SHARE
CLASS |
GOLDMAN
SACHS FINANCIAL SQUARE FUNDSSM
| ||||
PRIME
OBLIGATIONS
FUND |
MONEY
MARKET
FUND |
TREASURY
OBLIGATIONS
FUND |
TREASURY
INSTRUMENTS
FUND |
TREASURY
SOLUTIONS
FUND | |
INSTITUTIONAL |
FPOXX |
FSMXX |
FTOXX |
FTIXX |
FEDXX |
ADMINISTRATION |
FBAXX |
FADXX |
FGAXX |
FRAXX |
FVAXX |
CAPITAL |
GCPXX |
— |
GCTXX |
GCIXX |
GCFXX |
CASH
MANAGEMENT |
— |
— |
GTOXX |
GICXX |
GFCXX |
CLASS
D |
— |
— |
— |
FRDXX |
— |
PREFERRED |
GPPXX |
GPMXX |
GPOXX |
GPIXX |
GPFXX |
PREMIER |
— |
— |
GTPXX |
GIPXX |
GFPXX |
RESOURCE |
— |
— |
GTRXX |
— |
— |
SELECT |
GSPXX |
GSMXX |
GSOXX |
GSIXX |
GSFXX |
SERVICE |
— |
FSVXX |
FYAXX |
FYSXX |
FVSXX |
SHARE
CLASS |
GOLDMAN
SACHS FINANCIAL SQUARE FUNDSSM
|
GOLDMAN
SACHS
INVESTOR
FUNDSSM
| ||
GOVERNMENT
FUND |
FEDERAL
INSTRUMENTS
FUND |
MONEY
MARKET
FUND |
TAX-EXEMPT
MONEY
MARKET
FUND | |
INSTITUTIONAL/
CLASS I |
FGTXX |
FIRXX |
FMJXX |
FTXXX |
ADMINISTRATION |
FOAXX |
FIOXX |
FMKXX |
FEAXX |
CAPITAL |
GCGXX |
FIKXX |
— |
— |
CASH
MANAGEMENT |
GVCXX |
FIWXX |
FHMXX |
— |
CLASS
A |
FSOXX |
— |
FMEXX |
FKIXX |
CLASS
C |
FSGXX |
— |
FMGXX |
FCYXX |
CLASS
D |
GSAXX |
FIDXX |
FMDXX |
— |
PREFERRED |
GPGXX |
FIHXX |
— |
GPTXX |
PREMIER |
GGPXX |
— |
— |
— |
RESOURCE |
GVRXX |
— |
— |
— |
CLASS
R6 |
FGGXX |
— |
— |
— |
SELECT |
GSGXX |
— |
— |
— |
SERVICE |
FOSXX |
FILXX |
FHSXX |
FESXX |
Name,
Address
and
Age1
|
Position(s)
Held
with
the
Trust |
Term
of
Office
and
Length
of
Time
Served2
|
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee3
|
Other
Directorships
Held
by
Trustee4
|
Gregory
G.
Weaver
Age:
72 |
Chair
of the
Board
of
Trustees |
Since
2023
(Trustee
since
2015) |
Mr.
Weaver is retired. He is Director, Verizon
Communications
Inc. (2015–Present); and was
formerly
Chairman and Chief Executive Officer,
Deloitte
& Touche LLP (a professional services firm)
(2001–2005
and 2012–2014); and Member of the
Board
of Directors, Deloitte & Touche LLP
(2006–2012).
Chair
of the Board of Trustees—Goldman Sachs
Trust;
Goldman Sachs Variable Insurance Trust;
Goldman
Sachs Trust II; Goldman Sachs ETF Trust;
Goldman
Sachs ETF Trust II; and Goldman Sachs
Real
Estate Diversified Income Fund. |
180 |
Verizon
Communications
Inc. |
Cheryl
K.
Beebe
Age:
68 |
Trustee |
Since
2024 |
Ms.
Beebe is retired. She is Director, Packaging
Corporation
of America (2008–Present); Director, The
Mosaic
Company (2019–Present); Director,
HanesBrands
Inc. (2020–Present); and was formerly
Director,
Convergys Corporation (a global leader in
customer
experience outsourcing) (2015–2018); and
formerly
held the position of Executive Vice
President,
(2010–2014); and Chief Financial Officer,
Ingredion,
Inc. (a leading global ingredient solutions
company)
(2004–2014).
Trustee—Goldman
Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II;
Goldman
Sachs ETF Trust; Goldman Sachs ETF Trust
II;
and Goldman Sachs Real Estate Diversified
Income
Fund. |
180 |
Packaging
Corporation
of
America
(producer
of
container
board);
The
Mosaic
Company
(producer
of
phosphate
and
potash
fertilizer);
HanesBrands
Inc.
(a
multinational
clothing
company) |
Name,
Address
and
Age1 |
Position(s)
Held
with
the
Trust |
Term
of
Office
and
Length
of
Time
Served2 |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee3 |
Other
Directorships
Held
by
Trustee4 |
Dwight
L.
Bush
Age:
67 |
Trustee |
Since
2020 |
The
Honorable Dwight Bush is President and CEO of
D.L.
Bush & Associates (a financial advisory and
private
investment firm) (2002–2014 and
2017–present);
Director of MoneyLion, Inc. (an
operator
of a data-driven, digital financial platform)
(2021–present);
and was formerly U.S. Ambassador to
the
Kingdom of Morocco (2014–2017) and a Member
of
the Board of Directors of Santander Bank, N.A.
(2018–2019).
Previously, he served as an Advisory
Board
Member of Goldman Sachs Trust and Goldman
Sachs
Variable Insurance Trust (October
2019–January
2020).
Trustee—Goldman
Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II;
Goldman
Sachs ETF Trust; Goldman Sachs ETF Trust
II;
and Goldman Sachs Real Estate Diversified
Income
Fund. |
180 |
MoneyLion,
Inc.
(an
operator of a
data-driven,
digital
financial
platform) |
Kathryn
A.
Cassidy
Age:
70 |
Trustee |
Since
2015 |
Ms.
Cassidy is retired. She is Director, Vertical
Aerospace
Ltd. (an aerospace and technology
company)
(2021–present). Formerly, Ms. Cassidy was
Advisor
to the Chairman (May 2014–December
2014);
and Senior Vice President and Treasurer
(2008–2014),
General Electric Company & General
Electric
Capital Corporation (technology and financial
services
companies).
Trustee—Goldman
Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II;
Goldman
Sachs ETF Trust; Goldman Sachs ETF Trust
II;
and Goldman Sachs Real Estate Diversified
Income
Fund. |
180 |
Vertical
Aerospace
Ltd.
(an
aerospace
and
technology
company) |
John
G. Chou
Age:
67 |
Trustee |
Since
2022 |
Mr.
Chou is retired. Formerly, he was Executive Vice
President
and Special Advisor to the Chairman and
CEO
(2021–2022); Executive Vice President and
Chief
Legal Officer (2019–2021); Executive Vice
President
and Chief Legal & Business Officer
(2017–2019);
and Executive Vice President and
General
Counsel (2011–2017) of Cencora, Inc. (a
pharmaceutical
and healthcare company).
Trustee—Goldman
Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II;
Goldman
Sachs ETF Trust; Goldman Sachs ETF Trust
II;
and Goldman Sachs Real Estate Diversified
Income
Fund. |
180 |
None |
Name,
Address
and
Age1 |
Position(s)
Held
with
the
Trust |
Term
of
Office
and
Length
of
Time
Served2 |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee3 |
Other
Directorships
Held
by
Trustee4 |
Joaquin
Delgado
Age:
64 |
Trustee |
Since
2020 |
Dr.
Delgado is retired. He is Director, Stepan
Company
(a specialty chemical manufacturer)
(2011–present);
and was formerly Director,
Hexion
Inc. (a specialty chemical manufacturer)
(2019–2022);
Executive Vice President, Consumer
Business
Group of 3M Company (July 2016–July
2019);
and Executive Vice President, Health Care
Business
Group of 3M Company (October 2012–July
2016).
Previously, Dr. Delgado served as an Advisory
Board
Member of Goldman Sachs Trust and Goldman
Sachs
Variable Insurance Trust (October 2019–
January
2020).
Trustee—Goldman
Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II;
Goldman
Sachs ETF Trust; Goldman Sachs ETF Trust
II;
and Goldman Sachs Real Estate Diversified
Income
Fund. |
180 |
Stepan
Company
(a
specialty
chemical
manufacturer) |
Eileen
H.
Dowling
Age:
61 |
Trustee |
Since
2021 |
Ms.
Dowling is retired. Formerly, she was Senior
Advisor
(April 2021–September 2021); and Managing
Director
(2013–2021), BlackRock, Inc. (a financial
services
firm). As Managing Director, she held senior
management
positions, including Global Head of
Global
Consultant Relations (2017–2021),
Multinational
Corporations (2019–2021), the
Institutional
Product Group (2015–2019) and
Institutional
Marketing (2013–2016). Ms. Dowling
was
a member of the Global Operating Committee and
Product
Executive Committee on BlackRock.
Trustee—Goldman
Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II;
Goldman
Sachs ETF Trust; Goldman Sachs ETF Trust
II;
and Goldman Sachs Real Estate Diversified
Income
Fund. |
180 |
None |
Lawrence
Hughes
Age:
65 |
Trustee |
Since
2024 |
Mr.
Hughes is retired. Formerly, he held senior
management
positions with BNY Mellon Wealth
Management,
a division of The Bank of New York
Mellon
Corporation (a financial services company)
(1991–2015),
most recently as Chief Executive
Officer
(2010–2015). Previously, Mr. Hughes served
as
an Advisory Board Member of Goldman Sachs
Trust
II (February 2016–April 2016).
Trustee—Goldman
Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II;
Goldman
Sachs ETF Trust; Goldman Sachs ETF Trust
II;
and Goldman Sachs Real Estate Diversified
Income
Fund. |
180 |
None |
Name,
Address
and
Age1 |
Position(s)
Held
with
the
Trust |
Term
of
Office
and
Length
of
Time
Served2 |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee3 |
Other
Directorships
Held
by
Trustee4 |
John
F. Killian
Age:
69 |
Trustee |
Since
2024 |
Mr.
Killian is retired. He is Director, Consolidated
Edison,
Inc. (2007–Present); and was formerly
Director,
Houghton Mifflin Harcourt Publishing
Company
(2011–2022). Previously, he held senior
management
positions with Verizon
Communications,
Inc., including Executive Vice
President
and Chief Financial Officer (2009–2010);
and
President, Verizon Business, Verizon
Communications,
Inc. (2005–2009).
Trustee—Goldman
Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II;
Goldman
Sachs ETF Trust; Goldman Sachs ETF Trust
II;
and Goldman Sachs Real Estate Diversified
Income
Fund. |
180 |
Consolidated
Edison,
Inc. (a
utility
holding
company) |
Steven
D.
Krichmar
Age:
65 |
Trustee |
Since
2024 |
Mr.
Krichmar is retired. Formerly, he held senior
management
and governance positions with Putnam
Investments,
LLC, a financial services company
(2001–2016).
He was most recently Chief of
Operations
and a member of the Operating Committee
of
Putnam Investments, LLC and Principal Financial
Officer
of The Putnam Funds. Previously, Mr.
Krichmar
served as an Audit Partner with
PricewaterhouseCoopers
LLP and its predecessor
company
(1990–2001).
Trustee—Goldman
Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II;
Goldman
Sachs ETF Trust; Goldman Sachs ETF Trust
II;
and Goldman Sachs Real Estate Diversified
Income
Fund. |
180 |
None |
Michael
Latham
Age:
58 |
Trustee |
Since
2024 |
Mr.
Latham is retired. Formerly, he held senior
management
positions with the iShares
exchange-traded
fund business owned by
BlackRock,
Inc., including Chairman (2011–2014);
Global
Head (2010–2011); U.S. Head (2007–2010);
and
Chief Operating Officer (2003–2007).
Trustee—Goldman
Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II;
Goldman
Sachs ETF Trust; Goldman Sachs ETF Trust
II;
Goldman Sachs Real Estate Diversified
Income
Fund; and Goldman Sachs Credit
Income
Fund. |
181 |
None |
Name,
Address
and
Age1 |
Position(s)
Held
with
the
Trust |
Term
of
Office
and
Length
of
Time
Served2 |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee3 |
Other
Directorships
Held
by
Trustee4 |
Lawrence
W.
Stranghoener
Age:
69 |
Trustee |
Since
2024 |
Mr.
Stranghoener is retired. He is Chairman,
Kennametal,
Inc. (a global manufacturer and
distributor
of tooling and industrial materials)
(2003–Present);
and was formerly Director, Aleris
Corporation
and Aleris International, Inc. (a producer
of
aluminum rolled products) (2011–2020); Interim
Chief
Executive Officer (2014) and Executive Vice
President
and Chief Financial Officer (2004–2014),
Mosaic
Company (a fertilizer manufacturing
company).
Trustee—Goldman
Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II;
Goldman
Sachs ETF Trust; Goldman Sachs ETF Trust
II;
and Goldman Sachs Real Estate Diversified
Income
Fund.
Chair
of the Board of Trustees—Goldman Sachs
Credit
Income Fund. |
181 |
Kennametal,
Inc.
(a
global
manufacturer
and
distributor of
tooling
and
industrial |
Paul
C. Wirth
Age:
66 |
Trustee |
Since
2022 |
Mr.
Wirth is retired. He is Executive Advisor, My Next
Season
LLC (a career transition advisory firm)
(2023–present).
Formerly, he was Deputy Chief
Financial
Officer and Principal Accounting Officer
(2011–2020);
Finance Director and Principal
Accounting
Officer (2010–2011); and Managing
Director,
Global Controller, and Chief Accounting
Officer
(2005–2010) of Morgan Stanley.
Trustee—Goldman
Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II;
Goldman
Sachs ETF Trust; Goldman Sachs ETF Trust
II;
and Goldman Sachs Real Estate Diversified
Income
Fund. |
180 |
None
|
Name,
Address
and
Age1
|
Position(s)
Held
with
the
Trust |
Term
of
Office
and
Length
of
Time
Served2
|
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee3
|
Other
Directorships
Held
by
Trustee4
|
James
A.
McNamara*
Age:
61 |
President
and
Trustee |
Since
2007 |
Advisory
Director, Goldman Sachs (January
2018–Present);
Managing Director, Goldman Sachs
(January
2000–December 2017); Director of
Institutional
Fund Sales, GSAM (April
1998–December
2000); and Senior Vice President and
Manager,
Dreyfus Institutional Service Corporation
(January
1993–April 1998).
President
and Trustee—Goldman Sachs Trust;
Goldman
Sachs Variable Insurance Trust; Goldman
Sachs
Trust II; Goldman Sachs ETF Trust; Goldman
Sachs
ETF Trust II; Goldman Sachs Credit
Income
Fund; and Goldman Sachs Real Estate
Diversified
Income Fund. |
181 |
None |
Name,
Age
and
Address |
Position(s)
Held
with
the Trust |
Term
of Office and
Length
of Time
Served1
|
Principal
Occupation(s) During Past 5 Years |
James
A. McNamara
200
West Street
New
York, NY 10282
Age:
61 |
Trustee
and
President |
Since
2007 |
Advisory
Director, Goldman Sachs (January 2018 – Present);
Managing
Director, Goldman Sachs (January 2000 – December 2017);
Director
of Institutional Fund Sales, GSAM (April 1998 –
December 2000);
and Senior Vice President and Manager, Dreyfus
Institutional
Service Corporation (January 1993 – April 1998).
President
and Trustee—Goldman Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II; Goldman
Sachs
ETF Trust; Goldman Sachs ETF Trust II; Goldman Sachs Credit
Income
Fund; and Goldman Sachs Real Estate Diversified
Income
Fund. |
Joseph
F. DiMaria
30
Hudson Street
Jersey
City, NJ 07302
Age:
54 |
Treasurer,
Principal
Financial
Officer
and
Principal
Accounting
Officer |
Since
2017
(Treasurer
and
Principal
Financial
Officer
since
2019) |
Managing
Director, Goldman Sachs (November 2015 – Present) and
Vice
President – Mutual Fund Administration, Columbia Management
Investment
Advisers, LLC (May 2010 – October 2015).
Treasurer,
Principal Financial Officer and Principal Accounting
Officer—Goldman
Sachs Trust (previously Assistant Treasurer
(2016));
Goldman Sachs Variable Insurance Trust (previously Assistant
Treasurer
(2016)); Goldman Sachs Trust II (previously Assistant
Treasurer
(2017)); Goldman Sachs ETF Trust (previously Assistant
Treasurer
(2017)); Goldman Sachs ETF Trust II; Goldman Sachs
Credit
Income Fund; and Goldman Sachs Real Estate Diversified
Income
Fund. |
Jessica
Moran
200
West Street
New
York, NY 10282
Age:
39 |
Chief
Compliance
Officer |
Since
2013 |
Vice
President, Goldman Sachs (April 2017 – Present).
Chief
Compliance Officer—Goldman Sachs Trust; Goldman Sachs
Variable
Insurance Trust; Goldman Sachs Trust II; Goldman
Sachs
ETF Trust; Goldman Sachs ETF Trust II; and Goldman Sachs
Real
Estate Diversified Income Fund. |
Peter
W. Fortner
30
Hudson Street
Jersey
City, NJ 07302
Age:
66 |
Assistant
Treasurer |
Since
2000 |
Vice
President, Goldman Sachs (July 2000 – Present); Principal
Accounting
Officer and Treasurer, Commerce Bank Mutual Fund
Complex
(2008 – Present); Treasurer of Goldman Sachs
Philanthropy
Fund (2019 – Present); and Treasurer of Ayco Charitable
Foundation
(2020 – Present).
Assistant
Treasurer—Goldman Sachs Trust; Goldman Sachs Variable
Insurance
Trust; Goldman Sachs Trust II; Goldman Sachs ETF Trust;
Goldman
Sachs ETF Trust II; Goldman Sachs Credit Income Fund;
and
Goldman Sachs Real Estate Diversified Income
Fund. |
Name,
Age
and
Address |
Position(s)
Held
with
the Trust |
Term
of Office and
Length
of Time
Served1 |
Principal
Occupation(s) During Past 5 Years |
Allison
Fracchiolla
30
Hudson Street
Jersey
City, NJ 07302
Age:
40 |
Assistant
Treasurer |
Since
2014 |
Vice
President, Goldman Sachs (January 2013 – Present).
Assistant
Treasurer—Goldman Sachs Trust; Goldman Sachs Variable
Insurance
Trust; Goldman Sachs Trust II; Goldman Sachs ETF Trust;
Goldman
Sachs ETF Trust II; and Goldman Sachs Real Estate
Diversified
Income Fund. |
Kirsten
Frivold Imohiosen
200
West Street
New
York, NY 10282
Age:
53 |
Assistant
Treasurer |
Since
2019 |
Managing
Director, Goldman Sachs (January 2018 – Present); and
Vice
President, Goldman Sachs (May 1999 – December 2017).
Assistant
Treasurer—Goldman Sachs Trust; Goldman Sachs Variable
Insurance
Trust; Goldman Sachs Trust II; Goldman Sachs BDC, Inc.;
Goldman
Sachs Private Middle Market Credit LLC; Goldman Sachs
Private
Middle Market Credit II LLC; Goldman Sachs Middle Market
Lending
Corp.; Goldman Sachs ETF Trust; Goldman Sachs ETF Trust
II;
Goldman Sachs Credit Income Fund; and Goldman Sachs Real
Estate
Diversified Income Fund. |
Steven
Z. Indich
30
Hudson Street
Jersey
City, NJ 07302
Age:
54 |
Assistant
Treasurer |
Since
2019 |
Vice
President, Goldman Sachs (February 2010 – Present).
Assistant
Treasurer—Goldman Sachs Trust; Goldman Sachs Variable
Insurance
Trust; Goldman Sachs Trust II; Goldman Sachs BDC, Inc.;
Goldman
Sachs Private Middle Market Credit LLC; Goldman Sachs
Private
Middle Market Credit II LLC; Goldman Sachs Middle Market
Lending
Corp.; Goldman Sachs ETF Trust; Goldman Sachs ETF Trust
II;
Goldman Sachs Credit Income Fund; and Goldman Sachs Real
Estate
Diversified Income Fund. |
Elaine
Leung
30
Hudson Street
Jersey
City, NJ
07302
Age:
49 |
Assistant
Treasurer |
Since
2023 |
Vice
President, Goldman Sachs (January 2021 – Present); and
Associate,
Goldman Sachs (March 2014 – December 2020).
Assistant
Treasurer—Goldman Sachs Trust; Goldman Sachs Variable
Insurance
Trust; Goldman Sachs Trust II; Goldman Sachs ETF Trust;
Goldman
Sachs ETF Trust II; and Goldman Sachs Real Estate
Diversified
Income Fund. |
Carol
Liu
30
Hudson Street
Jersey
City, NJ 07302
Age:
49 |
Assistant
Treasurer |
Since
2019 |
Vice
President, Goldman Sachs (October 2017 – Present); Tax
Director,
The Raine Group LLC (August 2015 – October 2017); and
Tax
Director, Icon Investments LLC (January 2012 – August 2015).
Assistant
Treasurer—Goldman Sachs Trust; Goldman Sachs Variable
Insurance
Trust; Goldman Sachs Trust II; Goldman Sachs BDC, Inc.;
Goldman
Sachs Private Middle Market Credit LLC; Goldman Sachs
Private
Middle Market Credit II LLC; Goldman Sachs Middle Market
Lending
Corp.; Goldman Sachs ETF Trust; Goldman Sachs ETF Trust
II;
Goldman Sachs Credit Income Fund; and Goldman Sachs Real
Estate
Diversified Income Fund. |
Christopher
Bradford
200
West Street
New
York, NY 10282
Age:
42 |
Vice
President |
Since
2020 |
Vice
President, Goldman Sachs (January 2014 – Present).
Vice
President—Goldman Sachs Trust; Goldman Sachs Variable
Insurance
Trust; Goldman Sachs Trust II; Goldman Sachs ETF Trust;
Goldman
Sachs ETF Trust II; Goldman Sachs Real Estate Diversified
Income
Fund; and Goldman Sachs Credit Income
Fund. |
Name,
Age
and
Address |
Position(s)
Held
with
the Trust |
Term
of Office and
Length
of Time
Served1 |
Principal
Occupation(s) During Past 5 Years |
Kenneth
Cawley
71
South Wacker Drive
Chicago,
IL 60606
Age:
54 |
Vice
President |
Since
2021 |
Managing
Director, Goldman Sachs (2017 – Present), Vice President
(December
1999 – 2017); Associate (December 1996 – December
1999);
Associate, Discover Financial (August 1994 – December 1996).
Vice
President—Goldman Sachs Trust; Goldman Sachs Variable
Insurance
Trust; and Goldman Sachs Trust II. |
Anney
Chi
200
West Street
New
York, NY 10282
Age:
40 |
Vice
President |
Since
2022 |
Vice
President, Goldman Sachs (2014 – Present).
Vice
President—Goldman Sachs Trust; Goldman Sachs Variable
Insurance
Trust; Goldman Sachs Trust II; Goldman Sachs ETF Trust;
Goldman
Sachs ETF Trust II; and Goldman Sachs Real Estate
Diversified
Income Fund. |
TP
Enders
200
West Street
New
York, NY 10282
Age:
55 |
Vice
President |
Since
2021 |
Managing
Director, Goldman Sachs (January 2012 – Present); Vice
President,
Goldman Sachs (April 2004 – December 2011).
Vice
President—Goldman Sachs Trust; Goldman Sachs Variable
Insurance
Trust; Goldman Sachs Trust II; Goldman Sachs ETF Trust;
Goldman
Sachs ETF Trust II; Goldman Sachs Credit Income Fund;
and
Goldman Sachs Real Estate Diversified Income
Fund. |
Frank
Murphy
200
West Street
New
York, NY 10282
Age:
49 |
Vice
President |
Since
2019 |
Managing
Director, Goldman Sachs (2015 – Present); Vice President,
Goldman
Sachs (2003 – 2014); Associate, Goldman Sachs (2001 –
2002);
and Analyst, Goldman Sachs (1999 – 2001).
Vice
President—Goldman Sachs Trust; and Goldman Sachs Variable
Insurance
Trust. |
Caroline
L. Kraus
200
West Street
New
York, NY 10282
Age:
46 |
Chief
Legal
Officer |
Since
2012 |
Managing
Director, Goldman Sachs (January 2016 – Present); Vice
President,
Goldman Sachs (August 2006 – December 2015); Senior
Counsel,
Goldman Sachs (January 2020 – Present); Associate General
Counsel,
Goldman Sachs (2012 – December 2019); Assistant General
Counsel,
Goldman Sachs (August 2006 – December 2011); and
Associate,
Weil, Gotshal & Manges, LLP (2002 – 2006).
Chief
Legal Officer—Goldman Sachs Trust; Goldman Sachs Variable
Insurance
Trust; Goldman Sachs Trust II; Goldman Sachs ETF Trust;
Goldman
Sachs ETF Trust II; Goldman Sachs Real Estate Diversified
Income
Fund; Goldman Sachs BDC, Inc.; Goldman Sachs Private
Middle
Market Credit LLC; Goldman Sachs Private Middle Market
Credit
II LLC; Goldman Sachs Private Credit Corp.; Phillip Street
Middle
Market Lending Fund LLC; and Goldman Sachs Middle
Market
Lending Corp. II.
Secretary—Goldman
Sachs BDC, Inc.; Goldman Sachs Private Middle
Market
Credit LLC; Goldman Sachs Private Middle Market Credit II
LLC;
Goldman Sachs Private Credit Corp.; Phillip Street Middle
Market
Lending Fund LLC; Goldman Sachs Middle Market Lending
Corp.
II; and Goldman Sachs Credit Income
Fund. |
Name,
Age
and
Address |
Position(s)
Held
with
the Trust |
Term
of Office and
Length
of Time
Served1 |
Principal
Occupation(s) During Past 5 Years |
Robert
Griffith
200
West Street
New
York, NY 10282
Age:
49 |
Secretary |
Since
2022 |
Managing
Director, Goldman Sachs (September 2022 – Present);
General
Counsel, Exchange Traded Concepts, LLC (October 2021 –
September
2022); Vice President, Goldman Sachs (August 2011 –
October
2021); Associate General Counsel, Goldman Sachs
(December
2014 – Present); Assistant General Counsel, Goldman
Sachs
(August 2011 – December 2014); Vice President and Counsel,
Nomura
Holding America, Inc. (2010 – 2011); and Associate, Simpson
Thacher
& Bartlett LLP (2005 – 2010).
Secretary—Goldman
Sachs Trust (previously Assistant Secretary
(2022));
Goldman Sachs Variable Insurance Trust (previously Assistant
Secretary
(2022)); Goldman Sachs Trust II (previously Assistant
Secretary
(2022)); Goldman Sachs ETF Trust (previously Assistant
Secretary
(2022)); Goldman Sachs ETF Trust II (previously Assistant
Secretary
(2022)); and Goldman Sachs Real Estate Diversified
Income
Fund (previously Assistant Secretary (2022)). |
Shaun
Cullinan
200
West Street
New
York, NY 10282
Age:
44 |
Assistant
Secretary |
Since
2018 |
Managing
Director, Goldman Sachs (2018 – Present); Vice President,
Goldman
Sachs (2009 – 2017); Associate, Goldman Sachs (2006 –
2008);
Analyst, Goldman Sachs (2004 – 2005).
Assistant
Secretary—Goldman Sachs Trust; Goldman Sachs Variable
Insurance
Trust; and Goldman Sachs Trust II. |
Shane
Shannon
200
West Street
New
York, NY 10282
Age:
37 |
Assistant
Secretary |
Since
2023 |
Vice
President, Goldman Sachs (December 2021 – Present); Associate,
K&L
Gates LLP (2014 – 2021).
Assistant
Secretary—Goldman Sachs Trust; Goldman Sachs Variable
Insurance
Trust; Goldman Sachs Trust II; Goldman Sachs ETF Trust;
Goldman
Sachs ETF Trust II; and Goldman Sachs Real Estate
Diversified
Income Fund. |
Name
of Trustee |
Dollar
Range of Equity Securities
in
the
Funds(1)
|
Aggregate
Dollar Range of Equity Securities in
All
Portfolios in Fund Complex Overseen By
Trustee |
Gregory
G. Weaver |
None |
Over
$100,000 |
Cheryl
K. Beebe(2) |
None |
Over
$100,000 |
Dwight
L. Bush |
None |
Over
$100,000 |
Kathryn
A. Cassidy |
Financial
Square Money
Market
Fund: Under $10,000 |
Over
$100,000 |
John
G. Chou |
None |
Over
$100,000 |
Joaquin
Delgado |
None |
Over
$100,000 |
Eileen
H. Dowling |
Investor
Tax-Exempt Money
Market
Fund: Over $100,000 |
Over
$100,000 |
Lawrence
Hughes(2) |
None |
Over
$100,000 |
John
F. Killian(2) |
Financial
Square Treasury
Obligations
Fund: $50,001 -
$100,000 |
Over
$100,000 |
Steven
D. Krichmar(2) |
None |
Over
$100,000 |
Michael
Latham(2)
|
None |
Over
$100,000 |
Lawrence
W. Stranghoener(2)
|
None |
Over
$100,000 |
Paul
C. Wirth |
None |
Over
$100,000 |
James
A. McNamara |
Financial
Square Treasury
Solutions
Fund:
Over
$100,000 |
Over
$100,000 |
Financial
Square Funds |
Investor
Funds | ||||||||
Name
of Trustee |
Prime
Obligations
Fund |
Money
Market
Fund |
Treasury
Obligations
Fund |
Treasury
Instruments
Fund |
Treasury
Solutions
Fund |
Government
Fund |
Federal
Instruments
Fund |
Money
Market
Fund |
Tax-Exempt
Money
Market
Fund |
Gregory
G. Weaver(1) |
$4,567 |
$4,705 |
$14,720 |
$25,238 |
$7,690 |
$67,429 |
$5,102 |
$5,730 |
$4,390 |
Cheryl
K. Beebe(2) |
— |
— |
— |
— |
— |
— |
— |
— |
— |
Dwight
L. Bush |
3,231 |
3,342 |
10,415 |
17,937 |
5,453 |
47,731 |
3,604 |
4,043 |
3,110 |
Kathryn
A. Cassidy(3) |
3,663 |
3,778 |
11,806 |
20,267 |
6,171 |
54,086 |
4,090 |
4,592 |
3,522 |
John
G. Chou |
3,231 |
3,342 |
10,415 |
17,937 |
5,453 |
47,731 |
3,604 |
4,043 |
3,110 |
Joaquin
Delgado |
3,231 |
3,342 |
10,415 |
17,937 |
5,453 |
47,731 |
3,604 |
4,043 |
3,110 |
Eileen
H. Dowling |
3,231 |
3,342 |
10,415 |
17,937 |
5,453 |
47,731 |
3,604 |
4,043 |
3,110 |
John
F. Killian(2) |
— |
— |
— |
— |
— |
— |
— |
— |
— |
Steven
D. Krichmar(2) |
— |
— |
— |
— |
— |
— |
— |
— |
— |
Michael
Latham(2)
|
— |
— |
— |
— |
— |
— |
— |
— |
— |
Lawrence
W.
Stranghoener(2) |
— |
— |
— |
— |
— |
— |
— |
— |
— |
Paul
C. Wirth |
3,231 |
3,342 |
10,415 |
17,937 |
5,453 |
47,731 |
3,604 |
4,043 |
3,110 |
James
A. McNamara(4) |
– |
– |
– |
– |
– |
– |
– |
– |
– |
Name
of Trustee |
Pension
or Retirement
Benefits
Accrued as Part
of
the Trust’s Expenses |
Total
Compensation
From
Fund Complex
(including
the Funds)* |
Gregory
G. Weaver(1) |
$0 |
$518,250 |
Cheryl
K. Beebe(2) |
0 |
360,000 |
Dwight
L. Bush |
0 |
367,000 |
Kathryn
A. Cassidy(3) |
0 |
415,750 |
John
G. Chou |
0 |
367,000 |
Joaquin
Delgado |
0 |
367,000 |
Eileen
H. Dowling |
0 |
367,000 |
Lawrence
Hughes(2) |
0 |
285,000 |
John
F. Killian(2) |
0 |
285,000 |
Steven
D. Krichmar(2) |
0 |
285,000 |
Michael
Latham(2)
|
0 |
320,000 |
Lawrence
W. Stranghoener(2) |
0 |
285,000 |
Paul
C. Wirth |
0 |
367,000 |
James
A. McNamara(4) |
0 |
– |
Fund |
Contractual
Rate |
Fiscal
Year ended
November
30, 2023* |
Financial
Square Prime Obligations Fund |
0.16% |
0.16% |
Financial
Square Money Market Fund |
0.16% |
0.16% |
Financial
Square Treasury Obligations Fund |
0.18% |
0.18% |
Financial
Square Treasury Instruments Fund |
0.18% |
0.18% |
Financial
Square Treasury Solutions Fund |
0.18% |
0.18% |
Financial
Square Government Fund |
0.16% |
0.16% |
Financial
Square Federal Instruments Fund |
0.18% |
0.18% |
Investor
Money Market Fund |
0.16% |
0.16% |
Investor
Tax-Exempt Money Market Fund |
0.16% |
0.16% |
|
Fiscal
Year Ended
November
30, 2023 |
Fiscal
Year Ended
November
30, 2022 |
Fiscal
Year Ended
November
30, 2021 | |||
Fund |
With
Fee
Waiver |
Without
Fee
Waiver |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver** |
Without
Fee
Waiver |
Financial
Square
Prime
Obligations
Fund |
$4,614 |
$4,614 |
$2,208 |
$2,271 |
$2,117 |
$2,889 |
Financial
Square
Money
Market
Fund |
4,804 |
4,804 |
6,364 |
6,712 |
3,314 |
5,770 |
Financial
Square
Treasury
Obligations
Fund |
78,596 |
78,596 |
54,022 |
60,586 |
19,961 |
62,254 |
Financial
Square
Treasury
Instruments
Fund |
157,031 |
157,031 |
152,892 |
181,005 |
59,401 |
163,933 |
Financial
Square
Treasury
Solutions
Fund |
26,857 |
26,857 |
19,007 |
21,943 |
8,733 |
20,072 |
Financial
Square
Government
Fund |
402,917 |
402,917 |
297,975 |
354,116 |
114,669 |
310,149 |
Financial
Square
Federal
Instruments
Fund |
9,383 |
11,428 |
4,815 |
5,592 |
2,315 |
5,322 |
Investor
Money
Market
Fund |
12,186 |
12,186 |
4,660 |
4,755 |
1,689 |
2,718 |
Investor
Tax-Exempt
Money
Market Fund |
3,325 |
3,325 |
2,827 |
3,191 |
453 |
2,353 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Government Fund |
$2,177 |
$57,947 |
$2,069 |
Investor
Money Market Fund |
0 |
426 |
0 |
Investor
Tax-Exempt Money Market Fund |
0 |
91 |
0 |
|
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 | |||
Fund |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver** |
Without
Fee
Waiver |
With
Fee
Waiver |
Without
Fee
Waiver |
Financial
Square Prime Obligations |
|
|
|
|
|
|
Institutional
Shares |
$285,638 |
$286,638 |
$116,413 |
$135,104 |
$53,367 |
$170,011 |
Administration
Shares |
642 |
642 |
523 |
621 |
1,052 |
2,251 |
Service
Shares |
- |
- |
- |
1 |
- |
- |
Preferred
Shares |
44 |
44 |
|
0 |
68 |
138 |
Select
Shares |
1260 |
1260 |
2,154 |
2,288 |
818 |
2,103 |
Capital
Shares |
41 |
41 |
51 |
67 |
22 |
91 |
Cash
Management Shares |
- |
- |
0 |
0 |
0 |
0 |
Premier
Shares |
- |
- |
0 |
0 |
0 |
0 |
Resource
Shares |
- |
- |
0 |
0 |
0 |
0 |
Financial
Square Money Market |
|
|
|
|
|
|
Institutional
Shares |
$299,632 |
$299,632 |
$331,433 |
$419,121 |
$19,045 |
$359,785 |
Administration
Shares |
270 |
270 |
68 |
199 |
23 |
328 |
Service
Shares |
0.27 |
0.27 |
- |
- |
- |
- |
Preferred
Shares |
7 |
7 |
6 |
7 |
0.34 |
7 |
Select
Shares |
386 |
386 |
155 |
220 |
11 |
229 |
Capital
Shares |
- |
- |
0 |
0 |
54 |
311 |
Cash
Management Shares |
- |
- |
0 |
0 |
0 |
0 |
Premier
Shares |
- |
- |
0 |
0 |
0 |
0 |
Resource
Shares |
- |
- |
0 |
0 |
0 |
0 |
Financial
Square Treasury Obligations |
|
|
|
|
|
|
Institutional
Shares |
$3,800,665 |
$3,800,665 |
$2,220,914 |
$2,788,532 |
$
- |
$2,944,563 |
Administration
Shares |
206,405 |
206,405 |
206,351 |
281,694 |
- |
288,408 |
Service
Shares |
156,631 |
156,631 |
123,320 |
171,321 |
- |
116,990 |
Preferred
Shares |
96,884 |
96,884 |
42,707 |
57,226 |
- |
46,513 |
Select
Shares |
12,437 |
12,437 |
10,539 |
12,205 |
- |
18,356 |
Capital
Shares |
88,326 |
88,326 |
36,757 |
48,354 |
- |
39,222 |
Cash
Management Shares |
2,379 |
2,379 |
2,875 |
4,025 |
- |
3,559.16 |
Premier
Shares |
1,474 |
1,474 |
1,477 |
1,845 |
- |
1,230.82 |
Resource
Shares |
1,694 |
1,694 |
- |
- |
- |
- |
Financial
Square Treasury Instruments |
|
|
|
|
|
|
Institutional
Shares |
8,181,312 |
8,181,312 |
7,072,892 |
9,536,692 |
0.02 |
8,741,522 |
|
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 | |||
Fund |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver** |
Without
Fee
Waiver |
With
Fee
Waiver |
Without
Fee
Waiver |
Administration
Shares |
222,096 |
222,096 |
173,752 |
234,574 |
0.01 |
181,453 |
Service
Shares |
71,742 |
71,742 |
86,603 |
118,673 |
- |
60,592 |
Preferred
Shares |
8,762 |
8,762 |
4,690 |
6,448 |
- |
10,715 |
Select
Shares |
42,381 |
42,381 |
28,838 |
34,154 |
- |
20,059 |
Capital
Shares |
92,733 |
92,733 |
64,605 |
86,406 |
- |
74,871 |
Cash
Management Shares |
3,259 |
3,259 |
666 |
992 |
- |
1,204 |
Premier
Shares |
35,307 |
35,307 |
14,448 |
19,358 |
- |
15,550 |
Resource
Shares |
- |
- |
0 |
0 |
0 |
0 |
Class
D Shares**** |
2,769 |
2,769 |
- |
- |
- |
- |
Financial
Square Treasury Solutions |
|
|
|
|
|
|
Institutional
Shares |
1,327,684 |
1,327,684 |
798,045 |
1,045,526 |
- |
981,679.84 |
Administration
Shares |
79,761 |
79,761 |
65,238 |
81,640 |
- |
39,594.06 |
Service
Shares |
21,670 |
21,670 |
10,651 |
16,587 |
- |
22,562.37 |
Preferred
Shares |
5,525 |
5,525 |
4,220 |
5,832 |
- |
5,708.90 |
Select
Shares |
673 |
673 |
508 |
655 |
- |
570.43 |
Capital
Shares |
19,004 |
19,004 |
13,935 |
20,532 |
- |
23,069.59 |
Cash
Management Shares |
28,395 |
28,395 |
26,223 |
38,059 |
- |
33,416.51 |
Premier
Shares |
9,517 |
9,517 |
7,080 |
10,368 |
- |
8,604.86 |
Resource
Shares |
- |
- |
0 |
0 |
0 |
0 |
Financial
Square Government |
|
|
|
|
|
|
Institutional
Shares |
21,825,541 |
21,825,541 |
13,977,322 |
18,924,062 |
- |
17,547,292 |
Administration
Shares |
936,046 |
936,046 |
585,194 |
812,833 |
- |
664,629 |
Service
Shares |
140,520 |
140,520 |
83,209 |
108,339 |
- |
90,840 |
Preferred
Shares |
192,722 |
192,722 |
99,405 |
128,215 |
- |
95,302 |
Select
Shares |
137,937 |
137,937 |
69,927 |
89,650 |
- |
72,500 |
Capital
Shares |
291,053 |
291,053 |
195,019 |
244,613 |
29,699 |
29,699 |
Cash
Management Shares |
31,907 |
31,907 |
20,355 |
28,036 |
- |
29,750 |
Premier
Shares |
17,643 |
17,643 |
602,875 |
986,782 |
- |
228,608 |
Class
R6 Shares |
29,182 |
29,182 |
436 |
580 |
- |
20,057 |
Resource
Shares |
857 |
857 |
683 |
938 |
- |
7,128 |
Class
A Shares |
153,818 |
153,818 |
35,007 |
51,277 |
- |
39,332 |
Class
C Shares |
570 |
570 |
19,611 |
27,651 |
- |
528.10 |
Class
D Shares*** |
0 |
7,271 |
0 |
0 |
- |
- |
Financial
Square Federal Instruments |
|
|
|
|
|
|
Institutional
Shares |
486,830 |
486,830 |
211,986 |
282,821 |
$14,653 |
$287,804 |
Administration
Shares |
13,834 |
13,834 |
4,544 |
5,813 |
286 |
5,957 |
Service
Shares |
3,572 |
3,572 |
738 |
984 |
42 |
993 |
Preferred
Shares |
14,796 |
14,796 |
12,058 |
12,142 |
25 |
357 |
Select
Shares |
3 |
3 |
3 |
4 |
0.16 |
4 |
Capital
Shares |
9 |
9 |
29 |
41.44 |
2 |
52 |
Premier
Shares |
3 |
3 |
3 |
4 |
0.16 |
4 |
Cash
Management Shares |
0 |
1,465 |
6,074 |
8,893 |
297 |
10,079 |
Class
D Shares***** |
793 |
793 |
- |
- |
- |
- |
Investor
Money Market |
|
|
|
|
|
|
Class
I Shares |
616,286 |
616,286 |
$238,901 |
$262,998 |
$31,883 |
$138,583 |
|
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 | |||
Fund |
With
Fee
Waiver* |
Without
Fee
Waiver |
With
Fee
Waiver** |
Without
Fee
Waiver |
With
Fee
Waiver |
Without
Fee
Waiver |
Administration
Shares |
23,531 |
23,531 |
6,906 |
7,583 |
728 |
3,678 |
Service
Shares |
4,956 |
4,956 |
3,515 |
4,217 |
1,133 |
4,468 |
Cash
Management Shares |
3,581 |
3,581 |
2,539 |
3,500 |
1,081 |
6,197 |
Class
D Shares**** |
390 |
390 |
- |
- |
- |
- |
Resource
Shares |
1 |
1 |
0 |
0 |
0 |
0 |
Class
A Shares |
0 |
112,932 |
3 |
4 |
4,645 |
16,942 |
Class
C Shares |
2 |
2 |
16,548 |
18,896 |
1 |
4 |
Investor
Tax-Exempt Money Market |
|
|
|
|
|
|
Class
I Shares |
203,065 |
203,065 |
151,1312 |
196,314 |
- |
$145,751 |
Administration
Shares |
945 |
945 |
1,541 |
1,685 |
- |
29 |
Service
Shares |
42 |
42 |
59 |
81 |
- |
83 |
Preferred
Shares |
36 |
36 |
10 |
13 |
- |
15 |
Select
Shares |
0 |
0 |
0 |
0 |
0 |
0 |
Capital
Shares |
0 |
0 |
0 |
0 |
0 |
0 |
Cash
Management Shares |
0 |
0 |
0 |
0 |
0 |
0 |
Premier
Shares |
0 |
0 |
0 |
0 |
0 |
0 |
Resource
Shares |
- |
- |
0 |
0 |
- |
236 |
Class
A Shares |
3,731 |
3,731 |
1,124 |
1,360 |
- |
977 |
Class
C Shares |
2 |
2 |
0 |
0 |
- |
1 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund |
$224 |
$519 |
$304 |
Financial
Square Money Market Fund |
- |
153 |
60 |
Financial
Square Treasury Obligations Fund |
- |
- |
- |
Financial
Square Treasury Instruments Fund |
- |
- |
- |
Financial
Square Treasury Solutions Fund |
- |
- |
- |
Financial
Square Government Fund |
- |
- |
- |
Financial
Square Federal Instruments Fund |
- |
119 |
42 |
Investor
Money Market Fund |
416 |
609 |
269 |
Investor
Tax-Exempt Money Market Fund |
211 |
550 |
267 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund |
$0 |
$0 |
$0 |
Financial
Square Money Market Fund |
0 |
0 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
Financial
Square Treasury Instruments Fund |
0 |
0 |
0 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
0 |
Financial
Square Government Fund |
0 |
0 |
0 |
Financial
Square Federal Instruments Fund |
0 |
0 |
0 |
Investor
Money Market Fund |
0 |
0 |
0 |
Investor
Tax-Exempt Money Market Fund |
0 |
0 |
0 |
Fund |
Broker/Dealer |
Amount |
Financial
Square Prime Obligations Fund |
Morgan
Stanley & Co. LLC |
$110,000 |
Financial
Square Prime Obligations Fund |
J.P.
Morgan Securities LLC |
68,031 |
Financial
Square Prime Obligations Fund |
UBS
Securities LLC |
31,314 |
Financial
Square Prime Obligations Fund |
BofA
Securities, Inc. |
81,420 |
Financial
Square Money Market Fund |
Morgan
Stanley & Co. LLC |
105,000 |
Financial
Square Money Market Fund |
J.P.
Morgan Securities LLC |
64,110 |
Financial
Square Money Market Fund |
UBS
Securities LLC |
4,106 |
Financial
Square Money Market Fund |
BofA
Securities, Inc. |
79,843 |
Financial
Square Government Fund |
Morgan
Stanley & Co. LLC |
9,460,000 |
Financial
Square Government Fund |
J.P.
Morgan Securities LLC |
2,611,000 |
Financial
Square Government Fund |
BofA
Securities, Inc. |
4,123,000 |
Financial
Square Treasury Obligations Fund |
BofA
Securities, Inc. |
100,000 |
Investor
Money Market Fund |
Morgan
Stanley & Co. LLC |
325,000 |
Investor
Money Market Fund |
RBC
Capital Markets, LLC |
431,772 |
Investor
Money Market Fund |
J.P.
Morgan Securities LLC |
69,214 |
Investor
Money Market Fund |
UBS
Securities LLC |
140,864 |
Investor
Money Market Fund |
BofA
Securities, Inc. |
232,823 |
Investor
Tax-Exempt Money Market Fund |
RBC
Capital Markets, LLC |
9,915 |
Investor
Tax-Exempt Money Market Fund |
J.P.
Morgan Securities LLC |
77,385 |
Fund |
Capital
Loss
Carryforward |
Expiration |
Financial
Square Federal Instruments Fund |
$(493,410) |
Short-term |
Financial
Square Government Fund |
$(41,163,646) |
Perpetual
Short-term |
Financial
Square Money Market Fund |
$(7,334,912) |
Perpetual
Short-term |
Fund |
Capital
Loss
Carryforward |
Expiration |
Financial
Square Treasury Instruments Fund |
$(45,933,266) |
Perpetual
Short-term |
$(1,319,453) |
Perpetual
Long-term | |
Financial
Square Treasury Solutions Fund |
$(1,071,449) |
Perpetual
Short-term |
Type
of Information |
When
Available Upon Request |
Portfolio
Characteristics Information
(Except
for Aggregate Liquidity
Classification
Information) |
Prior
to 15 Business Days After Month-End:
Cannot disclose without (i) a
confidentiality
agreement; (ii) an agreement not to trade on the basis of non-public
information
in violation of the federal securities laws; and (iii) legal or compliance
approval. |
15
Business Days After Month-End:
May disclose to (i) shareholders and (ii) any
non-shareholder
whose request satisfies and/or serves a legitimate business purpose for
the
applicable Fund. | |
Aggregate
Liquidity Classification
Information |
Prior
to 90 Calendar Days After Month-End:
Cannot disclose without (i) a
confidentiality
agreement; (ii) an agreement not to trade on the basis of non-public
information
in violation of the federal securities laws; and (iii) legal or compliance
approval. |
90
Calendar Days After Month-End:
May disclose to (i) shareholders and (ii) any
non-shareholder
whose request satisfies and/or serves a legitimate business purpose for
the
applicable Fund. |
CUSIP |
Issuer
/ Issue |
Coupon |
Maturity
Date |
Purchase
Price
(Fair
Market Value) |
Total
Purchase
Amount |
20272AN44 |
COMMONWEALTH
BANK OF
AUSTRALIA |
2.08 |
09/24/2020 |
$99.651 |
$55,304,342 |
2332K4JY1 |
DNB
BANK ASA |
1.83 |
07/22/2020 |
$99.837 |
$84,969,590 |
51500VLZ0 |
LANDESBANK
HESSEN-THUERINGEN
GIROZENTRALE |
1.61 |
02/24/2021 |
$100.328 |
$43,119,649 |
60683BYZ0 |
MITSUBISHI
UFJ TRUST AND BANKING
CORPORATION |
0.85 |
06/17/2020 |
$99.866 |
$71,908,814 |
60710AHR6 |
MIZUHO
BANK, LTD-NEW YORK
BRANCH |
1.22 |
08/7/2020 |
$99.838 |
$134,831,793 |
60710AHZ8 |
MIZUHO
BANK, LTD-NEW YORK
BRANCH |
0.85 |
05/14/2020 |
$99.969 |
$94,979,924 |
63873N2A8 |
NATIXIS-NEW
YORK BRANCH |
1.67 |
06/5/2020 |
$100 |
$39,026,944 |
65558TUZ6 |
NORDEA
BANK ABP-NEW YORK
BRANCH |
1.51 |
02/25/2021 |
$100.237 |
$128,331,950 |
83050PCF4 |
SKANDINAVISKA
ENSKILDA BANKEN
AB
(PUBL) |
1.85 |
07/20/2020 |
$99.846 |
$69,892,307 |
CUSIP |
Issuer
/ Issue |
Coupon |
Maturity
Date |
Purchase
Price
(Fair
Market Value) |
Total
Purchase
Amount |
22532XLV8 |
CREDIT
AGRICOLE CORPORATE AND
INVESTMENT
BANK |
2.14 |
10/09/2020 |
$100.055 |
$25,123,494 |
51500VJE0 |
LANDESBANK
HESSEN-THUERINGEN
GIROZENTRALE |
2.00 |
04/06/2020 |
$100.060 |
$30,018,032 |
60710AG22 |
MIZUHO
BANK, LTD. |
1.93 |
05/01/2020 |
$100.102 |
$70,611,531 |
63376DBD6 |
NATIONAL
BANK OF KUWAIT S.A.K.P |
1.81 |
06/17/2020 |
$100.049 |
$42,211,901 |
65602VSC1 |
NORINCHUKIN
BANK (THE) |
2.05 |
04/08/2020 |
$100.067 |
$65,679,931 |
65602VZS8 |
NORINCHUKIN
BANK (THE) |
1.45 |
08/28/2020 |
$100.017 |
$20,022,783 |
69033MMZ7 |
OVERSEA-CHINESE
BANKING
CORPORATION
LIMITED |
1.62 |
08/20/2020 |
$99.982 |
$60,073,042 |
78014XCU9 |
ROYAL
BANK OF CANADA |
0.48 |
06/12/2020 |
$99.697 |
$44,875,932 |
85325V3L2 |
STANDARD
CHARTERED BANK-NEW
YORK
BRANCH |
1.94 |
10/13/2020 |
$99.526 |
$49,951,496 |
85325V3S7 |
STANDARD
CHARTERED BANK-NEW
YORK
BRANCH |
1.20 |
02/08/2021 |
$99.413 |
$84,540,302 |
86565B2H3 |
SUMITOMO
MITSUI BANKING
CORPORATION |
1.65 |
05/05/2020 |
$100.032 |
$60,068,369 |
86565BV81 |
SUMITOMO
MITSUI BANKING
CORPORATION |
1.96 |
04/13/2020 |
$100.067 |
$125,934,954 |
86564F4E0 |
SUMITOMO
MITSUI TRUST BANK,
LIMITED |
1.90 |
07/09/2020 |
$99.786 |
$50,088,113
|
CUSIP |
Issuer
/ Issue |
Coupon |
Maturity
Date |
Purchase
Price
(Fair
Market Value) |
Total
Purchase
Amount |
20272AN44 |
COMMONWEALTH
BANK OF AUSTRALIA |
2.08 |
09/24/2020 |
$99.651 |
$21,136,617 |
2332K4JY1 |
DNB
BANK ASA |
1.83 |
07/22/2020 |
$99.837 |
$39,985,689 |
60683BYZ0 |
MITSUBISHI
UFJ TRUST AND BANKING
CORPORATION |
0.85 |
06/17/2020 |
$99.866 |
$29,962,006 |
60710AHR6 |
MIZUHO
BANK, LTD-NEW YORK BRANCH |
1.22 |
08/7/2020 |
$99.838 |
$39,950,161 |
60710AHZ8 |
MIZUHO
BANK, LTD-NEW YORK BRANCH |
0.85 |
05/14/2020 |
$99.969 |
$39,991,547 |
63873N2A8 |
NATIXIS-NEW
YORK BRANCH |
1.67 |
06/5/2020 |
$100 |
$25,017,272 |
65558TUZ6 |
NORDEA
BANK ABP-NEW YORK BRANCH |
1.51 |
02/25/2021 |
$100.237 |
$65,219,521 |
83050PCF4 |
SKANDINAVISKA
ENSKILDA BANKEN AB
(PUBL) |
1.85 |
07/20/2020 |
$99.846 |
$39,938,461 |
CUSIP |
Issuer
/ Issue |
Coupon |
Maturity
Date |
Purchase
Price
(Fair
Market Value) |
Total
Purchase
Amount |
78014XCU9 |
ROYAL
BANK OF CANADA |
0.48 |
06/12/2020 |
$99.697 |
$19,944,859 |
85325V3L2 |
STANDARD
CHARTERED BANK-NEW
YORK
BRANCH |
1.94 |
10/13/2020 |
$99.526 |
$39,961,197 |
86565B2H3 |
SUMITOMO
MITSUI BANKING
CORPORATION |
1.65 |
05/05/2020 |
$100.032 |
$30,034,184 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund |
$16,053 |
$15,517 |
$56,256 |
Financial
Square Money Market Fund |
6,745 |
4,987 |
8,198 |
Financial
Square Treasury Obligations Fund |
5,159,595 |
7,041,632 |
7,209,590 |
Financial
Square Treasury Instruments Fund |
5,551,840 |
5,863,765 |
4,535,926 |
Financial
Square Government Fund |
23,398,750 |
20,318,206 |
16,613,858 |
Financial
Square Federal Instruments Fund |
345,815 |
145,322 |
148,927 |
Financial
Square Treasury Solutions Fund |
1,993,813 |
2,040,781 |
989,773 |
Investor
Money Market Fund |
588,225 |
189,566 |
91,940 |
Investor
Tax-Exempt Money Market Fund |
23,628 |
42,121 |
763 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund |
$0 |
$3,846 |
$0 |
Financial
Square Money Market Fund |
0 |
1,162 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
2,042,836 |
0 |
Financial
Square Treasury Instruments Fund |
0 |
1,872,506 |
1 |
Financial
Square Government Fund |
0 |
6,122,265 |
0 |
Financial
Square Federal Instruments Fund |
0 |
36,904 |
0 |
Financial
Square Treasury Solutions Fund |
0 |
476,902 |
0 |
Investor
Money Market Fund |
0 |
27,806 |
0 |
Investor
Tax-Exempt Money Market Fund |
0 |
5,544 |
0 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund |
$439 |
$15 |
$1,375 |
Financial
Square Money Market Fund |
68 |
66 |
66 |
Financial
Square Treasury Obligations Fund |
968,729 |
572,201 |
465,085 |
Financial
Square Treasury Instruments Fund |
87,615 |
64,473 |
107,142 |
Financial
Square Government Fund |
1,927,009 |
1,281,979 |
952,901 |
Financial
Square Federal Instruments Fund |
147,947 |
121,408 |
3,569 |
Financial
Square Treasury Solutions Fund |
55,239 |
58,313 |
57,085 |
Investor
Tax-Exempt Money Market Fund |
359 |
137 |
154 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund |
$0 |
$4 |
$0 |
Financial
Square Money Market Fund |
0 |
16 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
150,904 |
1 |
Financial
Square Treasury Instruments Fund |
0 |
18,913 |
0 |
Financial
Square Government Fund |
0 |
300,832 |
4 |
Financial
Square Federal Instruments Fund |
0 |
924 |
1 |
Financial
Square Treasury Solutions Fund |
0 |
17,492 |
0 |
Investor
Tax-Exempt Money Market Fund |
0 |
31 |
1 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund* |
$4 |
$51 |
$36 |
Financial
Square Money Market Fund |
15 |
15 |
15 |
Financial
Square Treasury Obligations Fund |
7,830,728 |
8,565,178 |
5,848,987 |
Financial
Square Treasury Instruments Fund |
3,586,740 |
5,933,050 |
3,029,316 |
Financial
Square Government Fund |
7,025,291 |
5,416,235 |
4,541,514 |
Financial
Square Federal Instruments Fund |
178,594 |
49,162 |
49,665 |
Financial
Square Treasury Solutions Fund |
1,083,407 |
829,286 |
1,128,023 |
Investor
Money Market Fund |
247,775 |
210,837 |
223,406 |
Investor
Tax-Exempt Money Market Fund |
2,076 |
4,088 |
4,164 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund* |
$0 |
$48 |
$0 |
Financial
Square Money Market Fund |
0 |
5 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Treasury Instruments Fund |
0 |
2,298,120 |
0 |
Financial
Square Government Fund |
0 |
1,646,352 |
0 |
Financial
Square Federal Instruments Fund |
0 |
0 |
0 |
Financial
Square Treasury Solutions Fund |
0 |
366,640 |
0 |
Investor
Money Market Fund |
0 |
0 |
0 |
Investor
Tax-Exempt Money Market Fund |
0 |
0 |
0 |
|
Compensation
to
Dealers |
Compensation
and
Expenses
of the
Distributor
and
Its Sales
Personnel |
Allocable
Overhead,
Telephone
and
Travel
Expenses |
Printing
and
Mailing
of
Prospectuses
to
Other
Than
Current
Shareholders |
Preparation
and
Distribution
of
Sales
Literature
and
Advertising |
Totals** |
Financial
Square
Prime
Obligations
Fund* |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
Financial
Square
Money
Market
Fund |
0 |
0 |
0 |
0 |
0 |
0 |
Financial
Square
Treasury
Obligations
Fund |
0 |
90,771 |
46,023 |
2,942 |
6,742 |
146,478 |
Financial
Square
Treasury
Instruments
Fund |
0 |
23,424 |
12,004 |
767 |
1,758 |
37,953 |
Financial
Square
Government
Fund |
0 |
77,175 |
39,157 |
2,503 |
5,736 |
124,571 |
Financial
Square
Federal
Instruments
Fund |
0 |
3,106 |
1,578 |
101 |
231 |
5016 |
|
Compensation
to
Dealers |
Compensation
and
Expenses
of the
Distributor
and
Its Sales
Personnel |
Allocable
Overhead,
Telephone
and
Travel
Expenses |
Printing
and
Mailing
of
Prospectuses
to
Other
Than
Current
Shareholders |
Preparation
and
Distribution
of
Sales
Literature
and
Advertising |
Totals** |
Financial
Square
Treasury
Solutions
Fund |
0 |
34,160 |
17,347 |
1,109 |
2,541 |
55,156 |
Investor
Money
Market
Fund |
0 |
620 |
311 |
20 |
46 |
996 |
Investor
Tax-Exempt
Money
Market
Fund |
0 |
2 |
1 |
0 |
0 |
3 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund |
$3,780 |
$6,863 |
$6,307 |
Financial
Square Money Market Fund |
1,158 |
660 |
687 |
Financial
Square Treasury Obligations Fund |
37,307 |
39,610 |
55,062 |
Financial
Square Treasury Instruments Fund |
130,128 |
102,451 |
60,172 |
Financial
Square Government Fund |
413,762 |
268,909 |
217,472 |
Financial
Square Federal Instruments Fund* |
9 |
15 |
15 |
Financial
Square Treasury Solutions Fund |
2,019 |
1,965 |
1,712 |
Investor
Tax-Exempt Money Market Fund |
0 |
0 |
0 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund |
$0 |
$0 |
$0 |
Financial
Square Money Market Fund |
0 |
0 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
Financial
Square Treasury Instruments Fund |
0 |
0 |
0 |
Financial
Square Government Fund |
0 |
0 |
0 |
Financial
Square Federal Instruments Fund* |
0 |
0 |
0 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
0 |
Investor
Tax-Exempt Money Market Fund |
0 |
0 |
0 |
Fund |
Fiscal
year ended
November
30, 2023 |
Fiscal
year ended
November
30, 2022 |
Fiscal
year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund |
$619 |
$994 |
$1,368 |
Financial
Square Money Market Fund* |
0 |
0 |
4,658 |
Financial
Square Treasury Obligations Fund |
1,324,758 |
725,247 |
588,289 |
Financial
Square Treasury Instruments Fund |
1,390,853 |
1,295,960 |
1,122,974 |
Financial
Square Government Fund |
4,365,734 |
3,668,738 |
1,899,755 |
Financial
Square Federal Instruments Fund |
129 |
626 |
800 |
Financial
Square Treasury Solutions Fund |
285,028 |
307,941 |
346,016 |
Investor
Tax-Exempt Money Market Fund |
0 |
0 |
0 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund |
$0 |
$0 |
$0 |
Financial
Square Money Market Fund* |
0 |
0 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
Financial
Square Treasury Instruments Fund |
0 |
0 |
0 |
Financial
Square Government Fund |
0 |
0 |
0 |
Financial
Square Federal Instruments Fund |
0 |
0 |
0 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
0 |
Investor
Tax-Exempt Money Market Fund |
0 |
0 |
0 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund* |
$2 |
$4 |
$4 |
Financial
Square Money Market Fund* |
2 |
4 |
4 |
Financial
Square Treasury Obligations Fund |
51,585 |
64,580 |
43,075 |
Financial
Square Treasury Instruments Fund |
1,235,621 |
677,464 |
544,200 |
Financial
Square Government Fund |
617,455 |
34,533,018 |
8,000,262 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Federal Instruments Fund* |
114 |
183 |
183 |
Financial
Square Treasury Solutions Fund |
333,049 |
362,840 |
301,139 |
Investor
Tax-Exempt Money Market Fund |
4 |
4 |
4 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund* |
$0 |
$0 |
$0 |
Financial
Square Money Market Fund* |
0 |
0 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
3 |
3 |
Financial
Square Treasury Instruments Fund |
0 |
0 |
0 |
Financial
Square Government Fund |
0 |
0 |
0 |
Financial
Square Federal Instruments Fund* |
0 |
1 |
1 |
Financial
Square Treasury Solutions Fund |
0 |
0 |
0 |
Investor
Tax-Exempt Money Market Fund |
0 |
0 |
0 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square
Government
Fund |
$3,845,063 |
$1,281,749 |
$983,183 |
Investor
Money
Market
Fund |
2,823,020 |
472,352 |
423,506 |
Investor
Tax-Exempt
Money
Market Fund |
93,254 |
34,005 |
24,428 |
|
Compensation
to
Dealers |
Compensation
and
Expenses
of
the
Distributor
and
Its Sales
Personnel |
Allocable
Overhead,
Telephone
and
Travel
Expenses |
Printing
and
Mailing
of
Prospectuses
to
Other
Than
Current
Shareholders |
Preparation
and
Distribution
of
Sales
Literature
and
Advertising |
Totals |
Financial
Square
Government
Fund |
$3,845,998 |
$1,999,069 |
$491,052 |
$31,392 |
$71,931 |
$6,439,442 |
Investor
Money
Market
Fund |
2,831,292 |
721,674 |
297,813 |
19,039 |
43,625 |
3,913,443 |
Investor
Tax-Exempt
Money
Market
Fund |
93674 |
18,076 |
7,504 |
480 |
1,099 |
120,833
|
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 202 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square
Government
Fund |
56,984 |
57,947 |
52,809 |
Investor
Money
Market
Fund |
190 |
426 |
391 |
Investor
Tax-Exempt
Money
Market Fund |
163 |
91 |
151 |
|
Compensation
to
Dealers |
Compensation
and
Expenses
of
the
Distributor
and
Its
Sales
Personnel |
Allocable
Overhead,
Telephone
and
Travel
Expenses |
Printing
and
Mailing
of
Prospectuses
to
Other
Than
Current
Shareholders |
Preparation
and
Distribution
of
Sales
Literature
and
Advertising |
Totals |
Financial
Square
Government
Fund |
$35,402 |
$1,928 |
$825 |
$53 |
$121 |
$37,969 |
Investor
Money
Market
Fund |
76 |
0 |
0 |
0 |
0 |
76 |
Investor
Tax-Exempt
Money
Market
Fund |
0 |
0 |
0 |
0 |
0 |
0 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund* |
$2 |
$4 |
$4 |
Financial
Square Money Market Fund* |
2 |
4 |
4 |
Financial
Square Treasury Obligations Fund |
0 |
201,225 |
106,768 |
Financial
Square Treasury Instruments Fund |
0 |
49,573 |
36,110 |
Financial
Square Government Fund |
957,112 |
1,401,606 |
892,391 |
Financial
Square Federal Instruments Fund |
43,937 |
444,593 |
302,337 |
Financial
Square Treasury Solutions Fund |
851,754 |
1,902,763 |
1,002,410 |
Investor
Money Market Fund |
107,424 |
174,997 |
185,895 |
Investor
Tax-Exempt Money Market Fund |
4 |
10 |
4 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund* |
$0 |
$1 |
$0 |
Financial
Square Money Market Fund* |
0 |
1 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
39,033 |
0 |
Financial
Square Treasury Instruments Fund |
0 |
12,585 |
0 |
Financial
Square Government Fund |
0 |
256,842 |
0 |
Financial
Square Federal Instruments Fund |
0 |
104,181 |
0 |
Financial
Square Treasury Solutions Fund |
0 |
418,489 |
0 |
Investor
Money Market Fund |
0 |
39,974 |
0 |
Investor
Tax-Exempt Money Market Fund |
0 |
2 |
0 |
|
Compensation
to
Dealers |
Compensation
and
Expenses
of
the
Distributor
and
Its
Sales
Personnel |
Allocable
Overhead,
Telephone
and
Travel
Expenses |
Printing
and
Mailing
of
Prospectuses
to
Other
Than
Current
Shareholders |
Preparation
and
Distribution
of
Sales
Literature
and
Advertising |
Totals** |
Financial
Square
Prime
Obligations
Fund* |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
Financial
Square
Money
Market
Fund* |
0 |
0 |
0 |
0 |
0 |
0 |
Financial
Square
Treasury
Obligations
Fund |
68,443 |
3,908 |
1,471 |
94 |
215 |
74,130 |
Financial
Square
Treasury
Instruments
Fund |
99,578 |
6,602 |
2,933 |
188 |
430 |
109,730 |
Financial
Square
Government
Fund |
948,436 |
64,607 |
32,814 |
2,098 |
4,807 |
1,052,762 |
Financial
Square
Federal
Instruments
Fund |
42,382 |
1,727 |
863 |
55 |
126 |
45,154 |
Financial
Square
Treasury
Solutions
Fund |
851,295 |
3,269 |
1,919 |
123 |
281 |
856,887 |
Investor
Money
Market
Fund |
109,517 |
3,731 |
1,128 |
72 |
165 |
114,614 |
Investor
Tax-Exempt
Money
Market
Fund |
6 |
0 |
0 |
0 |
0 |
6 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund* |
$0 |
$0 |
$0 |
Financial
Square Money Market Fund* |
0 |
0 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
Financial
Square Treasury Instruments Fund* |
0 |
0 |
0 |
Financial
Square Government Fund |
12,847 |
14,070 |
106,908 |
Financial
Square Treasury Solutions Fund* |
0 |
0 |
0 |
Investor
Money Market Fund* |
0 |
15 |
15 |
Investor
Tax-Exempt Money Market Fund* |
0 |
0 |
3,541 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund* |
$0 |
$0 |
$0 |
Financial
Square Money Market Fund* |
0 |
0 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
Financial
Square Treasury Instruments Fund* |
0 |
0 |
0 |
Financial
Square Government Fund |
0 |
4,021 |
0 |
Financial
Square Treasury Solutions Fund* |
0 |
0 |
0 |
Investor
Money Market Fund* |
0 |
4 |
0 |
Investor
Tax-Exempt Money Market Fund* |
0 |
0 |
0 |
|
Compensation
to
Dealers |
Compensation
and
Expenses
of
the
Distributor
and
Its
Sales
Personnel |
Allocable
Overhead,
Telephone
and
Travel
Expenses |
Printing
and
Mailing
of
Prospectuses
to
Other
Than
Current
Shareholders |
Preparation
and
Distribution
of
Sales
Literature
and
Advertising |
Totals** |
Financial
Square
Prime
Obligations
Fund* |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
Financial
Square
Money
Market
Fund* |
0 |
0 |
0 |
0 |
0 |
0 |
|
Compensation
to
Dealers |
Compensation
and
Expenses
of
the
Distributor
and
Its
Sales
Personnel |
Allocable
Overhead,
Telephone
and
Travel
Expenses |
Printing
and
Mailing
of
Prospectuses
to
Other
Than
Current
Shareholders |
Preparation
and
Distribution
of
Sales
Literature
and
Advertising |
Totals** |
Financial
Square
Treasury
Obligations
Fund |
25,304 |
64 |
22 |
1 |
3 |
25,396 |
Financial
Square
Treasury
Instruments
Fund* |
0 |
0 |
0 |
0 |
0 |
0 |
Financial
Square
Government
Fund |
12,830 |
807 |
496 |
32 |
73 |
14,238 |
Financial
Square
Treasury
Solutions
Fund* |
0 |
0 |
0 |
0 |
0 |
0 |
Investor
Money
Market
Fund* |
0 |
0 |
0 |
0 |
0 |
0 |
Investor
Tax-Exempt
Money
Market
Fund* |
0 |
0 |
0 |
0 |
0 |
0 |
Fund |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund* |
$2 |
$4 |
$4 |
Financial
Square Money Market Fund* |
2 |
4 |
4 |
Financial
Square Treasury Obligations Fund |
118,951 |
120,736 |
106,768 |
Financial
Square Treasury Instruments Fund |
162,945 |
29,744 |
36,110 |
Financial
Square Government Fund |
1,595,179 |
840,968 |
892,391 |
Financial
Square Federal Instruments Fund |
73,228 |
266,757 |
302,337 |
Financial
Square Treasury Solutions Fund |
1.419,583 |
1,141,664 |
1,002,410 |
Investor
Money Market Fund |
179,024 |
104,998 |
185,895 |
Investor
Tax-Exempt Money Market Fund |
8 |
7 |
4 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund* |
$0 |
$1 |
$0 |
Financial
Square Money Market Fund* |
0 |
1 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
39,033 |
0 |
Financial
Square Treasury Instruments Fund |
0 |
15,585 |
0 |
Financial
Square Government Fund |
0 |
256,842 |
0 |
Financial
Square Federal Instruments Fund |
0 |
104,181 |
0 |
Financial
Square Treasury Solutions Fund |
0 |
418,489 |
0 |
Investor
Money Market Fund |
0 |
39,974 |
0 |
Investor
Tax-Exempt Money Market Fund |
0 |
2 |
0 |
Fund |
Fiscal
Year ended
November
30, 2023 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund* |
$2 |
$3 |
$0 |
Financial
Square Money Market Fund* |
2 |
4 |
0 |
Financial
Square Treasury Obligations Fund |
84,688 |
4 |
0 |
Financial
Square Treasury Instruments Fund* |
2 |
4 |
0 |
Financial
Square Government Fund |
42,823 |
46,900 |
106,908 |
Financial
Square Treasury Solutions Fund* |
2 |
4 |
0 |
Investor
Money Market Fund* |
34 |
55 |
15 |
Investor
Tax-Exempt Money Market Fund* |
2 |
4 |
3,541 |
Fund |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2022 |
Fiscal
Year ended
November
30, 2021 |
Financial
Square Prime Obligations Fund* |
$0 |
$0 |
$0 |
Financial
Square Money Market Fund* |
0 |
0 |
0 |
Financial
Square Treasury Obligations Fund |
0 |
0 |
0 |
Financial
Square Treasury Instruments Fund* |
0 |
0 |
0 |
Financial
Square Government Fund |
0 |
4,021 |
0 |
Financial
Square Treasury Solutions Fund* |
0 |
0 |
0 |
Investor
Money Market Fund* |
0 |
4 |
0 |
Investor
Tax-Exempt Money Market Fund* |
0 |
0 |
0 |
Share
Class |
Name/Address |
Percentage
of
Class |
Administration
Shares |
Citibank
NA, FBO Escrow Concentration A/C, 122089, ATTN Joyce Glencamp, 480
Washington
BLVD
Floor 30, Jersey City, NJ 07310-2053 |
80.41% |
Anbee
& Co, C/O Greatbanc Trust Company, 801 Warrenville Rd Ste 500, Lisle,
IL 60532-4347 |
16.64% | |
Capital
Shares |
Bank
of Oklahoma NA, Actus Holdings LLC, 3100 Norge Rd., Chickasha, OK 73018-
6169 |
67.57% |
Bank
of Oklahoma NA, Mackellar Inc., P.O. Box 18298, Oklahoma City, OK
73154-0298 |
21.17% | |
Bank
of Oklahoma NA, BBJ LLC, P.O. Box 18298, Oklahoma City, OK
73154-0298 |
10.96% | |
Cash
Management
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Institutional
Shares |
Linsco
Private Ledger, LPL Financial, FBO Customer Accounts, Attn: Mutual Fund
Trading,
4707
Executive Drive, San Diego, CA 92121-3091 |
21.32% |
Wells
Fargo Clearing Services LLC, Special Custody Account FBO Customer, 2801
Market St.,
Saint
Louis, MO 63103-2523* |
42.77% | |
JP
Morgan Chase, FBO Customers, Third Party TS Link Non, 10410 Highland Manor
Drive
Floor
3, Tampa, FL 33610-9128 |
9.01% | |
Preferred
Shares |
Bank
of Oklahoma NA, Simergent LLC, 11 NE 11th
Street, Oklahoma City, OK 73104-1417 |
99.35% |
Premier
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Resource
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Service
Shares |
ABC
Sample Bank, ACME Company – ENDCLIENTACCOUNT1, ATTN Financial Control, 71
Wacker
Drive Suite 500, Chicago, IL 60606-4673 |
9.11% |
|
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
90.71% |
Select
Shares |
Bank
of Oklahoma NA, Jah Family Trust, 6750 Timberlane Rd, Tulsa, OK
74136-4523 |
20.91% |
|
Bank
of Oklahoma NA, Noah Corporation, 7667 E 46th Place, Tulsa, OK
74145-6307 |
23.15% |
Bank
of Oklahoma NA, WGH Family Trust, 6750 Timberlane Rd, Tulsa, OK
74136-4523 |
23.57% | |
Bank
of Oklahoma NA, Doris J. Darden Trust, 6305 E 120 Ct., Suite K8, Tulsa, OK
74103-4318 |
25.50% |
Share
Class |
Name/Address |
Percentage
of
Class |
Administration
Shares |
Citibank
NA, FBO, ATTN Johaira Rivera, 480 Washington Blvd, Floor 30, Jersey City,
NJ
07310-2053 |
88.45% |
|
Band
& Co Institutional Trust, Capinco & Co, C/O US Bank NA, 1555 N
Rivercenter Dr Ste
302,
Milwaukee, WI 53212-3958 |
5.09% |
Institutional
Shares |
Wells
Fargo Bank NA, FBO Customers, Attn Money funds, 1525 W WT Harris Blvd, MSC
D1109-010,
Charlotte, NC 28288-1076 |
6.30% |
|
BOFA
Securities, Inc, FBO Customers, 200 N College St, 3rd Flr North,
Charlotte, NC
28202-2191 |
9.52% |
|
Cachematrix
Holdings LLC, CNO Financial Group Inc., C/O 40/86 Advisors Inc., 535 N
College
Dr.,
Camel, IN 46032-5622 |
8.23% |
|
Spotify
USA Inc., Attn Treasury, 4 World Trade Center, New York, NY
10007-2366 |
12.20% |
Preferred
Shares |
Bank
Leumi USA, Eyal Arad, 425 E 58th St., Apt. 16D, New York, NY
10022-2379 |
92.65% |
|
Goldman
Sachs Direct EX DLR Accounts, Hamilton Engineering & Surveying Inc.,
ATTN Jack
S.
Hamilton, Jr., 3409 W Lemon St., Tampa, FL
33609-1433 |
5.74% |
Select
Shares |
Bank
of Oklahoma NA, Bonray Investments LLC, 1313 E 45th St, Shawnee, OK 74804-
2214 |
40.77% |
|
Wells
Fargo Bank NA, FBO Customers, Attn Money funds, 1525 W WT Harris Blvd, MSC
D1109-010,
Charlotte, NC 28288-1076 |
53.37% |
Share
Class |
Name/Address |
Percentage
of
Class |
|
Bank
of Oklahoma NA, HBH Enterprises Limited Partnership, 1313 E 45th St,
Shawnee, OK
74804-
2214 |
5.86% |
Service
Shares |
Goldman
Sachs Direct EX DLR Accounts, James Leonard Chapman and Brenda Chapman, 30
Moreno
Point Rd., PH 701C, Destin, FL 32541-3186 |
41.57% |
|
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
39.35% |
One
Bank & Trust NA, Treadway Properties Building Fund, One Bank &
Trust, ATTN Melanie
Ellis,
300 W Capital Ave., Little Rock, AR 72201-3544 |
19.01% |
Share
Class |
Name/Address |
Percentage
of
Class |
Administration
Shares |
Hanco,
C/O Hancock Whitney Bank Trust Division, 2285 Lakeshore Dr. Building 4,
New
Orleans,
LA 70122-3533 |
20.58% |
|
Reliance
Trust Co., ATTN Joe White, P.O. Box 78446, Atlanta, GA
30328-5634 |
15.88% |
MSCS
Financial Services LLC, Stratevest & Co, PO Box 2499, Brattleboro, VT
05303- 2499 |
11.83% | |
MSCS
Financial Services LLC, Fulton Bank, Fulton Financial Advisors, 1 Penn
Sq., Ste 1,
Lancaster,
PA 17602-2853 |
9.35% | |
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
7.60% | |
Capital
Shares |
Goldman
Sachs & Co LLC, FBO AVNJ, 30 Hudson St., Floor 5, Jersey City, NJ
07302-4699 |
7.45% |
|
TD
BankNorth NA, Attn Deposit Accounting ME091-31N, PO Box 1377, Lewiston, ME
04243-1377 |
81.40% |
Cash
Management
Shares |
Pershing
LLC, FBO Customers, 1 Pershing Plaza, Jersey City, NJ
07399-0002 |
44.21% |
|
Commerce
Bank – SE MO, Missouri Win, 1530 S Big Bend Blvd, Saint Louis, MO
63117-2206 |
7.87% |
|
Commerce
Bank – Lenexa, Pleasant Valley Baptist Church, 1600 N State Route 291,
Liberty,
MO
64068-1012 |
15.53% |
|
Commerce
Bank – Lenexa, Center Industries Corporation, 2505 S Custer Ave, PO Box
17364,
Wichita,
KS 67217-0364 |
28.52% |
Institutional
Shares |
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
10.73% |
|
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
7.51% |
Band
& Co Institutional Trust, C/O US Bank, Attn ACM Dept, PO Box 1787,
Milwaukee, WI
53201-1787 |
5.86% | |
Wells
Fargo Clearing Services, LLC, 2801 Market St., Saint Louis, MO
63103-2523 |
11.77% | |
Commerce
Bank of Kansas City, NA Mori & Co, Commerce Bank of Kansas City, Attn.
Trust
Operations,
911 Main St. Suite 201, Kansas City, MO 64105-5304 |
6.99% | |
Preferred
Shares |
M
& T Bank, Tice & Co., C/O M&T Trust Co., P.O. Box 1377,
Buffalo, NY 14240-1377 |
49.27% |
|
Pershing
LLC, P.O. Box 2052, Jersey City, NJ 07303-2052 |
25.50% |
|
Pershing
LLC, 1 Pershing Plaza, Jersey City, NJ 07399-0002 |
11.64% |
Premier
Shares |
Commerce
Bank – Lenexa, Oklahoma Center for Nonprofits Inc., ATTN Marion Taylor
President,
720 W Wilshire Blvd., Suite 115, Oklahoma City, OK
73116-7737 |
5.55% |
|
Commerce
Bank – Lenexa, Class LTD., ATTN Cyndie Howell, 1200 Merle Evans Dr., P.O.
Box
266,
Columbus, KS, 66725-0266 |
11.61% |
|
Commerce
Bank - SE MO, C&E Investment, 1 Sixpence Way, Coronado, CA
92118-3213 |
5.48% |
|
Commerce
Bank – Lenexa, Cement Masons and Plasterers Local, 518 Health Care Fund
Holding
Acct.,
Attn Dawnette Butterworth, 2156 W 2200 S, Salt Lake City, UT
84119-1326 |
13.99% |
|
Commerce
Bank – SE MO, Fred M Luth & Sons, 4516 McCree Ave, Saint Louis, MO
63110-2238 |
29.80% |
Service
Shares |
SEI
Private Trust Company, C/O Regions Bank, 1 Freedom Valley Dr., Oaks, PA
19456-9989 |
41.99% |
|
MSCS
Financial Services LLC, Stratevest & Co, PO Box 2499, Brattleboro, VT
05303-2499 |
20.73% |
Share
Class |
Name/Address |
Percentage
of
Class |
|
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
9.19% |
|
BBC
Partnership, ATTN Cathy Waller, 1401 Avenue Q, Lubbock, TX
79401-3819 |
10.01% |
|
Cohamco,
First Financial Bank, 300 High Street, Hamilton, OH
45011-6045 |
6.75% |
Select
Shares |
Deutsche
Bank Trust Co., Bayonne Water Joint Venture LLC, Revenue Accout, C/O Argo
Infrastructure
Partners LLC, 650 5th
Avenue, Floor 17, New York, NY 10019-6108 |
8.25% |
|
Bank
of Oklahoma NA, Texas Oncology PA, 12221 Merit Drive, Suite 500, Dallas,
TX
75251-3100 |
30.23% |
|
Bank
of Oklahoma NA, Midwesco Industries Inc., 2119 S Union Avenue, Tulsa, OK
74107-2703 |
9.73% |
|
Bank
of Oklahoma NA, OTOE – Missouria Tribe, 8151 Highway 177. Red Rock, OK
74651-0348 |
43.78% |
Resource
Shares |
Delaware
Trust Company, CSC Trust Company of Delaware, 251 Little Falls Drive,
Wilmington,
DE
19808-1674 |
99.99% |
Share
Class |
Name/Address |
Percentage
of
Class |
Administration
Shares |
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
10.62% |
|
BMO
Harris Bank NA, Account FBO BMO Harris Bank NA GS, Sweep Account Holders
Not in
a
Fiduciary Capacity, 111 W Monroe St., Floor 9, Chicago, IL
60603-4096 |
11.03% |
Bank
of Oklahoma, NaBank & Co., C/O Bank of Oklahoma, Attn. Trust
Securities, P.O. Box
2180,
Tulsa, OK 74101-2180 |
11.23% | |
Goldman
Sachs & Co, FBO, 30 Hudson Street, Floor 5, Jersey City, NJ
07302-4699 |
5.92% | |
Capital
Shares |
Goldman
Sachs & Co LLC, FBO, 30 Hudson St., Floor 5, Jersey City, NJ
07302-4699 |
29.57% |
|
Goldman
Sachs & Co LLC, FBO, 30 Hudson St., Floor 5, Jersey City, NJ
07302-4699 |
13.44% |
Goldman
Sachs & Co LLC, FBO, 30 Hudson St., Floor 5, Jersey City, NJ
07302-4699 |
13.24% | |
CIBC
Bank USA, The Private Bank and Trust Company, 120 S LaSalle St., Chicago,
IL
60603-3403 |
17.72% | |
Cash
Management
Shares |
Pershing
LLC, FBO Customers, 1 Pershing Plaza, Jersey City, NJ
07399-0002 |
75.88% |
|
Commerce
Bank – Lenexa, Robert L Bayless Producer LLC, Attn: Robert Bayless, 621
17TH
St.,
Suite
2300, Denver, CO 80293-2023 |
24.11% |
Institutional
Shares |
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
11.83% |
|
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
15.19% |
Wells
Fargo Clearing Services LLC, Special Custody Account FBO Customer, 2801
Market St.,
Saint
Louis, MO 63103-2523 |
5.78% | |
Goldman
Sachs & Co, 295 Chipeta Way, Flr 4, Salt Lake City, UT
84108-1285 |
23.49% | |
Preferred
Shares |
Pershing
LLC, FBO Customers, 1 Pershing Plaza, Jersey City, NJ
07399-0002 |
77.94% |
|
Deutsche
Bank Trust Co., Berlin Station LLC, Debt Service Reserve Account, 1 Cate
St. Ste.
100,
Portsmouth, NH 03801-7107 |
6.88% |
|
Deutsche
Bank Trust Co., 10 North High Street, Suite 400, West Chester, PA
19380-3014 |
6.36% |
Premier
Shares |
Bank
of Oklahoma, NaBank & Co., C/O Bank of Oklahoma, Attn. Trust
Securities, P.O. Box
2180,
Tulsa, OK 74101-2180 |
100.00% |
Service
Shares |
UMB
Financial Services Inc., UMB Bank NA, 928 Grand Blvd MS1010405, Kansas
City, MO
64106-2008 |
80.08% |
|
Flagstar
Bank, N.A., 1400 Broadway, Fl 6, New York, NY
10018-0728 |
14.58% |
Select
Shares |
MSCS
Financial Services LLC, 480 Washington Blvd, Floor 15, NJ Newport Office
Center 7,
Jersey
City, NJ 07310-2053 |
7.49% |
Share
Class |
Name/Address |
Percentage
of
Class |
|
Deutsche
Bank Trust Co, Horseshoe RE II LTD, Segregated Account, PO Box HM3352,
Hamilton,
Bermuda, HM PX |
5.69% |
Deutsche
Bank Trust Co, Horseshoe RE II LTD, Segregated Account, PO Box HM3352,
Hamilton,
Bermuda, HM PX |
5.02% | |
Deutsche
Bank Trust Co, Horseshoe RE II LTD, Segregated Account, PO Box HM3352,
Hamilton,
Bermuda, HM PX |
15.02% | |
Northland
Securities, Inc., One Earth Energy LLC, 202 North Jordan Drive, Gibson
City, IL
60936-2203 |
16.24% | |
Northland
Securities, Inc., Nugen Energy LLC, 27283 447th
Ave, Marion, SD 57043-5100 |
11.01% | |
Deutsche
Bank Trust Co, Horseshoe RE II LTD, Segregated Account, PO Box HM3352,
Hamilton,
Bermuda, HM PX |
9.22% |
Share
Class |
Name/Address |
Percentage
of
Class |
Administration
Shares |
First
Hawaiian Bank, Attn Wealth Management, 999 Bishop St. Fl 3, Honolulu, HI
96813-4424 |
37.11% |
|
Harris
Associates, L.P., The Oakmark Funds, Attn. Mutual Fund Operations, C/O
Harris and
Associates,
111 S Wacker Dr., Suite 4600, Chicago, IL 60606-4319 |
5.67% |
|
Jefferies
LLC, FBO Venrock Healthcare Capital, 101 Hudson St., 11th Floor, Jersey
City, NJ
07302-3915 |
7.85% |
|
Jefferies
LLC, FBO Venrock Healthcare Capital, 101 Hudson St., 11th Floor, Jersey
City, NJ
07302-3915 |
11.18% |
Capital
Shares |
Commerce
Bank – Lenexa, IPHFHA Inc., Ad Comm, ATTN Dana Carr, 7829 E Rockhill St.,
Suite
201, Wichita, KS, 67206-3918 |
9.29% |
|
Commerce
Bank – Lenexa, Massman Consturction, 4400 W 109th
Street, Suite 300, Overland
Park,
KS 66211-1319 |
24.05% |
|
Commerce
Bank – Lenexa, Massman-Clarkson, 4400 W 109th
Street, Suite 300, Overland Park,
KS
66211-1319 |
10.34% |
|
Commerce
Bank – Lenexa, Ridewell Corporation, PO Box 4586, Springfield, MO
65808-4586 |
7.96% |
Cash
Management
Shares |
MSCS
Financial Services LLC, Stratevest & Co, PO Box 2499, Brattleboro, VT
05303- 2499 |
93.95% |
Institutional
Shares |
Goldman
Sachs & Co, 295 Chipeta Way, Flr 4, Salt Lake City, UT
84108-1285 |
24.52% |
|
Raymond
James & Associates, Attn Courtney Waller, 880 Carillon Parkway, St.
Petersburg, FL
33716-1102 |
7.87% |
Busey
Trust Company, Park Randolph & Co., Trust Operations, 100 W
University, PO Box 260,
Champaign,
IL 61824-0260 |
6.59% | |
Purdue
Pharma LP, Attn Accounting Services, 1 Stamford Forum, Stamford, CT
06901-3516 |
8.41% | |
Preferred
Shares |
Pershing
LLC, FBO Customers, 1 Pershing Plaza, Jersey City, NJ
07399-0002 |
87.01% |
|
Commerce
Bank of Kansas City, NA Mori & Co, Commerce Bank of Kansas City, Attn.
Trust
Operations,
911 Main St. Suite 201, Kansas City, MO 64105-5304 |
11.32% |
Premier
Shares |
Bank
of Oklahoma, NaBank & Co., C/O Bank of Oklahoma, Attn. Trust
Securities, P.O. Box
2180,
Tulsa, OK 74101-2180 |
82.94% |
Resource
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Service
Shares |
Charlevoix
State Bank, ATTN Daniel Elliott P.O. Box 217, Charlevoix, MI
49720-0217 |
11.01% |
|
Jefferies
LLC, 101 Hudson St., Floor 11, Jersey City, NJ
07302-3915 |
8.38% |
Share
Class |
Name/Address |
Percentage
of
Class |
|
Midamerica
National Bank, P.O. Box 1300, Macomb, IL 61455-5600 |
5.54% |
Amg
National Trust Bank, Haws & Co., 6295 Greenwood Plaza Blvd., Greenwood
Vlg, CO
80111-4968 |
5.92% | |
Flagstar
Bank, N.A., 1400 Broadway, Floor 6, New York, NY
10018-0728 |
55.39% | |
Select
Shares |
Commerce
Bank of Kansas City, Jabara Ventures Group LP, P.O. Box 782050, Wichita,
KS
67278-2050 |
99.86% |
Share
Class |
Name/Address |
Percentage
of
Class |
Class
A Shares |
Edward
D Jones & Co., ATTN Mutual Fund, Shareholder Accounting, 12555
Manchester Road,
Maryland
Hts, MO 63043 |
68.98% |
|
Pershing
LLC, FBO Customers, 1 Pershing Plaza, Jersey City, NJ
07399-0002 |
8.18% |
|
RBC
Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus
Processing,
Omnibus, Attn: Mutual Fund Ops Manager, 60 S 6th ST. Ste. 700 #P08,
Minneapolis,
MN 55402-4413 |
17.16% |
Administration
Shares |
Commerce
Bank of Kansas City, NA, Mori & Co, Attn. Trust Operations, 911 Main
St. Suite
201,
Kansas City, MO 64105-5304 |
19.46% |
|
Bank
of Oklahoma, NaBank & Co., C/O Bank of Oklahoma, Attn. Trust
Securities, P.O. Box
2180,
Tulsa, OK 74101-2180 |
5.91% |
|
Glenview
Trust Company, Attn: Operations, 5900 US Highway 42, Louisville, KY
40241-5806 |
5.14% |
|
Hanco,
C/O Hancock Whitney Bank Trust Division, 2285 Lakeshore Dr. Building 4,
New
Orleans,
LA 70122-3533 |
22.58% |
M
& T Bank, Tice & Co., C/O M&T Trust Co., P.O. Box 1377,
Buffalo, NY 14240- 1377 |
9.88% | |
Cash
Management
Shares |
Pershing
LLC, FBO Customers, 1 Pershing Plaza, Jersey City, NJ
07399-0002 |
93.48% |
Class
C Shares |
Wells
Fargo Clearing Services LLC, Special Custody Account FBO Customer, 2801
Market St.,
Saint
Louis, MO 63103-2523 |
25.23% |
|
Goldman
Sachs Direct Ex DLR Accounts, Stracq Inc. DBA Stryka Botanics, Goldman
Sachs/
ADP
401k Plan, 239 Homestead Rd, Hillsborough, NJ
08844-1913 |
5.53% |
Western
International SEC Inc, Smelly Mels Plumbing Inc., Goldman Sachs/ADP 401k
Plan,
123
Manor Drive, Pacifica, CA 94044-1953 |
8.74% | |
Goldman
Sachs Direct Ex DLR Accounts, Rocky Run Family Medicine, Goldman Sachs/
ADP
401k
Plan, 5645 Stone Road, Centerville, VA 20120- 1618 |
8.92% | |
Morgan
Stanley Smith Barney LLC, Garrod Trust, Goldman Sachs/ADP 401k Plan, 22600
Mount
Eden Rd, Saratoga, CA 95070-9758 |
8.67% | |
|
Goldman
Sachs Direct Ex DLR Accounts, New Covenant Christian Church, Goldman
Sachs/ADP
401K Plan, 1500 Blue Hill Ave, Mattapan, MA
02126-1746 |
5.44% |
Capital
Shares |
TD
BankNorth NA, Attn Deposit Accounting ME091-31N, PO Box 1377, Lewiston, ME
04243-1377 |
37.33% |
|
Maril
& Co FBO Synovus Trust Co, 4900 W Brown Deer Rd, Milwaukee, WI
53223-2422 |
13.59% |
|
Hanco,
2285 Lakeshore Dr, Bldg 4, New Orleans, LA
70122-3533 |
11.96% |
MSCS
Financial Services LLC, Stratevest & Co, PO Box 1034, Cherry Hill, NJ
08034-0009 |
14.19% | |
Institutional
Shares |
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
8.36% |
|
BofA
Securities, Inc, FBO Customers, 200 N College St, 3rd Flr North,
Charlotte, NC
28202-2191 |
5.12% |
|
Wells
Fargo Bank, Attn Money Funds, 1525 W WT Harris Blvd, Charlotte, NC
28288-1076 |
6.09% |
Preferred
Shares |
M
& T Bank, Tice & Co., C/O M&T Trust Co., P.O. Box 1377,
Buffalo, NY 14240- 1377 |
63.58% |
Share
Class |
Name/Address |
Percentage
of
Class |
|
Commerce
Bank – Lenexa, PFS Holding Company, 1055 Broadway Blvd, 11th
Floor, Kansas
City,
MO 64105-2289 |
6.74% |
Pershing
LLC, FBO Customers, 1 Pershing Plaza, Jersey City, NJ
07399-0002 |
6.27% | |
Premier
Shares |
Linsco
Private Ledger, LPL Financial Corporation, FBO Customer Accounts, Attn:
Cinthya
Leite,
4707 Executive Drive, San Diego, CA 92121-3091 |
48.70% |
|
Bank
of Oklahoma, NaBank & Co., C/O Bank of Oklahoma, Attn. Trust
Securities, P.O. Box
2180,
Tulsa, OK 74101-2180 |
11.74% |
|
Commerce
Bank – SE MO, Zanders Sporting Goods Co. Operating Account, Attn: Marc
Ziebold,
801 Bradbury Lane, Sparta, IL 62286-2105 |
7.96% |
|
Commerce
Bank – Lenexa, Zimmer Real Estate Services LC, Attn: Accounting
Department,
1220
Washington St., Ste 300, Kansas City, MO 64105-1439 |
6.61% |
Class
R6 Shares |
Goldman
Sachs Trust, Goldman Sachs Collective Trust, Tactical Exposure Fund, Attn
Gordon
Lui,
200 West St, Fl 36, New York, NY 10282-2102 |
45.90% |
|
Principal
Securities, Inc., Attn: NPIO Trade Desk, 711 High Street, Des Moines, IA
50392-0001 |
13.37% |
|
Goldman
Sachs Trust, GS Multi Manager, Global Equity Fund, 200 West St, New York,
NY
10282-2198 |
8.62% |
|
American
United Life Insurance Co., FBO Group Retirement Account, Attn: Separate
Accounts,
P.O.
Box 368, Indianapolis, IN 46206-0368 |
8.34% |
|
American
United Life Insurance Co., FBO Unit Investment Trust, Attn: Separate
Accounts, P.O.
Box
368, Indianapolis, IN 46206-0368American |
7.33% |
Resource
Shares |
American
United Life Insurance Co., FBO Group Retirement Account, Attn: Separate
Accounts,
P.O.
Box 368, Indianapolis, IN 46206-0368 |
57.45% |
|
American
United Life Insurance Co., FBO Unit Investment Trust, Attn: Separate
Accounts, P.O.
Box
368, Indianapolis, IN 46206-0368American |
42.53% |
Select
Shares |
Cachematrix
Holdings LLC, Citizens Bank NA, Attn Commercial Banking, Treasury
Solutions
Product,
One Citizens Plaza, Providence, RI 02903-1339 |
9.95% |
|
Wells
Fargo Bank NA, FBO Customers, Attn Money funds, 1525 W WT Harris Blvd, MSC
D1109-010,
Charlotte, NC 28288-1076 |
8.69% |
Hanco,
2285 Lakeshore Dr, Bldg 4, New Orleans, LA
70122-3533 |
7.76% | |
Bank
of Oklahoma NA, Muscogee Creek Nation, Attn: Patricia Kilian, PO Box 580,
Okmulgee,
OK
74447-0580 |
16.33% | |
LINSCO
Private Ledger, 4707 Executive Dr, San Diego, CA
92121-3091 |
6.22% | |
Service
Shares |
MSCS
Financial Services LLC, NTC Indvidual Retirement Account, 35 Iron Point
Circle, Suite
300,
Folsom, CA 95630-8589 |
11.52% |
|
SEI
Private Trust Company, C/O Regions Bank, 1 Freedom Valley Dr., Oaks, PA
19456-9989 |
15.06% |
SEI
Private Trust Company, C/O City National Bank, 1 Freedom Valley Dr., Oaks,
PA 19456-
9989 |
6.04% | |
TMI
Trust Company, 1715 N West Shore Blvd, Suite 750, Tampa, FL
33607-3924 |
8.04% | |
MSCS
Financial Services LLC, Stratevest & Co., PO Box 2499, Brattleboro, VT
05303-2499 |
23.47% |
Share
Class |
Percentage
of Name/Address |
Percentage
of
Class |
Administration
Shares |
Amalgamated
Bank of Chicago, 30 N Lasalle St, 38th Floor, Chicago, IL
60602-2590 |
26.30% |
|
Ameriprise
Financial, 707 2nd Ave S, Minneapolis, MN 55402-2405 |
44.83% |
|
Pershing
LLC, FBO Customers, 1 Pershing Plaza, Jersey City, NJ
07399-0002 |
19.16% |
Capital
Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Share
Class |
Percentage
of Name/Address |
Percentage
of
Class |
Cash
Management
Shares |
Pershing
LLC, FBOC, 1 Pershing Plz., Jersey City, NJ
07399-0002 |
99.76% |
Institutional
Shares |
Goldman
Sachs & Co, 295 Chipeta Way, Flr 4, Salt Lake City, UT
84108-1285* |
55.87% |
|
Hare
& Co 2, Attn STIF Operations, PO Box 223910, Pittsburgh, PA
15251-2910 |
5.75% |
Preferred
Shares |
Pershing
LLC, FBOC, 1 Pershing Plz., Jersey City, NJ
07399-0002 |
99.95% |
Service
Shares |
Amalgamated
Bank of Chicago, 30 N Lasalle St, 38th Floor, Chicago, IL
60602-2590 |
22.73% |
|
Argent
Institutional Trust Company, 1715 N. West Shore Blvd, Suite 750, Tampa, FL
33607-3924 |
76.32% |
Share
Class |
Name/Address |
Percentage
of
Class |
Class
A Shares |
Edward
D Jones & Co., FBO Customers, 12555 Manchester Road, Saint Louis, MO
63131-3710 |
79.31% |
|
RBC
Capital Markets Corporation, Attn Mutual Funds Ops Manager, 60 S.
6th
St., Suite 700
#PO8,
Minneapolis, MN 55402-4413 |
16.55% |
Administration
Shares |
Pershing
LLC, FBOC, 1 Pershing Plz., Jersey City, NJ
07399-0002 |
16.47% |
|
Ameriprise
Financial, American Enterprise Investment SVC, 707 2nd Ave S, Minneapolis,
MN
55402-2405 |
70.22% |
Pershing
LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
5.84% | |
Class
C Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
99.95% |
Cash
Management
Shares |
Pershing
LLC, FBOC, 1 Pershing Plz., Jersey City, NJ
07399-0002 |
99.96% |
Institutional
Shares |
Wells
Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO
Customer,
2801
Market St., Saint Louis, MO 63103-2523 |
30.70% |
|
LPL
Financial Corporation, FBO Customer Accounts, Attn: Mutual Fund
Operations, PO Box
509046,
San Diego, CA 92150-9046 |
16.04% |
Raymond
James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway,
St. Petersburg,
FL.
33716-1102 |
24.72% | |
Morgan
Stanley Smith Barney LLC, 1 New York Plz, Floor 12, New York, NY
10004-1965 |
13.05% | |
Service
Shares |
Pershing
LLC, FBOC, 1 Pershing Plz., Jersey City, NJ
07399-0002 |
99.94% |
Share
Class |
Name/Address |
Percentage
of
Class |
Class
A Shares |
Edward
D Jones & Co., Attn: Mutual Fund Shareholder Accounting, 12555
Manchester Road,
Maryland
Heights, MO 63043 |
75.15% |
|
RBC
Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus
Processing,
Omnibus, Attn: Mutual Fund Ops Manager, 60 S 6th ST. Ste. 700 #P08,
Minneapolis,
MN 55402-4413 |
20.80% |
Administration
Shares |
Goldman
Sachs Direct Ex DLR Accts, Ivan E. Billson Tod, 4802 Harbor View Pl,
Anacortes, WA
98221-4087 |
6.40% |
|
Goldman
Sachs Direct Ex DLR Accts, Mary Jane, 19979 Smith Cir, Ashburn, VA
20147-2509 |
57.72% |
|
Goldman
Sachs Direct Ex DLR Accts, R Graham Myers, PO Box 152, South Kent, CT
06785-0152 |
11.91% |
Class
C Shares |
GSAM
Holdings, LLC, Seed Accounts, ATTN IMD-India-SAOS, Helios Business Park,
150
Outer
Ring Road, Kadubeesanahalli, Bengaluru, 560071 India |
100.00% |
Class
I Shares |
The
Glenmede Trust Company NA, 1650 Market St., Suite 1200, Philadelphia, PA
19103- 7391* |
55.49% |
|
Wells
Fargo Clearing Services LLC, 2801 Market St., Saint Louis, MO
63103-2523 |
5.09% |
Share
Class |
Name/Address |
Percentage
of
Class |
|
Linsco
Private Ledger, LPL Financial Corporation, Attn: Mutual Fund Trading, 4707
Executive
Drive,
San Diego, CA 92121-3091 |
11.81% |
|
SEI
Private Trust Company, c/o BMO Wealth Management, 1 Freedom Valley Drive,
Oaks, PA
19456-9989 |
11.28% |
Preferred
Shares |
Band
& Co Institutional Trust, C/O US Bank, Attn. ACM Department, P.O. Box
1787,
Milwaukee,
WI 53201-1787 |
36.47% |
|
Pershing
LLC, FBOC, 1 Pershing Plz., Jersey City, NJ
07399-0002 |
63.33% |
Service
Shares |
SEI
Private Trust Company, SEI Private Trust Company, C/O City National Bank,
1 Freedom
Valley
Dr., Oaks, PA 19456-9989 |
96.68% |
| |
2-B | |
3-B | |
7-B | |
10-B | |
11-B | |
13-B | |
| |
18-B | |
19-B | |
24-B | |
26-B | |
26-B | |
28-B | |
| |
33-B | |
34-B | |
39-B | |
41-B | |
41-B | |
43-B | |
| |
47-B | |
48-B | |
52-B | |
52-B | |
52-B | |
54-B |