|
Class
A |
Class
C |
Class
I |
Class
SDR |
Class
R3 |
Class
R4 |
Class
R5 |
Class
Y |
Class
F |
Hartford
Schroders China A
Fund |
HSHAX |
HSHCX |
HSHIX |
HSHRX |
— |
— |
— |
HSHYX |
HSHFX |
Hartford
Schroders
Diversified
Emerging
Markets
Fund |
HSXAX |
HSXCX |
HSXIX |
HSDEX |
— |
— |
— |
HSXYX |
HSXFX |
Hartford
Schroders
Emerging
Markets Equity
Fund
|
SEMVX |
HHHCX |
SEMNX |
SEMTX |
HHHRX |
HHHSX |
HHHTX |
HHHYX |
HHHFX |
Hartford
Schroders
Emerging
Markets Multi-
Sector
Bond Fund |
SMSVX |
HFZCX |
SMSNX |
SMSRX |
HFZRX |
HFZSX |
HFZTX |
HFZYX |
HFZFX |
Hartford
Schroders
International
Multi-Cap Value
Fund |
SIDVX |
HFYCX |
SIDNX |
SIDRX |
HFYRX |
HFYSX |
HFYTX |
HFYYX |
HFYFX |
Hartford
Schroders
International
Stock Fund |
SCVEX |
HSWCX |
SCIEX |
SCIJX |
HSWRX |
HSWSX |
HSWTX |
HSWYX |
HSWFX |
Hartford
Schroders
Securitized
Income Fund |
HITAX |
HITCX |
HITIX |
HITSX |
— |
— |
— |
HITYX |
HITFX |
Hartford
Schroders
Sustainable
Core Bond Fund |
— |
— |
HSAEX |
SCBRX |
HSACX |
HSSBX |
HSADX |
SCBIX |
HSSFX |
Hartford
Schroders Tax-
Aware
Bond Fund |
STWVX |
HFKCX |
STWTX |
HFKVX |
— |
— |
— |
HFKYX |
HFKFX |
Hartford
Schroders US
MidCap
Opportunities Fund |
SMDVX |
HFDCX |
SMDIX |
SMDRX |
HFDRX |
HFDSX |
HFDTX |
HFDYX |
HFDFX |
Hartford
Schroders US
Small
Cap Opportunities
Fund |
SCUVX |
HOOCX |
SCUIX |
SCURX |
HOORX |
HOOSX |
HOOTX |
HOOYX |
HOOFX |
Fund*
|
Predecessor
Fund |
Inception
Date |
Predecessor
Fund
Shareholder
Meeting Date |
Reorganization
Date |
Hartford
Schroders
Emerging
Markets Equity
Fund
(“Emerging Markets
Equity
Fund”) |
Schroder
Emerging
Market
Equity Fund |
March
31, 2006 |
October
11, 2016 and
adjourned
to October 13,
2016 |
Before
the opening of
business
on October 24,
2016 |
Hartford
Schroders
Emerging
Markets Multi-
Sector
Bond Fund
(“Emerging
Markets Multi-
Sector
Bond Fund”) |
Schroder
Emerging
Markets
Multi-Sector
Bond
Fund |
June
25, 2013 |
October
11, 2016 and
adjourned
to October 13,
2016 |
Before
the opening of
business
on October 24,
2016 |
Hartford
Schroders
International
Multi-Cap
Value
Fund (“International
Multi-Cap
Value Fund”) |
Schroder
International
Multi-Cap
Value Fund |
August
30, 2006 |
October
11, 2016 and
adjourned
to October 13,
2016 |
Before
the opening of
business
on October 24,
2016 |
Hartford
Schroders
International
Stock Fund
(“International
Stock
Fund”) |
Schroder
International
Alpha
Fund |
December
19, 1985 |
October
11, 2016 and
adjourned
to October 13,
2016 |
Before
the opening of
business
on October 24,
2016 |
Hartford
Schroders
Sustainable
Core Bond
Fund
(“Sustainable Core
Bond
Fund”)**
|
Schroder
Core Bond Fund |
January
31, 2018 |
October
28, 2021 and
adjourned
to November 3,
2021 |
After
the close of
business
on November
12,
2021 |
Hartford
Schroders Tax-
Aware
Bond Fund (“Tax-
Aware
Bond Fund”) |
Schroder
Broad Tax-Aware
Value
Bond Fund |
October
3, 2011***
|
October
11, 2016 and
adjourned
to October 13,
2016 |
Before
the opening of
business
on October 24,
2016 |
Hartford
Schroders US
MidCap
Opportunities
Fund
(“US MidCap
Opportunities
Fund”) |
Schroder
U.S. Small and
Mid
Cap Opportunities
Fund |
March
31, 2006 |
October
11, 2016 and
adjourned
to October 13,
2016, |
Before
the opening of
business
on October 24,
2016 |
Hartford
Schroders US
Small
Cap Opportunities
Fund
(“US Small Cap
Opportunities
Fund”) |
Schroder
U.S.
Opportunities
Fund |
August
6, 1993 |
October
11, 2016 and
adjourned
to October 13,
2016, |
Before
the opening of
business
on October 24,
2016 |
|
China
A |
Diversified
Emerging Markets |
Emerging
Markets
Equity |
Emerging
Markets
Multi-Sector
Bond |
International
Multi-
Cap
Value |
International
Stock |
Securitized
Income |
Sustainable
Core Bond |
Tax-Aware
Bond |
US
MidCap
Opportunities |
US
Small Cap
Opportunities |
Active
Investment Management
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Active
Trading Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Asset-Backed
Securities Risk |
|
|
|
X |
|
X |
X |
X |
X |
|
|
Collateralized
Debt Obliga-
tions
(CDOs) Risk |
|
|
|
X |
|
X |
X |
X |
X |
|
|
Asset
Segregation Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Bond
Forwards Risk |
|
|
|
|
|
|
X |
X |
|
|
|
Borrowing
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Call
Risk |
|
|
|
X |
|
|
X |
X |
X |
|
|
Commodities
Regulatory Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Convertible
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Contingent
Convertibles Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Synthetic
Convertibles Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Counterparty
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Credit
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Credit
Risk Transfer Securities
Risk |
|
|
|
X |
|
|
X |
X |
X |
|
|
Currency
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Cybersecurity
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Depositary
Receipts Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Derivatives
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Hedging
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Options
Contracts Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Equity
Linked Notes Risk |
X |
|
X |
|
|
|
X |
X |
|
|
|
Futures
Contracts and Options
on
Futures Contracts Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Swap
Agreements and Swap-
tions
Risk |
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Inflation-Linked
Instruments
Risk |
|
|
|
|
|
|
X |
X |
|
|
|
Hybrid
Instruments Risk |
X |
|
|
X |
|
|
X |
X |
|
|
|
Credit-Linked
Securities Risk |
|
|
|
X |
|
|
X |
X |
|
|
|
Indexed
Securities and
Structured
Notes Risk |
|
|
|
X |
|
|
X |
X |
X |
|
|
Event-Linked
Bonds Risk |
|
|
|
X |
|
|
X |
X
|
|
|
|
Foreign
Currency Transactions
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Risk
Factors in Derivative
Instruments |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Additional
Risk Factors and
Considerations
of OTC
Transactions |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Dollar
Rolls Risk |
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Equity
Risk |
X |
X |
X |
|
X |
X |
X |
X |
|
X |
X |
Special
Purpose Acquisition
Companies
Risk |
X |
X |
X |
|
X |
X |
X |
X |
|
X |
X |
ESG
Integration Risk |
X |
|
X |
X |
X |
X |
X |
|
X |
X |
X |
Exchange-Traded
Funds (ETFs)
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Exchange-Traded
Notes (ETNs)
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Event
Risk |
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
China
A |
Diversified
Emerging Markets |
Emerging
Markets
Equity |
Emerging
Markets
Multi-Sector
Bond |
International
Multi-
Cap
Value |
International
Stock |
Securitized
Income |
Sustainable
Core Bond |
Tax-Aware
Bond |
US
MidCap
Opportunities |
US
Small Cap
Opportunities |
Fixed
Income Securities Risk |
|
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
Foreign
Investments Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Currency
Risk and Exchange
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Principal
Exchange Rate
Linked
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Performance
Indexed Paper
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Settlement
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Government
Intervention in
Financial
Markets |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
High
Yield Investments (“Junk
Bonds”)
Risk |
|
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
Distressed
Securities Risk |
|
|
|
|
|
X |
X |
X |
X |
|
|
Illiquid
Investments Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Inflation
Risk |
|
|
|
X |
|
|
X |
X |
X |
X |
X |
Inflation
Protected Debt Securi-
ties
Risk |
|
|
|
X |
|
X |
X |
X |
X |
|
|
Initial
Public Offerings (“IPO”)
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Interest
Rate Risk |
|
|
|
X |
|
|
X |
X |
X |
X |
X |
Interfund
Lending Program Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Inverse
Floating Rate Securities
Risk
|
|
|
|
|
|
|
X |
X |
X |
|
|
Investment
Grade Securities
Risk |
|
|
|
X |
|
X |
X |
X |
X |
X
|
X |
Investments
in Emerging
Market
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
|
Sukuk
Risk |
|
X |
X |
X |
X |
X |
X |
X |
X |
|
|
Large
Cap Securities Risk |
X |
X |
X |
|
X |
X |
|
X |
|
X |
X |
Large
Shareholder Transaction
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Lending
Portfolio Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
LIBOR
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Liquidation
of Funds Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Loans
and Loan Participations
Risk |
|
|
|
X |
|
|
X |
X |
X |
|
|
Floating
Rate Loans Risk |
|
|
|
X |
|
|
X |
X |
X |
|
|
Loan
Participations Risk |
|
|
|
X |
|
|
X |
X |
X |
|
|
Senior
Loans Risk |
|
|
|
X |
|
|
X |
X |
X |
|
|
Unsecured
Loans Risk |
|
|
|
X |
|
|
X |
X |
X |
|
|
Delayed
Settlement Risk |
|
|
|
X |
|
|
X |
X |
X |
|
|
Market
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Master
Limited Partnership
(“MLP”)
Risk |
|
|
|
|
X |
X |
|
X |
X |
X |
X |
Mid
Cap Securities Risk |
X |
X |
X |
|
X |
X |
X |
X |
|
X |
X |
Money
Market Instruments and
Temporary
Investment Strate-
gies |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Mortgage-Related
Securities
Risk |
|
|
|
X |
X |
X |
X |
X |
X |
X |
X |
Municipal
Securities Risk |
|
|
|
|
|
|
X |
X |
X |
|
|
New
Fund Risk |
X |
X |
|
|
|
|
X |
X |
|
|
|
Non-Diversification
Risk |
X |
|
|
X |
|
|
|
|
|
|
|
Operational
Risks |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Other
Capital Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Other
Investment Companies
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Preferred
Stock Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Private
Placement Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Private
Investments in Public
Equity
(PIPEs) Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Quantitative
Investing Risk |
|
X |
X |
|
X |
|
|
X |
|
|
|
P-Notes
Risk |
X |
X |
X |
X |
X |
X |
|
X |
|
|
|
|
China
A |
Diversified
Emerging Markets |
Emerging
Markets
Equity |
Emerging
Markets
Multi-Sector
Bond |
International
Multi-
Cap
Value |
International
Stock |
Securitized
Income |
Sustainable
Core Bond |
Tax-Aware
Bond |
US
MidCap
Opportunities |
US
Small Cap
Opportunities |
Real
Estate Investment Trusts
(“REITs”)
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Real
Estate Related Securities
Risks |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Regional/Country
Focus Risk |
X |
X |
X |
X |
X |
X |
|
|
|
|
|
Investments
in Central and
South
America Risk |
|
X |
X |
X |
X |
X |
|
X |
|
|
|
Investments
in Europe Risk |
|
X |
X |
X |
X |
X |
|
X |
|
|
|
Investments
in Asia Risk |
X |
X |
X |
X |
X |
X |
|
X |
|
|
|
Investments
in China Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
|
Investments
in Russia Risk |
|
X |
X |
X |
X |
X |
|
X |
|
|
|
Repurchase
and Reverse
Repurchase
Agreements Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Restricted
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Risks
of Qualified Financial
Contracts |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Sector
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Consumer
Discretionary Sec-
tor
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Communication
Services Sec-
tor
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Health
Care Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Financials
Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Industrials
Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Information
Technology Sector
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Utilities
Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Securities
Trusts Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Short
Sales Risk |
|
|
|
|
|
|
X |
X |
|
|
|
Small
Capitalization Securities
Risk |
X |
X |
X |
|
X |
X |
X |
X |
|
X |
X |
Sovereign
Debt Risk |
|
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
Structured
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Sustainable
Investing Risk |
|
X |
|
|
|
|
|
X |
|
|
|
Taxable
Income Risk |
|
|
|
|
|
|
|
|
X |
|
|
To
Be Announced (TBA) Transac-
tions
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
|
Short
Sales of TBA Invest-
ments
Risk |
|
|
|
|
|
|
X |
X |
X |
|
|
Use
as an Underlying Fund Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
U.S.
Government Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Valuation
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Value
Investing Style Risk |
|
X |
|
|
X |
|
|
|
|
|
|
Volatility
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Warrants
and Rights Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Zero
Coupon Securities Risk |
|
|
|
X |
|
X |
X |
X |
X |
|
|
Fund |
Portfolio
Turnover
10/31/2021 |
Portfolio
Turnover
10/31/2020 |
China
A Fund |
73% |
46%(1)
|
Diversified
Emerging Markets Fund |
9%(2)
|
N/A |
Emerging
Markets Equity Fund
|
36% |
52% |
Emerging
Markets Multi-Sector Bond Fund |
168% |
141% |
International
Multi-Cap Value Fund |
85% |
119% |
International
Stock Fund |
28% |
34% |
Securitized
Income Fund |
71% |
78% |
Sustainable
Core Bond Fund |
179% |
144% |
Tax-Aware
Bond Fund(3)
|
109% |
186% |
US
MidCap Opportunities Fund |
47% |
53% |
US
Small Cap Opportunities Fund |
56% |
47% |
NAME,
YEAR OF
BIRTH
AND
ADDRESS*
|
POSITION
HELD
WITH
THE
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S)
DURING
PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
FOR
PUBLIC
COMPANIES
AND
OTHER
REGISTERED
INVESTMENT
COMPANIES
HELD
BY
DIRECTOR |
HILARY
E.
ACKERMANN
(1956) |
Director |
Since
2014 |
Ms.
Ackermann served as Chief Risk Officer at
Goldman
Sachs Bank USA from October 2008 to
November
2011. |
77 |
Ms.
Ackermann
served
as a
Director
of Dynegy,
Inc.
from October
2012
until its
acquisition
by
Vistra
Energy
Corporation
(“Vistra”)
in 2018,
and
since that time
she
has served as
a
Director of Vistra.
Ms.
Ackermann
serves
as a
Director
of Credit
Suisse
Holdings
(USA),
Inc. from
January
2017 to
present. |
ROBIN
C. BEERY
(1967) |
Director |
Since
2017 |
Ms.
Beery has served as a consultant to ArrowMark
Partners
(an alternative asset manager) since March
of
2015 and since November 2018 has been
employed
by ArrowMark Partners as a Senior Advisor.
Previously,
she was Executive Vice President, Head of
Distribution,
for Janus Capital Group, and Chief
Executive
Officer and President of the Janus Mutual
Funds
(a global asset manager) from September
2009
to August 2014. |
77 |
Ms.
Beery serves
as
an independent
Director
of UMB
Financial
Corporation
(January
2015 to
present),
has
chaired
the
Compensation
Committee
since
April
2017, and
serves
on the Audit
Committee
and the
Risk
Committee. |
NAME,
YEAR OF
BIRTH
AND
ADDRESS* |
POSITION
HELD
WITH
THE
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S)
DURING
PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
FOR
PUBLIC
COMPANIES
AND
OTHER
REGISTERED
INVESTMENT
COMPANIES
HELD
BY
DIRECTOR |
DERRICK
D.
CEPHAS
(1952) |
Director |
Since
2020 |
Mr.
Cephas currently serves as Of Counsel to Squire
Patton
Boggs LLP, an international law firm with 45
offices
in 20 countries. Until his retirement in October
2020,
Mr. Cephas was a Partner of Weil, Gotshal &
Manges
LLP, an international law firm headquartered
in
New York, where he served as the Head of the
Financial
Institutions Practice (April 2011 to October
2020). |
77 |
Mr.
Cephas
currently
serves as
a
Director of
Signature
Bank, a
New
York-based
commercial
bank,
and
is a member of
the
Credit
Committee,
Examining
Committee
and
Risk
Committee.
Mr.
Cephas
currently
serves as
a
Director of Claros
Mortgage
Trust,
Inc.,
a real estate
investment
trust. |
CHRISTINE
R.
DETRICK
(1958) |
Director
and
Chair
of the
Board |
Director
since
2016;
Chair
of the
Board
since
2021 |
From
2002 until 2012, Ms. Detrick was a Senior
Partner,
Leader of the Financial Services Practice, and
a
Senior Advisor at Bain & Company (“Bain”). Before
joining
Bain, she served in various senior
management
roles for other financial services firms
and
was a consultant at McKinsey and Company. |
77 |
Ms.
Detrick serves
as
a Director and
Chair
of the
Nominating
and
Governance
Committee
of
Reinsurance
Group
of
America (“RGA”)
(from
January
2014
to present).
She
has
announced
her
plans
not to stand
for
re-election as a
member
of RGA’s
board
of directors
and
will no longer
serve
in such
capacity
as of May
25,
2022. Ms.
Detrick
also
currently
serves as
a
Director of
Charles
River
Associates
(May
2020
to present);
currently
serves as
a
Director of
Capital
One
Financial
Corporation
(since
November
2021);
and
currently
serves
as a
Director
of Altus
Power,
Inc (since
December
2021). |
NAME,
YEAR OF
BIRTH
AND
ADDRESS* |
POSITION
HELD
WITH
THE
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S)
DURING
PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
FOR
PUBLIC
COMPANIES
AND
OTHER
REGISTERED
INVESTMENT
COMPANIES
HELD
BY
DIRECTOR |
JOHN
J.
GAUTHIER
(1961) |
Director |
Since
2022 |
Mr.
Gauthier currently is the Principal Owner of JJG
Advisory,
LLC, an investment consulting firm, and Co-
Founder
and Principal Owner of Talcott Capital
Partners
(a placement agent for investment managers
serving
insurance companies). From 2008 to 2018,
Mr.
Gauthier served as a Senior Vice President (2008-
2010),
Executive Vice President (2010-2012), and
President
(2012-2018) of Allied World Financial
Services
(a global provider of property, casualty and
specialty
insurance and reinsurance solutions). |
77 |
Mr.
Gauthier
serves
as a
Director
of
Reinsurance
Group
of
America, Inc.
(from
2018 to
present)
and chairs
the
Investment
Committee
and is
a
member of the
Audit
and Risk
Committees. |
ANDREW
A.
JOHNSON
(1962) |
Director |
Since
2020 |
Mr.
Johnson currently serves as a Diversity and
Inclusion
Advisor at Neuberger Berman, a private,
global
investment management firm. Prior to his
current
role, Mr. Johnson served as Chief Investment
Officer
and Head of Global Investment Grade Fixed
Income
at Neuberger Berman (January 2009 to
December
2018). |
77 |
Mr.
Johnson
currently
serves as
a
Director of AGNC
Investment
Corp.,
a
real estate
investment
trust. |
PAUL
L.
ROSENBERG
(1953) |
Director |
Since
2020 |
Mr.
Rosenberg is a Partner of The Bridgespan Group,
a
global nonprofit consulting firm that is a social
impact
advisor to nonprofits, non-governmental
organizations,
philanthropists and institutional
investors
(October 2007 to present). |
77 |
None |
DAVID
SUNG
(1953) |
Director |
Since
2017 |
Mr.
Sung was a Partner at Ernst & Young LLP from
October
1995 to July 2014. |
77 |
Mr.
Sung serves as
a
Trustee of
Ironwood
Institutional
Multi-
Strategy
Fund, LLC
and
Ironwood
Multi-Strategy
Fund,
LLC (October
2015
to present). |
NAME,
YEAR OF
BIRTH
AND
ADDRESS*
|
POSITION
HELD
WITH
THE
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
HELD
BY
DIRECTOR |
JAMES
E.
DAVEY****
(1964) |
Director,
President
and
Chief
Executive
Officer |
President
and
Chief
Executive
Officer
since
2010;
Director
since
2012 |
Mr.
Davey serves as Executive Vice President of The
Hartford
Financial Services Group, Inc. Mr. Davey has
served
in various positions within The Hartford and its
subsidiaries
and joined The Hartford in 2002.
Additionally,
Mr. Davey serves as Director, Chairman,
President,
and Senior Managing Director for Hartford
Funds
Management Group, Inc. ("HFMG"). Mr. Davey
also
serves as President, Manager, Chairman of the
Board,
and Senior Managing Director for Hartford
Funds
Management Company, LLC (“HFMC”);
Manager,
Chairman of the Board, and President of
Lattice
Strategies LLC (“Lattice”); Chairman of the
Board,
Manager, and Senior Managing Director of
Hartford
Funds Distributors, LLC (“HFD”); and
Chairman
of the Board, President and Senior
Managing
Director of Hartford Administrative Services
Company
(“HASCO”), each of which is an affiliate of
HFMG. |
77 |
None |
ANDREW
S.
DECKER
(1963) |
AML
Compliance
Officer |
Since
2015 |
Mr.
Decker serves as Chief Compliance Officer and
AML
Compliance Officer of HASCO (since April 2015)
and
Vice President of HASCO (since April 2018). Mr.
Decker
serves as AML Officer of HFD (since May
2015).
Mr. Decker also serves as Vice President of
HFMG
(since April 2018). Prior to joining The Hartford,
Mr.
Decker served as Vice President and AML Officer
at
Janney Montgomery Scott (a broker dealer) from
April
2011 to January 2015.
|
N/A |
N/A |
AMY
N. FURLONG
(1979) |
Vice
President
|
Since
2018 |
Ms.
Furlong serves as Vice President and Assistant
Treasurer
of HFMC (since September 2019). From
2018
through March 15, 2021, Ms. Furlong served as
the
Treasurer of the Company. Ms. Furlong has served
in
various positions within The Hartford and its
subsidiaries
in connection with the operation of the
Hartford
Funds. Ms. Furlong joined The Hartford in
2004.
|
N/A |
N/A |
WALTER
F.
GARGER
(1965) |
Vice
President
and
Chief
Legal
Officer |
Since
2016 |
Mr.
Garger serves as Secretary, Managing Director
and
General Counsel of HFMG, HFMC, HFD, and
HASCO
(since 2013). Mr. Garger also serves as
Secretary
and General Counsel of Lattice (since July
2016).
Mr. Garger has served in various positions
within
The Hartford and its subsidiaries in connection
with
the operation of the Hartford Funds. Mr. Garger
joined
The Hartford in 1995. |
N/A |
N/A |
THEODORE
J.
LUCAS
(1966) |
Vice
President |
Since
2017 |
Mr.
Lucas serves as Executive Vice President of
HFMG
(since July 2016) and as Executive Vice
President
of Lattice (since June 2017). Previously, Mr.
Lucas
served as Managing Partner of Lattice (2003 to
2016). |
N/A |
N/A |
NAME,
YEAR OF
BIRTH
AND
ADDRESS* |
POSITION
HELD
WITH
THE
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
HELD
BY
DIRECTOR |
JOSEPH
G.
MELCHER
(1973) |
Vice
President
and
Chief
Compliance
Officer
|
Since
2013 |
Mr.
Melcher serves as Executive Vice President of
HFMG
and HASCO (since December 2013). Mr.
Melcher
also serves as Executive Vice President
(since
December 2013) and Chief Compliance Officer
(since
December 2012) of HFMC, serves as Executive
Vice
President and Chief Compliance Officer of Lattice
(since
July 2016), serves as Executive Vice President
of
HFD (since December 2013), and has served as
President
and Chief Executive Officer of HFD (from
April
2018 to June 2019).
|
N/A |
N/A |
VERNON
J.
MEYER
(1964) |
Vice
President |
Since
2006 |
Mr.
Meyer serves as Managing Director and Chief
Investment
Officer of HFMC and Managing Director of
HFMG
(since 2013). Mr. Meyer also serves as Senior
Vice
President-Investments of Lattice (since March
2019).
Mr. Meyer has served in various positions
within
The Hartford and its subsidiaries in connection
with
the operation of the Hartford Funds. Mr. Meyer
joined
The Hartford in 2004. |
N/A |
N/A |
DAVID
A. NAAB
(1985) |
Vice
President
and
Treasurer |
Since
March
15,
2021 |
Mr.
Naab serves as Vice President and Assistant
Treasurer
of HFMC (since June 2021). Prior to joining
HFMC
in 2021, Mr. Naab served in various positions
as
an associate, senior associate, manager, senior
manager,
and director within the investment
management,
financial services, and asset & wealth
management
practice groups of
PricewaterhouseCoopers,
LLP from 2007 to 2020. |
N/A |
N/A |
ALICE
A.
PELLEGRINO
(1960) |
Vice
President
and
Assistant
Secretary |
Since
2016 |
Ms.
Pellegrino serves as Vice President of HFMG
(since
December 2013). Ms. Pellegrino also serves
as
Vice President and Assistant Secretary of Lattice
(since
June 2017). Ms. Pellegrino is a Senior Counsel
and
has served in various positions within The
Hartford
and its subsidiaries in connection with the
operation
of the Hartford Funds. Ms. Pellegrino joined
The
Hartford in 2007. |
N/A |
N/A |
THOMAS
R.
PHILLIPS
(1960) |
Vice
President
and
Secretary |
Since
2017 |
Mr.
Phillips is Deputy General Counsel for HFMG and
currently
serves as a Senior Vice President (since
June
2021) and Assistant Secretary (since June
2017)
for HFMG. Mr. Phillips also serves as Vice
President
of HFMC (since June 2021). Prior to joining
HFMG
in 2017, Mr. Phillips was a Director and Chief
Legal
Officer of Saturna Capital Corporation from
2014–2016.
Prior to that, Mr. Phillips was a Partner
and
Deputy General Counsel of Lord, Abbett & Co.
LLC. |
N/A |
N/A |
NAME
OF DIRECTOR |
THE
FUNDS |
DOLLAR
RANGE OF EQUITY
SECURITIES
IN THE FUND |
AGGREGATE
DOLLAR RANGE OF EQUITY
SECURITIES
IN ALL REGISTERED
INVESTMENT
COMPANIES OVERSEEN
BY
DIRECTOR IN FAMILY OF INVESTMENT
COMPANIES |
Hilary
E. Ackermann |
US
MidCap Opportunities Fund |
Over
$100,000 |
Over
$100,000 |
|
|
|
|
Robin
C. Beery |
None |
None |
Over
$100,000 |
|
|
|
|
Derrick
D. Cephas |
None |
None |
None |
|
|
|
|
Christine
R. Detrick |
US
MidCap Opportunities Fund |
$10,001–$50,000 |
Over
$100,000 |
|
|
|
|
John
J. Gauthier*
|
Emerging
Markets Multi-Sector
Bond
Fund |
Over
$100,000 |
Over
$100,000 |
|
|
|
|
Andrew
A. Johnson |
None |
None |
None |
|
|
|
|
Paul
L. Rosenberg |
None |
None |
None |
|
|
|
|
David
Sung |
None |
None |
None |
NAME
OF DIRECTOR |
THE
FUNDS
|
DOLLAR
RANGE OF EQUITY
SECURITIES
IN THE FUND |
AGGREGATE
DOLLAR RANGE OF EQUITY
SECURITIES
IN ALL REGISTERED
INVESTMENT
COMPANIES OVERSEEN
BY
DIRECTOR IN FAMILY OF INVESTMENT
COMPANIES |
James
E. Davey |
Emerging
Markets Equity Fund |
Over
$100,000 |
Over
$100,000 |
|
International
Stock Fund |
Over
$100,000 |
|
NAME
OF PERSON, POSITION |
AGGREGATE
COMPENSATION
FROM
THE COMPANY |
PENSION
OR
RETIREMENT
BENEFITS
ACCRUED AS
PART
OF FUND
EXPENSES |
ESTIMATED
ANNUAL
BENEFITS
UPON
RETIREMENT |
TOTAL
COMPENSATION
FROM
THE
FUND COMPLEX
PAID
TO
DIRECTORS |
Hilary
E. Ackermann, Director |
$50,983
|
$0 |
$0 |
$350,000 |
Robin
C. Beery, Director |
$49,453
|
$0 |
$0 |
$338,750 |
Lynn
S. Birdsong, Director*
|
$72,266
|
$0 |
$0 |
$496,500 |
Derrick
D. Cephas, Director**
|
$44,420
|
$0 |
$0 |
$305,000 |
NAME
OF PERSON, POSITION |
AGGREGATE
COMPENSATION
FROM
THE COMPANY |
PENSION
OR
RETIREMENT
BENEFITS
ACCRUED AS
PART
OF FUND
EXPENSES |
ESTIMATED
ANNUAL
BENEFITS
UPON
RETIREMENT |
TOTAL
COMPENSATION
FROM
THE
FUND COMPLEX
PAID
TO
DIRECTORS |
Christine
R. Detrick, Director |
$50,965
|
$0 |
$0 |
$350,000 |
John
J. Gauthier***
|
$0 |
$0 |
$0 |
$0 |
Andrew
A. Johnson, Director**
|
$44,419
|
$0 |
$0 |
$305,000 |
Paul
L. Rosenberg, Director**
|
$44,420
|
$0 |
$0 |
$305,000 |
Lemma
W. Senbet, Director*
|
$44,419
|
$0 |
$0 |
$305,000 |
David
Sung, Director |
$50,965
|
$0 |
$0 |
$350,000 |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.9000% |
Amount
over $1 billion |
0.8900% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.8400% |
Amount
over $1 billion |
0.7800% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
1.0500% |
Next
$4 billion |
1.0000% |
Next
$5 billion |
0.9900% |
Amount
over $10 billion |
0.9850% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.7000% |
Next
$4 billion |
0.6500% |
Next
$5 billion |
0.6400% |
Amount
over $10 billion |
0.6350% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.7200% |
Next
$4 billion |
0.6800% |
Next
$5 billion |
0.6750% |
Amount
over $10 billion |
0.6700% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.6700% |
Next
$4 billion |
0.6500% |
Next
$5 billion |
0.6450% |
Amount
over $10 billion |
0.6400% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.4000% |
Amount
over $1 billion |
0.3900% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.3200% |
Next
$500 million |
0.3000% |
Amount
over $1 billion |
0.2800% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.4500% |
Next
$4 billion |
0.4300% |
Next
$5 billion |
0.4250% |
Amount
over $10 billion |
0.4200% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.7500% |
Next
$1.5 billion |
0.7000% |
Next
$2.5 billion |
0.6500% |
Next
$5 billion |
0.6450% |
Amount
over $10 billion |
0.6400% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.9000% |
Next
$4 billion |
0.8900% |
Next
$5 billion |
0.8800% |
Amount
over $10 billion |
0.8700% |
Fund
Name |
Gross
Fees
Paid
to HFMC
For
fiscal year
ended
10/31/21 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/21 |
Net
Fees Paid to
HFMC
For
fiscal year
ended
10/31/21 |
Net
Aggregate
Sub-Advisory
fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/21 |
%
Net Aggregate
Sub-advisory
Fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/21 |
China
A Fund |
$249,064 |
$0 |
$249,064 |
$138,369 |
0.50% |
Diversified
Emerging Markets Fund(1)
|
$7,214 |
$0 |
$7,214 |
$3,607 |
0.42%(2)
|
Emerging
Markets Equity Fund
|
$62,672,412 |
$0 |
$62,672,412 |
$34,764,850 |
0.56% |
Emerging
Markets Multi-Sector Bond
Fund |
$350,713 |
$0 |
$350,713 |
$195,397 |
0.39% |
International
Multi-Cap Value Fund |
$16,688,783 |
$0 |
$16,688,783 |
$7,865,309 |
0.33% |
International
Stock Fund |
$15,884,459 |
$0 |
$15,884,459 |
$7,197,682 |
0.30% |
Securitized
Income Fund |
$701,666 |
$0 |
$701,666 |
$350,833 |
0.33% |
Sustainable
Core Bond Fund(3)
|
N/A |
N/A |
N/A |
N/A |
N/A |
Tax-Aware
Bond Fund |
$2,052,123 |
$0 |
$2,052,123 |
$775,246 |
0.17% |
US
MidCap Opportunities Fund |
$5,886,510 |
$0 |
$5,886,510 |
$2,747,038 |
0.35% |
US
Small Cap Opportunities Fund |
$2,926,748 |
$0 |
$2,926,748 |
$1,463,374 |
0.45% |
Fund
Name |
Gross
Fees
Paid
to HFMC
For
fiscal year
ended
10/31/20 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/20 |
Net
Fees Paid to
HFMC
For
fiscal year
ended
10/31/20 |
Net
Aggregate
Sub-Advisory
fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/20 |
%
Net Aggregate
Sub-advisory
Fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/20 |
China
A Fund(1)
|
$34,437 |
$0 |
$34,437 |
$19,132 |
0.50%(2)
|
Emerging
Markets Equity Fund
|
$37,538,766 |
$0 |
$37,538,766 |
$20,871,321 |
0.56% |
Emerging
Markets Multi-Sector Bond
Fund |
$485,917 |
$0 |
$485,917 |
$270,725 |
0.39% |
International
Multi-Cap Value Fund |
$13,326,644 |
$0 |
$13,326,644 |
$6,283,127 |
0.33% |
Fund
Name |
Gross
Fees
Paid
to HFMC
For
fiscal year
ended
10/31/20 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/20 |
Net
Fees Paid to
HFMC
For
fiscal year
ended
10/31/20 |
Net
Aggregate
Sub-Advisory
fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/20 |
%
Net Aggregate
Sub-advisory
Fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/20 |
International
Stock Fund |
$4,178,799 |
$0 |
$4,178,799 |
$1,933,329 |
0.31% |
Securitized
Income Fund |
$512,644 |
$0 |
$512,644 |
$256,322 |
0.33% |
Sustainable
Core Bond Fund |
N/A |
N/A |
N/A |
N/A |
N/A |
Tax-Aware
Bond Fund |
$1,746,635 |
$0 |
$1,746,635 |
$659,840 |
0.17% |
US
MidCap Opportunities Fund |
$5,630,881 |
$0 |
$5,630,881 |
$2,627,744 |
0.35% |
US
Small Cap Opportunities Fund |
$2,023,235 |
$0 |
$2,023,235 |
$1,011,618 |
0.45% |
Fund
Name |
Gross
Fees
Paid
to HFMC
For
fiscal year
ended
10/31/19 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/19 |
Net
Fees Paid to
HFMC
For
fiscal year
ended
10/31/19 |
Net
Aggregate
Sub-Advisory
fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/19 |
%
Net Aggregate
Sub-advisory
Fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/19 |
Emerging
Markets Equity Fund
|
$35,353,873 |
$0 |
$35,353,873 |
$19,669,630 |
0.56% |
Emerging
Markets Multi-Sector Bond
Fund |
$704,335 |
$0 |
$704,335 |
$392,415 |
0.39% |
International
Multi-Cap Value Fund |
$13,650,087 |
$0 |
$13,650,087 |
$6,435,335 |
0.33% |
International
Stock Fund |
$2,247,091 |
$0 |
$2,247,091 |
$1,042,152 |
0.32% |
Securitized
Income Fund(1)
|
$241,548 |
$0 |
$241,548 |
$120,774 |
0.33%(2)
|
Sustainable
Core Bond Fund |
N/A |
N/A |
N/A |
N/A |
N/A |
Tax-Aware
Bond Fund |
$1,135,796 |
$0 |
$1,135,796 |
$429,079 |
0.17% |
US
MidCap Opportunities Fund |
$8,189,492 |
$0 |
$8,189,492 |
$3,851,292 |
0.40% |
US
Small Cap Opportunities Fund |
$1,581,293 |
$0 |
$1,581,293 |
$790,646 |
0.45% |
Fund
Name |
Gross
Fees Paid by
Predecessor
Fund
to
SIMNA
For
fiscal year
ended
10/31/21 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/21 |
Net
Fees Paid by
Predecessor
Fund
to
SIMNA
For
fiscal year
ended
10/31/21 |
Net
Aggregate
Sub-Advisory
fees
Paid
to SIMNA Ltd.
For
fiscal year
ended
10/31/21 |
%
Net Aggregate
Sub-advisory
Fees Paid to SIMNA Ltd.
For
fiscal year
ended
10/31/21 |
Sustainable
Core
Bond
Fund |
$270,775 |
$270,775 |
$0 |
$3,553 |
0.01% |
Fund
Name |
Gross
Fees Paid by
Predecessor
Fund
to
SIMNA
For
fiscal year
ended
10/31/20 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/20 |
Net
Fees Paid by
Predecessor
Fund
to
SIMNA
For
fiscal year
ended
10/31/20 |
Net
Aggregate
Sub-Advisory
fees
Paid
to SIMNA Ltd.
For
fiscal year
ended
10/31/20 |
%
Net Aggregate
Sub-advisory
Fees Paid to SIMNA Ltd.
For
fiscal year
ended
10/31/20 |
Sustainable
Core
Bond
Fund
|
$207,468 |
$207,468 |
$0 |
$18,907 |
0.02% |
Fund
Name |
Gross
Fees Paid by
Predecessor
Fund
to
SIMNA
For
fiscal year
ended
10/31/19 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/19 |
Net
Fees Paid by
Predecessor
Fund
to
SIMNA
For
fiscal year
ended
10/31/19 |
Net
Aggregate
Sub-Advisory
fees
Paid
to SIMNA Ltd.
For
fiscal year
ended
10/31/19 |
%
Net Aggregate
Sub-advisory
Fees Paid to SIMNA Ltd.
For
fiscal year
ended
10/31/19 |
Sustainable
Core
Bond
Fund
|
$122,988 |
$122,988 |
$0 |
N/A |
N/A |
FUND
NAME |
FOR
THE FISCAL YEAR ENDED
10/31/2021 |
FOR
THE FISCAL YEAR ENDED
10/31/2020 |
FOR
THE FISCAL YEAR ENDED
10/31/2019 |
Sustainable
Core Bond Fund
|
$124,944 |
$125,057 |
$125,002 |
FUND
NAME |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
China
A Fund |
1.45% |
2.25% |
1.15% |
N/A |
N/A |
N/A |
1.11% |
0.99% |
0.99% |
Diversified
Emerging Markets Fund |
1.34% |
2.14% |
1.04% |
N/A |
N/A |
N/A |
0.99% |
0.89% |
0.89% |
Emerging
Markets Multi-Sector Bond Fund |
1.15% |
1.90% |
0.90% |
1.45% |
1.15% |
0.85% |
0.85% |
0.75% |
0.75% |
Securitized
Income Fund |
0.85% |
1.70% |
0.60% |
N/A |
N/A |
N/A |
0.55% |
0.45% |
0.45% |
Sustainable
Core Bond Fund |
N/A |
N/A |
0.51%*
|
1.06%*
|
0.76%*
|
0.46%*
|
0.40%**
|
0.36%*
|
0.32%**
|
Tax-Aware
Bond Fund |
0.71% |
1.59% |
0.49% |
N/A |
N/A |
N/A |
0.56% |
0.46% |
0.46% |
US
Small Cap Opportunities Fund |
1.35% |
2.10% |
1.10% |
1.65% |
1.35% |
1.05% |
1.05% |
0.95% |
0.95% |
FUND
NAME |
FOR
THE FISCAL YEAR ENDED
10/31/2021 |
FOR
THE FISCAL YEAR ENDED
10/31/2020 |
FOR
THE FISCAL YEAR ENDED
10/31/2019 |
China
A Fund |
$4,895 |
$577(1)
|
N/A |
Diversified
Emerging Markets Fund |
$167(2)
|
N/A |
N/A |
Emerging
Markets Equity Fund
|
$900,311 |
$570,768 |
$624,047 |
Emerging
Markets Multi-Sector Bond
Fund |
$8,156 |
$10,847 |
$18,112 |
International
Multi-Cap Value Fund |
$355,977 |
$295,543 |
$350,738 |
International
Stock Fund |
$350,327 |
$95,277 |
$58,603 |
Securitized
Income Fund |
$18,735 |
$12,295 |
$6,689(3)
|
Sustainable
Core Bond Fund(4)
|
N/A |
N/A |
N/A |
Tax-Aware
Bond Fund |
$78,198 |
$57,587 |
$35,336 |
US
MidCap Opportunities Fund |
$127,339 |
$111,007 |
$134,987 |
US
Small Cap Opportunities Fund |
$55,940 |
$33,316 |
$24,598 |
Share
Class |
Specified
Amount (as a percentage of average daily net assets)
(as
of March 1, 2022) |
Class
A |
0.25% |
Class
C |
0.25% |
Class
I |
0.20% |
Class
Y |
0.11% |
Class
R3 |
0.22% |
Class
R4 |
0.17% |
Class
R5 |
0.12% |
Class
F |
0.004% |
Class
SDR |
0.004% |
FUND
NAME |
GROSS
INCOME
FROM
SECURITIES
LENDING
ACTIVITIES |
FEES
PAID TO
SECURITIES
LENDING
AGENT
FROM
A
REVENUE
SPLIT |
REBATES
(PAID
TO
BORROWER) |
AGGREGATE
FEES
/
COMPENSATION
FROM
SECURITIES
LENDING
ACTIVITIES |
NET
INCOME
FROM
SECURITIES
LENDING
ACTIVITIES |
Diversified
Emerging Markets Fund |
$0 |
$0 |
$0 |
$0 |
$0 |
Emerging
Markets Equity Fund
|
$361,011 |
$36,101 |
$1 |
$36,102 |
$324,909 |
Emerging
Markets Multi-Sector Bond Fund |
$6,097 |
$609 |
$1 |
$610 |
$5,487 |
International
Multi-Cap Value Fund |
$1,404,342 |
$140,336 |
$953 |
$141,289 |
$1,263,053 |
International
Stock Fund |
$396,622 |
$39,662 |
$0 |
$39,662 |
$356,960 |
Tax-Aware
Bond Fund |
$1,979 |
$199 |
$1 |
$200 |
$1,779 |
US
MidCap Opportunities Fund |
$1,093 |
$109 |
$0 |
$109 |
$984 |
US
Small Cap Opportunities Fund |
$55,003 |
$5,501 |
$0 |
$5,501 |
$49,502 |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS
IN
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE
(in
millions) |
China
A Fund | ||||
Jack
Lee |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3 |
$6,247 |
0 |
$0 |
Other
Accounts |
5 |
$1,044 |
2 |
$754 |
Diversified
Emerging Markets Fund | ||||
Tom
Wilson |
|
|
|
|
Other
Registered Investment Companies |
3 |
$8,046 |
0 |
$0 |
Other
Pooled Investment Vehicles |
20 |
$16,398 |
0 |
$0 |
Other
Accounts |
28 |
$25,357
|
7 |
$7,553 |
David
Philpotts |
|
|
|
|
Other
Registered Investment Companies |
1 |
$2,602 |
0 |
$0 |
Other
Pooled Investment Vehicles |
22 |
$9,211 |
0 |
$0 |
Other
Accounts |
24 |
$11,957 |
6 |
$3,427 |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS
IN
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE
(in
millions) |
Gordon
Huang |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
22 |
$9,211 |
0 |
$0 |
Other
Accounts |
24 |
$11,814 |
6 |
$3,427 |
Emerging
Markets Equity Fund | ||||
Tom
Wilson |
|
|
|
|
Other
Registered Investment Companies |
3 |
$8,046 |
0 |
$0 |
Other
Pooled Investment Vehicles |
20 |
$16,398 |
0 |
$0 |
Other
Accounts |
28 |
$25,357 |
7 |
$7,553 |
Robert
Davy |
|
|
|
|
Other
Registered Investment Companies |
3 |
$8,046 |
0 |
$0 |
Other
Pooled Investment Vehicles |
10 |
$10,795 |
0 |
$0 |
Other
Accounts |
25 |
$24,122 |
7 |
$7,553 |
James
Gotto |
|
|
|
|
Other
Registered Investment Companies |
3 |
$8,046 |
0 |
$0 |
Other
Pooled Investment Vehicles |
9 |
$10,559 |
0 |
$0 |
Other
Accounts |
26 |
$24,625 |
7 |
$7,553 |
Waj
Hashmi |
|
|
|
|
Other
Registered Investment Companies |
3 |
$8,046 |
0 |
$0 |
Other
Pooled Investment Vehicles |
12 |
$11,804 |
0 |
$0 |
Other
Accounts |
25 |
$24,122 |
7 |
$7,553 |
Nicholas
Field |
|
|
|
|
Other
Registered Investment Companies |
3 |
$8,046 |
0 |
$0 |
Other
Pooled Investment Vehicles |
9 |
$12,459 |
0 |
$0 |
Other
Accounts |
25 |
$24,122 |
7 |
$7,553 |
Emerging
Markets Multi-Sector Bond Fund | ||||
Fernando
Grisales |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
32 |
$6,477 |
0 |
$0 |
Other
Accounts |
4 |
$1,339 |
0 |
$0 |
Autumn
Graham |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
32 |
$6,477 |
0 |
$0 |
Other
Accounts |
4 |
$1,339 |
0 |
$0 |
Abdallah
Guezour |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
6 |
$2,636 |
0 |
$0 |
Other
Accounts |
1 |
78 |
0 |
$0 |
International
Multi-Cap Value Fund | ||||
Justin
Abercrombie(1)
|
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
22 |
$9,020 |
0 |
$0 |
Other
Accounts |
24 |
$11,814 |
6 |
$3,427 |
Stephen
Langford |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
22 |
$9,020 |
0 |
$0 |
Other
Accounts |
24 |
$11,814 |
6 |
$3,427 |
David
Philpotts |
|
|
|
|
Other
Registered Investment Companies |
1 |
$10 |
0 |
$0 |
Other
Pooled Investment Vehicles |
22 |
$9,020 |
0 |
$0 |
Other
Accounts |
24 |
$11,814 |
6 |
$3,427 |
Lukas
Kamblevicius(2)
|
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
22 |
$9,020 |
0 |
$0 |
Other
Accounts |
24 |
$11,814 |
6 |
$3,427 |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS
IN
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE
(in
millions) |
International
Stock Fund | ||||
James
Gautrey |
|
|
|
|
Other
Registered Investment Companies |
3 |
$2,594 |
2 |
$23,815 |
Other
Pooled Investment Vehicles |
3 |
$1,083 |
1 |
$139 |
Other
Accounts |
13 |
$4,763 |
0 |
0 |
Simon
Webber |
|
|
|
|
Other
Registered Investment Companies |
4 |
$2,669 |
2 |
$23,815 |
Other
Pooled Investment Vehicles |
5 |
$6,258 |
1 |
$139 |
Other
Accounts |
16 |
$5,414 |
1 |
$1,82 |
Securitized
Income Fund | ||||
Michelle
Russell-Dowe |
|
|
|
|
Other
Registered Investment Companies |
6 |
$2,208
|
0 |
$0 |
Other
Pooled Investment Vehicles |
17 |
$8,675
|
0 |
$0 |
Other
Accounts |
17 |
$4,079
|
1 |
$630 |
Anthony
Breaks |
|
|
|
|
Other
Registered Investment Companies |
6 |
$2,208
|
0 |
$0 |
Other
Pooled Investment Vehicles |
17 |
$8,675
|
0 |
$0 |
Other
Accounts |
17 |
$4,079
|
1 |
$630 |
Sustainable
Core Bond Fund | ||||
Lisa
Hornby |
|
|
|
|
Other
Registered Investment Companies |
2 |
$568 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$2,327 |
0 |
$0 |
Other
Accounts |
155 |
$30,226 |
4 |
$226 |
Neil
G. Sutherland |
|
|
|
|
Other
Registered Investment Companies |
2 |
$568 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$2,327 |
0 |
$0 |
Other
Accounts |
155 |
$30,226 |
4 |
$226 |
Julio
C. Bonilla |
|
|
|
|
Other
Registered Investment Companies |
2 |
$568 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$2,327 |
0 |
$0 |
Other
Accounts |
155 |
$30,226 |
4 |
$226 |
Eric
Lau |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$2,327 |
0 |
$0 |
Other
Accounts |
155 |
$30,226 |
4 |
$226 |
Tax-Aware
Bond Fund | ||||
Lisa
Hornby |
|
|
|
|
Other
Registered Investment Companies |
2 |
$195 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$2,327 |
0 |
$0 |
Other
Accounts |
155 |
$30,226 |
4 |
$226 |
Neil
G. Sutherland |
|
|
|
|
Other
Registered Investment Companies |
2 |
$195 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$2,327 |
0 |
$0 |
Other
Accounts |
155 |
$30,226 |
4 |
$226 |
Julio
C. Bonilla |
|
|
|
|
Other
Registered Investment Companies |
2 |
$195 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$2,327 |
0 |
$0 |
Other
Accounts |
155 |
$30,226 |
4 |
$226 |
David
May |
|
|
|
|
Other
Registered Investment Companies |
1 |
$112 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$2,327 |
0 |
$0 |
Other
Accounts |
155 |
$30,226 |
4 |
$226 |
US
MidCap Opportunities Fund
| ||||
Robert
Kaynor |
|
|
|
|
Other
Registered Investment Companies |
1 |
$360 |
0 |
$0 |
Other
Pooled Investment Vehicles |
10 |
$5,671
|
0 |
$0 |
Other
Accounts |
6 |
$1,131 |
1 |
$659
|
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS
IN
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE
(in
millions) |
US
Small Cap Opportunities Fund | ||||
Robert
Kaynor |
|
|
|
|
Other
Registered Investment Companies |
1 |
$842
|
0 |
$0 |
Other
Pooled Investment Vehicles |
10 |
$5,671
|
0 |
$0 |
Other
Accounts |
5 |
$1,131
|
1 |
$659 |
Fund
|
Benchmark |
China
A Fund |
MSCI
China-A Onshore Index |
Diversified
Emerging Markets Fund |
MSCI
Emerging Markets Index (Net) |
Emerging
Markets Equity Fund
|
MSCI
Emerging Markets Index (Net Total Return) |
Emerging
Markets Multi-Sector Bond Fund
|
JP
Morgan Emerging Markets Equal Weight Index |
International
Stock Fund
|
Blend
of international benchmarks |
International
Multi-Cap Value Fund
|
MSCI
ACWI ex USA Index (Net) and MSCI ACWI ex USA Value Index
(Net) |
Securitized
Income Fund |
BofA
1-3 Year US Corporate Index |
Sustainable
Core Bond Fund |
Bloomberg
US Aggregate Bond Index |
Tax-Aware
Bond Fund
|
Performance
is measured based on the Fund achieving internal targets for
return
during the previous 12-month period |
US
MidCap Opportunities Fund
|
Russell
Midcap Index
|
US
Small Cap Opportunities Fund
|
Russell
2000 Index |
PORTFOLIO
MANAGER |
FUND(S)
SUB-ADVISED |
DOLLAR
RANGE OF EQUITY SECURITIES
BENEFICIALLY
OWNED |
Justin
Abercrombie |
International
Multi-Cap Value Fund |
None |
Julio
C. Bonilla |
Sustainable
Core Bond Fund
Tax-Aware
Bond Fund |
None
None |
Anthony
Breaks |
Securitized
Income Fund |
None |
Robert
Davy |
Emerging
Markets Equity Fund |
None |
Michelle
Russell-Dowe |
Securitized
Income Fund |
None |
Nicholas
Field |
Emerging
Markets Equity Fund |
None |
James
Gautrey |
International
Stock Fund |
None |
James
Gotto |
Emerging
Markets Equity Fund |
None |
Autumn
Graham |
Emerging
Markets Multi-Sector Bond Fund |
None |
Fernando
Grisales |
Emerging
Markets Multi-Sector Bond Fund |
$100,001
- $500,000 |
Abdallah
Guezour |
Emerging
Markets Multi-Sector Bond Fund |
None |
Waj
Hashmi |
Emerging
Markets Equity Fund |
None |
Lisa
Hornby |
Sustainable
Core Bond Fund
Tax-Aware
Bond Fund |
None
None |
Gordon
Huang |
Diversified
Emerging Markets Fund |
None |
Lukas
Kamblevicius(1)
|
International
Multi-Cap Value Fund |
None |
Robert
Kaynor |
US
MidCap Opportunities Fund
US
Small Cap Opportunities Fund |
$100,001
- $500,000
$100,001
- $500,000 |
Stephen
Langford |
International
Multi-Cap Value Fund |
None |
Jack
Lee |
China
A Fund |
None |
Eric
Lau |
Sustainable
Core Bond Fund |
None |
David
May |
Tax-Aware
Bond |
None |
David
Philpotts |
Diversified
Emerging Markets Fund
International
Multi-Cap Value Fund |
None
None |
Neil
G. Sutherland |
Sustainable
Core Bond Fund
Tax-Aware
Bond Fund |
None
None |
Simon
Webber |
International
Stock Fund |
None |
PORTFOLIO
MANAGER |
FUND(S)
SUB-ADVISED |
DOLLAR
RANGE OF EQUITY SECURITIES
BENEFICIALLY
OWNED |
Tom
Wilson |
Diversified
Emerging Markets Fund
Emerging
Markets Equity Fund |
None
None |
FUND |
2021(1)
|
2020 |
2019 |
China
A Fund |
$94,016 |
$10,807(2)
|
N/A |
Diversified
Emerging Markets
Fund |
$4,691(3)
|
N/A |
N/A |
Emerging
Markets Equity Fund
|
$3,703,958 |
$2,549,983 |
$2,076,831 |
Emerging
Markets Multi-Sector
Bond
Fund |
$186 |
$0 |
$0 |
International
Multi-Cap Value
Fund |
$1,551,054 |
$1,837,533 |
$2,111,882 |
International
Stock Fund |
$973,885 |
$276,341 |
$137,740 |
Securitized
Income Fund
|
$844 |
$49 |
$0(4)
|
Sustainable
Core Bond Fund |
$0 |
$0 |
$0 |
Tax-Aware
Bond Fund |
$12,757 |
$0 |
$0 |
US
MidCap Opportunities Fund |
$395,700 |
$617,997 |
$779,313 |
US
Small Cap Opportunities
Fund |
$252,722 |
$190,898 |
$132,981 |
FUND |
COMMISSIONS
PAID TO FIRMS FOR
RESEARCH
SERVICES* |
TOTAL
AMOUNT OF TRANSACTIONS INVOLVING
BROKERAGE
COMMISSIONS FOR RESEARCH
SERVICES |
China
A Fund |
$0 |
$0 |
Diversified
Emerging Markets
Fund |
$0 |
$0 |
Emerging
Markets Equity Fund
|
$0 |
$0 |
Emerging
Markets Multi-Sector
Bond
Fund |
$0 |
$0 |
International
Multi-Cap Value Fund |
$0 |
$0 |
International
Stock Fund |
$0 |
$0 |
Securitized
Income Fund |
$0 |
$0 |
Sustainable
Core Bond Fund |
$0 |
$0 |
Tax-Aware
Bond Fund |
$0 |
$0 |
US
MidCap Opportunities Fund |
$301,014 |
$724,989,592 |
US
Small Cap Opportunities Fund |
$174,738 |
$212,930,951 |
FUND
|
REGULAR
BROKER OR DEALER
|
AGGREGATE
VALUE
|
China
A Fund | ||
|
N/A |
N/A |
Diversified
Emerging Markets Fund | ||
|
N/A |
N/A |
Emerging
Markets Equity Fund
| ||
|
N/A |
N/A |
Emerging
Markets Multi-Sector Bond Fund | ||
|
N/A |
N/A |
International
Multi-Cap Value Fund | ||
|
Credit
Suisse Group AG |
$9,681,731 |
|
HSBC
Holdings plc |
$26,964,426 |
|
UBS
Group AG |
$15,787,037 |
FUND
|
REGULAR
BROKER OR DEALER |
AGGREGATE
VALUE |
International
Stock Fund | ||
|
N/A |
N/A |
Securitized
Income Fund | ||
|
Bank
of America Securities LLC |
$1,161,479 |
|
Citigroup,
Inc. |
$1,503,423 |
|
Credit
Suisse Group AG |
$2,247,737 |
|
J.P.
Morgan Securities, Inc. |
$4,156,942 |
|
Morgan
Stanley & Co., Inc. |
$1,147,683 |
Sustainable
Core Bond Fund
| ||
|
Bank
of America Securities LLC |
$1,631,236 |
|
Barclays
plc |
$1,467,151 |
|
BNP
Paribas |
$577,419 |
|
Citigroup,
Inc. |
$1,249,678 |
|
Goldman
Sachs & Co. |
$452,776 |
|
J.P.
Morgan Securities, Inc. |
$1,415,118 |
|
Morgan
Stanley & Co., Inc. |
$483,818 |
|
Wells
Fargo & Co. |
$890,471 |
Tax-Aware
Bond Fund | ||
|
Goldman
Sachs & Co. |
$9,267,868 |
|
HSBC
Holdings plc |
$2,017,727 |
|
J.P.
Morgan Securities, Inc. |
$13,028,793 |
US
MidCap Opportunities Fund | ||
|
N/A |
N/A |
US
Small Cap Opportunities Fund | ||
|
N/A |
N/A |
Fund |
Class
A |
Class
C |
Class
R3 |
Class
R4 |
China
A Fund |
$1,985 |
$1,130 |
N/A |
N/A |
Diversified
Emerging Markets Fund |
N/A(1)
|
N/A(1)
|
N/A |
N/A |
Emerging
Markets Equity Fund
|
$800,314 |
$85,664 |
$412 |
$13,465 |
Emerging
Markets Multi-Sector Bond Fund |
$4,235 |
$1,831 |
$99 |
$1 |
International
Multi-Cap Value Fund |
$214,696 |
$149,452 |
$74,280 |
$11,514 |
International
Stock Fund |
$529,998 |
$143,145 |
$5,577 |
$8,475 |
Securitized
Income Fund |
$4,793 |
$5,413 |
N/A |
N/A |
Sustainable
Core Bond Fund |
N/A |
N/A |
N/A(2)
|
N/A(2)
|
Tax-Aware
Bond Fund |
$157,328 |
$83,250 |
N/A |
N/A |
US
MidCap Opportunities Fund |
$233,273 |
$528,928 |
$10,084 |
$1,457 |
US
Small Cap Opportunities Fund |
$84,163 |
$86,858 |
$3,387 |
$1,059 |
AMOUNT
OF PURCHASE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
OFFERING
PRICE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
AMOUNT
INVESTED |
COMMISSION
AS
PERCENTAGE
OF OFFERING
PRICE |
Less
than $50,000
|
5.50% |
5.82% |
4.75% |
$50,000
or more but less than $100,000
|
4.50% |
4.71% |
4.00% |
$100,000
or more but less than $250,000
|
3.50% |
3.63% |
3.00% |
$250,000
or more but less than $500,000
|
2.50% |
2.56% |
2.00% |
$500,000
or more but less than $1 million
|
2.00% |
2.04% |
1.75% |
$1
million or more(1)
|
0% |
0% |
See
below |
AMOUNT
OF PURCHASE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
OFFERING
PRICE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
AMOUNT
INVESTED |
COMMISSION
AS
PERCENTAGE
OF OFFERING
PRICE |
Less
than $50,000
|
4.50% |
4.71% |
3.75% |
$50,000
or more but less than $100,000
|
4.00% |
4.17% |
3.50% |
$100,000
or more but less than $250,000
|
3.50% |
3.63% |
3.00% |
$250,000
or more but less than $500,000
|
2.50% |
2.56% |
2.00% |
$500,000
or more but less than $1 million
|
2.00% |
2.04% |
1.75% |
AMOUNT
OF PURCHASE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
OFFERING
PRICE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
AMOUNT
INVESTED |
COMMISSION
AS
PERCENTAGE
OF OFFERING
PRICE |
$1
million or more(1)
|
0% |
0% |
See
below |
AMOUNT
OF PURCHASE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
OFFERING
PRICE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
AMOUNT
INVESTED |
COMMISSION
AS
PERCENTAGE
OF OFFERING
PRICE |
Less
than $50,000
|
3.00% |
3.09% |
2.50% |
$50,000
or more but less than $100,000
|
2.50% |
2.56% |
2.00% |
$100,000
or more but less than $250,000
|
2.25% |
2.30% |
1.75% |
$250,000
or more but less than $500,000
|
1.75% |
1.78% |
1.25% |
$500,000
or more but less than $1 million
|
1.25% |
1.27% |
1.00% |
$1
million or more(1)
|
0% |
0% |
See
below |
YEAR/CLASS |
FRONT-END
SALES COMMISSIONS |
CDSC |
AMOUNT
REALLOWED |
AMOUNT
RETAINED |
2021 |
|
|
|
|
Class
A |
$1,641,446 |
$29,865 |
$1,395,760 |
$275,551 |
Class
C
|
N/A |
$2,248 |
N/A |
$2,248 |
2020 |
|
|
|
|
Class
A |
$1,011,193 |
$11,082 |
$858,595 |
$163,680 |
Class
C
|
N/A |
$7,604 |
N/A |
$7,604 |
2019 |
|
|
|
|
Class
A |
$1,290,682 |
$30,094 |
$1,097,436 |
$223,340 |
Class
C
|
N/A |
$25,976 |
N/A |
$25,976 |
FUND |
SHORT-TERM
CAPITAL LOSS CARRYFORWARD
WITH
NO EXPIRATION |
LONG-TERM
CAPITAL LOSS CARRYFORWARD
WITH
NO EXPIRATION |
Emerging
Markets Equity Fund |
$280,433,397 |
$0 |
Emerging
Markets Multi-Sector Bond Fund* |
$8,800,443 |
$3,527,679 |
International
Multi-Cap Value Fund |
$0 |
$46,178,684 |
Securitized
Income Fund |
$320,533 |
$846,715 |
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
CHINA
A FUND | |||||||||
ATTN
MUTUAL FUNDS C/O SEI PRIVATE TRUST
COMPANY
OAKS
PA
|
|
|
|
|
|
|
|
12.09% |
|
ATTN
MUTUAL FUNDS C/O SEI PRIVATE TRUST
COMPANY
OAKS
PA
|
|
|
|
|
|
|
30.48% |
|
|
CAPINCO
C/O US BANK NA
MILWAUKEE
WI
|
|
|
|
|
|
|
|
6.30% |
|
CHARLES
SCHWAB & CO INC SPECIAL CUSTODY
ACCOUNT
SAN
FRANCISCO CA
|
|
|
71.99% |
|
|
|
|
|
|
CMA
DINGLE-ERISA R/R RELIANCE TRUST CO*
ATLANTA
GA
|
|
|
|
|
|
|
|
38.50% |
|
FIFTH
THIRD BANK FBO CUST/WITTENBERG
UNIVERSITY
CINCINNATI
OH
|
|
|
|
|
|
|
56.40% |
|
|
GERLACH
& CO LLC/CITIBANK OPEN WE0
TAMPA
FL
|
18.89% |
|
|
|
|
|
|
|
|
HARTFORD
FUNDS DISTRIBUTORS
WAYNE
PA
|
24.42% |
86.18% |
|
|
|
|
5.41% |
5.58% |
|
INTERACTIVE
BROKERS LLC
GREENWICH
CT
|
|
|
|
|
|
|
7.39% |
|
|
NATIONAL
FINANCIAL SERVICES LLC FOR THE
EXCLUSIVE
BENE OF OUR CUST*
JERSEY
CITY NJ
|
43.22% |
|
|
|
|
|
|
34.82% |
|
NATIONAL
FINANICAL SERIVCES LLC FOR THE
EXCLUSIVE
BENE OF OUR CUST
JERSEY
CITY NJ
|
|
|
26.22% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
6.10% |
|
|
|
|
|
|
|
SCHRODER
US HOLDINGS INC**
NEW
YORK NY
|
|
|
|
|
|
|
|
|
100.00% |
UMB
BANK NA CUST SIMPLE IRA FBO
IRVINE
CA
|
|
7.62% |
|
|
|
|
|
|
|
DIVERSIFIED
EMERGING MARKETS FUND | |||||||||
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC*
WAYNE
PA
|
|
|
|
|
|
|
|
|
50.12% |
SCHRODER
US HOLDINGS INC**
NEW
YORK NY
|
|
|
|
|
|
|
|
|
49.86% |
EMERGING
MARKETS MULTI-SECTOR BOND FUND | |||||||||
ATTN
MUTUAL FUND OPERATIONS MAC & CO
PITTSBURGH
PA
|
|
|
|
|
|
|
97.98% |
|
|
BLUE
CROSS BLUE SHIELD OF MASSACHUSSETTS
FDN
INC BNY MELLON TTEE
BOSTON
MA
|
|
|
|
|
|
|
|
|
20.63% |
CHARLES
SCHWAB & CO INC SPECIAL CUSTODY
ACCOUNT
FOR THE BENEFIT OF CUSTOMERS
SAN
FRANCISCO CA |
16.02% |
|
|
|
|
|
|
|
|
EMPLOYEES
SECURITY FUND OF THE ELECTRICAL
PRODUCTS
INDUSTRIES PENSION
FLUSHING
NY
|
|
|
|
|
|
|
|
|
9.34% |
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
|
|
|
33.68% |
100.00% |
100.00% |
|
100.00% |
|
FBO
RJS ELECTRONICS INC 401(K) PROFIT
COLUMBUS
OH
|
|
|
|
66.32% |
|
|
|
|
|
LPL
FINANCIAL FBO CUSTOMER ACCOUNTS
SAN
DIEGO CA
|
6.14% |
|
33.97% |
|
|
|
|
|
|
[REDACTED]
TYLER
HILL PA
|
|
22.74% |
|
|
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
11.42% |
|
16.57% |
|
|
|
|
|
|
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
NATIONAL
FINANCIAL SVCS CORP LLC FOR
EXCLUSIVE
BENEFIT OF CUSTOMERS
JERSEY
CITY NJ
|
21.74% |
|
31.29% |
|
|
|
|
|
|
PENSION
HOSPTIALIZATION & BENEFIT PLAN OF THE
ELECTRICAL
INDUSTRY*
FLUSHIING
NY
|
|
|
|
|
|
|
|
|
64.46% |
PERSHING
LLC
JERSEY
CITY NJ
|
19.53% |
|
|
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
17.24% |
|
|
|
|
|
|
|
UBS
WM USA OMNI ACCOUNT M/F SPEC CDY
WEEHAWKEN
NJ |
8.65% |
53.08% |
11.74% |
|
|
|
|
|
|
VANGUARD
FIDUCIARY TRUST COMPANY
VALLEY
FORGE PA
|
|
|
|
|
|
|
|
|
5.12% |
WELLS
FARGO CLEARING SERVICES LLC SPECIAL
CUSTODY
ACCOUNT FOR THE EXCLUSIVE BENEFIT OF
CUSTOMER
SAINT
LOUIS MO
|
5.39% |
|
|
|
|
|
|
|
|
EMERGING
MARKETS EQUITY FUND | |||||||||
ATTN
MUTUAL FUNDS ADMINISTRATOR C/O UNION
BANK
SEI PRIVATE TRUST COMPANY
OAKS
PA
|
|
|
|
|
|
|
|
5.03% |
|
BAND
& CO FBO US BANK NA
MILWAUKEE
WI
|
|
|
|
|
|
|
|
6.55% |
|
FBO
C/O FASCORE LLC
GREENWOOD
VLG CO
|
|
|
|
38.23% |
|
|
|
|
|
CHARLES
SCHWAB & CO INC SPECIAL CUSTODY
ACCOUNT
FOR THE BENEFIT OF CUSTOMERS
SAN
FRANCISCO CA |
14.92% |
|
|
|
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
11.63% |
|
|
|
|
|
|
|
|
GREAT-WEST
TRUST COMPANY LLC TTEE F EMPLOYEE
BENEFITS
CLIENTS 401K
GREENWOOD
VLG CO
|
|
|
|
|
|
88.50% |
|
|
|
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
|
|
|
16.62% |
|
|
|
|
|
FBO
C/O FASCORE LLC CHATTANOOGA ALLERGY
CLINIC
PLLC
GREENWOOD
VLG CO
|
|
|
|
10.57% |
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO SEAWOLF
CONSTRUCTION
CORP 401(K) P
PITTSBURGH
PA
|
|
|
|
8.66% |
|
|
|
|
|
MLPF&S
INC*
JACKSONVILLE
FL
|
30.71% |
|
50.73% |
|
|
|
|
66.70% |
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
18.22% |
51.52% |
31.84% |
17.78% |
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC FOR THE
EXCLUSIVE
BENE OF OUR CUST
JERSEY
CITY NJ
|
9.62% |
|
|
|
|
|
91.14% |
5.15% |
|
NATIONAL
FINANCIAL SVCS CORP LLC FOR
EXCLUSIVE
BENEFIT OF CUSTOMERS
JERSEY
CITY NJ
|
|
|
|
|
|
|
|
|
58.59% |
PERSHING
LLC
JERSEY
CITY NJ
|
|
5.42% |
|
|
|
|
|
|
|
PIMS/PRUDENTIAL
RETIREMENT AS NOMINEE FOR
THE
TTEE/CUST SCHWABE WILLIAMSON & WYATT P C
PORTLAND
OR
|
|
|
|
|
99.96% |
|
|
|
|
RAYMOND
JAMES OMNIBUS FOR MUTUAL FUNDS
ST
PETERSBURG FL
|
|
8.68% |
|
|
|
|
|
|
|
FBO
C/O FASCORE LLC ALL AROUND CREATIVE
DESIGN
401K
GREENWOOD
VLG CO
|
|
|
|
7.50% |
|
|
|
|
|
TIAA,
FSB CUST/TTEE FBO GRANDFATHERED HF FOR
WHICH
TIAA ACTS AS RECORDKEEPER
SAINT
LOUIS MO |
|
|
|
|
|
7.37% |
|
|
|
UBS
WM USA OMNI ACCOUNT M/F SPEC CDY A/C
WEEHAWKEN
NJ |
|
24.52% |
6.22% |
|
|
|
|
|
|
WELLS
FARGO BANK NA FBO MULTICARE HEALTH -
SCHRODER
MMKT
MINNEAPOLIS
MN
|
|
|
|
|
|
|
|
|
6.76% |
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
WELLS
FARGO CLEARING SERVICES LLC SPECIAL
CUSTODY
ACCOUNT FOR THE EXCLUSIVE BENEFIT OF
CUSTOMER
SAINT
LOUIS MO
|
|
6.80% |
|
|
|
|
|
|
|
INTERNATIONAL
MULTI-CAP VALUE FUND | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
|
13.04% |
|
|
|
|
|
|
ATTN
MUTUAL FUNDS ADMIN C/O M&T BANK/WTC
SEI
PRIVATE TRUST COMPANY
OAKS
PA
|
|
|
|
|
|
|
|
|
9.26% |
CAPITAL
BANK & TRUST CO TTEE FBO C/O FASCORE
LLC
SCHEIBEL CONSTRUCTION 401K PSP
GREENWOOD
VLG CO
|
|
|
|
|
15.52% |
|
|
|
|
CAPITAL
BANK & TRUST COMPANY TTEE F APPLIED
UNDERWRITERS
INC RSP
GREENWOOD
VLG CO
|
|
|
|
|
14.91% |
|
|
|
|
CAPITAL
BANK & TRUST COMPANY TTEE F BERNANRD
LYONS
GADDIS AND KAHN PC
GREENWOOD
VLG CO
|
|
|
|
|
17.96% |
|
|
|
|
CHARLES
SCHWAB & CO INC SPECIAL CUSTODY
ACCOUNT
FBO CUSTOMERS
SAN
FRANCISCO CA |
|
|
|
|
|
25.51% |
27.54% |
|
|
CHARLES
SCHWAB & CO INC SPECIAL CUSTODY
ACCOUNT
FOR THE BENEFIT OF CUSTOMERS
SAN
FRANCISCO CA |
7.99% |
|
7.71% |
|
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
55.20% |
|
|
|
|
|
|
33.09% |
|
GREAT-WEST
TRUST COMPANY LLC TTEE F EMPLOYEE
BENEFITS
CLIENTS 401K
GREENWOOD
VLG CO
|
|
|
|
|
11.74% |
|
|
|
|
THE
HARTFORD GROWTH ALLOCATION FUND
WAYNE
PA
|
|
|
|
|
|
|
|
6.35% |
|
JOHN
HANCOCK TRUST COMPANY LLC
WESTWOOD
MA
|
|
|
|
|
|
18.59% |
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR NEWPORT
TRUST
COMPANY CIC SEVERANCE PAYMENT DEFER-
RAL
PLA
FOLSOM
CA
|
|
|
|
|
|
5.36% |
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR NEWPORT
TRUST
COMPANY TEXAS ROADHOUSE MANAGEMENT
CORP
DE
FOLSOM
CA
|
|
|
|
|
|
23.78% |
|
|
|
MID
ATLANTIC TRUST COMPANY FBO ST. LOUIS
CONVENTION
AND VISITORS
PITTSBURGH
PA
|
|
|
|
|
8.45% |
|
|
|
|
MLPF&S
INC
JACKSONVILLE
FL
|
|
|
5.97% |
|
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
32.13% |
8.29% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC FOR THE
EXCLUSIVE
BENE OF OUR CUST
JERSEY
CITY NJ
|
|
|
16.50% |
|
|
|
48.67% |
16.50% |
|
NATIONAL
FINANCIAL SVCS CORP LLC FOR
EXCLUSIVE
BENEFIT OF CUSTOMERS
JERSEY
CITY NJ
|
13.99% |
|
|
|
|
|
|
|
53.04% |
OLTRUST
& CO - PLANREINVESTREINVEST
EVANSVILLE
IN
|
|
|
|
|
|
17.15% |
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
|
10.98% |
|
|
|
8.34% |
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
14.89% |
|
|
|
|
|
|
|
RAYMOND
JAMES OMNIBUS FOR MUTUAL FUNDS
ST
PETERSBURG FL
|
|
21.01% |
|
|
|
|
|
|
|
RAYMOND
JAMES OMNIBUS FOR MUTUAL FUNDS
HOUSE
ACCT FIRM
ST
PETERSBURG FL |
|
|
11.41% |
|
|
|
|
|
|
SEI
PRIVATE TRUST COMPANY C/O TRUIST
OAKS
PA
|
|
|
8.70% |
|
|
|
|
|
|
TD
AMERITRADE INC FBO OUR CUSTOMERS
OMAHA
NE
|
|
|
|
|
|
|
13.14% |
|
|
THE
HARTFORD
HARTFORD
CT
|
|
|
|
|
6.66% |
|
|
|
|
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
THE
TRUST COMPANY OF TENNESSEE
KNOXVILLE
TN
|
|
|
|
|
|
|
|
24.47% |
|
UBS
WM USA OMNI ACCOUNT M/F SPEC CDY A/C
WEEHAWKEN
NJ |
|
6.72% |
7.13% |
|
|
|
|
|
|
WV
SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN
TRST
WAYNE
PA
|
|
|
|
|
|
|
|
8.25% |
|
INTERNATIONAL
STOCK FUND | |||||||||
CHARLES
SCHWAB & CO INC SPECIAL CUSTODY
ACCOUNT
FBO CUSTOMERS
SAN
FRANCISCO CA |
|
|
|
|
|
|
93.09% |
|
|
CHARLES
SCHWAB & CO INC SPECIAL CUSTODY
ACCOUNT
FOR THE BENEFIT OF CUSTOMERS
SAN
FRANCISCO CA |
14.32% |
|
|
|
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
51.03% |
|
|
|
|
|
|
97.18% |
|
GREAT-WEST
TRUST COMPANY LLC TTEE F EMPLOYEE
BENEFITS
CLIENTS 401K
GREENWOOD
VLG CO
|
|
|
|
|
5.34% |
18.99% |
|
|
|
JP
MORGAN SECURITIES LLC OMNIBUS AC FOR THE
EXCLUSIVE
BENEFIT OF CUST
BROOKLYN
NY
|
|
10.46% |
|
|
|
|
|
|
|
LPL
FINANCIAL FBO CUSTOMER ACCOUNTS
SAN
DIEGO CA
|
|
|
6.79% |
|
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR ADVISOR
TRUST,
INC. USD INDEPENDENCE (KS)
DENVER
CO
|
|
|
|
6.47% |
|
|
|
|
|
MATRIX
TRUST COMPANY CUST. FBO SUPERIOR
FOOD
BROKERAGE
DENVER
CO
|
|
|
|
11.74% |
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO DAKOTA COL-
LECTIBLES
401(K) RETIREM
PITTSBURGH
PA
|
|
|
|
5.57% |
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO EVERGREEN AIR
CONDITIONING
INC 401
PITTSBURGH
PA
|
|
|
|
5.72% |
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO VICENTE
CONSULTING
LLC 401(K) PROF
PITTSBURGH
PA
|
|
|
|
5.55% |
|
|
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF ITS CUSTOMERS
JACKSONVILLE
FL
|
|
|
|
|
|
|
|
|
6.15% |
MLPF&S
INC
JACKSONVILLE
FL
|
|
|
11.34% |
|
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
7.63% |
42.91% |
20.74% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC FOR THE
EXCLUSIVE
BENE OF OUR CUST
JERSEY
CITY NJ
|
|
|
|
|
|
6.61% |
|
|
|
NATIONAL
FINANCIAL SVCS CORP LLC FOR
EXCLUSIVE
BENEFIT OF CUSTOMERS
JERSEY
CITY NJ
|
10.18% |
|
16.03% |
|
|
|
|
|
46.61% |
PERSHING
LLC
JERSEY
CITY NJ
|
|
|
10.78% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
6.04% |
|
|
|
|
|
|
|
RAYMOND
JAMES OMNIBUS FOR MUTUAL FUNDS
ST
PETERSBURG FL
|
|
6.98% |
|
|
|
|
|
|
|
RAYMOND
JAMES OMNIBUS FOR MUTUAL FUNDS
HOUSE
ACCT FIRM
ST
PETERSBURG FL |
|
|
6.25% |
|
|
|
|
|
|
RBC
CAPITAL MARKETS, LLC MUTUAL FUND
OMNIBUS
PROCESSING
MINNEAPOLIS
MN
|
|
|
5.33% |
|
|
|
|
|
|
C/O
FASCORE DIVISION 9 ASSOCIATES INC 401K
PSP
GREENWOOD
VLG CO
|
|
|
|
6.04% |
|
|
|
|
|
STATE
STREET BANK & TRUST COMPANY TRUSTEE/
CUSTODIAN
FBO ADP ACCESS PRODUCT
BOSTON
MA
|
|
|
|
29.88% |
|
|
|
|
|
FBO
C/O FASCORE LLC INNOVATIVE 401(K) SAVINGS
PLAN
GREENWOOD
VLG CO
|
|
|
|
6.50% |
|
|
|
|
|
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
TIAA,
FSB CUST/TTEE FBO GRANDFATHERED HF FOR
WHICH
TIAA ACTS AS RECORDKEEPER
SAINT
LOUIS MO |
|
|
|
|
|
57.46% |
|
|
|
TIAA,
FSB CUST/TTEE FBO: RETIREMENT PLANS FOR
WHICH
TIAA ACTS AS RECORDKEEPER
SAINT
LOUIS MO |
|
|
|
|
|
|
|
|
12.26% |
WELLS
FARGO CLEARING SERVICES LLC SPECIAL
CUSTODY
ACCOUNT FOR THE EXCLUSIVE BENEFIT OF
CUSTOMER
SAINT
LOUIS MO
|
|
8.50% |
|
|
|
|
|
|
|
SECURITIZED
INCOME FUND | |||||||||
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
68.02% |
|
|
|
|
|
87.48% |
100.00% |
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST*
NEW
YORK NY
|
25.12% |
97.71% |
66.12% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC FOR THE
EXCLUSIVE
BENE OF OUR CUST
JERSEY
CITY NJ
|
|
|
7.79% |
|
|
|
|
|
|
NORTHERN
TRUST CO CUST FBO COLCOM FOUNDA-
TION
CHICAGO
IL
|
|
|
|
|
|
|
|
|
16.71% |
PENSION
HOSPTIALIZATION & BENEFIT PLAN OF THE
ELECTRICAL
INDUSTRY
FLUSHIING
NY
|
|
|
|
|
|
|
|
|
28.62% |
PERSHING
LLC
JERSEY
CITY NJ
|
|
|
|
|
|
|
12.27% |
|
|
SCHRODER
US HOLDINGS INC**
NEW
YORK NY
|
|
|
|
|
|
|
|
|
51.53% |
UBS
WM USA OMNI ACCOUNT M/F SPEC CDY A/C
WEEHAWKEN
NJ |
|
|
16.76% |
|
|
|
|
|
|
SUSTAINABLE
CORE BOND FUND | |||||||||
ATTN
MUTUAL FUNDS SEI PRIVATE TRUST COMPANY
OAKS
PA
|
|
|
|
|
|
|
|
|
17.92% |
CHARLES
SCHWAB & CO INC SPECIAL CUSTODY
ACCOUNT
FBO CUSTOMERS
SAN
FRANCISCO CA |
|
|
|
|
|
|
7.62% |
|
|
CITI
PRIVATE BANK
JERSEY
CITY NJ
|
|
|
|
|
|
|
|
|
15.34% |
THE
HARTFORD CONSERVATIVE ALLOCATION FUND
WAYNE
PA
|
|
|
|
|
|
|
|
37.98% |
|
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
|
|
100.00% |
100.00% |
100.00% |
100.00% |
|
|
|
THE
HARTFORD GROWTH ALLOCATION FUND
WAYNE
PA
|
|
|
|
|
|
|
|
7.17% |
|
HARTFORD
MODERATE ALLOCATION FUND
WAYNE
PA
|
|
|
|
|
|
|
|
54.83% |
|
MAC
& CO
PITTSBURGH
PA
|
|
|
|
|
|
|
11.89% |
|
|
NATIONAL
FINANCIAL SERVICES LLC FOR THE
EXCLUSIVE
BENE OF OUR CUST
JERSEY
CITY NJ
|
|
|
|
|
|
|
7.02% |
|
|
NORTHERN
TRUST COMPANY CUST FBO RIVERVIEW
FOUNDATION
CHICAGO
IL
|
|
|
|
|
|
|
23.28% |
|
|
RELIANCE
TRUST CO FBO SALEM TRUST EB R/R
ATLANTA
GA
|
|
|
|
|
|
|
|
|
23.28% |
RELIANCE
TRUST CO TTEE ADP ACCESS LARGE CAP
MARKET
401K
ATLANTA
GA
|
|
|
|
|
|
|
17.93% |
|
|
U
S BANK NA FBO ST LUKE'S HS BPP - SCHRODERS
MILWAUKEE
WI
|
|
|
|
|
|
|
|
|
31.26% |
UBS
WM USA OMNI ACCOUNT M/F SPEC CDY A/C
WEEHAWKEN
NJ |
|
|
|
|
|
|
9.15% |
|
|
US
BANK FBO JDLC FARM WRKRS PEN SCHRODERS
MILWAUKEE
WI
|
|
|
|
|
|
|
|
|
7.35% |
VANGUARD
FIDUCIARY TRUST COMPANY
VALLEY
FORGE PA
|
|
|
|
|
|
|
14.05% |
|
|
TAX-AWARE
BOND FUND | |||||||||
ABELL
RANCHES LP PARTNERSHIP
HOUSTON
TX
|
|
|
|
|
|
|
|
|
6.40% |
BAND
& CO FBO US BANK NA
MILWAUKEE
WI
|
|
|
|
|
|
|
|
|
11.12% |
C/O
ALTAZANO MGMT LLC
HOUSTON
TX
|
|
|
|
|
|
|
|
|
9.02% |
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
COLONIAL
TRUST COMPANY TTEE
CHARLESTON
SC
|
|
|
|
|
|
|
|
|
7.85% |
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
45.37% |
30.89% |
|
|
|
|
|
89.10% |
|
LPL
FINANCIAL FBO CUSTOMER ACCOUNTS
SAN
DIEGO CA
|
|
|
6.31% |
|
|
|
|
|
|
MLPF&S
INC
JACKSONVILLE
FL
|
|
|
13.85% |
|
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
8.00% |
10.71% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SVCS CORP LLC FOR
EXCLUSIVE
BENEFIT OF CUSTOMERS
JERSEY
CITY NJ
|
|
|
23.73% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
9.28% |
|
10.08% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
18.08% |
|
|
|
|
96.16% |
|
|
RAYMOND
JAMES OMNIBUS FOR MUTUAL FUNDS
ST
PETERSBURG FL
|
|
9.23% |
|
|
|
|
|
|
|
RAYMOND
JAMES OMNIBUS FOR MUTUAL FUNDS
HOUSE
ACCT FIRM
ST
PETERSBURG FL |
7.61% |
|
|
|
|
|
|
|
|
UBS
WM USAOMNI ACCOUNT M/F SPEC CDY A/C
WEEHAWKEN
NJ |
18.18% |
8.30% |
8.88% |
|
|
|
|
|
|
WASHINCO
MILWAUKEE
WI
|
|
|
|
|
|
|
|
|
43.37% |
WELLS
FARGO CLEARING SERVICES LLC SPECIAL
CUSTODY
ACCOUNT FOR THE EXCLUSIVE BENEFIT OF
CUSTOMER
SAINT
LOUIS MO
|
|
10.39% |
|
|
|
|
|
|
|
US
MIDCAP OPPORTUNITIES FUND | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC FBO
MINNEAPOLIS
MN
|
|
|
6.43% |
|
|
|
|
|
|
AMERICAN
UNITED LIFE INS CO GROUP RETIREMENT
ACCOUNT
INDIANAPOLIS
IN
|
|
|
|
|
21.87% |
|
|
|
|
ASCENSUS
TRUST CO FBO KINGHORN INSURANCE
AGENCY
OF BEAUFORT 401(K) PLAN
FARGO
ND
|
|
|
|
|
9.41% |
|
|
|
|
ASCENSUS
TRUST COMPANY FBO ANIMAL LEGAL
DEFENSE
FUND 401(K) R
FARGO
ND
|
|
|
|
|
21.72% |
|
|
|
|
ASCENSUS
TRUST COMPANY FBO COMWEB PACKAG-
ING
CORP EMPLOYEES
FARGO
ND
|
|
|
|
24.10% |
|
|
|
|
|
C/O
MISSIONSQUARE RETIREMENT CITY OF
BRADENTON
BRADENTON
FL
|
|
|
|
|
|
14.18% |
|
|
|
CAPITAL
BANK & TRUST CO FBO C/O FASCORE
AMITRON
CORPORATION 401K RP
GREENWOOD
VLG CO
|
|
|
|
12.85% |
|
|
|
|
|
CAPITAL
BANK & TRUST COMPANY TTEE F METAL TITE
PRODUCTS
GREENWOOD
VLG CO
|
|
|
|
11.38% |
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
30.68% |
|
|
|
|
|
|
87.43% |
|
JOHN
HANCOCK LIFE INSURANCE CO USA
BOSTON
MA
|
|
|
|
|
|
|
|
|
13.17% |
LPL
FINANCIAL FBO CUSTOMER ACCOUNTS
SAN
DIEGO CA
|
|
6.60% |
7.17% |
|
|
|
|
|
|
LPL
FINANCIAL OMNIBUS CUSTOMER ACCOUNT
SAN
DIEGO CA
|
6.58% |
|
|
|
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR ADVISOR
TRUST,
INC. BELLEVILLE SCHOOL DISTRICT # 118
DENVER
CO
|
|
|
|
|
10.31% |
|
|
|
|
MATRIX
TRUST COMPANY CUST FBO DARWILL, INC.
PROFIT
SHARING AND S
PHOENIX
AZ
|
|
|
|
|
|
70.56% |
|
|
|
MATRIX
TRUST COMPANY CUST FBO DARWILL, INC.
SUPPLEMENTAL
DEFERRE
PHOENIX
AZ
|
|
|
|
|
|
6.85% |
|
|
|
MLPF&S
INC JACKSONVILLE FL
|
|
|
5.44% |
|
|
|
|
|
|
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
5.55% |
20.19% |
17.99% |
6.51% |
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC FOR THE
EXCLUSIVE
BENE OF OUR CUST
JERSEY
CITY NJ
|
|
5.59% |
|
|
|
|
88.33% |
9.78% |
9.44% |
NATIONAL
FINANCIAL SVCS CORP LLC FOR
EXCLUSIVE
BENEFIT OF CUSTOMERS
JERSEY
CITY NJ
|
14.75% |
|
13.36% |
|
|
|
|
|
|
PERFECT
OUTPUT OF KANSAS CITY TTEE PERFECT
OUTPUT
LLC 401K C/O FASCORE LLC
GREENWOOD
VILLAGE CO
|
|
|
|
29.03% |
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
5.59% |
|
8.74% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
5.99% |
|
|
|
|
|
|
|
FULLER
SUPPLY COMPANY PSP C/O FASCORE LLC
GREENWOOD
VILLAGE CO
|
|
|
|
|
27.90% |
|
|
|
|
RAYMOND
JAMES OMNIBUS FOR MUTUAL FUNDS
ST
PETERSBURG FL
|
|
15.35% |
|
|
|
|
|
|
|
RAYMOND
JAMES OMNIBUS FOR MUTUAL FUNDS
HOUSE
ACCT FIRM
ST
PETERSBURG FL |
|
|
11.72% |
|
|
|
|
|
|
RELIANCE
TRUST COMPANY FBO MASSMUTUAL
REGISTERED
PRODUCT
ATLANTA
GA
|
|
|
|
|
|
|
|
|
29.30% |
VANGUARD
FIDUCIARY TRUST COMPANY
VALLEY
FORGE PA
|
|
|
|
|
|
|
|
|
12.16% |
WELLS
FARGO CLEARING SERVICES LLC SPECIAL
CUSTODY
ACCOUNT FOR THE EXCLUSIVE BENEFIT OF
CUSTOMER
SAINT
LOUIS MO
|
12.38% |
33.21% |
11.56% |
|
|
|
|
|
|
US
SMALL CAP OPPORTUNITIES FUND | |||||||||
C/O
FASCORE REDSTONE PROPERTIES INC SAFE
HARBO
GREENWOOD
VLG CO
|
|
|
|
|
|
9.07% |
|
|
|
ASCENSUS
TRUST COMPANY FBO ALLEN-SMITH
CONSULTING
RETIREMENT
FARGO
ND
|
|
|
|
13.26% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO AQUA SYSTEMS
INC
401(K) PLAN
FARGO
ND
|
|
|
|
|
21.50% |
|
|
|
|
ASCENSUS
TRUST COMPANY FBO EN2 RESOURCES
INC
401K PLAN
FARGO
ND
|
|
|
|
6.69% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO MULL GROUP
PROFIT
SHARING 401(K)
FARGO
ND
|
|
|
|
6.11% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO NEXEN TIRE
AMERICA
401(K) PLAN
FARGO
ND
|
|
|
|
15.15% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO ORMOND
CONSTRUCTION
401(K) PLAN
FARGO
ND
|
|
|
|
|
41.78% |
|
|
|
|
ASCENSUS
TRUST COMPANY FBO PRESBY 401(K)
PLAN
FARGO
ND
|
|
|
|
10.36% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO TEIKOKU PHARMA
USA
INC 401(K) PLA
FARGO
ND
|
|
|
|
|
6.40% |
|
|
|
|
ASCENSUS
TRUST COMPANY FBO ULTRAVIOLET
RESOURCES
INTERNATIONAL
FARGO
ND
|
|
|
|
8.53% |
|
|
|
|
|
CHARLES
SCHWAB & CO INC FBO CLEARING
CUSTOMERS
SAN
FRANCISCO CA
|
|
|
|
|
|
|
|
|
26.79% |
CHARLES
SCHWAB & CO INC SPECIAL CUSTODY
ACCOUNT
FBO CUSTOMERS
SAN
FRANCISCO CA |
|
|
21.56% |
|
|
|
|
|
|
FBO
C/O FASCORE LLC H & B COMMUNICATIONS INC
PSP
401K
GREENWOOD
VLG CO
|
|
|
|
|
|
10.32% |
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
29.66% |
|
|
|
|
|
|
84.34% |
|
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
FB
C/O FASCORE WINDSOR GYMNASTICS 401K
GREENWOOD
VLG CO
|
|
|
|
8.19% |
|
|
|
|
|
LPL
FINANCIAL FBO CUSTOMER ACCOUNTS
SAN
DIEGO CA
|
6.60% |
|
|
|
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR ADVISOR
TRUST,
INC. BROOKHAVEN-COMSEWOGUE UFSD
403B
DENVER
CO
|
|
|
|
|
|
11.23% |
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR ADVISOR
TRUST,
INC. EAST QUOGUE UFSD (NY) 403(B) PLAN
DENVER
CO
|
|
|
|
|
|
7.54% |
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR ADVISOR
TRUST,
INC. EASTPORT-SOUTH MANOR CSD (NY)
403B
DENVER
CO
|
|
|
|
|
|
8.36% |
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR ADVISOR
TRUST,
INC. SOUTHAMPTON PUBLIC SCHOOLS (NY)
DENVER
CO
|
|
|
|
|
|
9.61% |
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR ADVISOR
TRUST,
INC. WESTHAMPTON BEACH UFSD (NY)
403(B)
DENVER
CO
|
|
|
|
|
|
18.21% |
|
|
|
MID
ATLANTIC TRUST COMPANY FBO BOSTON
GOURMET
CHEFS INC
PITTSBURGH
PA
|
|
|
|
|
5.19% |
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO RYDELL
CHEVROLET,
INC. EMPLOYEE SA
PITTSBURGH
PA
|
|
|
|
|
18.16% |
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
5.16% |
|
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC FOR THE
EXCLUSIVE
BENE OF OUR CUST
JERSEY
CITY NJ
|
|
|
|
|
|
|
90.27% |
5.46% |
21.99% |
NATIONAL
FINANCIAL SVCS CORP LLC FOR
EXCLUSIVE
BENEFIT OF CUSTOMERS
JERSEY
CITY NJ
|
9.86% |
|
19.82% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
9.19% |
|
5.72% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
8.99% |
|
|
|
|
|
|
|
RAYMOND
JAMES OMNIBUS FOR MUTUAL FUNDS
ST
PETERSBURG FL
|
|
29.26% |
|
|
|
|
|
|
|
RAYMOND
JAMES OMNIBUS FOR MUTUAL FUNDS
HOUSE
ACCT FIRM
ST
PETERSBURG FL |
|
|
11.84% |
|
|
|
|
|
|
RELIANCE
TRUST CO FBO ABNY EB R/R
ATLANTA
GA
|
|
|
|
|
|
|
|
|
17.25% |
SAXON
& CO
CLEVELAND
OH
|
|
|
|
|
|
|
|
9.86% |
|
C/O
FASCORE DIVISION 9 ASSOCIATES INC 401K
PSP
GREENWOOD
VLG CO
|
|
|
|
5.74% |
|
|
|
|
|
TD
AMERITRADE INC FBO OUR CUSTOMERS
OMAHA
NE
|
|
|
8.34% |
|
|
|
|
|
|
UBS
WM USA OMNI ACCOUNT M/F SPEC CDY A/C
WEEHAWKEN
NJ |
6.95% |
|
|
|
|
|
|
|
|
VOYA
INSTITUTIONAL TRUST CUST FBO VOYA
INSTITUTIONAL
TRUST
WINDSOR
CT
|
|
|
|
|
|
|
|
|
28.15% |
WELLS
FARGO CLEARING SERVICES LLC SPECIAL
CUSTODY
ACCOUNT FOR THE EXCLUSIVE BENEFIT OF
CUSTOMER
SAINT
LOUIS MO
|
7.23% |
42.12% |
|
|
|
|
|
|
|