|
| |||
|
Retirement
Class |
Institutional
Class |
Administrative
Class |
Investor
Class |
Harbor
Capital Appreciation Fund |
HNACX |
HACAX |
HRCAX |
HCAIX |
Harbor
Convertible Securities Fund |
HNCVX |
HACSX |
HRCSX |
HICSX |
Harbor
Core Bond Fund |
HCBRX |
HACBX |
-- |
-- |
Harbor
Core Plus Fund |
HBFRX |
HABDX |
HRBDX |
-- |
Harbor
Disruptive Innovation Fund |
HNMGX |
HAMGX |
HRMGX |
HIMGX |
Harbor
Diversified International All Cap Fund |
HNIDX |
HAIDX |
HRIDX |
HIIDX |
Harbor
Global Leaders Fund |
HNGIX |
HGGAX |
HRGAX |
HGGIX |
Harbor
International Fund |
HNINX |
HAINX |
HRINX |
HIINX |
Harbor
International Core Fund (formerly, Harbor Overseas
Fund) |
HAORX |
HAOSX |
HAOAX |
HAONX |
Harbor
International Growth Fund |
HNGFX |
HAIGX |
HRIGX |
HIIGX |
Harbor
International Small Cap Fund |
HNISX |
HAISX |
HRISX |
HIISX |
Harbor
Large Cap Value Fund |
HNLVX |
HAVLX |
HRLVX |
HILVX |
Harbor
Mid Cap Fund |
HMCRX |
HMCLX |
HMCDX |
HMCNX |
Harbor
Mid Cap Value Fund |
HNMVX |
HAMVX |
HRMVX |
HIMVX |
Harbor
Small Cap Growth Fund |
HNSGX |
HASGX |
HRSGX |
HISGX |
Harbor
Small Cap Value Fund |
HNVRX |
HASCX |
HSVRX |
HISVX |
1 | |
2 | |
5 | |
5 | |
7 | |
7 | |
7 | |
8 | |
8 | |
8 | |
9 | |
9 | |
15 | |
16 | |
16 | |
16 | |
18 | |
21 | |
22 | |
22 | |
23 | |
24 | |
24 | |
24 | |
25 | |
26 | |
28 | |
29 | |
30 | |
30 | |
30 | |
31 | |
31 | |
31 | |
32 | |
32 | |
32 | |
33 | |
33 | |
33 | |
34 | |
36 | |
36 | |
37 | |
37 | |
38 | |
38 | |
39 | |
40 | |
49 | |
54 | |
72 | |
75 | |
76 | |
77 | |
80 | |
82 | |
83 | |
87 | |
89 | |
95 | |
103 | |
104 | |
105 |
✓
Applicable |
Harbor
Capital
Appreciation
Fund |
Harbor
Convertible
Securities
Fund |
Harbor
Core
Bond
Fund |
Harbor
Core
Plus
Fund |
Harbor
Disruptive
Innovation
Fund |
Harbor
Diversified
International
All
Cap
Fund |
Asset-Backed
Securities |
|
|
✓ |
✓ |
|
|
Below
Investment-Grade Fixed Income Securities |
|
✓ |
|
|
|
|
Borrowing |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Cash
Equivalents |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Collateralized
Debt Obligations |
|
|
✓ |
✓ |
|
|
Common
Stocks |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Convertible
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Cybersecurity
Risks |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Delayed
Funding and Revolving Credit Facilities |
|
✓ |
✓ |
✓ |
|
|
Derivative
Instruments |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Duration |
|
✓ |
✓ |
✓ |
|
|
Event-Linked
Exposure |
|
✓ |
|
|
|
|
Fixed
Income Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Foreign
Currency Transactions |
✓ |
✓ |
|
✓ |
✓ |
✓ |
Foreign
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Forward
Commitments and When-Issued Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Illiquid
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Inflation-Indexed
Bonds |
|
|
✓ |
✓ |
|
|
Interfund
Lending |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Investments
in Other Investment Companies |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Liquidation
of Funds |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Loan
Originations, Participations and Assignments |
|
✓ |
✓ |
✓ |
|
|
Mortgate
“Dollar Roll” Transactions |
|
|
✓ |
✓ |
|
|
Mortgage-Backed
Securities |
|
|
✓ |
✓ |
|
|
Municipal
Bonds |
|
|
✓ |
✓ |
|
|
Partnership
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Preferred
Stocks |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Real
Estate Investment Trusts |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Regulatory
Risk and Other Market Events |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Repurchase
Agreements |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Restricted
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Reverse
Repurchase Agreements |
|
✓ |
|
|
|
|
Rights
and Warrants |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Securities
Lending |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Short
Sales |
✓ |
✓ |
✓ |
✓ |
✓ |
|
Small
to Mid Companies |
✓ |
✓ |
|
|
✓ |
✓ |
Sovereign
Debt Obligation |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Special
Purpose Acquisition Companies |
|
|
|
|
✓ |
|
Structured
Products |
|
|
✓ |
✓ |
|
|
Trust-Preferred
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
U.S.
Government Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Variable
and Floating Rate Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Variable
Interest Entities |
|
|
|
|
|
✓ |
✓
Applicable |
Harbor
Global
Leaders
Fund |
Harbor
International
Fund |
Harbor
International
Core
Fund
(formerly,
Harbor
Overseas
Fund) |
Harbor
International
Growth
Fund |
Harbor
International
Small
Cap
Fund |
Harbor
Large
Cap
Value
Fund |
Asset-Backed
Securities |
|
|
|
|
|
|
Below
Investment-Grade Fixed Income Securities |
|
|
|
|
|
|
Borrowing |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Cash
Equivalents |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Collateralized
Debt Obligations |
|
|
|
|
|
|
Common
Stocks |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Convertible
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Cybersecurity
Risks |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Delayed
Funding and Revolving Credit Facilities |
|
|
|
|
|
|
Derivative
Instruments |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Duration |
|
|
|
|
|
|
Event-Linked
Exposure |
|
|
|
|
|
|
Fixed
Income Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Foreign
Currency Transactions |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Foreign
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Forward
Commitments and When-Issued Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Illiquid
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Inflation-Indexed
Bonds |
|
|
|
|
|
|
Interfund
Lending |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Investments
in Other Investment Companies |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Liquidation
of Funds |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Loan
Originations, Participations and Assignments |
|
|
|
|
|
|
Mortgate
“Dollar Roll” Transactions |
|
|
|
|
|
|
Mortgage-Backed
Securities |
|
|
|
|
|
|
Municipal
Bonds |
|
|
|
|
|
|
Partnership
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Preferred
Stocks |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Real
Estate Investment Trusts |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Regulatory
Risk and Other Market Events |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Repurchase
Agreements |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Restricted
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Reverse
Repurchase Agreements |
|
|
|
|
|
|
Rights
and Warrants |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Securities
Lending |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Short
Sales |
✓ |
|
✓ |
|
✓ |
✓ |
Small
to Mid Companies |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Sovereign
Debt Obligation |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Special
Purpose Acquisition Companies |
|
|
|
|
|
|
Structured
Products |
|
|
|
|
|
|
Trust-Preferred
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
U.S.
Government Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Variable
and Floating Rate Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Variable
Interest Entities |
✓ |
✓ |
✓ |
✓ |
✓ |
|
✓
Applicable |
Harbor
Mid
Cap
Fund |
Harbor
Mid
Cap
Value
Fund |
Harbor
Small
Cap
Growth
Fund |
Harbor
Small
Cap
Value
Fund |
Asset-Backed
Securities |
|
|
|
|
Below
Investment-Grade Fixed Income Securities |
|
|
|
|
Borrowing |
✓ |
✓ |
✓ |
✓ |
Cash
Equivalents |
✓ |
✓ |
✓ |
✓ |
Collateralized
Debt Obligations |
|
|
|
|
Common
Stocks |
✓ |
✓ |
✓ |
✓ |
Convertible
Securities |
✓ |
✓ |
✓ |
✓ |
Cybersecurity
Risks |
✓ |
✓ |
✓ |
✓ |
Delayed
Funding and Revolving Credit Facilities |
|
|
|
|
Derivative
Instruments |
✓ |
✓ |
✓ |
✓ |
Duration |
|
|
|
|
Event-Linked
Exposure |
|
|
|
|
Fixed
Income Securities |
✓ |
✓ |
✓ |
✓ |
Foreign
Currency Transactions |
✓ |
✓ |
✓ |
✓ |
Foreign
Securities |
✓ |
✓ |
✓ |
✓ |
Forward
Commitments and When-Issued Securities |
✓ |
✓ |
✓ |
✓ |
Illiquid
Securities |
✓ |
✓ |
✓ |
✓ |
Inflation-Indexed
Bonds |
|
|
|
|
Interfund
Lending |
✓ |
✓ |
✓ |
✓ |
Investments
in Other Investment Companies |
✓ |
✓ |
✓ |
✓ |
Liquidation
of Funds |
✓ |
✓ |
✓ |
✓ |
Loan
Originations, Participations and Assignments |
|
|
|
|
Mortgate
“Dollar Roll” Transactions |
|
|
|
|
Mortgage-Backed
Securities |
|
|
|
|
Municipal
Bonds |
|
|
|
|
Partnership
Securities |
✓ |
✓ |
✓ |
✓ |
Preferred
Stocks |
✓ |
✓ |
✓ |
✓ |
Real
Estate Investment Trusts |
✓ |
✓ |
✓ |
✓ |
Regulatory
Risk and Other Market Events |
✓ |
✓ |
✓ |
✓ |
Repurchase
Agreements |
✓ |
✓ |
✓ |
✓ |
Restricted
Securities |
✓ |
✓ |
✓ |
✓ |
Reverse
Repurchase Agreements |
|
|
|
|
Rights
and Warrants |
✓ |
✓ |
✓ |
✓ |
Securities
Lending |
✓ |
✓ |
✓ |
✓ |
Short
Sales |
✓ |
✓ |
✓ |
✓ |
Small
to Mid Companies |
✓ |
✓ |
✓ |
✓ |
Sovereign
Debt Obligation |
✓ |
✓ |
✓ |
✓ |
Special
Purpose Acquisition Companies |
|
|
|
|
Structured
Products |
|
|
|
|
Trust-Preferred
Securities |
✓ |
✓ |
✓ |
✓ |
U.S.
Government Securities |
✓ |
✓ |
✓ |
✓ |
Variable
and Floating Rate Securities |
✓ |
✓ |
✓ |
✓ |
Variable
Interest Entities |
|
|
|
|
Name
(Age)
Position(s)
with Fund |
Term
of
Office
and
Length
of
Time
Served1
|
Principal
Occupation(s)
During
Past Five Years |
Number
of
Portfolios
In
Fund
Complex
Overseen
By
Trustee |
Other
Directorships
Of
Public Companies
and
Other Registered
Investment
Companies
Held
by Trustee During
Past
Five Years |
INDEPENDENT
TRUSTEES | ||||
Scott
M. Amero (59)
Trustee |
Since
2014 |
Chairman
(2015-2020) and Trustee (2011-Present), Rare (conservation
nonprofit);
Trustee, Root Capital (2022-Present); Trustee, The Nature
Conservancy,
Massachusetts Chapter (2018-Present); Trustee, Adventure
Scientists
(conservation nonprofit) (2020-Present); Vice Chairman and Global
Chief
Investment Officer, Fixed Income (2010), Vice Chairman and Global
Chief
Investment Officer, Fixed Income, and Co-Head, Fixed Income Portfolio
Management
(2007-2010), BlackRock, Inc. (publicly traded investment
management
firm). |
27 |
None |
Donna
J. Dean (71)
Trustee |
Since
2010 |
Chief
Investment Officer of the Rockefeller Foundation (a private foundation)
(2001-2019). |
27 |
None |
Robert
Kasdin (64)
Trustee |
Since
2014 |
Senior
Vice President and Chief Operating Officer (2015-2022) and Chief
Financial
Officer (2018-2022), Johns Hopkins Medicine; Trustee and Member
of
the Finance Committee, National September 11 Memorial & Museum at
the
World Trade Center (2005-2019); Director, Apollo Commercial Real Estate
Finance,
Inc. (2014-Present); and Director, The Y in Central Maryland
(2018-2022). |
27 |
Director
of Apollo
Commercial
Real Estate
Finance,
Inc. (2014-
Present). |
Kathryn
L. Quirk (70)
Trustee |
Since
2017 |
Member,
Board of Directors and Co-Chair, Governance Committee, Just
World
International Inc. (nonprofit) (2020 – Present); Vice President, Senior
Compliance
Officer and Head, U.S. Regulatory Compliance, Goldman Sachs
Asset
Management (2013-2017); Deputy Chief Legal Officer, Asset
Management,
and Vice President and Corporate Counsel, Prudential
Insurance
Company of America (2010-2012); Co-Chief Legal Officer, Prudential
Investment
Management, Inc., and Chief Legal Officer, Prudential Investments
and
Prudential Mutual Funds (2008-2012); Vice President and Corporate
Counsel
and Chief Legal Officer, Mutual Funds, Prudential Insurance Company
of
America, and Chief Legal Officer, Prudential Investments (2005-2008); Vice
President
and Corporate Counsel and Chief Legal Officer, Mutual Funds,
Prudential
Insurance Company of America (2004-2005); Member, Management
Committee
(2000-2002), General Counsel and Chief Compliance Officer, Zurich
Scudder
Investments, Inc. (1997-2002). |
27 |
None |
Douglas
J. Skinner (61)
Trustee |
Since
2020 |
Professor
of Accounting (2005-Present), Deputy Dean for Faculty (2015-2016,
2017-Present),
Interim Dean (2016-2017), University of Chicago Booth School
of
Business. |
27 |
None |
Ann
M. Spruill (69)
Trustee |
Since
2014 |
Partner
(1993-2008), member of Executive Committee (1996-2008), Member
Board
of Directors (2002-2008), Grantham, Mayo, Van Otterloo & Co, LLC
(private
investment management firm) (with the firm since 1990); Member
Investment
Committee and Chair of Global Public Equities, Museum of Fine
Arts,
Boston (2000-2020); and Trustee, Financial Accounting Foundation
(2014-2020). |
27 |
None |
Landis
Zimmerman (64)
Trustee |
Since
2022 |
Independent,
non-fiduciary advisor, Gore Creek Asset Management (2006-
Present);
Member, Japan Science and Technology Agency Investment
Advisory
Committee (2021-Present); Chief Investment Officer of the Howard
Hughes
Medical Institute (2004-2021). |
27 |
None
|
Name
(Age)
Position(s)
with Fund |
Term
of
Office
and
Length
of
Time
Served1 |
Principal
Occupation(s)
During
Past Five Years |
Number
of
Portfolios
In
Fund
Complex
Overseen
By
Trustee |
Other
Directorships
Of
Public Companies
and
Other Registered
Investment
Companies
Held
by Trustee During
Past
Five Years |
INTERESTED
TRUSTEE | ||||
Charles
F. McCain (53)*
Chairman,
Trustee
and
President |
Since
2017 |
Chief
Executive Officer (2017-Present), Director (2007-Present), President
and
Chief Operating Officer (2017), Executive Vice President and General
Counsel
(2004-2017), and Chief Compliance Officer (2004-2014), Harbor Capital
Advisors,
Inc.; Director and Chairperson (2019-Present), Harbor Trust
Company,
Inc.; Director (2007-Present) and Chief Compliance Officer
(2004-2017),
Harbor Services Group, Inc.; Chief Executive Officer (2017-
Present),
Director (2007-Present), Chief Compliance Officer and Executive
Vice
President (2007-2017), Harbor Funds Distributors, Inc.; Chief Compliance
Officer,
Harbor Funds (2004-2017); and Chairman, President and Trustee,
Harbor
ETF Trust (2021-Present). |
27 |
None |
Name
(Age)
Position(s)
with Fund |
Term
of
Office
and
Length
of
Time
Served1
|
Principal
Occupation(s)
During
Past Five Years |
FUND
OFFICERS NOT LISTED ABOVE**
| ||
Erik
D. Ojala (48)
Chief
Compliance Officer |
Since
2017 |
Executive
Vice President and General Counsel (2017-Present), Secretary
(2010-Present) and Chief Compliance Officer
(2022-2023);
Senior Vice President and Associate General Counsel (2007-2017), Harbor
Capital Advisors, Inc.; Director
and
Secretary (2019-Present) and Chief Compliance Officer (2022-2023), Harbor
Trust Company, Inc.; Director, Executive
Vice
President (2017-Present) and Chief Compliance Officer (2017-2021,
2022-Present), Harbor Funds Distributors, Inc.;
Director
(2017-Present), Assistant Secretary (2014-Present) and Chief Compliance
Officer (2022-2023), Harbor Services
Group,
Inc.; AML Compliance Officer (2010-2017) and Vice President and Secretary
(2007-2017), Harbor Funds; and
Chief
Compliance Officer, Harbor ETF Trust
(2021-Present). |
Richard
C. Sarhaddi (49)
Vice
President |
Since
2023 |
Senior
Vice President and Chief Compliance Officer (2023 – Present), Harbor
Capital Advisors, Inc., Harbor Services
Group,
Inc. and Harbor Trust Company, Inc.; Vice President, Harbor Funds
(2023-Present); Vice President, Harbor ETF
Trust
(2023-Present); Chief Compliance Officer (2022-2023), Vanguard
Personalized Indexing Management, LLC; Head
of
U.S. Direct Investor Advice Compliance, (2018 – 2023), The Vanguard Group,
Inc.; Director & Lead Counsel, Digital
Services
/ Intelligent Portfolios (2015 – 2018), Charles Schwab & Co.,
Inc. |
Kristof
M. Gleich (43)
Vice
President |
Since
2019 |
President
(2018-Present) and Chief Investment Officer (2020), Harbor Capital
Advisors, Inc.; Director, Vice Chairperson,
President
(2019-Present) and Chief Investment Officer (2020-Present), Harbor Trust
Company, Inc.; Vice President,
Harbor
Funds (2019-Present); Vice President, Harbor ETF Trust (2021-Present); and
Managing Director, Global Head
of
Manager Selection (2010-2018), JP Morgan Chase &
Co. |
Gregg
M. Boland (59)
Vice
President and AML
Compliance
Officer |
Since
2022 |
Executive
Vice President (2020-Present), Vice President (2019-2020), Harbor Capital
Advisors, Inc.; President (2019-Present),
Senior
Vice President – Operations (2016-2019), and Vice President – Operations
(2007-2015), Harbor Services Group,
Inc.;
Senior Vice President, AML Compliance Officer, and OFAC Officer
(2019-Present), Harbor Funds Distributors,
Inc.;
Vice President, Harbor Funds (2019-Present) and Vice President, Harbor ETF
Trust (2021-Present). |
Diana
R. Podgorny (43)
Secretary |
Since
2018 |
Senior
Vice President and Deputy General Counsel (2022-Present), Senior Vice
President and Assistant General Counsel
(2020-2022),
and Vice President and Assistant General Counsel (2017-2020), Harbor
Capital Advisors, Inc.; Director
and
Vice President (2020-Present), Harbor Trust Company, Inc.; Secretary,
Harbor Funds (2018-Present); and Secretary,
Harbor
ETF Trust (2021-Present). |
Lana
M. Lewandowski (43)
Assistant
Secretary |
Since
2017 |
Vice
President and Compliance Director (2022-Present), Legal & Compliance
Manager (2016-2022) and Legal Specialist
(2012-2015),
Harbor Capital Advisors, Inc.; AML Compliance Officer (2017-2022) and
Assistant Secretary (2017-Present),
Harbor
Funds; and AML Compliance Officer (2021-2022) and Assistant Secretary
(2021-Present), Harbor ETF Trust. |
John
M. Paral (54)
Treasurer |
Since
2022 |
Senior
Vice President – Fund Administration and Analysis (2022-Present), Director
of Fund Administration and Analysis
(2017-2022),
Vice President (2012-2022) and Financial Reporting Manager (2007-2017),
Harbor Capital Advisors, Inc.;
Treasurer
(2022-Present) and Assistant Treasurer (2013-2022), Harbor Funds; and
Treasurer (2022-Present) and Assistant
Treasurer
(2021-2022), Harbor ETF Trust. |
Lora
A. Kmieciak (58)
Vice
President |
Since
2022 |
Executive
Vice President and Chief Financial Officer (2022-Present), Senior Vice
President – Fund Administration and
Analysis
(2017-2022) and Senior Vice President - Business Analysis (2015-2017),
Harbor Capital Advisors, Inc.; Vice
President
(2020 – 2022) and Director (2022-Present), Harbor Trust Company, Inc.;
Assistant Treasurer (2017-2022) and
Vice
President (2022-Present), Harbor Funds; and Assistant Treasurer
(2021-2022) and Vice President (2022-Present),
Harbor
ETF Trust. |
Diane
J. Johnson (57)
Vice
President |
Since
2022 |
Vice
President (2022-Present) and Tax Director (2009-Present), Harbor Capital
Advisors, Inc.; Vice President (2022-Present),
Harbor
Funds; and Vice President (2022-Present), Harbor ETF
Trust. |
1
|
Each
Trustee serves for an indefinite term, until his or her successor is
elected. Each Officer is elected annually. |
* |
Mr.
McCain is deemed an “Interested Trustee” due to his affiliation with the
Advisor and Distributor of Harbor Funds. |
** |
Officers
of the Funds are “interested persons” as defined in the Investment Company
Act. |
Name
of Person, Position |
Aggregate
Compensation
From
Harbor Funds |
Pension
or
Retirement
Benefits
Accrued
As
Part of Fund
Expenses |
Total
Compensation
From
Fund Complex Paid to Trustees* |
Charles
F. McCain, Chairman, President
and
Trustee |
-0- |
-0- |
-0- |
Scott
M. Amero, Trustee |
$270,000 |
-0- |
$300,000 |
Donna
J. Dean, Trustee |
$270,000 |
-0- |
$300,000 |
Robert
Kasdin, Trustee1 |
$270,000 |
-0- |
$300,000 |
Kathryn
L. Quirk, Trustee1,2 |
$315,000 |
-0- |
$350,000 |
Douglas
J. Skinner, Trustee3 |
$292,500 |
-0- |
$325,000 |
Ann M.
Spruill, Trustee1 |
$270,000 |
-0- |
$300,000 |
Landis
Zimmerman, Trustee4 |
$90,000 |
-0- |
$100,000 |
Name
of Trustee |
Dollar
Range of Ownership in Each Fund |
Aggregate
Dollar Range of
Ownership
in Harbor Funds | |
Independent
Trustees | |||
Scott
M. Amero |
Harbor
Diversified International All Cap Fund |
Over
$100,000 |
Over
$100,000 |
|
Harbor
Core Bond Fund |
$50,001-$100,000 |
|
|
Harbor
Small Cap Growth Fund |
Over
$100,000 |
|
Donna
J. Dean |
Harbor
Capital Appreciation Fund |
$50,001-$100,000 |
Over
$100,000 |
|
Harbor
Core Plus Fund |
Over
$100,000 |
|
|
Harbor
Convertible Securities Fund |
Over
$100,000 |
|
|
Harbor
Disruptive Innovation Fund |
$10,001-$50,000 |
|
|
Harbor
International Core Fund |
$10,001-$50,000 |
|
|
Harbor
International Growth Fund |
$10,001-$50,000 |
|
|
Harbor
Large Cap Value Fund |
Over
$100,000 |
|
|
Harbor
Mid Cap Fund |
$10,001-$50,000 |
|
|
Harbor
Small Cap Growth Fund |
$10,001-$50,000 |
|
|
Harbor
Small Cap Value Fund |
$10,001-$50,000 |
|
Robert
Kasdin1
|
Harbor
Global Leaders Fund |
Over
$100,000 |
Over
$100,000 |
|
Harbor
International Core Fund |
Over
$100,000 |
|
|
Harbor
Large Cap Value Fund |
Over
$100,000 |
|
|
Harbor
Small Cap Value Fund |
Over
$100,000 |
|
Kathryn
L. Quirk1 |
Harbor
Capital Appreciation Fund |
$50,001-$100,000 |
Over
$100,000 |
|
Harbor
Core Bond Fund |
$10,001-$50,000 |
|
|
Harbor
Core Plus Fund |
Over
$100,000 |
|
|
Harbor
Disruptive Innovation Fund |
$50,001-$100,000 |
|
|
Harbor
Diversified International All Cap Fund |
$50,001-$100,000 |
|
|
Harbor
Global Leaders Fund |
$10,001-$50,000 |
|
|
Harbor
International Growth Fund |
$50,001-$100,000 |
|
|
Harbor
Large Cap Value Fund |
Over
$100,000 |
|
|
Harbor
Mid Cap Fund |
$10,001-$50,000 |
|
|
Harbor
Mid Cap Value Fund |
$50,001-$100,000 |
|
|
Harbor
Small Cap Growth Fund |
$50,001-$100,000 |
|
Douglas
J. Skinner |
Harbor
Capital Appreciation Fund |
$50,001-$100,000 |
Over
$100,000 |
|
Harbor
Core Bond Fund |
Over
$100,000 |
|
|
Harbor
Mid Cap Value Fund |
Over
$100,000 |
|
|
Harbor
Small Cap Value Fund |
Over
$100,000 |
|
Ann M.
Spruill1
|
Harbor
Capital Appreciation Fund |
Over
$100,000 |
Over
$100,000 |
|
Harbor
Core Bond Fund |
Over
$100,000 |
|
|
Harbor
Diversified International All Cap Fund |
$50,001-$100,000 |
|
|
Harbor
Global Leaders Fund |
$50,001-$100,000 |
|
|
Harbor
International Fund |
Over
$100,000 |
|
|
Harbor
International Growth Fund |
Over
$100,000 |
|
|
Harbor
International Small Cap Fund |
Over
$100,000 |
|
Landis
Zimmerman |
Harbor
Core Bond Fund |
$10,001-$50,000 |
$50,001-$100,000
|
Name
of Trustee |
Dollar
Range of Ownership in Each Fund |
Aggregate
Dollar Range of
Ownership
in Harbor Funds | |
Interested
Trustee | |||
Charles
F. McCain2
|
Harbor
Capital Appreciation Fund |
Over
$100,000 |
Over
$100,000 |
|
Harbor
Core Bond Fund |
Over
$100,000 |
|
|
Harbor
Core Plus Fund |
Over
$100,000 |
|
|
Harbor
Convertible Securities Fund |
Over
$100,000 |
|
|
Harbor
Disruptive Innovation Fund |
Over
$100,000 |
|
|
Harbor
Diversified International All Cap Fund |
Over
$100,000 |
|
|
Harbor
Global Leaders Fund |
Over
$100,000 |
|
|
Harbor
International Fund |
Over
$100,000 |
|
|
Harbor
International Core Fund |
Over
$100,000 |
|
|
Harbor
International Growth Fund |
Over
$100,000 |
|
|
Harbor
International Small Cap Fund |
Over
$100,000 |
|
|
Harbor
Large Cap Value Fund |
Over
$100,000 |
|
|
Harbor
Mid Cap Fund |
Over
$100,000 |
|
|
Harbor
Mid Cap Value Fund |
Over
$100,000 |
|
|
Harbor
Small Cap Growth Fund |
Over
$100,000 |
|
|
Harbor
Small Cap Value Fund |
Over
$100,000 |
|
|
Contractual
Advisory
Fee
Annual
Rate
Based
on Average
Net
Assets |
Advisory
Fee Paid for Year Ended October 31
(000s) | ||
2022 |
2021 |
2020 | ||
HARBOR
FUNDS | ||||
Harbor
Capital Appreciation Fund |
0.60% |
$178,346 |
$244,596 |
$201,730 |
(Reduction
due to fee waiver) |
|
(14,807) |
(22,536) |
(17,535) |
Harbor
Convertible Securities Fund |
0.50 |
1,163 |
1,201 |
941 |
(Reduction
due to fee waiver) |
|
(89) |
(92) |
(72) |
Harbor
Core Bond Fund |
0.23 |
210 |
432 |
341 |
Harbor
Core Plus Fund |
0.25 |
3,998 |
8,314 |
9,619 |
(Reduction
due to fee waiver) |
|
(65) |
(366) |
(502) |
Harbor
Disruptive Innovation Fund |
0.70 |
1,289 |
3,309 |
2,084 |
(Reduction
due to fee waiver) |
|
N/A |
(115) |
(83) |
Harbor
Diversified International All Cap Fund |
0.75 |
7,439 |
8,399 |
5,921 |
(Reduction
due to fee waiver) |
|
N/A |
(108) |
(536) |
Harbor
Global Leaders Fund |
0.75 |
700 |
1,035 |
873 |
(Reduction
due to fee waiver) |
|
(47) |
(69) |
(58) |
Harbor
International Fund |
0.75 |
28,074 |
35,369 |
35,092 |
Harbor
International Core Fund (formerly, Harbor
Overseas
Fund) |
0.75 |
492 |
322 |
198 |
Harbor
International Growth Fund |
0.75 |
4,264 |
6,560 |
4,726 |
Harbor
International Small Cap Fund |
0.85 |
622 |
421 |
304 |
Harbor
Large Cap Value Fund |
0.60/0.55a |
13,825 |
13,313 |
8,138 |
Harbor
Mid Cap Fund |
0.75 |
463 |
330 |
68 |
Harbor
Mid Cap Value Fund |
0.75 |
2,904 |
3,286 |
3,524 |
(Reduction
due to fee waiver) |
|
(23) |
(44) |
(60) |
Harbor
Small Cap Growth Fund |
0.75 |
7,103 |
8,711 |
6,305 |
Harbor
Small Cap Value Fund |
0.75 |
17,143 |
18,901 |
11,906 |
|
|
|
|
|
|
Fee
Paid by the Advisor to Subadvisor
For
Year Ended October 31
(000s) | ||
|
2022 |
2021 |
2020 |
HARBOR
FUNDS | |||
Harbor
Capital Appreciation Fund |
$63,407 |
$86,654 |
$71,799 |
Harbor
Convertible Securities Fund |
|
|
|
BlueCove
Limited1 |
N/A |
N/A |
N/A |
Shenkman
Capital Management, Inc. |
716 |
739 |
579 |
Harbor
Core Bond Fund |
124 |
216 |
170 |
Harbor
Core Plus Fund2 |
|
|
|
Income
Research + Management for the period February 2, 2022 to October 31,
2022 |
1,225 |
N/A |
N/A |
Pacific
Investment Management Company LLC for the period November 1, 2020 to
February
1, 2022 |
898 |
3,962 |
4,510 |
Harbor
Disruptive Innovation Fund3
|
|
|
|
4BIO
Partners LLP for the period September 1, 2021 to October 31,
2022 |
79 |
31 |
N/A |
NZS
Capital LLC for the period September 1, 2021 to October 31,
2022 |
276 |
66 |
N/A |
Sands
Capital Management, LLC for the period September 1, 2021 to October 31,
2022 |
115 |
47 |
N/A |
Tekne
Capital Management, LLC for the period September 1, 2021 to October 31,
2022 |
128 |
62 |
N/A |
Wellington
Management Company, LLP for the period November 1, 2020 to
August
31, 2021 |
N/A |
1,563 |
1,144 |
Westfield
Capital Management Co for the period September 1, 2021 to October 31,
2022 |
219 |
67 |
N/A |
Harbor
Diversified International All Cap Fund |
4,213 |
4,647 |
3,302 |
Harbor
Global Leaders Fund |
374 |
552 |
466 |
Harbor
International Fund |
15,897 |
19,572 |
19,546 |
Harbor
International Core Fund (formerly, Harbor Overseas
Fund) |
295 |
193 |
119 |
Harbor
International Growth Fund |
2,208 |
3,120 |
2,379 |
Harbor
International Small Cap Fund |
365 |
248 |
179 |
Harbor
Large Cap Value Fund |
4,866 |
4,688 |
2,961 |
Harbor
Mid Cap Fund |
277 |
198 |
41 |
Harbor
Mid Cap Value Fund |
1,480 |
1,658 |
1,771 |
Harbor
Small Cap Growth Fund |
4,157 |
5,011 |
3,729 |
Harbor
Small Cap Value Fund |
8,263 |
9,068 |
6,219 |
|
Other
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) | |
HARBOR
CAPITAL APPRECIATION FUND | ||||||
Kathleen
A. McCarragher |
|
|
|
|
|
|
All
Accounts |
20 |
$29,693 |
9 |
$9,348 |
10* |
$1,375 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
9,493 |
0 |
0 |
0 |
0 |
Blair
A. Boyer |
|
|
|
|
|
|
All
Accounts |
16 |
28,331 |
8 |
9,047 |
25* |
6,338 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
9,493 |
0 |
0 |
0 |
0 |
Natasha
Kuhlkin, CFA |
|
|
|
|
|
|
All
Accounts |
16 |
16,738 |
11 |
9,308 |
29* |
2,241 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
0 |
0 |
0 |
0 |
0 |
HARBOR
CONVERTIBLE SECURITIES FUND | ||||||
Benjamin
Brodsky, CFA |
|
|
|
|
|
|
All
Accounts |
0 |
$— |
3 |
$952 |
1 |
$598 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
3 |
952 |
0 |
0 |
Michael
Harper, CFA |
|
|
|
|
|
|
All
Accounts |
0 |
— |
3 |
952 |
1 |
598 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
3 |
952 |
0 |
0 |
Benoy
Thomas, CFA |
|
|
|
|
|
|
All
Accounts |
0 |
— |
2 |
917 |
1 |
598 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
2 |
917 |
0 |
0 |
HARBOR
CORE BOND FUND | ||||||
William
A. O’Malley, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
$3,528 |
25 |
$13,220 |
690 |
$67,059 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
James
E. Gubitosi, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,528 |
25 |
13,220 |
690 |
67,059 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Bill
O’Neill, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,528 |
25 |
13,220 |
690 |
67,059 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Jake
Remley, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,528 |
25 |
13,220 |
690 |
67,059 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Matthew
Walker, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,528 |
25 |
13,220 |
690 |
67,059 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
—
|
|
Other
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) | |
HARBOR
CORE BOND FUND — Continued | ||||||
Rachel
Campbell |
|
|
|
|
|
|
All
Accounts |
6 |
$3,528 |
25 |
$13,220 |
690 |
$67,059 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
HARBOR
CORE PLUS FUND | ||||||
William
A. O’Malley, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
$3,528 |
25 |
$13,220 |
690 |
$67,059 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
James
E. Gubitosi, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,528 |
25 |
13,220 |
690 |
67,059 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Bill
O’Neill, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,528 |
25 |
13,220 |
690 |
67,059 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Jake
Remley, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,528 |
25 |
13,220 |
690 |
67,059 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Matthew
Walker, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,528 |
25 |
13,220 |
690 |
67,059 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Rachel
Campbell |
|
|
|
|
|
|
All
Accounts |
6 |
3,528 |
25 |
13,220 |
690 |
67,059 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
HARBOR
DISRUPTIVE INNOVATION FUND | ||||||
Spenser
P. Lerner, CFA |
|
|
|
|
|
|
All
Accounts |
1 |
$7 |
0 |
$— |
0 |
$— |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Kristof
Gleich, CFA |
|
|
|
|
|
|
All
Accounts |
1 |
7 |
0 |
— |
0 |
— |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
HARBOR
DIVERSIFIED INTERNATIONAL ALL CAP FUND | ||||||
Neil
M. Ostrer |
|
|
|
|
|
|
All
Accounts |
1 |
$2,858 |
11 |
$17,303 |
32 |
$17,001 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
0 |
11 |
17,303 |
3 |
671 |
Charles
Carter |
|
|
|
|
|
|
All
Accounts |
2 |
7,566 |
14 |
19,926 |
44 |
21,429 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
4,709 |
14 |
19,926 |
6 |
1,944 |
Nick
Longhurst |
|
|
|
|
|
|
All
Accounts |
1 |
2,858 |
10 |
16,817 |
32 |
17,001 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
0 |
10 |
16,817 |
3 |
671 |
William
J. Arah |
|
|
|
|
|
|
All
Accounts |
1 |
2,858 |
10 |
17,447 |
31 |
18,791 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
0 |
10 |
17,447 |
4 |
834
|
|
Other
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) | |
HARBOR
DIVERSIFIED INTERNATIONAL ALL CAP FUND —
Continued | ||||||
Simon
Somerville |
|
|
|
|
|
|
All
Accounts |
2 |
$7,566 |
14 |
$18,936 |
43 |
$23,219 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
4,709 |
14 |
18,936 |
7 |
2,106 |
Toma
Kobayashi |
|
|
|
|
|
|
All
Accounts |
2 |
6,226 |
7 |
11,018 |
30 |
13,343 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
0 |
7 |
11,018 |
4 |
2,358 |
Alex
Duffy |
|
|
|
|
|
|
All
Accounts |
2 |
7,566 |
14 |
20,183 |
41 |
20,612 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
4,709 |
14 |
20,183 |
6 |
1,944 |
Justin
Hill |
|
|
|
|
|
|
All
Accounts |
2 |
7,566 |
9 |
18,315 |
41 |
20,612 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
4,709 |
9 |
18,315 |
6 |
1,944 |
Robert
Anstey, CFA |
|
|
|
|
|
|
All
Accounts |
1 |
4,709 |
7 |
4,456 |
22 |
13,681 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
4,709 |
7 |
4,456 |
5 |
1,156 |
HARBOR
GLOBAL LEADERS FUND | ||||||
Sunil
H. Thakor, CFA |
|
|
|
|
|
|
All
Accounts |
1 |
$19.2 |
10 |
$2,961 |
12 |
$1,159 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
2 |
594 |
Michael
F. Raab, CFA |
|
|
|
|
|
|
All
Accounts |
0 |
— |
6 |
2,541 |
4 |
597 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
2 |
594 |
HARBOR
INTERNATIONAL FUND | ||||||
Neil
M. Ostrer |
|
|
|
|
|
|
All
Accounts |
1 |
$2,858 |
11 |
$17,303 |
32 |
$17,001 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
0 |
11 |
17,303 |
3 |
671 |
Charles
Carter |
|
|
|
|
|
|
All
Accounts |
2 |
7,566 |
14 |
19,926 |
44 |
21,429 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
4,709 |
14 |
19,926 |
6 |
1,944 |
Nick
Longhurst |
|
|
|
|
|
|
All
Accounts |
1 |
2,858 |
10 |
16,817 |
32 |
17,001 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
0 |
10 |
16,817 |
3 |
671 |
William
J. Arah |
|
|
|
|
|
|
All
Accounts |
1 |
2,858 |
10 |
17,447 |
31 |
18,791 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
0 |
10 |
17,447 |
4 |
834 |
Simon
Somerville |
|
|
|
|
|
|
All
Accounts |
2 |
7,566 |
14 |
18,936 |
43 |
23,219 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
4,709 |
14 |
18,936 |
7 |
2,106 |
Toma
Kobayashi |
|
|
|
|
|
|
All
Accounts |
2 |
3,722 |
7 |
11,018 |
30 |
13,343 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
- |
7 |
11,018 |
4 |
2,358
|
|
Other
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) | |
HARBOR
INTERNATIONAL FUND — Continued | ||||||
Alex
Duffy |
|
|
|
|
|
|
All
Accounts |
2 |
$7,566 |
14 |
$20,183 |
41 |
$20,612 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
4,709 |
14 |
20,183 |
6 |
1,944 |
Justin
Hill |
|
|
|
|
|
|
All
Accounts |
2 |
7,566 |
9 |
18,315 |
41 |
20,612 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
4,709 |
9 |
18,315 |
6 |
1,944 |
HARBOR
INTERNATIONAL CORE FUND (FORMERLY, HARBOR OVERSEAS FUND)
| ||||||
Brendan
O. Bradley, Ph.D. |
|
|
|
|
|
|
All
Accounts |
15 |
$7,492 |
85 |
$21,611 |
198 |
$51,978 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
14 |
1,697 |
22 |
7,761 |
Ryan
D. Taliaferro, Ph.D. |
|
|
|
|
|
|
All
Accounts |
15 |
7,492 |
85 |
21,611 |
198 |
51,978 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
14 |
1,697 |
22 |
7,761 |
HARBOR
INTERNATIONAL GROWTH FUND | ||||||
Iain
Campbell |
|
|
|
|
|
|
All
Accounts |
5 |
$3,872 |
4 |
$388 |
37 |
$7,940 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
2 |
301 |
Joe
Faraday, CFA |
|
|
|
|
|
|
All
Accounts |
5 |
3,872 |
3 |
244 |
35 |
7,879 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
2 |
301 |
Stephen
Paice |
|
|
|
|
|
|
All
Accounts |
5 |
3,872 |
7 |
1,661 |
37 |
8,042 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
2 |
301 |
Sophie
Earnshaw, CFA |
|
|
|
|
|
|
All
Accounts |
8 |
4,229 |
11 |
2,098 |
44 |
13,767 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
3 |
2,461 |
Milena
Mileva |
|
|
|
|
|
|
All
Accounts |
5 |
3,872 |
8 |
1,424 |
41 |
9,364 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
2 |
301 |
HARBOR
INTERNATIONAL SMALL CAP FUND | ||||||
Jonathan
P. Brodsky |
|
|
|
|
|
|
All
Accounts |
0 |
$— |
2 |
$180 |
2 |
$16 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Waldemar
A. Mozes |
|
|
|
|
|
|
All
Accounts |
0 |
— |
2 |
180 |
2 |
16 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
HARBOR
LARGE CAP VALUE FUND | ||||||
Howard
Gleicher, CFA |
|
|
|
|
|
|
All
Accounts |
11 |
$14,633 |
20 |
$9,354 |
1,367 |
$22,448 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
9,982 |
— |
— |
3 |
570
|
|
Other
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) | |
HARBOR
LARGE CAP VALUE FUND — Continued | ||||||
Gregory
D. Padilla, CFA |
|
|
|
|
|
|
All
Accounts |
9 |
$14,173 |
17 |
$8,767 |
1,362 |
$21,401 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
9,982 |
— |
— |
3 |
570 |
HARBOR
MID CAP FUND and HARBOR SMALL CAP VALUE FUND | ||||||
Paul
E. Viera |
|
|
|
|
|
|
All
Accounts |
3 |
$175 |
13 |
$4,842 |
6,071 |
$13,530 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
5 |
1,082 |
HARBOR
MID CAP VALUE FUND | ||||||
Josef
Lakonishok, Ph.D. |
|
|
|
|
|
|
All
Accounts |
34 |
$16,560 |
64 |
$20,505 |
321 |
$50,497 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0** |
— |
7*** |
1,550 |
68 |
11,240 |
Menno
Vermeulen, CFA |
|
|
|
|
|
|
All
Accounts |
34 |
16,560 |
64 |
20,505 |
321 |
50,497 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0** |
— |
7*** |
1,550 |
68 |
11,240 |
Puneet
Mansharamani, CFA |
|
|
|
|
|
|
All
Accounts |
34 |
16,560 |
64 |
20,505 |
321 |
50,497 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0** |
— |
7*** |
1,550 |
68 |
11,240 |
Greg
Sleight |
|
|
|
|
|
|
All
Accounts |
34 |
16,560 |
64 |
20,505 |
321 |
50,497 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0** |
— |
7*** |
1,550 |
68 |
11,240 |
Guy
Lakonishok, CFA |
|
|
|
|
|
|
All
Accounts |
34 |
16,560 |
64 |
20,505 |
321 |
50,497 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0** |
— |
7*** |
1,550 |
68 |
11,240 |
HARBOR
SMALL CAP GROWTH FUND | ||||||
William
A. Muggia |
|
|
|
|
|
|
All
Accounts |
8 |
$2,270 |
10 |
$1,388 |
269 |
$8,975 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
1 |
31 |
25 |
2,130 |
Richard
D. Lee, CFA |
|
|
|
|
|
|
All
Accounts |
7 |
22,129 |
7 |
1,337 |
219 |
8,058 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
22 |
1,668 |
Ethan
J. Meyers, CFA |
|
|
|
|
|
|
All
Accounts |
7 |
22,129 |
7 |
1,337 |
219 |
8,058 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
22 |
1,668 |
John
M. Montgomery |
|
|
|
|
|
|
All
Accounts |
7 |
22,129 |
7 |
1,337 |
219 |
8,058 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
22 |
1,668 |
|
Total
Paid to Distributor |
Retained
by Distributor1 |
Paid
to Intermediaries2 | |||
|
Administrative
Class
(000s) |
Investor
Class
(000s) |
Administrative
Class
(000s) |
Investor
Class
(000s) |
Administrative
Class
(000s) |
Investor
Class
(000s) |
HARBOR
FUNDS | ||||||
Harbor
Capital Appreciation Fund |
$673 |
$2,692 |
$8 |
$29 |
$665 |
$2,663 |
Harbor
Convertible Securities Fund |
— |
6 |
— |
1 |
— |
5 |
Harbor
Core Bond Fund |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Harbor
Core Plus Fund |
38 |
N/A |
2 |
N/A |
36 |
N/A |
Harbor
Disruptive Innovation Fund |
9 |
74 |
— |
1 |
9 |
73 |
Harbor
Diversified International All Cap
Fund. |
22 |
23 |
— |
— |
22 |
23 |
Harbor
Global Leaders Fund |
3 |
39 |
— |
2 |
3 |
37 |
Harbor
International Fund |
32 |
762 |
1 |
24 |
31 |
738 |
Harbor
International Core Fund (formerly,
Harbor
Overseas Fund) |
N/A |
2 |
N/A |
1 |
N/A |
1 |
Harbor
International Growth Fund |
1 |
24 |
— |
2 |
1 |
22 |
Harbor
International Small Cap Fund |
1 |
3 |
1 |
1 |
— |
2 |
Harbor
Large Cap Value Fund |
9 |
70 |
1 |
3 |
8 |
67 |
Harbor
Mid Cap Fund |
N/A |
2 |
N/A |
2 |
N/A |
— |
Harbor
Mid Cap Value Fund |
9 |
78 |
1 |
2 |
8 |
76 |
Harbor
Small Cap Growth Fund |
2 |
18 |
— |
1 |
2 |
17 |
Harbor
Small Cap Value Fund |
26 |
118 |
1 |
4 |
25 |
114 |
Share
Class |
Transfer
Agent Fees |
Retirement
Class |
0.02%
of the average daily net assets of all Retirement Class
shares |
Institutional
Class |
0.10%
of the average daily net assets of all Institutional Class
shares |
Administrative
Class |
0.10%
of the average daily net assets of all Administrative Class
shares |
Investor
Class |
0.21%
of the average daily net assets of all Investor Class
shares |
|
Total
Brokerage
Commissions
Paid To
Brokers
Who Provided
Research
Year Ended
10/31/2022
(000s) |
Total
Brokerage Commission
(000s) | ||
2022 |
2021 |
2020 | ||
Harbor
FUNDS | ||||
Harbor
Capital Appreciation Fund |
$2,623 |
$5,215 |
$7,925 |
$9,152 |
Harbor
Convertible Securities Fund1 |
— |
— |
— |
— |
Harbor
Core Bond Fund |
— |
— |
— |
— |
Harbor
Core Plus Fund |
— |
14 |
26 |
81 |
Harbor
Disruptive Innovation Fund |
— |
118 |
284 |
168 |
Harbor
Diversified International All Cap Fund |
201 |
208 |
494 |
186 |
Harbor
Global Leaders Fund |
2 |
21 |
29 |
49 |
Harbor
International Fund |
413 |
417 |
878 |
733 |
Harbor
International Core Fund (formerly, Harbor Overseas Fund)2 |
— |
45 |
26 |
11 |
Harbor
International Growth Fund |
— |
129 |
105 |
141 |
Harbor
International Small Cap Fund |
— |
101 |
54 |
39 |
Harbor
Large Cap Value Fund |
480 |
499 |
399 |
655 |
Harbor
Mid Cap Fund |
— |
28 |
15 |
6 |
Harbor
Mid Cap Value Fund |
— |
32 |
37 |
77 |
Harbor
Small Cap Growth Fund |
867 |
1,150 |
1,188 |
1,063 |
Harbor
Small Cap Value Fund |
— |
599 |
688 |
695 |
Fund |
Regular
Broker-Dealer (or Parent) |
Aggregate
Holdings
(000s) |
Harbor
Capital Appreciation Fund |
Goldman
Sachs Group Inc. |
$303,947 |
| ||
Harbor
Core Bond Fund |
Morgan
Stanley Co Incorporated |
2,555 |
|
J.P.
Morgan Securities LLC |
3,100 |
|
Goldman
Sachs & Co. LLC |
748 |
|
BofA
Securities, Inc. |
797 |
| ||
Harbor
Core Plus Fund |
Credit
Suisse AG |
14,295 |
|
J.P.
Morgan Securities LLC |
8,406 |
|
BofA
Securities, Inc. |
9,238 |
| ||
Harbor
Diversified International Fund |
Nomura
Holdings, Inc. |
3,604 |
| ||
Harbor
International Fund |
Nomura
Holdings, Inc. |
20,952 |
| ||
Harbor
Large Cap Value Fund |
JPMorgan
Chase & Co. |
33,334 |
|
Diversified
International
All
Cap
(000s) |
Global
Leaders
(000s) |
International
(000s) |
International
Core
(formerly,
Overseas)
(000s) |
International
Growth
(000s)2 |
Gross
income from securities lending activities |
$57 |
$3 |
$221 |
$20 |
$— |
Fees
and/or compensation for securities
lending
activities and related services: |
|
|
|
|
|
Fees
paid to securities lending agent from a
revenue
split |
5 |
3 |
19 |
2 |
— |
Fees
paid for any cash collateral management
services
that are not included in the
revenue
split |
— |
— |
1 |
— |
— |
Administrative
fees not included in revenue
split |
— |
— |
— |
— |
— |
Indemnification
fee not included in revenue
split |
— |
— |
— |
— |
— |
Rebate
(paid to borrower) |
5 |
— |
17 |
— |
— |
Other
fees not included in revenue split |
— |
— |
— |
— |
— |
Aggregate
fees/compensation for securities
lending
activities |
10 |
3 |
37 |
2 |
— |
Net
income from securities lending activities1 |
$47 |
$— |
$184 |
$18 |
$— |
|
Capital
Loss Carryforwards ($000s): | ||
|
Short-Term |
Long-Term |
Total |
HARBOR
FUNDS | |||
Harbor
Capital Appreciation Fund |
$
(863,537) |
$
- |
$
(863,537) |
Harbor
Convertible Securities Fund |
(3,183) |
(687) |
(3,870) |
Harbor
Core Bond Fund |
(3,229) |
(2,284) |
(5,513) |
Harbor
Core Plus Fund |
(39,057) |
(31,756) |
(70,813) |
Harbor
Disruptive Innovation Fund |
(64,378) |
(6,014) |
(70,392) |
Harbor
Diversified International All Cap Fund |
(1,859) |
- |
(1,859) |
Harbor
International Fund |
(414,304) |
- |
(414,304) |
Harbor
International Core Fund (formerly, Harbor Overseas
Fund) |
(5,785) |
(133) |
(5,918) |
Harbor
International Growth Fund |
(1,383) |
- |
(1,383) |
Harbor
Small Cap Growth Fund * |
(938) |
(34,735) |
(35,673) |
25%
or
Greater Ownership | |||||
Shareholder
Name |
Capital
Appreciation
Fund |
Convertible
Securities
Fund |
Disruptive
Innovation
Fund |
Diversified
International
All
Cap Fund |
Harbor
International
Core
Fund |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
— |
— |
— |
— |
49% |
KNOXVILLE
UTILITIES BOARD PENSION
KNOXVILLE,
TN |
— |
28% |
— |
— |
—
|
25%
or
Greater Ownership — Continued | |||||
Shareholder
Name |
Capital
Appreciation
Fund |
Convertible
Securities
Fund |
Disruptive
Innovation
Fund |
Diversified
International
All
Cap Fund |
Harbor
International
Core
Fund |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
31% |
— |
31% |
35% |
— |
25%
or
Greater Ownership — Continued | |||||
Shareholder
Name |
International
Small
Cap
Fund |
Large
Cap
Value
Fund |
Mid
Cap
Fund |
Mid
Cap
Value
Fund |
Small
Cap
Growth
Fund |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
57% |
— |
— |
— |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
— |
27% |
77% |
26% |
33% |
5%
or Greater Ownership – Institutional Class | ||||
Shareholder
Name |
Capital
Appreciation
Fund |
Convertible
Securities
Fund |
Core
Bond
Fund |
Core
Plus
Fund |
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
— |
15% |
40% |
— |
AXOS
CLEARING LLC
ENGLEWOOD,
CO |
— |
7% |
— |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
19% |
11% |
34% |
19% |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
32% |
11% |
8% |
21% |
PERSHING
LLC
JERSEY
CITY, NJ |
— |
39% |
— |
6% |
TD
AMERITRADE INC FOR THE
OMAHA,
NE |
— |
— |
— |
6% |
VANGUARD
BROKERAGE SERVICES
EL
PASO, TX |
— |
— |
— |
6% |
5%
or Greater Ownership – Institutional Class —
Continued | ||||
Shareholder
Name |
Disruptive
Innovation
Fund |
Diversified
International
All
Cap Fund |
Global
Leaders
Fund |
International
Fund |
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
— |
19% |
— |
— |
ATTN
MUTUAL FUND OPERATIONS
PITTSBURGH,
PA |
— |
7% |
— |
— |
BAND
& CO C/O US BANK NA
MILWAUKEE,
WI |
— |
5% |
— |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
12% |
13% |
10% |
25% |
JOHN
HANCOCK TRUST COMPANY LLC
WESTWOOD,
MA |
— |
11% |
— |
— |
LPL
FINANCIAL
SAN
DIEGO, CA |
— |
— |
29% |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
32% |
25% |
19% |
24% |
PERSHING
LLC
JERSEY
CITY, NJ |
6% |
— |
— |
—
|
5%
or Greater Ownership – Institutional Class —
Continued | ||||
Shareholder
Name |
Disruptive
Innovation
Fund |
Diversified
International
All
Cap Fund |
Global
Leaders
Fund |
International
Fund |
RELIANCE
TRUST CO FBO
ATLANTA,
GA |
— |
12% |
— |
— |
WELLS
FARGO CLEARING SERVICES, LLC
SAINT
LOUIS, MO |
7% |
— |
— |
— |
5%
or Greater Ownership
– Institutional Class — Continued | ||||
Shareholder
Name |
International
Core
Fund |
International
Growth
Fund |
International
Small
Cap
Fund |
Large
Cap
Value
Fund |
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
— |
14% |
— |
— |
CAPINCO
MILWAUKEE,
WI |
— |
27% |
— |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
60% |
10% |
56% |
11% |
HARBOR
CAPITAL ADVISORS INC
CHICAGO,
IL |
14% |
— |
19% |
— |
JOHN
HANCOCK TRUST COMPANY LLC
WESTWOOD,
MA |
— |
— |
— |
12% |
LPL
FINANCIAL
SAN
DIEGO, CA |
— |
— |
— |
11% |
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
— |
— |
11% |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
9% |
20% |
11% |
15% |
RBC
CAPITAL MARKETS LLC
MINNEAPOLIS,
MN |
— |
— |
— |
7% |
RELIANCE
TRUST CO FBO
ATLANTA,
GA |
— |
— |
6% |
— |
SPRINGTRUST
3
OLNEY,
MD |
14% |
— |
— |
— |
TD
AMERITRADE INC FOR THE
OMAHA,
NE |
— |
— |
— |
10% |
WELLS
FARGO CLEARING SERVICES, LLC
SAINT
LOUIS, MO |
— |
— |
— |
6% |
5%
or Greater Ownership
– Institutional Class — Continued | ||||
Shareholder
Name |
Mid
Cap
Fund |
Mid
Cap
Value
Fund |
Small
Cap
Growth
Fund |
Small
Cap
Value
Fund |
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
52% |
— |
— |
— |
CAPINCO
MILWAUKEE,
WI |
23% |
— |
— |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
— |
17% |
12% |
25% |
JOHN
HANCOCK LIFE INSURANCE COMPANY
BOSTON,
MA |
— |
7% |
— |
— |
LPL
FINANCIAL
SAN
DIEGO, CA |
— |
8% |
— |
8% |
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
6% |
5% |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
7% |
20% |
37% |
14% |
PIMS/PRUDENTIAL
RETIREMENT AS
ISELIN,
NJ |
— |
5% |
— |
— |
UBATCO
& CO
LINCOLN,
NE |
— |
— |
13% |
—
|
5%
or Greater Ownership
– Institutional Class — Continued | ||||
Shareholder
Name |
Mid
Cap
Fund |
Mid
Cap
Value
Fund |
Small
Cap
Growth
Fund |
Small
Cap
Value
Fund |
WELLS
FARGO CLEARING SERVICES, LLC
SAINT
LOUIS, MO |
— |
11% |
— |
20% |
5%
or Greater Ownership
– Administrative Class | |||||
Shareholder
Name |
Capital
Appreciation
Fund |
Convertible
Securities
Fund |
Core
Plus
Fund |
Disruptive
Innovation
Fund |
Diversified
International
All
Cap Fund |
AMERICAN
ENTERPRISE INVESTMENT
SVC
MINNEAPOLIS,
MN |
— |
— |
8% |
— |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
8% |
— |
7% |
— |
— |
C/O
PACIFIC PREMIER TRUST
OAKS,
PA |
— |
99% |
— |
— |
— |
EMPOWER
TRUST FBO
GREENWOOD
VILLAGE, CO |
10% |
— |
13% |
21% |
— |
FIIOC
COVINGTON,
KY |
12% |
— |
— |
— |
— |
MATC
FBO GREECE COIN & STAMP INC.
PITTSBURGH,
PA |
5% |
— |
6% |
— |
— |
MATRIX
TRUST COMPANY AS AGENT FOR
TUPELO,
MS |
— |
— |
— |
8% |
— |
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
11% |
— |
— |
— |
— |
MORGAN
STANLEY SMITH BARNEY LLC
JERSEY
CITY, NJ |
— |
— |
8% |
— |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
17% |
— |
22% |
20% |
100% |
PERSHING
LLC
JERSEY
CITY, NJ |
— |
— |
6% |
— |
— |
RAYMOND
JAMES
ST
PETERSBURG, FL |
— |
— |
— |
6% |
— |
VANGUARD
BROKERAGE SERVICES
EL
PASO, TX |
— |
— |
7% |
29% |
— |
VANGUARD
FIDUCIARY TRUST CO
VALLEY
FORGE, PA |
15% |
— |
— |
— |
— |
5%
or Greater Ownership – Administrative Class —
Continued | ||||
Shareholder
Name |
Global
Leaders
Fund |
International
Fund |
International
Growth
Fund |
International
Small
Cap
Fund |
ASCENSUS
TRUST COMPANY FBO
FARGO,
ND |
8% |
— |
— |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
— |
21% |
— |
— |
FIIOC
COVINGTON,
KY |
9% |
— |
— |
— |
FNB
NOMINEE
DENVER,
CO |
— |
16% |
33% |
— |
HARBOR
CAPITAL ADVISORS INC
CHICAGO,
IL |
— |
— |
— |
83% |
MATC
FBO GREECE COIN & STAMP INC.
PITTSBURGH,
PA |
— |
— |
21% |
— |
MORGAN
STANLEY SMITH BARNEY LLC
JERSEY
CITY, NJ |
33% |
— |
— |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
— |
17% |
12% |
— |
PERSHING
LLC
JERSEY
CITY, NJ |
— |
— |
25% |
—
|
5%
or Greater Ownership – Administrative Class —
Continued | ||||
Shareholder
Name |
Global
Leaders
Fund |
International
Fund |
International
Growth
Fund |
International
Small
Cap
Fund |
STATE
STREET BANK AND TRUST
BOSTON,
MA |
— |
8% |
— |
— |
TD
AMERITRADE INC FOR THE
OMAHA,
NE |
46% |
— |
— |
17% |
5%
or Greater Ownership
– Administrative Class — Continued | ||||
Shareholder
Name |
Large
Cap
Value
Fund |
Mid
Cap
Value
Fund |
Small
Cap
Growth
Fund |
Small
Cap
Value
Fund |
ASCENSUS
TRUST COMPANY FBO
FARGO,
ND |
7% |
— |
— |
— |
ATTN
MUTUAL FUND OPERATIONS
PITTSBURGH,
PA |
— |
— |
22% |
— |
FIIOC
COVINGTON,
KY |
— |
22% |
— |
— |
FNB
NOMINEE
DENVER,
CO |
7% |
5% |
— |
8% |
MATC
FBO GREECE COIN & STAMP INC.
PITTSBURGH,
PA |
— |
8% |
— |
— |
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
38% |
— |
10% |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
5% |
15% |
50% |
33% |
PAI
TRUST COMPANY INC
DE
PERE, WI |
— |
— |
19% |
— |
STATE
STREET BANK AND TRUST
BOSTON,
MA |
72% |
— |
— |
— |
TD
AMERITRADE INC FOR THE
OMAHA,
NE |
— |
— |
6% |
— |
5%
or
Greater Ownership – Investor Class | |||||
Shareholder
Name |
Capital
Appreciation
Fund |
Convertible
Securities
Fund |
Disruptive
Innovation
Fund |
Diversified
International
All
Cap Fund |
Global
Leaders
Fund |
ASCENSUS
TRUST COMPANY FBO
FARGO,
ND |
— |
— |
— |
— |
6% |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
25% |
75% |
13% |
97% |
25% |
C/O
MISSIONSQUARE RETIREMENT
WASHINGTON,
DC |
— |
— |
16% |
— |
— |
LPL
FINANCIAL
SAN
DIEGO, CA |
— |
6% |
— |
— |
— |
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
— |
9% |
— |
— |
MORGAN
STANLEY SMITH BARNEY LLC
JERSEY
CITY, NJ |
10% |
— |
— |
— |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
25% |
— |
22% |
— |
37% |
NATIONWIDE
TRUST COMPANY FSB
COLUMBUS,
OH |
— |
— |
7% |
— |
— |
PERSHING
LLC
JERSEY
CITY, NJ |
— |
5% |
— |
— |
— |
TD
AMERITRADE INC FOR THE
OMAHA,
NE |
5% |
8% |
— |
— |
15% |
5%
or
Greater Ownership – Investor Class — Continued | |||||
Shareholder
Name |
International
Fund |
International
Core
Fund |
International
Growth
Fund |
International
Small
Cap
Fund |
Large
Cap
Value
Fund |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
29% |
91% |
26% |
49% |
31% |
HARBOR
CAPITAL ADVISORS INC
CHICAGO,
IL |
— |
— |
— |
16% |
— |
MORGAN
STANLEY SMITH BARNEY LLC
JERSEY
CITY, NJ |
8% |
— |
— |
— |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
34% |
— |
15% |
— |
33% |
NATIONWIDE
TRUST COMPANY FSB
COLUMBUS,
OH |
— |
— |
12% |
— |
— |
TD
AMERITRADE INC FOR THE
OMAHA,
NE |
5% |
— |
15% |
15% |
10% |
VANGUARD
BROKERAGE SERVICES
EL
PASO, TX |
— |
— |
10% |
9% |
— |
5%
or
Greater Ownership – Investor Class — Continued | ||||
Shareholder
Name |
Mid Cap
Fund |
Mid
Cap
Value
Fund |
Small
Cap
Growth
Fund |
Small
Cap
Value
Fund |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
— |
22% |
56% |
26% |
EMPOWER
TRUST FBO
GREENWOOD
VILLAGE, CO |
— |
— |
5% |
— |
LPL
FINANCIAL
SAN
DIEGO, CA |
— |
— |
— |
5% |
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
— |
— |
5% |
MORGAN
STANLEY SMITH BARNEY LLC
JERSEY
CITY, NJ |
— |
13% |
— |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
— |
30% |
19% |
29% |
NATIONWIDE
TRUST COMPANY FSB
COLUMBUS,
OH |
— |
— |
8% |
— |
PERSHING
LLC
JERSEY
CITY, NJ |
85% |
— |
— |
— |
TD
AMERITRADE INC FOR THE
OMAHA,
NE |
5% |
9% |
— |
8% |
WELLS
FARGO CLEARING SERVICES, LLC
SAINT
LOUIS, MO |
— |
— |
— |
9% |
5%
or
Greater Ownership – Retirement Class | ||||
Shareholder
Name |
Capital
Appreciation
Fund |
Convertible
Securities
Fund |
Core Bond
Fund |
Core
Plus
Fund |
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
— |
— |
39% |
— |
CAPINCO
MILWAUKEE,
WI |
— |
42% |
6% |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
8% |
— |
— |
— |
C/O
FASCORE LLC
GREENWOOD
VILLAGE, CO |
7% |
— |
— |
5% |
C/O
RELIANCE TRUST COMPANY WI
GREEN
BAY, WI |
— |
— |
12% |
— |
INDIVIDUAL
Account Shareholder
NEW
YORK, NY |
— |
— |
— |
11% |
IRA
INDIVIDUALLY ESTABLISHED Account Shareholder
LONGMONT,
CO |
— |
— |
— |
8%
|
5%
or
Greater Ownership – Retirement Class — Continued | ||||
Shareholder
Name |
Capital
Appreciation
Fund |
Convertible
Securities
Fund |
Core Bond
Fund |
Core
Plus
Fund |
KNOXVILLE
UTILITIES BOARD PENSION
KNOXVILLE,
TN |
— |
56% |
— |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
31% |
— |
— |
60% |
RELIANCE
TRUST CO FBO
ATLANTA,
GA |
— |
— |
25% |
— |
SSS
FAMILY INVESTMENTS LP
OVERLAND
PARK, KS |
— |
— |
— |
11% |
5%
or
Greater Ownership – Retirement Class — Continued | ||||
Shareholder
Name |
Disruptive
Innovation
Fund |
Diversified
International
All
Cap Fund |
Global
Leaders
Fund |
International
Fund |
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
— |
11% |
— |
8% |
CAPINCO
MILWAUKEE,
WI |
— |
8% |
— |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
— |
10% |
— |
— |
C/O
MISSIONSQUARE RETIREMENT
BERLIN,
CT |
6% |
— |
— |
— |
C/O
MISSIONSQUARE RETIREMENT
MARIETTA,
GA |
37% |
— |
— |
— |
DISTRICT
OF COLUMBIA 401A DEF CONTR
WASHINGTON,
DC |
— |
— |
— |
9% |
EDWARD
D JONES & CO
MARYLAND
HEIGHTS, MO |
— |
— |
— |
34% |
HOWARD
P COLHOUN FAM FOUNDATION
GLYNDON,
MD |
— |
— |
7% |
— |
INDIVIDUAL
Account Shareholder
GLYNDON,
MD |
— |
— |
16% |
— |
INDIVIDUALS
Account Shareholder
FORT
MYERS, FL |
— |
— |
10% |
— |
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
— |
— |
6% |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
40% |
39% |
20% |
19% |
VANGUARD
FIDUCIARY TRUST CO
VALLEY
FORGE, PA |
— |
— |
41% |
— |
5%
or Greater Ownership
– Retirement Class — Continued | ||||
Shareholder
Name |
International
Core
Fund |
International
Growth
Fund |
International
Small
Cap
Fund |
Large
Cap
Value
Fund |
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
— |
10% |
— |
24% |
CAPINCO
MILWAUKEE,
WI |
— |
22% |
— |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
— |
10% |
61% |
12% |
C/O
FIDUCIARY TRUST COMPANY INTL
NEW
YORK, NY |
— |
10% |
— |
— |
HARBOR
CAPITAL ADVISORS INC
CHICAGO,
IL |
60% |
— |
— |
— |
HOCO
KANSAS
CITY, MO |
— |
32% |
— |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
40% |
— |
7% |
34%
|
5%
or Greater Ownership
– Retirement Class — Continued | ||||
Shareholder
Name |
International
Core
Fund |
International
Growth
Fund |
International
Small
Cap
Fund |
Large
Cap
Value
Fund |
SAXON
& CO
CLEVELAND,
OH |
— |
— |
27% |
19% |
5%
or Greater Ownership
– Retirement Class — Continued | ||||
Shareholder
Name |
Mid
Cap
Fund |
Mid
Cap
Value
Fund |
Small
Cap
Growth
Fund |
Small
Cap
Value
Fund |
ASSOCIATED
TRUST COMPANY FBO
GREEN
BAY, WI |
— |
— |
13% |
— |
ATTN
MUTUAL FUND OPERATIONS
PITTSBURGH,
PA |
— |
— |
5% |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
— |
— |
— |
9% |
DCGT
AS TTEE AND/OR CUST
DES
MOINES, IA |
— |
— |
18% |
— |
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
— |
— |
18% |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
100% |
82% |
26% |
16% |
PERSHING
LLC
JERSEY
CITY, NJ |
— |
— |
— |
6% |
VANGUARD
FIDUCIARY TRUST CO
VALLEY
FORGE, PA |
— |
— |
14% |
— |
VOYA
INSTITUTIONAL TRUST COMPANY
BRAINTREE,
MA |
— |
— |
11% |
— |
ZIONS
FIRST NATIONAL BANK 0
SALT
LAKE CTY, UT |
— |
— |
— |
21% |