Fund |
Class
A |
Class
C |
Institutional
Class |
Class
P |
Class
R6 |
Guggenheim
Alpha Opportunity Fund |
SAOAX |
SAOCX |
SAOIX |
SAOSX |
SAORX* |
Guggenheim
Floating Rate Strategies Fund |
GIFAX |
GIFCX |
GIFIX |
GIFPX |
GIFSX |
Guggenheim
High Yield Fund |
SIHAX |
SIHSX |
SHYIX |
SIHPX |
SHYSX |
Guggenheim
Core Bond Fund
|
SIUSX |
SDICX |
GIUSX |
SIUPX |
GICRX* |
Guggenheim
Large Cap Value Fund |
SECIX |
SEGIX |
GILCX |
SEGPX |
GILRX* |
Guggenheim
Limited Duration Fund |
GILDX |
GILFX |
GILHX |
GILPX |
GIKRX |
Guggenheim
Macro Opportunities Fund |
GIOAX |
GIOCX |
GIOIX |
GIOPX |
GIOSX |
Guggenheim
Market Neutral Real Estate Fund |
GUMAX |
GUMCX |
GUMNX |
GUMPX |
GUMRX* |
Guggenheim
Municipal Income Fund |
GIJAX |
GIJCX |
GIJIX |
GIJPX |
GIJRX* |
Guggenheim
Risk Managed Real Estate Fund |
GURAX |
GURCX |
GURIX |
GURPX |
GURRX* |
Guggenheim
Small Cap Value Fund |
SSUAX |
SSVCX |
SSUIX |
SSUPX |
SSURX* |
Guggenheim
SMid Cap Value Fund |
SEVAX |
SEVSX |
SVUIX |
SEVPX |
SVURX* |
Guggenheim
StylePlus—Large Core Fund |
SECEX |
SFECX |
GILIX |
SFEPX |
GIQRX* |
Guggenheim
StylePlus—Mid Growth Fund |
SECUX |
SUFCX |
GIUIX |
SEUPX |
GIURX* |
Guggenheim
Total Return Bond Fund |
GIBAX |
GIBCX |
GIBIX |
GIBLX |
GIBRX |
Guggenheim
Ultra Short Duration Fund |
GIYAX |
— |
GIYIX |
GIYPX* |
GIYRX* |
Guggenheim
World Equity Income Fund |
SEQAX |
SFGCX |
SEWIX |
SEQPX |
SEWRX* |
107 | |
113 | |
117 | |
118 | |
119 | |
121 | |
122 | |
125 | |
126 | |
126 | |
127 | |
127 | |
128 | |
128 | |
128 | |
132 | |
132 | |
133 | |
133 | |
134 | |
134 | |
135 | |
135 | |
135 | |
137 | |
137 | |
137 | |
137 | |
139 | |
139 | |
140 | |
140 | |
140 | |
140 | |
140 | |
A-1 |
Individual/Entity |
Frequency |
Time
Lag |
Morningstar |
Monthly |
30
calendar days |
Lipper |
Monthly |
30
calendar days |
Bloomberg |
Quarterly |
60
calendar days |
Thompson
Financial |
Quarterly |
30
calendar days |
Vickers
Stock Research |
Monthly |
30
calendar days |
FactSet |
Monthly |
30
calendar days |
Name,
Address*
and
Year
of Birth
of
Trustees |
Position(s)
Held
with
Trust |
Term
of
Office
and
Length
of
Time
Served** |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee |
Other
Directorships
Held
by Trustees
During
Past
5
Years*** |
Independent
Trustees | |||||
Randall
C. Barnes
(1951) |
Trustee
and
Chair
of the
Valuation
Oversight
Committee |
Since
2014
(Trustee)
Since
2020
(Chair
of the
Valuation
Oversight
Committee) |
Current:
Private Investor
(2001-present).
Former:
Senior Vice
President
and Treasurer,
PepsiCo,
Inc.
(1993-1997);
President,
Pizza
Hut International
(1991-1993);
Senior Vice
President,
Strategic
Planning
and New
Business
Development,
PepsiCo,
Inc.
(1987-1990). |
153 |
Current:
Advent
Convertible
and Income
Fund
(2005-present);
Purpose
Investments
Funds
(2013-present).
Former:
Guggenheim
Energy
& Income Fund
(2015-2023);
Fiduciary/
Claymore
Energy
Infrastructure
Fund
(2004-2022);
Guggenheim
Enhanced
Equity
Income Fund
(2005-2021);
Guggenheim
Credit
Allocation
Fund
(2013-2021). |
Name,
Address*
and
Year
of Birth
of
Trustees |
Position(s)
Held
with
Trust |
Term
of
Office
and
Length
of
Time
Served** |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee |
Other
Directorships
Held
by Trustees
During
Past
5
Years*** |
Angela
Brock-Kyle
(1959) |
Trustee |
Since
2019 |
Current:
Founder and
Chief
Executive Officer,
B.O.A.R.D.S.
(consulting
firm)
(2013-present);
Director,
Mutual Fund
Directors
Forum (2022-
present).
Former:
Senior Leader,
TIAA
(financial services
firm)
(1987-2012). |
152 |
Current:
Bowhead
Insurance
GP, LLC
(2020-present);
Hunt
Companies,
Inc. (2019-
present).
Former:
Guggenheim
Energy
& Income Fund
(2019-2023);
Fiduciary/
Claymore
Energy
Infrastructure
Fund
(2019-2022);
Guggenheim
Enhanced
Equity
Income Fund
(2019-2021);
Guggenheim
Credit
Allocation
Fund
(2019-2021);
Infinity
Property
& Casualty
Corp.
(2014-2018). |
Thomas
F. Lydon, Jr.
(1960) |
Trustee
and
Chair
of the
Contracts
Review
Committee |
Since
2019
(Trustee)
Since
2020
(Chair
of the
Contracts
Review
Committee) |
Current:
President, Global
Trends
Investments
(registered
investment
adviser)
(1996-present);
CEO,
Lydon Media (2016-
present);
Vice Chairman,
VettaFi,
a wholly owned
subsidiary
of The TMX
Group
(financial advisor
content,
research, index
and
digital distribution
provider)
(2022-present).
Former:
CEO, ETF Flows,
LLC
(financial advisor
education
and research
provider)
(2019-2023);
Director,
GDX Index
Partners,
LLC (index
provider)
(2021-2023). |
152 |
Current:
The 2023 ETF
Series
Trust (4) (2023-
present);
The 2023 ETF
Series
Trust II (1)
(2023-present);
US
Global
Investors, Inc.
(GROW)
(1995-
present).
Former:
Guggenheim
Energy
& Income Fund
(2019-2023);
Fiduciary/
Claymore
Energy
Infrastructure
Fund
(2019-2022);
Guggenheim
Enhanced
Equity
Income Fund
(2019-2021);
Guggenheim
Credit
Allocation
Fund
(2019-2021);
Harvest
Volatility
Edge Trust (3)
(2017-2019). |
Name,
Address*
and
Year
of Birth
of
Trustees |
Position(s)
Held
with
Trust |
Term
of
Office
and
Length
of
Time
Served** |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee |
Other
Directorships
Held
by Trustees
During
Past
5
Years*** |
Ronald
A. Nyberg
(1953) |
Trustee
and
Chair
of the
Nominating
and
Governance
Committee |
Since
2014 |
Current:
Of Counsel
(formerly
Partner),
Momkus
LLP (law firm)
(2016-present).
Former:
Partner, Nyberg &
Cassioppi,
LLC (law firm)
(2000-2016);
Executive
Vice
President, General
Counsel,
and Corporate
Secretary,
Van Kampen
Investments
(1982-1999). |
153 |
Current:
Advent
Convertible
and Income
Fund
(2003-present);
PPM
Funds (2) (2018-
present);
Endeavor
Health
(2012-present).
Former:
Guggenheim
Energy
& Income Fund
(2015-2023);
Fiduciary/
Claymore
Energy
Infrastructure
Fund
(2004-2022);
Guggenheim
Enhanced
Equity
Income Fund
(2005-2021);
Guggenheim
Credit
Allocation
Fund
(2013-2021);
Western
Asset
Inflation-Linked
Opportunities
& Income
Fund
(2004-2020);
Western
Asset Inflation-
Linked
Income Fund
(2003-2020). |
Sandra
G. Sponem
(1958) |
Trustee
and
Chair
of the
Audit
Committee |
Since
2019
(Trustee)
Since
2020
(Chair
of the
Audit
Committee) |
Current:
Retired.
Former:
Senior Vice
President
and Chief
Financial
Officer, M.A.
Mortenson
Companies,
Inc.
(construction and real
estate
development
company)
(2007-2017). |
152 |
Current:
SPDR Series
Trust
(81) (2018-
present);
SPDR Index
Shares
Funds (30)
(2018-present);
SSGA
Active
Trust (14) (2018-
present).
Former:
Guggenheim
Energy
& Income Fund
(2019-2023);
Fiduciary/
Claymore
Energy
Infrastructure
Fund
(2019-2022);
Guggenheim
Enhanced
Equity
Income Fund
(2019-2021);
Guggenheim
Credit
Allocation
Fund
(2019-2021);
SSGA
Master
Trust (1)
(2018-2020). |
Name,
Address*
and
Year
of Birth
of
Trustees |
Position(s)
Held
with
Trust |
Term
of
Office
and
Length
of
Time
Served** |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee |
Other
Directorships
Held
by Trustees
During
Past
5
Years*** |
Ronald
E. Toupin, Jr.
(1958) |
Trustee,
Chair
of the
Board
and
Chair
of the
Executive
Committee |
Since
2014 |
Current:
Portfolio
Consultant
(2010-
present);
Member,
Governing
Council,
Independent
Directors
Council
(2013-present);
Governor,
Board of
Governors,
Investment
Company
Institute (2018-
present).
Former:
Member,
Executive
Committee,
Independent
Directors
Council
(2016-2018); Vice
President,
Manager and
Portfolio
Manager,
Nuveen
Asset
Management
(1998-1999);
Vice
President,
Nuveen
Investment
Advisory Corp.
(1992-1999);
Vice
President
and Manager,
Nuveen
Unit Investment
Trusts
(1991-1999); and
Assistant
Vice President
and
Portfolio Manager,
Nuveen
Unit Investment
Trusts
(1988-1999), each
of
John Nuveen & Co.,
Inc.
(registered broker-
dealer)
(1982-1999). |
152 |
Former:
Guggenheim
Energy
& Income Fund
(2015-2023);
Fiduciary/
Claymore
Energy
Infrastructure
Fund
(2004-2022);
Guggenheim
Enhanced
Equity
Income Fund
(2005-2021);
Guggenheim
Credit
Allocation
Fund
(2013-2021);
Western
Asset
Inflation-Linked
Opportunities
& Income
Fund
(2004-2020);
Western
Asset Inflation-
Linked
Income Fund
(2003-2020). |
Name,
Address*
and
Year
of Birth
of
Trustees |
Position(s)
Held
with
Trust |
Term
of
Office
and
Length
of
Time
Served** |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee |
Other
Directorships
Held
by Trustees
During
Past
5
Years*** |
Interested
Trustee | |||||
Amy
J. Lee****
(1961) |
Trustee,
Vice
President
and
Chief
Legal
Officer |
Since
2018
(Trustee)
Since
2014
(Chief
Legal
Officer)
Since
2007
(Vice
President) |
Current:
Interested
Trustee,
certain other
funds
in the Fund
Complex
(2018-present);
Chief
Legal Officer,
certain
other funds in the
Fund
Complex (2014-
present);
Vice President,
certain
other funds in the
Fund
Complex (2007-
present);
Senior
Managing
Director,
Guggenheim
Investments
(2012-present).
Former:
President and/or
Chief
Executive Officer,
certain
other funds in the
Fund
Complex (2017-
2019);
Vice President,
Associate
General
Counsel
and Assistant
Secretary,
Security
Benefit
Life Insurance
Company
and Security
Benefit
Corporation
(2004-2012). |
152 |
Former:
Guggenheim
Energy
& Income Fund
(2018-2023);
Fiduciary/
Claymore
Energy
Infrastructure
Fund
(2018-2022);
Guggenheim
Enhanced
Equity
Income Fund
(2018-
2021);
Guggenheim
Credit
Allocation
Fund
(2018-2021). |
Name,
Address*
and
Year of
Birth
of the
Officers |
Position(s)
Held
with
the Trust |
Term
of Office
and
Length of
Time
Served** |
Principal
Occupation(s) During
the
Past 5 Years |
Brian
E. Binder
(1972) |
President
and
Chief
Executive
Officer |
Since
2018 |
Current:
President, Mutual Funds
Boards,
Guggenheim Investments
(2022-present);
President and
Chief
Executive Officer, certain
other
funds in the Fund Complex
(2018-present);
President, Mutual
Funds
Board and Senior
Managing
Director, Guggenheim
Funds
Investment Advisors, LLC
and
Security Investors, LLC
(2018-present);
Board Member,
Guggenheim
Partners Investment
Funds
plc (2022-present); Board
Member,
Guggenheim Global
Investments
plc (2022-present);
Board
Member, Guggenheim
Partners
Fund Management
(Europe)
Limited (2018-present).
Former:
Senior Managing Director
and
Chief Administrative Officer,
Guggenheim
Investments
(2018-2022);
Managing Director
and
President, Deutsche Funds,
and
Head of US Product, Trading
and
Fund Administration,
Deutsche
Asset Management
(2013-2018);
Managing Director,
Chairman
of North American
Executive
Committee and Head of
Business
Management and
Consulting,
Invesco Ltd.
(2010-2012). |
James
Howley
(1972) |
Chief
Accounting Officer, Chief Financial Officer,
Principal
Financial and Accounting Officer, and
Treasurer |
Since
2022 |
Current:
Managing Director,
Guggenheim
Investments (2004-
present);
Chief Financial Officer,
Chief
Accounting Officer, and
Treasurer,
certain other funds in
the
Fund Complex (2022-present).
Former:
Assistant Treasurer,
certain
other funds in the Fund
Complex
(2006-2022); Manager,
Mutual
Fund Administration of
Van
Kampen Investments, Inc.
(1996-2004). |
Mark
E. Mathiasen
(1978) |
Secretary |
Since
2014 |
Current:
Secretary, certain other
funds
in the Fund Complex (2007-
present);
Managing Director,
Guggenheim
Investments (2007-
present). |
Name,
Address*
and
Year of
Birth
of the
Officers |
Position(s)
Held
with
the Trust |
Term
of Office
and
Length of
Time
Served** |
Principal
Occupation(s) During
the
Past 5 Years |
Glenn
McWhinnie
(1969) |
Assistant
Treasurer |
Since
2016 |
Current:
Vice President,
Guggenheim
Investments (2009-
present);
Assistant Treasurer,
certain
other funds in the Fund
Complex
(2016-present). |
Michael
Megaris
(1984) |
Assistant
Secretary |
Since
2014 |
Current:
Assistant Secretary,
certain
other funds in the Fund
Complex
(2014-present);
Managing
Director, Guggenheim
Investments
(2012-present). |
Elisabeth
Miller
(1968) |
Chief
Compliance
Officer |
Since
2012 |
Current:
Chief Compliance
Officer,
certain other funds in the
Fund
Complex (2012-present);
Senior
Managing Director,
Guggenheim
Investments (2012-
present);
Senior Managing
Director,
Guggenheim Funds
Distributors,
LLC (2014-present).
Former:
Chief Compliance Officer,
Security
Investors, LLC and
Guggenheim
Funds Investment
Advisors,
LLC (2012-2018); Chief
Compliance
Officer, Guggenheim
Distributors,
LLC (2009-2014);
Senior
Manager, Security
Investors,
LLC (2004-2014);
Senior
Manager, Guggenheim
Distributors,
LLC (2004-2014). |
Margaux
Misantone
(1978) |
AML
Officer |
Since
2017 |
Current:
Chief Compliance
Officer,
Security Investors, LLC
and
Guggenheim Funds
Investment
Advisors, LLC (2018-
present);
AML Officer, Security
Investors,
LLC and certain other
funds
in the Fund Complex (2017-
present);
Managing Director,
Guggenheim
Investments (2015-
present).
Former:
Assistant Chief
Compliance
Officer, Security
Investors,
LLC and Guggenheim
Funds
Investment Advisors, LLC
(2015-2018). |
Name,
Address*
and
Year of
Birth
of the
Officers |
Position(s)
Held
with
the Trust |
Term
of Office
and
Length of
Time
Served** |
Principal
Occupation(s) During
the
Past 5 Years |
Kimberly
J. Scott
(1974) |
Assistant
Treasurer |
Since
2014 |
Current:
Director, Guggenheim
Investments
(2012-present);
Assistant
Treasurer, certain other
funds
in the Fund Complex (2012-
present).
Former:
Financial Reporting
Manager,
Invesco, Ltd.
(2010-2011);
Vice President/
Assistant
Treasurer, Mutual Fund
Administration
for Van Kampen
Investments,
Inc./Morgan Stanley
Investment
Management
(2009-2010);
Manager of Mutual
Fund
Administration, Van Kampen
Investments,
Inc./Morgan Stanley
Investment
Management
(2005-2009). |
Jon
Szafran
(1989) |
Assistant
Treasurer |
Since
2017 |
Current:
Director, Guggenheim
Investments
(2017-present);
Assistant
Treasurer, certain other
funds
in the Fund Complex (2017-
present).
Former:
Assistant Treasurer of
Henderson
Global Funds and
Manager
of US Fund
Administration,
Henderson Global
Investors
(North America) Inc.
(“HGINA”)
(2017); Senior Analyst
of
US Fund Administration,
HGINA
(2014-2017); Senior
Associate
of Fund Administration,
Cortland
Capital Market Services,
LLC
(2013-2014); Experienced
Associate,
PricewaterhouseCoopers
LLP
(2012-2013). |
Name
of Independent Trustees |
Aggregate
Compensation
from
the Trust |
Aggregate
Compensation
from
the Fund Complex1,
including
the Family of
Funds |
Randall
C. Barnes |
$121,719 |
$466,500 |
Angela
Brock-Kyle |
$115,140 |
$350,000 |
Thomas
F. Lydon, Jr. |
$120,896 |
$367,500 |
Ronald
A. Nyberg |
$120,896 |
$462,000 |
Sandra
G. Sponem |
$128,298 |
$390,000 |
Ronald
E. Toupin, Jr. |
$147,213 |
$447,500 |
Name
of Independent
Trustee |
Name
of Fund |
Dollar
Range
of
Equity Securities
in
the Funds |
Aggregate Dollar Range of
Equity
Securities in all
Registered
Investment
Companies
Overseen by
Trustee in Fund Complex*,
Including
the Family of
Funds |
Randall
C. Barnes |
N/A |
None |
Over
$100,000 |
Angela
Brock-Kyle |
Macro
Opportunities Fund |
$10,001-$50,000 |
Over
$100,000 |
Total
Return Bond Fund |
$10,001-$50,000 | ||
Thomas
F. Lydon, Jr. |
SMid
Cap Value Fund |
Over
$100,000 |
Over
$100,000 |
Ronald
A. Nyberg |
N/A |
None |
Over
$100,000 |
Sandra
G. Sponem |
Total
Return Bond Fund |
$50,001-$100,000 |
Over
$100,000 |
Ronald
E. Toupin, Jr. |
Macro
Opportunities Fund |
Over
$100,000 |
Over
$100,000 |
Total
Return Bond Fund |
Over
$100,000 |
Name
of Interested
Trustee |
Name
of Fund |
Dollar
Range of
Equity Securities in
the
Funds |
Aggregate Dollar Range of
Equity
Securities in all
Registered
Investment
Companies
Overseen by
Trustee in Fund Complex*,
Including
the Family of
Funds |
Amy
J. Lee |
Macro
Opportunities Fund |
$1-$10,000 |
Over
$100,000 |
StylePlus—Mid
Growth Fund |
$10,001-$50,000 | ||
World
Equity Income Fund |
$1-$10,000 |
Name
of Shareholder1
|
Address
of Shareholder |
Fund |
Class
|
Percent |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Alpha
Opportunity Fund |
A |
12.08% |
Jerry
B. Farley Revocable Trust |
702
King Farm Blvd., Suite 200
Rockville,
MD 20850 |
Alpha
Opportunity Fund |
A |
11.63% |
UMB
Bank N.A.
Security
Financial Resources |
5801
SW 6th Ave.
Topeka,
KS 66636 |
Alpha
Opportunity Fund |
A |
11.49% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Alpha
Opportunity Fund |
A |
9.59% |
Vanguard
Brokerage Services2
|
100
Vanguard Blvd.
Malvern,
PA 19355 |
Alpha
Opportunity Fund |
C |
37.09% |
Pershing
LLC2
|
1
Pershing Plaza
Jersey
City, NJ 07399 |
Alpha
Opportunity Fund |
C |
30.59% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
Alpha
Opportunity Fund |
C |
12.13% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Alpha
Opportunity Fund |
C |
9.92% |
Guggenheim
Macro Opportunities
Fund2
|
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
Alpha
Opportunity Fund |
Inst. |
96.35% |
Interactive
Brokers LLC2
|
2
Pickwick Plaza
Greenwich,
CT 06830 |
Alpha
Opportunity Fund |
P |
60.68% |
National
Financial Services LLC2
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Alpha
Opportunity Fund |
P |
29.51% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Alpha
Opportunity Fund |
P |
8.43% |
UMB
Bank N.A.2
Security
Financial Resources |
5801
SW 6th Ave.
Topeka,
KS 66636 |
Core
Bond Fund |
A |
53.22% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Core
Bond Fund |
A |
6.63% |
NFS
LLC
FEBO
Mutual Funds Fractional |
200
Liberty Street
New
York, NY 10281 |
Core
Bond Fund |
A |
5.94% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Core
Bond Fund |
C |
21.33% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Core
Bond Fund |
C |
15.73% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Core
Bond Fund |
C |
10.32% |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
Core
Bond Fund |
C |
9.56% |
Centennial
Bank Trust |
P.O.
Box 7514
Jonesboro,
AR 72403 |
Core
Bond Fund |
C |
9.18% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
Core
Bond Fund |
C |
8.20% |
American
Enterprise Investment
Services |
707
2nd Avenue South
Minneapolis,
MN 55402 |
Core
Bond Fund |
C |
7.59% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Core
Bond Fund |
C |
6.73% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Core
Bond Fund |
Inst. |
18.93% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Core
Bond Fund |
Inst. |
16.36% |
American
Enterprise Investment
Services |
707
2nd Avenue South
Minneapolis,
MN 55402 |
Core
Bond Fund |
Inst. |
16.21% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Core
Bond Fund |
Inst. |
13.00% |
Benefit
Trust Company |
P.O.
Box 12765
Overland
Park, KS 66282 |
Core
Bond Fund |
Inst. |
9.67% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Core
Bond Fund |
Inst. |
8.00% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
Core
Bond Fund |
Inst. |
6.65% |
National
Financial Services LLC2
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Core
Bond Fund |
P |
62.65% |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Core
Bond Fund |
P |
25.46% |
KeyBank
N.A. |
P.O.
Box 94871
Cleveland,
OH 44101 |
Core
Bond Fund |
P |
9.36% |
Morgan
Stanley Smith Barney LLC2
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Floating
Rate
Strategies
Fund |
A |
27.13% |
UMB
Bank N.A.
Security
Financial Resources |
5801
SW 6th
Ave.
Topeka,
KS 66636 |
Floating
Rate
Strategies
Fund |
A |
23.30% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Floating
Rate
Strategies
Fund |
A |
11.28% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Floating
Rate
Strategies
Fund |
A |
7.09% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Floating
Rate
Strategies
Fund |
A |
6.42% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Floating
Rate
Strategies
Fund |
C |
19.73% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
Floating
Rate
Strategies
Fund |
C |
15.03% |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
Floating
Rate
Strategies
Fund |
C |
12.38% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Floating
Rate
Strategies
Fund |
C |
10.32% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Floating
Rate
Strategies
Fund |
C |
9.48% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
Floating
Rate
Strategies
Fund |
C |
8.60% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Floating
Rate
Strategies
Fund |
C |
6.35% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Floating
Rate
Strategies
Fund |
C |
6.10% |
UBS
Financial Services Inc.
FEBO
Customers |
1000
Harbor Blvd.
Weehawken,
NJ 07086 |
Floating
Rate
Strategies
Fund |
C |
5.49% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Floating
Rate
Strategies
Fund |
Inst. |
21.04% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Floating
Rate
Strategies
Fund |
Inst. |
14.07% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Floating
Rate
Strategies
Fund |
Inst. |
12.79% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Floating
Rate
Strategies
Fund |
Inst. |
11.86% |
UBS
Financial Services Inc.
FEBO
Customers |
1000
Harbor Blvd.
Weehawken,
NJ 07086 |
Floating
Rate
Strategies
Fund |
Inst. |
10.40% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Floating
Rate
Strategies
Fund |
Inst. |
6.59% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
Floating
Rate
Strategies
Fund |
Inst. |
5.93% |
National
Financial Services LLC2
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Floating
Rate
Strategies
Fund |
P |
61.33% |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Floating
Rate
Strategies
Fund |
P |
31.27% |
Guggenheim
Diversified Income Fund2
|
805
King Farm Blvd., Suite 600
Rockville,
MD 20850 |
Floating
Rate
Strategies
Fund |
R6 |
57.06% |
Matrix
Trust Company |
717
17th Street, Suite 1300
Denver,
CO 80202 |
Floating
Rate
Strategies
Fund |
R6 |
21.18% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Floating
Rate
Strategies
Fund |
R6 |
11.68% |
J.P.
Morgan Securities LLC |
4
Chase Metrotech Center
Brooklyn,
NY 11245 |
Floating
Rate
Strategies
Fund |
R6 |
9.40% |
UMB
Bank N.A.2
Security
Financial Resources |
5801
SW 6th Ave.
Topeka,
KS 66636 |
High
Yield Fund |
A |
45.69% |
SBL
Variable Annuity Account XIV
Security
Benefit Life Insurance
Company |
5801
SW 6th Ave.
Topeka,
KS 66636 |
High
Yield Fund |
A |
6.02% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
High
Yield Fund |
A |
5.18% |
Wells
Fargo Clearing Services, LLC2
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
High
Yield Fund |
C |
29.18% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
High
Yield Fund |
C |
22.32% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
High
Yield Fund |
C |
17.56% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
High
Yield Fund |
C |
7.11% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
High
Yield Fund |
C |
5.46% |
LPL
Financial2
|
4707
Executive Drive
San
Diego, CA 92121 |
High
Yield Fund |
Inst. |
25.36% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
High
Yield Fund |
Inst. |
21.82% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
High
Yield Fund |
Inst. |
13.57% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
High
Yield Fund |
Inst. |
12.12% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
High
Yield Fund |
Inst. |
11.15% |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
High
Yield Fund |
P |
46.59% |
National
Financial Services LLC2
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
High
Yield Fund |
P |
46.45% |
Guggenheim
Diversified Income Fund2
|
805
King Farm Blvd., Suite 600
Rockville,
MD 20850 |
High
Yield Fund |
R6 |
96.89% |
SBL
Variable Annuity Account XIV
Security
Benefit Life Insurance
Company |
5801
SW 6th Ave.
Topeka,
KS 66636 |
Large
Cap Value Fund |
A |
23.12% |
UMB
Bank N.A.
Security
Financial Resources |
5801
SW 6th Ave.
Topeka,
KS 66636 |
Large
Cap Value Fund |
A |
18.88% |
LPL
Financial2
|
4707
Executive Drive
San
Diego, CA 92121 |
Large
Cap Value Fund |
C |
41.53% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
Large
Cap Value Fund |
C |
13.54% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Large
Cap Value Fund |
C |
6.67% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Large
Cap Value Fund |
C |
5.92% |
National
Financial Services LLC2
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Large
Cap Value Fund |
Inst. |
38.32% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Large
Cap Value Fund |
Inst. |
19.79% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Large
Cap Value Fund |
Inst. |
16.80% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
Large
Cap Value Fund |
Inst. |
12.40% |
National
Financial Services LLC2
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Large
Cap Value Fund |
P |
70.99% |
Guggenheim
Funds Distributors, LLC |
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
Large
Cap Value Fund |
P |
23.08% |
Morgan
Stanley Smith Barney LLC2
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Limited
Duration Fund |
A |
25.73% |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
Limited
Duration Fund |
A |
24.20% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Limited
Duration Fund |
A |
12.84% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Limited
Duration Fund |
A |
6.19% |
Morgan
Stanley Smith Barney LLC2
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Limited
Duration Fund |
C |
27.55% |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
Limited
Duration Fund |
C |
17.94% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
Limited
Duration Fund |
C |
11.49% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Limited
Duration Fund |
C |
10.80% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Limited
Duration Fund |
C |
8.38% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
Limited
Duration Fund |
C |
6.88% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Limited
Duration Fund |
Inst. |
24.01% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Limited
Duration Fund |
Inst. |
20.46% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Limited
Duration Fund |
Inst. |
17.78% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Limited
Duration Fund |
Inst. |
10.16% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Limited
Duration Fund |
P |
63.12% |
National
Financial Services LLC2
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Limited
Duration Fund |
P |
33.10% |
Guggenheim
Macro Opportunities
Fund2
|
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
Limited
Duration Fund |
R6 |
39.92% |
Guggenheim
Total Return Bond Fund2
|
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
Limited
Duration Fund |
R6 |
39.13% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Limited
Duration Fund |
R6 |
14.00% |
Morgan
Stanley Smith Barney LLC2
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Macro
Opportunities
Fund |
A |
26.10% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Macro
Opportunities
Fund |
A |
13.28% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Macro
Opportunities
Fund |
A |
11.82% |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
Macro
Opportunities
Fund |
A |
9.76% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Macro
Opportunities
Fund |
A |
7.20% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Macro
Opportunities
Fund |
A |
6.04% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Macro
Opportunities
Fund |
C |
20.69% |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
Macro
Opportunities
Fund |
C |
20.40% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
Macro
Opportunities
Fund |
C |
10.11% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Macro
Opportunities
Fund |
C |
7.40% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Macro
Opportunities
Fund |
C |
6.55% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
Macro
Opportunities
Fund |
C |
6.45% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Macro
Opportunities
Fund |
C |
6.29% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Macro
Opportunities
Fund |
C |
6.27% |
UBS
Financial Services Inc.
FEBO
Customers |
1000
Harbor Blvd.
Weehawken,
NJ 07086 |
Macro
Opportunities
Fund |
C |
5.20% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Macro
Opportunities
Fund |
Inst. |
23.31% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Macro
Opportunities
Fund |
Inst. |
15.68% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Macro
Opportunities
Fund |
Inst. |
13.85% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Macro
Opportunities
Fund |
Inst. |
11.83% |
UBS
Financial Services Inc.
FEBO
Customers |
1000
Harbor Blvd.
Weehawken,
NJ 07086 |
Macro
Opportunities
Fund |
Inst. |
8.89% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Macro
Opportunities
Fund |
Inst. |
6.22% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Macro
Opportunities
Fund |
P |
75.96% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Macro
Opportunities
Fund |
P |
16.32% |
J.P.
Morgan Securities LLC2
|
4
Chase Metrotech Center
Brooklyn,
NY 11245 |
Macro
Opportunities
Fund |
R6 |
95.18% |
LPL
Financial2
|
4707
Executive Drive
San
Diego, CA 92121 |
Market
Neutral Real
Estate
Fund |
A |
73.91% |
David
Deming |
702
King Farm Blvd., Suite 200
Rockville,
MD 20850 |
Market
Neutral Real
Estate
Fund |
A |
9.38% |
Gail
Kligman |
702
King Farm Blvd., Suite 200
Rockville,
MD 20850 |
Market
Neutral Real
Estate
Fund |
A |
8.95% |
LPL
Financial2
|
4707
Executive Drive
San
Diego, CA 92121 |
Market
Neutral Real
Estate
Fund |
C |
77.64% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Market
Neutral Real
Estate
Fund |
C |
20.76% |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Market
Neutral Real
Estate
Fund |
Inst. |
70.16% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Market
Neutral Real
Estate
Fund |
Inst. |
17.65% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
Market
Neutral Real
Estate
Fund |
Inst. |
6.48% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Market
Neutral Real
Estate
Fund |
Inst. |
5.30% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Market
Neutral Real
Estate
Fund |
P |
98.90% |
RBC
Capital Markets, LLC2
|
250
Nicollet Mall, Suite 1400
Minneapolis,
MN 55401 |
Municipal
Income Fund |
A |
30.43% |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
Municipal
Income Fund |
A |
19.64% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Municipal
Income Fund |
A |
10.96% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Municipal
Income Fund |
A |
10.87% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Municipal
Income Fund |
A |
9.24% |
Wells
Fargo Clearing Services, LLC2
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
Municipal
Income Fund |
C |
30.49% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Municipal
Income Fund |
C |
21.24% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
Municipal
Income Fund |
C |
19.51% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Municipal
Income Fund |
C |
9.53% |
UBS
Financial Services Inc.
FEBO
Customers |
1000
Harbor Blvd.
Weehawken,
NJ 07086 |
Municipal
Income Fund |
C |
8.48% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
Municipal
Income Fund |
C |
6.23% |
Morgan
Stanley Smith Barney LLC2
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Municipal
Income Fund |
Inst. |
27.49% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Municipal
Income Fund |
Inst. |
22.21% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
Municipal
Income Fund |
Inst. |
13.78% |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
Municipal
Income Fund |
Inst. |
13.22% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
Municipal
Income Fund |
Inst. |
9.94% |
National
Financial Services LLC2
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Municipal
Income Fund |
P |
43.41% |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Municipal
Income Fund |
P |
30.04% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Municipal
Income Fund |
P |
17.06% |
Guggenheim
Funds Distributors, LLC |
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
Municipal
Income Fund |
P |
9.05% |
Morgan
Stanley Smith Barney LLC2
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Risk
Managed Real
Estate
Fund |
A |
26.86% |
UMB
Bank N.A.2
Security
Financial Resources |
5801
SW 6th Ave.
Topeka,
KS 66636 |
Risk
Managed Real
Estate
Fund |
A |
26.06% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Risk
Managed Real
Estate
Fund |
A |
12.09% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Risk
Managed Real
Estate
Fund |
A |
7.58% |
Morgan
Stanley Smith Barney LLC2
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Risk
Managed Real
Estate
Fund |
C |
32.12% |
Centennial
Bank Trust2
|
P.O.
Box 7514
Jonesboro,
AR 72403 |
Risk
Managed Real
Estate
Fund |
C |
28.23% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Risk
Managed Real
Estate
Fund |
C |
15.36% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
Risk
Managed Real
Estate
Fund |
C |
5.39% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Risk
Managed Real
Estate
Fund |
C |
5.35% |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Risk
Managed Real
Estate
Fund |
Inst. |
30.14% |
National
Bank of Canada |
1155
Metcalfe St., 1st Floor
Montreal,
Quebec, H3B 5G2
Canada |
Risk
Managed Real
Estate
Fund |
Inst. |
11.13% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
Risk
Managed Real
Estate
Fund |
Inst. |
10.89% |
Guggenheim
Macro Opportunities
Fund |
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
Risk
Managed Real
Estate
Fund |
Inst. |
10.15% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Risk
Managed Real
Estate
Fund |
Inst. |
9.20% |
Gerlach
& Co. |
3800
Citigroup Center Building B3-14
Tampa,
FL 33610 |
Risk
Managed Real
Estate
Fund |
Inst. |
7.90% |
ING
Financial Markets LLC |
1133
Ave. of the Americas, 7th Floor
New
York, NY 10036 |
Risk
Managed Real
Estate
Fund |
Inst. |
6.49% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Risk
Managed Real
Estate
Fund |
Inst. |
6.38% |
National
Financial Services LLC2
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Risk
Managed Real
Estate
Fund |
P |
51.48% |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Risk
Managed Real
Estate
Fund |
P |
41.53% |
UMB
Bank N.A.2
Security
Financial Resources |
5801
SW 6th Ave.
Topeka,
KS 66636 |
Small
Cap Value Fund |
A |
33.95% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Small
Cap Value Fund |
A |
11.46% |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
Small
Cap Value Fund |
A |
9.87% |
Wells
Fargo Clearing Services, LLC2
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
Small
Cap Value Fund |
C |
63.63% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Small
Cap Value Fund |
C |
6.88% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Small
Cap Value Fund |
C |
6.80% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
LPL
Financial2
|
4707
Executive Drive
San
Diego, CA 92121 |
Small
Cap Value Fund |
Inst. |
35.71% |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Small
Cap Value Fund |
Inst. |
25.99% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Small
Cap Value Fund |
Inst. |
10.57% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Small
Cap Value Fund |
Inst. |
6.68% |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Small
Cap Value Fund |
P |
61.04% |
Guggenheim
Funds Distributors, LLC2
|
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
Small
Cap Value Fund |
P |
28.88% |
TD
Ameritrade Inc.
FEBO
Customers |
P.O.
Box 2226
Omaha,
NE 68103 |
Small
Cap Value Fund |
P |
9.93% |
UMB
Bank N.A.2
Security
Financial Resources |
5801
SW 6th Ave.
Topeka,
KS 66636 |
SMid
Cap Value Fund |
A |
40.21% |
NFS
LLC
FEBO
Mutual Funds Fractional |
200
Liberty Street
New
York, NY 10281 |
SMid
Cap Value Fund |
A |
7.33% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
SMid
Cap Value Fund |
A |
6.18% |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
SMid
Cap Value Fund |
C |
19.33% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
SMid
Cap Value Fund |
C |
12.82% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
SMid
Cap Value Fund |
C |
11.04% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
SMid
Cap Value Fund |
C |
9.68% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
SMid
Cap Value Fund |
C |
7.82% |
RBC
Capital Markets, LLC |
250
Nicollet Mall, Suite 1400
Minneapolis,
MN 55401 |
SMid
Cap Value Fund |
C |
6.69% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
SMid
Cap Value Fund |
C |
5.90% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
SMid
Cap Value Fund |
Inst. |
18.51% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
SMid
Cap Value Fund |
Inst. |
12.24% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
SMid
Cap Value Fund |
Inst. |
12.14% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
SMid
Cap Value Fund |
Inst. |
10.21% |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
SMid
Cap Value Fund |
Inst. |
9.06% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
SMid
Cap Value Fund |
Inst. |
8.60% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
American
Enterprise Investment
Services |
707
2nd Avenue South
Minneapolis,
MN 55402 |
SMid
Cap Value Fund |
Inst. |
5.81% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
SMid
Cap Value Fund |
Inst. |
5.71% |
National
Financial Services LLC2
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
SMid
Cap Value Fund |
P |
73.65% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
SMid
Cap Value Fund |
P |
15.47% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
SMid
Cap Value Fund |
P |
7.87% |
UMB
Bank N.A.
Security
Financial Resources |
5801
SW 6th Ave.
Topeka,
KS 66636 |
StylePlus—Large
Core
Fund
|
A |
11.98% |
SBL
Variable Annuity Account XIV
Security
Benefit Life Insurance
Company |
5801
SW 6th Ave.
Topeka,
KS 66636 |
StylePlus—Large
Core
Fund
|
A |
7.32% |
Pershing
LLC2
|
1
Pershing Plaza
Jersey
City, NJ 07399 |
StylePlus—Large
Core
Fund
|
C |
27.15% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
StylePlus—Large
Core
Fund
|
C |
11.61% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
StylePlus—Large
Core
Fund
|
C |
8.18% |
Donna
Marsh |
702
King Farm Blvd., Suite 200
Rockville,
MD 20850 |
StylePlus—Large
Core
Fund
|
C |
7.04% |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
StylePlus—Large
Core
Fund
|
Inst. |
27.02% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
StylePlus—Large
Core
Fund
|
Inst. |
16.48% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
StylePlus—Large
Core
Fund
|
Inst. |
12.85% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
StylePlus—Large
Core
Fund
|
Inst. |
9.29% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
StylePlus—Large
Core
Fund
|
Inst. |
6.28% |
RBC
Capital Markets, LLC |
250
Nicollet Mall, Suite 1400
Minneapolis,
MN 55401 |
StylePlus—Large
Core
Fund
|
Inst. |
5.08% |
National
Financial Services LLC2
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
StylePlus—Large
Core
Fund
|
P |
73.63% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
StylePlus—Large
Core
Fund
|
P |
15.22% |
Guggenheim
Funds Distributors, LLC |
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
StylePlus—Large
Core
Fund
|
P |
10.46% |
UMB
Bank N.A.
Security
Financial Resources |
5801
SW 6th Ave.
Topeka,
KS 66636 |
StylePlus—Mid
Growth
Fund |
A |
10.86% |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
StylePlus—Mid
Growth
Fund |
C |
13.41% |
Barry
Crowder |
702
King Farm Blvd., Suite 200
Rockville,
MD 20850 |
StylePlus—Mid
Growth
Fund |
C |
6.26% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
Ellen
Harrington |
702
King Farm Blvd., Suite 200
Rockville,
MD 20850 |
StylePlus—Mid
Growth
Fund |
C |
5.37% |
RBC
Capital Markets, LLC |
250
Nicollet Mall, Suite 1400
Minneapolis,
MN 55401 |
StylePlus—Mid
Growth
Fund |
C |
5.35% |
Raymond
James2
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
StylePlus—Mid
Growth
Fund |
Inst. |
35.98% |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
StylePlus—Mid
Growth
Fund |
Inst. |
27.26% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
StylePlus—Mid
Growth
Fund |
Inst. |
12.18% |
Lincoln
Investment Planning LLC |
601
Office Center Drive, Suite 300
Fort
Washington, PA 19034 |
StylePlus—Mid
Growth
Fund |
Inst. |
6.21% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
StylePlus—Mid
Growth
Fund |
Inst. |
5.60% |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
StylePlus—Mid
Growth
Fund |
P |
44.93% |
Guggenheim
Funds Distributors, LLC2
|
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
StylePlus—Mid
Growth
Fund |
P |
36.31% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
StylePlus—Mid
Growth
Fund |
P |
9.23% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
StylePlus—Mid
Growth
Fund |
P |
9.18% |
UMB
Bank N.A.
Security
Financial Resources |
5801
SW 6th Ave.
Topeka,
KS 66636 |
Total
Return Bond Fund |
A |
18.56% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Total
Return Bond Fund |
A |
17.55% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Total
Return Bond Fund |
A |
10.85% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Total
Return Bond Fund |
A |
8.50% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Total
Return Bond Fund |
A |
6.41% |
Matrix
Trust Company |
717
17th Street, Suite 1300
Denver,
CO 80202 |
Total
Return Bond Fund |
A |
5.08% |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
Total
Return Bond Fund |
C |
19.66% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Total
Return Bond Fund |
C |
18.32% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
Total
Return Bond Fund |
C |
11.15% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Total
Return Bond Fund |
C |
10.84% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Total
Return Bond Fund |
C |
10.74% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
Total
Return Bond Fund |
C |
7.71% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
American
Enterprise Investment
Services |
707
2nd Avenue South
Minneapolis,
MN 55402 |
Total
Return Bond Fund |
C |
5.49% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Total
Return Bond Fund |
Inst. |
24.86% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Total
Return Bond Fund |
Inst. |
15.58% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Total
Return Bond Fund |
Inst. |
11.01% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Total
Return Bond Fund |
Inst. |
7.99% |
Merrill
Lynch, Pierce, Fenner & Smith,
Inc.
FEBO
Customers |
4800
Deer Lake Drive East, 3rd Floor
Jacksonville,
FL 32246 |
Total
Return Bond Fund |
Inst. |
6.59% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
Total
Return Bond Fund |
Inst. |
5.99% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
Total
Return Bond Fund |
Inst. |
5.06% |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Total
Return Bond Fund |
P |
52.90% |
National
Financial Services LLC2
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Total
Return Bond Fund |
P |
43.41% |
J.P.
Morgan Securities LLC |
4
Chase Metrotech Center
Brooklyn,
NY 11245 |
Total
Return Bond Fund |
R6 |
21.94% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Total
Return Bond Fund |
R6 |
19.12% |
DCGT
FEBO
Customers |
711
High Street
Des
Moines, IA 50392 |
Total
Return Bond Fund |
R6 |
11.34% |
Matrix
Trust Company |
717
17th Street, Suite 1300
Denver,
CO 80202 |
Total
Return Bond Fund |
R6 |
9.28% |
Empower
Trust
FEBO
Customers |
8515
E. Orchard Rd. 2T2
Greenwood
Village, CO 80111 |
Total
Return Bond Fund |
R6 |
7.15% |
Morgan
Stanley Smith Barney LLC2
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Ultra
Short Duration
Fund |
A |
66.05% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Ultra
Short Duration
Fund |
A |
16.58% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
Ultra
Short Duration
Fund |
A |
9.34% |
Morgan
Stanley Smith Barney LLC
FEBO
Customers |
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Ultra
Short Duration
Fund |
Inst. |
13.18% |
Guggenheim
Macro Opportunities
Fund |
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
Ultra
Short Duration
Fund |
Inst. |
11.86% |
Charles
Schwab & Co. Inc.
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
Ultra
Short Duration
Fund |
Inst. |
8.51% |
UBS
Financial Services Inc.
FEBO
Customers |
1000
Harbor Blvd.
Weehawken,
NJ 07086 |
Ultra
Short Duration
Fund |
Inst. |
7.92% |
Guggenheim
StylePlus—Large Core
Fund |
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
Ultra
Short Duration
Fund |
Inst. |
7.63% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
Guggenheim
Limited Duration Fund |
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
Ultra
Short Duration
Fund |
Inst. |
7.40% |
Guggenheim
Total Return Bond Fund |
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
Ultra
Short Duration
Fund |
Inst. |
6.78% |
Series
A (StylePlus—Large Core
Fund) |
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
Ultra
Short Duration
Fund |
Inst. |
6.62% |
Rydex
NASDAQ-100®
Fund |
805
King Farm Blvd., Suite 600
Rockville,
MD 20850 |
Ultra
Short Duration
Fund |
Inst. |
6.43% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
Ultra
Short Duration
Fund |
Inst. |
5.85% |
UMB
Bank N.A.2
Security
Financial Resources |
5801
SW 6th Ave.
Topeka,
KS 66636 |
World
Equity Income
Fund |
A |
51.48% |
SBL
Variable Annuity Account XIV
Security
Benefit Life Insurance
Company |
5801
SW 6th Ave.
Topeka,
KS 66636 |
World
Equity Income
Fund |
A |
11.83% |
Raymond
James2
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
World
Equity Income
Fund |
C |
39.16% |
Wells
Fargo Clearing Services, LLC2
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
World
Equity Income
Fund |
C |
35.16% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
World
Equity Income
Fund |
C |
9.78% |
Wells
Fargo Clearing Services, LLC
FEBO
Customers |
2801
Market Street
St.
Louis, MO 63103 |
World
Equity Income
Fund |
Inst. |
20.39% |
Guggenheim
Diversified Income Fund |
805
King Farm Blvd., Suite 600
Rockville,
MD 20850 |
World
Equity Income
Fund |
Inst. |
13.64% |
National
Financial Services LLC
FEBO
Customers |
499
Washington Boulevard
Jersey
City, NJ 07310 |
World
Equity Income
Fund |
Inst. |
10.68% |
Pershing
LLC |
1
Pershing Plaza
Jersey
City, NJ 07399 |
World
Equity Income
Fund |
Inst. |
6.89% |
Raymond
James
Omnibus
for Mutual Funds |
880
Carillon Parkway
St.
Petersburg, FL 33716 |
World
Equity Income
Fund |
Inst. |
5.72% |
LPL
Financial |
4707
Executive Drive
San
Diego, CA 92121 |
World
Equity Income
Fund |
Inst. |
5.37% |
Charles
Schwab & Co. Inc.2
FEBO
Customers |
211
Main Street
San
Francisco, CA 94105 |
World
Equity Income
Fund |
P |
58.56% |
Vanguard
Brokerage Services |
P.O.
Box 982901
El
Paso, TX 79998-2901 |
World
Equity Income
Fund |
P |
20.97% |
Guggenheim
Funds Distributors, LLC |
227
W. Monroe St., Suite 4900
Chicago,
IL 60606 |
World
Equity Income
Fund |
P |
17.14% |
Amount
of Investment |
Sales
Charge | ||
Percentage of
Offering Price |
Percentage of Net
Amount
Invested |
Percentage
Reallowable to Dealers | |
Less
than $100,000 |
4.75% |
4.99% |
4.00% |
$100,000
but less than
$250,000 |
3.75% |
3.90% |
3.00% |
$250,000
but less than
$500,000 |
2.75% |
2.83% |
2.25% |
$500,000
but less than
$1,000,000 |
2.00% |
2.04% |
1.75% |
$1,000,000
or greater |
None |
None |
None* |
Amount
of Investment |
Sales
Charge | ||
Percentage of
Offering Price |
Percentage of Net
Amount
Invested |
Percentage
Reallowable to Dealers | |
Less
than $50,000 |
4.00% |
4.17% |
3.25% |
$50,000
but less than
$100,000 |
3.75% |
3.90% |
3.00% |
$100,000
but less than
$250,000 |
2.75% |
2.83% |
2.20% |
$250,000
but less than
$1,000,000 |
1.75% |
1.78% |
1.40% |
$1,000,000
or greater |
None |
None |
None* |
Amount
of Investment |
Sales
Charge | ||
Percentage of
Offering Price |
Percentage of Net
Amount
Invested |
Percentage
Reallowable to Dealers | |
Less
than $50,000 |
3.00% |
3.09% |
2.50% |
$50,000
but less than
$100,000 |
2.75% |
2.83% |
2.25% |
$100,000
but less than
$250,000 |
2.25% |
2.30% |
1.75% |
$250,000
but less than
$1,000,000 |
1.25% |
1.27% |
1.00% |
$1,000,000
or greater |
None |
None |
None* |
Amount
of Investment |
Sales
Charge | ||
Percentage of
Offering Price |
Percentage of Net
Amount
Invested |
Percentage
Reallowable to Dealers | |
Less
than $100,000 |
2.25% |
2.30% |
2.00% |
$100,000
to $249,999 |
1.25% |
1.27% |
1.00% |
$250,000
or greater |
None |
None |
None* |
Compensation
to Guggenheim Funds Distributors, LLC | |||
|
Class
A |
Class
C |
Class
P |
Alpha
Opportunity Fund |
$6,927
|
$2,067
|
$4,407
|
Core
Bond Fund |
$289,602
|
$213,296
|
$94,265
|
Floating
Rate Strategies Fund |
$365,471
|
$404,521
|
$113,787
|
High
Yield Fund |
$111,343
|
$101,122
|
$12,564
|
Large
Cap Value Fund |
$84,150
|
$15,606
|
$238
|
Limited
Duration Fund |
$1,115,453
|
$590,649
|
$171,736
|
Macro
Opportunities Fund |
$758,150
|
$1,224,521
|
$221,459
|
Market
Neutral Real Estate Fund |
$1,109
|
$2,148
|
$3,588
|
Municipal
Income Fund |
$102,858
|
$10,649
|
$366
|
Risk
Managed Real Estate Fund |
$14,866
|
$52,629
|
$27,039
|
Small
Cap Value Fund |
$10,776
|
$4,542
|
$300
|
SMid
Cap Value Fund |
$726,214
|
$49,840
|
$14,795
|
StylePlus—Large
Core Fund |
$504,956
|
$8,976
|
$567
|
StylePlus—Mid
Growth Fund |
$160,785
|
$6,094
|
$177
|
Total
Return Bond Fund |
$1,141,906 |
$1,777,813 |
$1,113,801 |
Ultra
Short Duration Fund |
$271,104
|
$0 |
$0 |
World
Equity Income Fund |
$99,384
|
$27,204
|
$195 |
Financial
Intermediary |
Dollar
Amount of Compensation |
Morgan
Stanley Smith Barney |
$2,612,862
|
Wells
Fargo Advisors, LLC |
$1,092,496
|
UBS
Financial Services, Inc. |
$992,029
|
LPL
Financial |
$885,117
|
Financial
Intermediary |
Dollar
Amount of Compensation |
Raymond
James |
$854,779
|
American
Enterprise Investment Services |
$570,999
|
Merrill
Lynch |
$234,779
|
PNC
Investments LLC |
$192,099
|
National
Financial Services LLC |
$55,123
|
Citigroup
Global Markets |
$55,077
|
Charles
Schwab |
$21,061
|
Axos
Advisor Services |
$18,422
|
RBC
Capital Markets |
$17,071
|
Great
West Equities |
$10,500
|
Principal
Life Insurance |
$4,750 |
Contractual
Management Fees
(expressed as a percentage of average daily net assets, calculated daily
and
paid
monthly) | |
Alpha
Opportunity Fund |
0.90% |
Floating
Rate Strategies Fund |
0.65% |
High
Yield Fund |
0.60% |
Core
Bond Fund |
0.39% |
Large
Cap Value Fund |
0.65% |
Limited
Duration Fund |
0.39% |
Macro
Opportunities Fund |
0.89% |
Market
Neutral Real Estate Fund |
1.10% |
Municipal
Income Fund |
0.50% |
Risk
Managed Real Estate Fund |
0.75% |
Small
Cap Value Fund |
0.75% |
SMid
Cap Value Fund |
0.75% |
StylePlus—Large
Core Fund |
0.75% |
StylePlus—Mid
Growth Fund |
0.75% |
Total
Return Bond Fund |
0.39% |
Ultra
Short Duration Fund |
0.25% |
World
Equity Income Fund |
0.70% |
Fund |
|
Class |
|
Expense Cap |
Alpha
Opportunity Fund |
|
A
C
Institutional
P
R6 |
|
1.76%
2.51%
1.51%
1.76%
1.51% |
Floating
Rate Strategies Fund |
|
A
C
Institutional
P
R6 |
|
1.02%
1.77%
0.78%
1.02%
0.78% |
High
Yield Fund1
|
|
A
C
Institutional
P
R6 |
|
0.94%
1.69%
0.69%
0.94%
0.69% |
Core
Bond Fund |
|
A
C
Institutional
P
R6 |
|
0.79%
1.54%
0.50%
0.79%
0.50% |
Large
Cap Value Fund |
|
A
C
Institutional
P
R6 |
|
1.15%
1.90%
0.90%
1.15%
0.90% |
Limited
Duration Fund |
|
A
C
Institutional
P
R6 |
|
0.75%
1.50%
0.50%
0.75%
0.50% |
Macro
Opportunities Fund |
|
A
C
Institutional
P
R6 |
|
1.36%
2.11%
0.95%
1.36%
0.95% |
Market
Neutral Real Estate Fund |
|
A
C
Institutional
P
R6 |
|
1.65%
2.40%
1.40%
1.65%
1.40% |
Municipal
Income Fund |
|
A
C
Institutional
P
R6 |
|
0.80%
1.55%
0.55%
0.80%
0.55% |
Risk
Managed Real Estate Fund |
|
A
C
Institutional
P
R6 |
|
1.30%
2.05%
1.10%
1.30%
1.10% |
Fund |
|
Class |
|
Expense Cap |
Small
Cap Value Fund |
|
A
C
Institutional
P
R6 |
|
1.30%
2.05%
1.05%
1.30%
1.05% |
SMid
Cap Value Fund2
|
|
A
C
Institutional
P
R6 |
|
1.30%
2.05%
1.05%
1.30%
1.05% |
StylePlus—Large
Core Fund |
|
R6 |
|
1.39% |
StylePlus—Mid
Growth Fund |
|
R6 |
|
1.81% |
Total
Return Bond Fund |
|
A
C
Institutional
P
R6 |
|
0.79%
1.54%
0.50%
0.79%
0.50% |
Ultra
Short Duration Fund |
|
A
Institutional
P
R6 |
|
0.58%
0.33%
0.58%
0.33% |
World
Equity Income Fund |
|
A
C
Institutional
P
R6 |
|
1.22%
1.97%
0.97%
1.22%
0.97% |
Fund |
Fiscal
Year/
Period |
Investment
Advisory
Fees
Paid |
Investment
Advisory
Fees
Waived
by and
Reimbursements
from
Investment
Managers* |
Accounting
and
Administrative
Service
Fees
Paid |
Alpha
Opportunity Fund |
2023 |
$297,618
|
$27,862
|
$22,722
|
2022 |
$310,045 |
$14,639 |
$30,736 | |
2021 |
$328,770 |
$34,736 |
$32,934 | |
Core Bond
Fund |
2023 |
$5,175,537
|
$1,339,560
|
$550,331
|
2022 |
$5,788,622 |
$1,554,039 |
$893,202 | |
2021 |
$6,225,103 |
$1,539,717 |
$1,073,376 | |
Floating
Rate Strategies Fund |
2023 |
$6,968,297
|
$1,187,745
|
$447,441
|
2022 |
$7,873,587 |
$1,043,179 |
$720,264 | |
2021 |
$5,201,077 |
$326,697 |
$539,742 | |
High Yield
Fund |
2023 |
$1,106,317
|
$90,843
|
$84,432
|
2022 |
$1,603,619 |
$125,283 |
$171,200 | |
2021 |
$2,325,386 |
$72,154 |
$265,815 | |
Large Cap
Value Fund |
2023 |
$253,631
|
$135,980
|
$25,039
|
2022 |
$264,776 |
$115,391 |
$32,956 | |
2021 |
$243,618 |
$124,838 |
$34,468 | |
Limited
Duration Fund |
2023 |
$16,083,765
|
$3,733,192
|
$1,694,311
|
2022 |
$21,572,847 |
$4,304,085 |
$3,308,297 | |
2021 |
$19,389,700 |
$3,193,434 |
$3,304,666 | |
Macro
Opportunities Fund |
2023 |
$51,846,776
|
$8,288,356
|
$2,396,713
|
2022 |
$66,611,239 |
$9,243,002 |
$4,556,515 | |
2021 |
$57,582,737 |
$7,780,238 |
$4,335,782 | |
Market
Neutral Real Estate Fund |
2023 |
$528,509
|
$117,548
|
$28,713
|
2022 |
$584,420 |
$140,394 |
$40,623 | |
2021 |
$702,614 |
$140,297 |
$51,208 | |
Municipal
Income Fund |
2023 |
$258,691
|
$217,744
|
$30,229
|
2022 |
$320,076 |
$256,181 |
$47,327 | |
2021 |
$390,088 |
$300,282 |
$60,572 | |
Risk
Managed Real Estate |
2023 |
$3,131,145
|
$203,333
|
$179,764
|
2022 |
$3,982,655 |
$100,700 |
$324,510 | |
2021 |
$3,139,809 |
$22,682 |
$286,199 | |
Small Cap
Value Fund |
2023 |
$52,214
|
$151,044
|
$11,830
|
2022 |
$54,365 |
$160,751 |
$28,421 | |
2021 |
$51,148 |
$190,392 |
$34,104 | |
SMid Cap
Value Fund |
2023 |
$2,917,656
|
$185,120
|
$167,998
|
2022 |
$3,131,103 |
$59,046 |
$256,988 | |
2021 |
$3,162,515 |
$45,345 |
$288,997 | |
StylePlus—Large
Core Fund |
2023 |
$1,565,264
|
$90,945
|
$94,206
|
2022 |
$1,838,628 |
$129,491 |
$154,756 | |
2021 |
$1,811,028 |
$148,895 |
$169,009 | |
StylePlus—Mid
Growth Fund |
2023 |
$494,887
|
$6,425
|
$36,029
|
2022 |
$698,519 |
$17,208 |
$64,786 | |
2021 |
$815,785 |
$64,182 |
$80,965 | |
Total
Return Bond Fund |
2023 |
$76,742,003
|
$17,077,254
|
$8,036,992
|
2022 |
$92,491,890 |
$22,281,402 |
$14,216,829 | |
2021 |
$96,284,021 |
$17,522,597 |
$16,402,145 |
Fund |
Fiscal
Year/
Period |
Investment
Advisory
Fees
Paid |
Investment
Advisory
Fees
Waived
by and
Reimbursements
from
Investment
Managers* |
Accounting
and
Administrative
Service
Fees
Paid |
Ultra Short
Duration Fund |
2023 |
$1,421,922
|
$330,393
|
$180,007
|
2022 |
$2,364,218 |
$287,761 |
$292,728 | |
2021 |
$2,112,403 |
$90,487 |
$260,012 | |
World
Equity Income Fund |
2023 |
$320,156
|
$142,957
|
$27,875
|
2022 |
$355,927 |
$97,942 |
$39,180 | |
2021 |
$350,857 |
$121,284 |
$41,994 |
|
Registered
Investment
Companies |
Other Pooled
Investment
Vehicles |
Other
Accounts | |||
Portfolio
Manager |
Number |
Total Assets
(in
millions) |
Number |
Total Assets
(in
millions) |
Number |
Total Assets
(in
millions) |
Adam
J. Bloch |
21 |
$38,292
|
5 |
$3,132
|
40 |
$18,434
|
Steven
H. Brown |
19 |
$39,437
|
5 |
$3,132
|
40 |
$18,434
|
Kris
L. Dorr |
4 |
$1,245
|
0 |
$0
|
0 |
$0
|
Evan
Einstein |
2 |
$152
|
0 |
$0
|
0 |
$0
|
Thomas
J. Hauser |
5 |
$1,342
|
55 |
$8,668
|
25 |
$11,023
|
Burak
Hurmeydan |
16 |
$1,201
|
0 |
$0
|
0 |
$0
|
Christopher
Keywork
|
2 |
$1,084
|
1 |
$379
|
0 |
$0
|
Allen
Li |
2 |
$525
|
0 |
$0
|
0 |
$0
|
Douglas
Makin |
7 |
$381
|
0 |
$0
|
0 |
$0
|
Chris
Phalen
|
7 |
$894
|
0 |
$0
|
0 |
$0
|
Samir
Sanghani |
6 |
$657
|
2 |
$8
|
0 |
$0
|
James
P. Schier |
7 |
$894
|
0 |
$0
|
1 |
$7
|
Evan
Serdensky |
15 |
$38,131
|
3 |
$1,639
|
38 |
$17,579
|
Farhan
Sharaff |
24 |
$1,818
|
2 |
$8
|
0 |
$0
|
Gregg
Strohkorb |
7 |
$894
|
0 |
$0
|
0 |
$0
|
David
G. Toussaint |
7 |
$894
|
0 |
$0
|
0 |
$0
|
Anne
B. Walsh |
19 |
$39,437
|
4 |
$2,496
|
47 |
$107,167
|
John
Walsh
|
2 |
$222
|
0 |
$0
|
0 |
$0
|
Qi
Yan |
8 |
$504
|
0 |
$0
|
0 |
$0 |
|
Registered
Investment
Companies |
Other Pooled Investment
Vehicles |
Other
Accounts | |||
Portfolio
Manager |
Number |
Total Assets
(in
millions) |
Number |
Total Assets
(in
millions) |
Number |
Total Assets
(in
millions) |
Adam
J. Bloch |
0 |
$0
|
3 |
$1,727
|
1 |
$102
|
Steven
H. Brown |
0 |
$0
|
3 |
$1,727
|
1 |
$102
|
Thomas
J. Hauser |
1 |
$36
|
36 |
$6,325
|
7 |
$637
|
Christopher
Keywork
|
0 |
$0
|
1 |
$379
|
0 |
$0
|
Evan
Serdensky |
0 |
$0
|
1 |
$227
|
1 |
$102
|
Anne
B. Walsh |
0 |
$0
|
3 |
$1,727
|
1 |
$102 |
Name
of Portfolio
Manager |
Name
of Fund |
Dollar
Range of Equity Securities
in
the Funds |
Adam
J. Bloch |
Core Bond
Fund
|
$50,001-$100,000 |
Limited
Duration Fund |
$10,001-$50,000 | |
Macro
Opportunities Fund |
$100,001-$500,000 | |
Total
Return Bond Fund |
$100,001-$500,000 | |
Steven
Brown |
Core Bond
Fund |
$100,001-$500,000 |
Total
Return Bond Fund |
$100,001-$500,000 | |
Macro
Opportunities Fund |
$50,001-$100,000 | |
Thomas
Hauser |
Floating
Rate Strategies Fund |
$100,001-$500,000 |
High Yield
Fund |
$100,001-$500,000 | |
Burak
Hurmeydan |
Alpha
Opportunity Fund |
Over
$1,000,000 |
Allen
Li |
Municipal
Income Fund |
$10,001-$50,000 |
Douglas
Makin |
World
Equity Income Fund |
$1-$10,000 |
Samir
Sanghani |
Alpha
Opportunity Fund |
$100,001-$500,000 |
James
Schier |
SMid Cap
Value Fund |
$50,001-$100,000 |
Farhan
Sharaff |
SMid Cap
Value Fund |
$50,001-$100,000 |
David
G. Toussaint |
Large Cap
Value Fund |
$100,001-$500,000 |
Small Cap
Value Fund |
$100,001-$500,000 | |
SMid Cap
Value Fund |
$50,001-$100,000 | |
Anne
B. Walsh |
Core Bond
Fund |
$50,001-$100,000 |
Floating
Rate Strategies Fund |
$100,001-$500,000 | |
Limited
Duration Fund |
$100,001-$500,000 | |
Macro
Opportunities Fund |
$100,001-$500,000 | |
Total
Return Bond Fund |
$500,001-$1,000,000 |
Fund |
Guggenheim
Funds Distributors, LLC—Gross Underwriting
Commissions | ||
2023 |
2022 |
2021 | |
Alpha
Opportunity Fund |
$137 |
$97 |
$114 |
Core
Bond Fund |
$88,620 |
$53,116 |
$132,591 |
Floating
Rate Strategies Fund |
$114,154 |
$269,348 |
$83,856 |
High
Yield Fund |
$23,896 |
$22,280 |
$54,611 |
Large
Cap Value Fund |
$8,964 |
$5,352 |
$9,508 |
Limited
Duration Fund |
$862,944 |
$844,441 |
$3,774,149 |
Macro
Opportunities Fund |
$116,388 |
$241,310 |
$880,416 |
Market
Neutral Real Estate Fund |
$0 |
$155 |
$0 |
Municipal
Income Fund |
$25,790 |
$43,341 |
$38,603 |
Risk
Managed Real Estate Fund |
$7,429 |
$46,334 |
$14,233 |
Small
Cap Value Fund |
$502 |
$740 |
$946 |
SMid
Cap Value Fund |
$80,026 |
$59,520 |
$75,967 |
StylePlus—Large
Core Fund |
$13,506 |
$19,036 |
$34,667 |
StylePlus—Mid
Growth Fund |
$10,224 |
$16,002 |
$10,970 |
Total
Return Bond Fund |
$677,498 |
$334,080 |
$1,351,609 |
Ultra
Short Duration Fund |
$0 |
$0 |
$0 |
World
Equity Income Fund |
$5,255 |
$6,301 |
$7,732 |
Fund |
Guggenheim
Funds Distributors, LLC—Net Underwriting
Commissions | ||
2023 |
2022 |
2021 | |
Alpha
Opportunity Fund |
$97 |
$97
|
$114
|
Core
Bond Fund |
$12,110 |
$7,925 |
$12,067
|
Floating
Rate Strategies Fund |
$7,606 |
$4,738 |
$10,939
|
High
Yield Fund |
$4,712 |
$4,560 |
$11,139
|
Large
Cap Value Fund |
$4,350 |
$3,220 |
$5,551
|
Limited
Duration Fund |
$2,175 |
$3,129 |
$25,983
|
Macro
Opportunities Fund |
$9,689 |
$29,763 |
$60,962
|
Market
Neutral Real Estate Fund |
$0 |
$24 |
$0 |
Municipal
Income Fund |
$2,997 |
$271 |
$605
|
Risk
Managed Real Estate Fund |
$1,170 |
$7,983 |
$2,463
|
Small
Cap Value Fund |
$380 |
$612 |
$664
|
SMid
Cap Value Fund |
$25,520 |
$21,757 |
$27,775
|
StylePlus—Large
Core Fund |
$7,806 |
$11,403 |
$13,970
|
StylePlus—Mid
Growth Fund |
$4,865 |
$5,372 |
$9,225
|
Total
Return Bond Fund |
$46,439 |
$39,928 |
$151,420
|
Ultra
Short Duration Fund |
$0 |
$0 |
$0 |
World
Equity Income Fund |
$2,932 |
$3,305 |
$4,708 |
Fund |
Guggenheim
Funds Distributors, LLC—Compensation on
Redemptions | ||
2023 |
2022 |
2021 | |
Alpha
Opportunity Fund |
$0 |
$0 |
$0 |
Core
Bond Fund |
$4 |
$156 |
$272
|
Floating
Rate Strategies Fund |
$859 |
$151 |
$509
|
High
Yield Fund |
$0 |
$0 |
$25
|
Large
Cap Value Fund |
$32 |
$0 |
$0 |
Limited
Duration Fund |
$2,165 |
$17,977 |
$14,909
|
Macro
Opportunities Fund |
$0 |
$6,821 |
$1,506
|
Market
Neutral Real Estate Fund |
$0 |
$4 |
$174
|
Municipal
Income Fund |
$0 |
$0 |
$0 |
Risk
Managed Real Estate Fund |
$0 |
$285 |
$371
|
Small
Cap Value Fund |
$25 |
$176 |
$0 |
SMid
Cap Value Fund |
$81 |
$56 |
$0 |
StylePlus—Large
Core Fund |
$0 |
$1 |
$0 |
StylePlus—Mid
Growth Fund |
$8 |
$4 |
$1 |
Total
Return Bond Fund |
$11,123 |
$4,923 |
$9,109
|
Ultra
Short Duration Fund |
$0 |
$0 |
$0 |
World
Equity Income Fund |
$0 |
$0
|
$397 |
Fund |
Year |
Fund
Total
Brokerage
Commissions
Paid |
Alpha
Opportunity Fund |
2023
2022
2021 |
$37,718
$34,137
$21,911 |
Floating
Rate Strategies Fund |
2023
2022
2021 |
$15,776
$15,997
$23,967 |
High
Yield Fund |
2023
2022
2021 |
$1,175
$13
$4,059 |
Core
Bond Fund |
2023
2022
2021 |
$3,404
$4,392
$7,573 |
Large
Cap Value Fund |
2023
2022
2021 |
$11,901
$17,781
$11,166 |
Limited
Duration Fund |
2023
2022
2021 |
$4,189
$24,131
$32,000 |
Macro
Opportunities Fund |
2023
2022
2021 |
$138,134
$163,118
$149,683 |
Market
Neutral Real Estate Fund |
2023
2022
2021 |
$12,396
$26,720
$129,517 |
Fund |
Year |
Fund
Total
Brokerage
Commissions
Paid |
Municipal
Income Fund |
2023
2022
2021 |
$4,522
$2,497
$1,623 |
Risk
Managed Real Estate Fund |
2023
2022
2021 |
$84,143
$221,522
$327,893 |
Small
Cap Value Fund |
2023
2022
2021 |
$6,158
$7,740
$5,873 |
SMid
Cap Value Fund |
2023
2022
2021 |
$237,362
$407,989
$363,101 |
StylePlus—Large
Core Fund |
2023
2022
2021 |
$20,579
$22,069
$12,414 |
StylePlus—Mid
Growth Fund |
2023
2022
2021 |
$12,244
$13,048
$8,355 |
Total
Return Bond Fund |
2023
2022
2021 |
$38,109
$207,544
$115,466 |
Ultra
Short Duration Fund |
2023
2022
2021 |
$0
$1,812
$12,801 |
World
Equity Income Fund |
2023
2022
2021 |
$51,518
$54,559
$64,161 |
Fund |
Issuer/Regular
Broker-Dealer |
Aggregate
Amount of Securities
Owned |
High
Yield Fund |
Citigroup,
Inc. |
$756,092 |
Goldman
Sachs Group, Inc. |
$469,470 | |
Core
Bond Fund |
Bank of
America Corp. |
$3,027,367 |
Jefferies
Financial Group, Inc. |
$3,094,096 | |
JPMorgan
Chase & Co. |
$6,205,578 | |
Mizuho
Financial Group, Inc. |
$2,064,835 | |
Wells Fargo
& Co. |
$2,838,382 | |
Large
Cap Value Fund |
Bank of
America Corp. |
$726,446 |
Goldman
Sachs Group, Inc. |
$342,661 | |
Jefferies
Financial Group, Inc. |
$446,080 | |
JPMorgan
Chase & Co. |
$845,177 | |
Wells Fargo
& Co. |
$295,867 | |
Limited
Duration Fund |
JPMorgan
Chase & Co. |
$13,141,295 |
Morgan
Stanley |
$329,179 | |
Wells Fargo
& Co. |
$10,567,514 | |
Macro
Opportunities Fund |
Bank of
America Corp. |
$17,164,090 |
Citigroup,
Inc. |
$38,929,979 | |
Goldman
Sachs Group, Inc. |
$16,767,520 | |
JPMorgan
Chase & Co. |
$16,149,519 | |
Mizuho
Financial Group, Inc. |
$9,685,057 | |
Wells Fargo
& Co. |
$22,488,719 | |
SMid
Cap Value Fund |
Jefferies
Financial Group, Inc. |
$4,497,615 |
StylePlus—Large
Core Fund |
Goldman
Sachs Group, Inc. |
$584,044 |
JPMorgan
Chase & Co. |
$203,318 | |
Total
Return Bond Fund |
Bank of
America Corp. |
$60,256,967 |
Citigroup,
Inc. |
$51,943,514 | |
Goldman
Sachs Group, Inc. |
$34,699,968 | |
Jefferies
Financial Group, Inc. |
$54,777,911 | |
JPMorgan
Chase & Co. |
$74,139,163 | |
Mizuho
Financial Group, Inc. |
$32,047,783 | |
Morgan
Stanley |
$917,715 | |
Wells Fargo
& Co. |
$48,237,894 | |
Ultra
Short Duration Fund |
Citigroup,
Inc. |
$2,539,724 |
Goldman
Sachs Group, Inc. |
$2,591,108 | |
Morgan
Stanley |
$2,402,390 | |
World
Equity Income Fund |
Citigroup,
Inc. |
$344,258 |
Goldman
Sachs Group, Inc. |
$355,927 |