N |
Warrants/rights |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
N |
Y |
Eurodollar
Obligations |
N |
N |
Y |
N |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Fixed
Income Securities (investment grade) |
N |
Y |
Y
(10%) |
Y |
N |
Y
(˃=80%) |
Y |
Y |
Y
(20%) |
Y |
Y
(50%) |
Y
(˃=80%) |
Brady
bonds |
N |
|
|
Y |
N |
Y |
|
|
|
|
Y |
|
Catastrophe
Bonds |
N |
|
|
Y |
N |
Y |
|
|
|
|
Y |
|
CBOs |
N |
|
|
N |
N |
N |
|
|
|
|
Y |
|
Inflation
indexed bonds |
N |
Y |
N |
Y |
N |
Y |
N |
Y |
N |
Y |
Y |
N |
International
Bonds |
N |
|
|
N |
N |
Y |
|
|
|
|
Y |
|
Junk
bonds |
N |
N |
Y
(5%) |
N |
N |
Y
(20%) |
Y |
Y |
Y
(5%) |
Y
(10%) |
Y
(30%)* |
N |
Variable
rate demand notes |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Zero-coupon
bonds |
N |
|
|
Y |
N |
Y |
|
|
|
|
Y |
|
Foreign
Currency |
N |
N |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Foreign
Currency Exchange Trans./Forward
Contracts |
N |
N |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
N |
Foreign
Securities (including non-
U.S.
denominated) |
N |
Y
(40%) |
Y
(20%) |
Y |
N |
Y |
Y
(35%) |
Y |
Y
(100%) |
Y
(75%) |
Y
(100%) |
Y
(20%)
(U.S.
dollar denom.) |
Equity
securities |
N |
Y |
Y |
Y
(20%) |
N |
Y |
Y |
Y |
Y
(˃=80%) |
Y |
Y |
Y |
Fixed
income securities
(including
money market securities) |
N |
Y |
Y |
Y |
N |
Y
(40%) |
Y |
Y |
Y |
Y |
Y |
Y |
Emerging
markets |
N |
Y |
Y |
N |
N |
Y |
Y |
Y |
Y |
Y |
Y
(50%) |
N |
Hybrid
Instruments |
N |
Y
(10%) |
Y
(10%) |
Y
(10%) |
N |
Y
(10%) |
Y
(10%) |
Y |
Y
(10%) |
Y
(10%) |
Y
(10%) |
Y
(10%) |
Illiquid
Securities |
N |
N |
Y
(15%) |
Y
(15%) |
N |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
IPOs |
N |
Y |
Y |
N |
N |
N |
Y |
Y |
Y |
Y |
N |
N |
|
Aggressive
Growth
Lifestyle
Fund |
Asset
Allocation |
Blue
Chip
Growth |
Capital
Appreciation
Fund |
Conservative
Growth
Lifestyle
Fund |
Core
Bond
Fund |
Dividend
Value |
Dynamic
Allocation |
Emerging
Economies |
Global
Real
Estate |
Global
Strategy |
Government
Securities |
Lending
Portfolio Securities |
N |
Y |
Y |
Y |
N |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Loan
Participations and Assignments |
N |
N |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
N |
Y |
Master
Limited Partnerships |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Money
Market Securities |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Mortgage
Related Securities |
N |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Mortgage
pass through securities
(including
GNMA, FNMA or GHLMC) |
N |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
CMOs |
N |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Commercial
mort-backed secs. |
N |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Stripped
mortgage backed securities |
N |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
CMO
residuals |
N |
N |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Mortgage
dollar rolls |
N |
Y |
N |
Y |
N |
Y |
N |
Y |
Y |
N |
Y |
Y |
Options
and Futures Contracts |
N |
Y |
Y
(25%) |
Y |
N |
Y |
Y |
Y |
Y
(20%) |
Y |
Y
(5%) |
Y |
Options
on securities/indexes |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Writing/purchasing
covered call/put options |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Futures
contracts |
N |
Y |
Y |
Y
(not
permitted
for
Eurodollar
futures) |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Options
on futures contracts |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
OTC
Options |
N |
Y |
Y |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Unlisted
options |
N |
N |
Y |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Other
Investment Companies (and ETFs) |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
N |
Privately
Placed Securities |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Real
Estate Securities & REITs |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y
(10%) |
Y |
Y |
Y |
Repurchase
Agreements and Purchase and Sale
Contracts |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y
(25%) |
Y |
Y |
Y |
Restricted
Securities |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Reverse
Repurchase Agreements |
N |
Y |
Y |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
N |
Short
Sales (Against the Box) |
N |
N |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Short
Sales (Other than against the box) |
N |
Y
(5%) |
N |
N |
N |
Y
(up to 5%) |
N |
Y |
N |
Y |
N |
N |
Structured
Notes |
N |
|
|
Y |
N |
Y |
|
|
|
Y |
|
|
Swap
Agreements |
N |
N |
N |
Y |
N |
Y |
N |
Y |
Y
(20%) |
Y |
Y |
Y
(5%) |
Credit
default swaps |
N |
N |
N |
N |
N |
Y
(10%) |
N |
Y |
N |
Y |
Y |
Y |
Currency
exchange rate swaps |
N |
N |
N |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Interest
rate swaps |
N |
N |
N |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Total
return swaps (equity) |
N |
N |
N |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
N |
Unseasoned
Issuers |
N |
N |
Y |
N |
N |
Y |
Y |
Y |
Y |
Y |
Y |
N |
|
Aggressive
Growth
Lifestyle
Fund |
Asset
Allocation |
Blue
Chip
Growth |
Capital
Appreciation
Fund |
Conservative
Growth
Lifestyle
Fund |
Core
Bond
Fund |
Dividend
Value |
Dynamic
Allocation |
Emerging
Economies |
Global
Real
Estate |
Global
Strategy |
Government
Securities |
When-Issued
(delayed-delivery) securities |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
|
Growth
Fund |
High
Yield
Bond
Fund |
Inflation
Protected |
International
Equities
Index |
International
Government
Bond |
International
Growth |
International
Opportunities
Fund |
International
Socially
Responsible |
International
Value |
Large
Capital
Growth |
Mid
Cap
Index |
Adjustable
Rate Securities |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Asset-Backed
Securities |
Y |
Y |
Y |
Y |
Y |
N |
Y |
Y |
N |
Y |
Y |
Bank
Obligations |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Convertible
Securities |
Y |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
N |
Depositary
Receipts |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y
(25%) |
Y |
Equity
Securities |
Y |
Y
(20%) |
Y |
Y
(˃=80%) |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Common
Stock - Large Cap Issuers |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y
(˃=80%) |
Y |
Common
Stocks - Mid-Cap Issuers |
Y |
Y |
Y |
Y |
Y |
Y |
Y
(˃=80% small
to
mid cap) |
Y |
Y |
Y |
Y
(˃=80%) |
Common
Stocks - Small Cap Issuers |
Y |
Y |
Y |
Y |
Y |
Y |
Y
(˃=80% small
to
mid cap) |
Y |
Y |
Y |
Y |
Preferred
Stocks |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
N |
Warrants/rights |
Y |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Eurodollar
Obligations |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Fixed
Income Securities (investment grade) |
Y |
Y |
Y
(˃=80%) |
Y |
Y
(˃=65%) |
Y |
Y |
Y |
Y
(10%) |
Y |
Y |
Brady
bonds |
|
Y |
|
|
|
|
Y |
|
|
|
|
Catastrophe
Bonds |
|
Y |
|
|
|
|
Y |
|
|
|
|
CBOs |
|
Y |
|
|
|
|
N |
|
|
|
|
Inflation
indexed bonds |
N |
Y |
Y |
N |
Y1
|
N |
Y |
N |
Y |
N |
N |
International
Bonds |
|
Y |
|
|
|
|
Y |
|
|
|
|
Junk
bonds |
N |
Y(˃=80%) |
Y
(10%) |
N |
Y |
N |
N |
N |
Y
(5%) |
N |
N |
Variable
rate demand notes |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Zero
coupon bonds |
|
Y |
|
|
|
|
Y |
|
|
|
|
Foreign
Currency |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Foreign
Currency Exchange Trans./Forward Contracts |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Foreign
Securities (including non-U.S. denominated) |
Y
(20%) |
Y
(35%) |
Y
(50%) |
Y
(˃=80%) |
Y
(˃=80%) |
Y |
Y
(100%) |
Y |
Y
(˃=80%) |
Y
(25%) |
Y
(20%) |
Equity
securities |
Y |
Y |
Y |
Y
(˃=80%) |
Y |
Y |
Y
(˃=80%) |
Y |
Y |
Y |
Y |
Fixed
income securities
(including
money market securities) |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Emerging
markets |
Y |
Y |
Y |
Y |
Y |
Y
(35%) |
Y |
Y |
Y |
Y |
N |
Hybrid
Instruments |
Y
(10%) |
Y
(15%) |
Y
(5%) |
Y
(10%) |
Y
(10%) |
Y
(10%) |
Y
(10% hybrids)
Y
(˂=5% P-notes) |
Y
(10%) |
Y
(10%) |
Y
(10%) |
Y
(10%) |
Illiquid
Securities |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
IPOs |
Y |
N |
N |
N |
N |
Y |
Y |
N |
Y |
Y |
N |
Lending
Portfolio Securities |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
|
Growth
Fund |
High
Yield
Bond
Fund |
Inflation
Protected |
International
Equities
Index |
International
Government
Bond |
International
Growth |
International
Opportunities
Fund |
International
Socially
Responsible |
International
Value |
Large
Capital
Growth |
Mid
Cap
Index |
Loan
Participations and Assignments |
Y |
Y |
Y |
Y |
Y |
N |
Y |
Y |
N |
Y |
Y |
Master
Limited Partnerships |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Money
Market Securities |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Mortgage
Related Securities |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Mortgage
pass through securities
(including
GNMA, FNMA or GHLMC) |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
CMOs |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Commercial
mort-backed secs |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Stripped
mortgage backed securities |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
CMO
residuals |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Mortgage
dollar rolls |
N |
Y |
Y |
N |
N |
N |
Y |
N |
Y |
N |
N |
Options
and Futures Contracts |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y
(25%) |
Y |
Options
on securities/indexes |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Writing/purchasing
covered call/put options |
Y |
Y |
Y |
Y |
Y |
Y |
Y (on
foreign
currencies
also) |
Y |
Y |
Y |
Y |
Futures
contracts |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Options
on futures contracts |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
N |
OTC
Options |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
N |
Y |
Y |
N |
Unlisted
options |
N |
Y |
Y |
Y |
Y |
Y |
Y |
N |
Y |
Y |
N |
Other
Investment Companies (and ETFs) |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Privately
Placed Securities |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Real
Estate Securities & REITs |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Repurchase
Agreements and Purchase and Sales
Contracts |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Restricted
Securities |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Reverse
Repurchase Agreements |
N |
Y |
Y |
N |
N |
N |
Y |
N |
Y |
Y |
N |
Short
Sales (Against the Box) |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
N |
Y |
Y |
Short
Sales (Other than Against the Box) |
N |
Y
(5%) |
N |
N |
N |
N |
N |
N |
N |
N |
N |
Structured
Notes |
|
Y |
|
|
|
|
Y |
|
|
|
|
Swap
Agreements |
N |
Y |
Y |
N |
Y |
Y |
Y |
N |
Y
(5%) |
Y |
Y |
Credit
default swaps |
N |
Y
(10%) |
Y |
N |
N |
Y |
N |
N |
N |
N |
N |
Currency
exchange rate swaps |
N |
Y |
Y |
N |
Y |
Y |
Y |
N |
N |
Y |
N |
Interest
rate swaps |
N |
Y |
Y |
N |
Y |
Y |
Y |
N |
N |
Y |
N |
Total
return swaps (equity) |
N |
Y |
Y |
N |
N |
Y |
Y |
N |
Y |
N |
N |
Unseasoned
Issuers |
Y |
Y |
N |
N |
N |
Y |
Y (up
to 4%) |
N |
Y |
N |
N |
When-Issued
(delayed-delivery) securities |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
|
Mid
Cap
Strategic
Growth |
Mid
Cap
Value
Fund |
Moderate
Growth
Lifestyle
Fund |
Nasdaq-
100®
Index |
Science
&
Technology |
Small
Cap
Growth
Fund |
Small
Cap
Index |
Small
Cap
Special
Values |
Small
Cap
Value
Fund |
Stock
Index |
Systematic
Core
Fund |
Systematic
Value |
U.S.
Socially
Responsible
Fund |
Adjustable
Rate Securities |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Asset-Backed
Securities |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
N |
Y |
Bank
Obligations |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Convertible
Securities |
Y |
Y |
N |
N |
Y |
Y |
N |
Y |
Y |
N |
Y |
Y |
Y |
Depositary
Receipts |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Equity
Securities |
Y |
Y |
N |
Y |
Y
(˃=80%) |
Y |
Y |
Y |
Y |
Y |
Y |
Y
(˃=80%) |
Y
(˃=80%) |
Common
Stock - Large Cap Issuers |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Common
Stocks - Mid-Cap Issuers |
Y
(˃=80%) |
Y
(˃=80%) |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Common
Stocks -Small Cap Issuers |
Y |
Y |
N |
Y |
Y |
Y
(˃=80%) |
Y
(˃=80%) |
Y
(˃=80%) |
Y
(˃=80%) |
Y |
Y |
Y |
Y |
Preferred
Stocks |
Y |
Y |
N |
N |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Warrants/rights |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Eurodollar
Obligations |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Fixed
Income Securities (investment grade) |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y
(20%) |
Y |
Y
(35%) |
Y |
Y
(5%) |
Y |
Brady
bonds |
|
Y |
N |
|
|
Y |
|
|
N |
|
|
|
Y |
Catastrophe
Bonds |
|
Y |
N |
|
|
Y |
|
|
N |
|
|
|
Y |
CBOs |
|
N |
N |
|
|
N |
|
|
N |
|
|
|
N |
Inflation
indexed bonds |
N |
Y |
N |
N |
N |
Y |
N |
Y |
Y |
Y |
N |
N |
Y |
International
bonds |
|
Y |
N |
|
|
Y |
|
|
N |
|
|
|
Y |
Junk
bonds |
N |
Y
(5%) |
N |
N |
N |
N |
N |
Y
(5%) |
N |
N |
N |
Y
(5%) |
N |
Variable
rate demand notes |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Zero
coupon bonds |
|
Y |
N |
|
|
Y |
|
|
Y |
|
|
|
Y |
Foreign
Currency |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
N |
Y |
Foreign
Currency Exchange Trans./Forward
Contracts |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Foreign
Securities
(including
non-U.S. denominated) |
Y
(25%) |
Y
(20%) |
N |
Y
(20%) |
Y
(50%) |
Y
(25%) |
Y
(20%) |
Y
(20%) |
Y
(25%) |
Y
(20%) |
Y
(35%) |
Y
(20%) |
Y
(20%) |
Equity
securities |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Fixed
income securities (including money
market
securities) |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Emerging
markets |
Y |
Y |
N |
Y |
Y
(30%) |
Y |
N |
Y
(20%) |
Y |
N |
N |
N |
Y |
Hybrid
Instruments |
Y
(10%) |
Y
(10%) |
N |
Y
(10%) |
Y
(10%) |
Y
(10%) |
Y
(10%) |
Y
(10%) |
Y
(10%) |
Y
(10%) |
Y
(10%) |
Y
(10%) |
Y
(10%) |
Illiquid
Securities |
Y
(15%) |
Y
(15%) |
N |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
Y
(15%) |
IPOs |
Y |
Y |
N |
N |
Y |
Y |
N |
Y |
Y |
N |
Y |
Y |
N |
Lending
Portfolio Securities |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Loan
Participations and Assignments |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
N |
Y |
Master
Limited Partnerships |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Money
Market Securities |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
|
Mid
Cap
Strategic
Growth |
Mid
Cap
Value
Fund |
Moderate
Growth
Lifestyle
Fund |
Nasdaq-
100®
Index |
Science
&
Technology |
Small
Cap
Growth
Fund |
Small
Cap
Index |
Small
Cap
Special
Values |
Small
Cap
Value
Fund |
Stock
Index |
Systematic
Core
Fund |
Systematic
Value |
U.S.
Socially
Responsible
Fund |
Mortgage
Related Securities |
N |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y
(5%) |
Y |
Mortgage
pass through securities (including
GNMA,
FNMA or GHLMC) |
N |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
CMOs |
N |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Commercial
mort-backed secs. |
N |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Stripped
mortgage backed securities |
N |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
CMO
residuals |
N |
Y |
N |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Mortgage
dollar rolls |
N |
Y |
N |
N |
N |
Y |
N |
Y |
Y |
N |
N |
Y |
Y |
Options
and Futures Contracts |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y
(20%) |
Y |
Y
(33 1∕3) |
Y |
Y |
Y |
Options
on securities/indexes |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Writing/purchasing
covered call/put options |
Y |
Y |
N |
Y |
Y
(25%) |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Futures
contracts |
Y |
Y |
N |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Options
on futures contracts |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
OTC
Options |
Y |
Y |
N |
N |
Y |
Y |
N |
Y |
Y |
N |
N |
Y |
Y |
Unlisted
options |
Y |
Y |
N |
N |
Y |
Y |
N |
Y |
Y |
N |
Y |
N |
Y |
Other
Investment Companies (and ETFs) |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Privately
Placed Securities |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y
(15%) |
Y |
Y |
Y |
Y |
Y |
Real
Estate Securities & REITs |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y
(15%) |
Y |
Repurchase
Agreements and Purchase and Sale
Contracts |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Restricted
Securities |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y
(15%) |
Y |
Y |
Y |
Y |
Y |
Reverse
Repurchase Agreements |
Y |
Y |
N |
N |
Y |
Y |
N |
Y |
Y |
N |
N |
Y |
Y |
Short
Sales (Against the Box) |
Y |
Y |
N |
Y |
Y |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Short
Sales (Other than Against the Box) |
N |
N |
N |
N |
N |
N |
N |
N |
N |
N |
N |
N |
N |
Structured
Notes |
|
Y |
N |
|
|
Y |
|
|
Y |
|
|
|
Y |
Swap
Agreements |
N |
Y |
N |
Y |
N |
Y |
N |
Y
(20%) |
Y |
N |
N |
Y
(5%) |
Y |
Credit
default swaps |
N |
N |
N |
N |
N |
N |
N |
N |
N |
N |
N |
N |
N |
Currency
exchange rate swaps |
N |
Y |
N |
N |
N |
Y |
N |
Y |
Y |
N |
N |
N |
Y |
Interest
rate swaps |
N |
Y |
N |
N |
N |
Y |
N |
Y |
Y |
N |
N |
N |
Y |
Total
return swaps (equity) |
N |
Y |
N |
N |
N |
Y |
N |
Y |
Y |
N |
N |
Y |
Y |
Unseasoned
Issuers |
N |
N |
N |
N |
Y |
Y |
N |
Y |
Y |
N |
N |
N |
N |
When-Issued
(delayed-delivery) securities |
Y |
Y |
N |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |
Y |