Fund |
Class A Ticker |
Class C Ticker |
Class I Ticker |
Class I2 Ticker |
Class R Ticker |
Class R3 Ticker |
Class R6 Ticker |
Transamerica Asset Allocation – Conservative Portfolio |
ICLAX |
ICLLX |
TACIX |
- |
ICVRX |
- |
- |
Transamerica Asset Allocation – Growth Portfolio |
IAAAX |
IAALX |
TAGIX |
- |
IGWRX |
- |
- |
Transamerica Asset Allocation – Moderate Growth Portfolio |
IMLAX |
IMLLX |
TMGIX |
- |
IMGRX |
- |
- |
Transamerica Asset Allocation – Moderate Portfolio |
IMOAX |
IMOLX |
TMMIX |
- |
IMDRX |
- |
- |
Transamerica Bond |
IDITX |
IFLLX |
TFXIX |
None |
- |
- |
TAFLX |
Transamerica Capital Growth |
IALAX |
ILLLX |
TFOIX |
None |
- |
- |
TCPWX |
Transamerica Core Bond |
- |
- |
- |
None |
- |
- |
- |
Transamerica Emerging Markets Debt |
EMTAX |
EMTCX |
EMTIX |
None |
- |
- |
TAEDX |
Transamerica Emerging Markets Opportunities |
TEOAX |
TEOCX |
TEOIX |
TEOJX |
- |
TEOQX |
TEOOX |
Transamerica Energy Infrastructure (formerly
Transamerica MLP & Energy Income) |
TMLAX |
TMCLX |
TMLPX |
None |
- |
- |
- |
Transamerica Event Driven |
None |
- |
TENIX |
None |
- |
|
- |
Transamerica Floating Rate |
TFLAX |
TFLCX |
TFLIX |
None |
- |
|
- |
Transamerica Global Equity |
IMNAX |
IMNCX |
TMUIX |
None |
- |
|
TAGEX |
Transamerica Government Money Market |
IATXX |
IMLXX |
TAMXX |
None |
- |
|
- |
Transamerica High Yield Bond |
IHIYX |
INCLX |
TDHIX |
None |
- |
|
TAHBX |
Transamerica High Yield ESG |
TACBX |
TAFQX |
TAJEX |
TAKJX |
- |
TAOMX |
TAVSX |
Transamerica High Yield Muni |
THAYX |
THCYX |
THYIX |
THYTX |
- |
- |
- |
Transamerica Inflation Opportunities |
TIOAX |
TIOCX |
ITIOX |
None |
- |
- |
RTIOX |
Transamerica Intermediate Bond |
- |
- |
- |
None |
- |
- |
TAGMX |
Transamerica Intermediate Muni |
TAMUX |
TCMUX |
TIMUX |
TIMTX |
- |
- |
- |
Transamerica International Equity |
TRWAX |
TRWCX |
TSWIX |
TRWIX |
- |
- |
TAINX |
Transamerica International Growth |
TGRHX |
TGRJX |
TGRGX |
None |
- |
- |
TGRFX |
Transamerica International Small Cap Value |
- |
- |
TISVX |
None |
- |
- |
- |
Transamerica International Stock |
TIHAX |
- |
TIHBX |
TIHIX |
- |
- |
TIHJX |
Transamerica Large Cap Value |
TWQAX |
TWQCX |
TWQIX |
TWQZX |
- |
- |
TALCX |
Transamerica Large Growth |
- |
- |
- |
- |
- |
- |
TAGDX |
Transamerica Mid Cap Growth |
MCGAX |
MGTCX |
IMCGX |
None |
- |
- |
TAGFX |
Transamerica Mid Cap Value |
- |
- |
- |
None |
- |
- |
- |
Transamerica Mid Cap Value Opportunities |
MCVAX |
MCVCX |
MVTIX |
None |
- |
- |
MVTRX |
Transamerica Multi-Asset Income |
TASHX |
TCSHX |
TSHIX |
None |
- |
- |
- |
Transamerica Multi-Managed Balanced |
IBALX |
IBLLX |
TBLIX |
None |
- |
- |
TAMMX |
Transamerica Short-Term Bond |
ITAAX |
ITACX |
TSTIX |
TSIWX |
- |
- |
TASTX |
Transamerica Small Cap Growth |
ASGTX |
CSGTX |
ISCGX |
TSPIX |
- |
- |
RTSGX |
Transamerica Small Cap Value |
TSLAX |
TSLCX |
TSLIX |
None |
- |
- |
TSLRX |
Transamerica Small/Mid Cap Value |
IIVAX |
IIVLX |
TSVIX |
TSMVX |
- |
- |
TASMX |
Transamerica Sustainable Bond |
TARUX |
TAILX |
TAPKX |
TAQOX |
- |
TAXSX |
TAAPX |
Transamerica Sustainable Equity Income (formerly, Transamerica Dividend Focused) |
TDFAX |
TDFCX |
TDFIX |
TRDIX |
- |
- |
TADFX |
Transamerica Total Return |
- |
- |
- |
None |
- |
- |
- |
Transamerica Unconstrained Bond |
TUNAX |
TUNBX |
TUNIX |
None |
- |
- |
- |
Transamerica US Growth1 |
TADAX |
TADCX |
TDEIX |
None |
- |
- |
TAGHX |
|
Page |
2 | |
3 | |
3 | |
5 | |
36 | |
37 | |
39 | |
39 | |
46 | |
48 | |
49 | |
49 | |
49 | |
50 | |
50 | |
60 | |
62 | |
67 | |
67 | |
68 | |
68 | |
68 | |
68 | |
78 | |
80 | |
80 | |
82 | |
82 | |
83 | |
84 | |
90 | |
136 | |
138 | |
138 | |
145 | |
A-1 | |
B-1 | |
C-1 |
Fund Name |
Fund Name History |
Transamerica Asset Allocation – Conservative Portfolio
|
N/A |
Transamerica Asset Allocation – Growth Portfolio |
N/A |
Transamerica Asset Allocation – Moderate Growth
Portfolio |
N/A |
Transamerica Asset Allocation – Moderate Portfolio
|
N/A |
Transamerica Bond |
Transamerica Flexible Income was renamed Transamerica Bond on July 2,
2018 |
Transamerica Capital Growth |
N/A |
Transamerica Core Bond |
N/A |
Transamerica Emerging Markets Debt |
N/A |
Transamerica Emerging Markets Opportunities* |
N/A |
Transamerica Energy Infrastructure |
Transamerica MLP & Energy Income was renamed Transamerica Energy
Infrastructure on June 1, 2021. |
Transamerica Event Driven |
N/A |
Transamerica Floating Rate |
N/A |
Transamerica Global Equity |
N/A |
Transamerica Government Money Market |
Transamerica Money Market was renamed Transamerica Government Money
Market on May 1, 2016. |
Transamerica High Yield Bond |
N/A |
Transamerica High Yield ESG** |
N/A |
Transamerica High Yield Muni |
N/A |
Transamerica Inflation Opportunities |
N/A |
Transamerica Intermediate Bond |
N/A |
Transamerica Intermediate Muni |
Transamerica Enhanced Muni was renamed Transamerica Intermediate Muni on
February 15, 2016. |
Transamerica International Equity |
N/A |
Transamerica International Growth |
Transamerica International Equity Opportunities was renamed Transamerica
International Growth on March 1, 2018. |
Transamerica International Small Cap Value |
N/A |
Transamerica International Stock |
N/A |
Transamerica Large Cap Value |
N/A |
Transamerica Large Growth |
N/A |
Transamerica Mid Cap Growth |
N/A |
Transamerica Mid Cap Value |
N/A |
Transamerica Mid Cap Value Opportunities |
N/A |
Transamerica Multi-Asset Income |
Transamerica Strategic High Income was renamed Transamerica Multi-Asset
Income on May 1, 2019. |
Transamerica Multi-Managed Balanced |
N/A |
Transamerica Short-Term Bond |
N/A |
Transamerica Small Cap Growth |
N/A |
Transamerica Small Cap Value |
N/A |
Transamerica Small/Mid Cap Value |
N/A |
Transamerica Sustainable Bond** |
N/A |
Transamerica Sustainable Equity Income |
Transamerica Dividend Focused was renamed Transamerica Sustainable Equity
Income on December 1, 2020. |
Transamerica Total Return |
N/A |
Transamerica Unconstrained Bond |
N/A |
Transamerica US Growth |
N/A |
Recipient |
Purpose |
Frequency |
Bloomberg LP |
Statistical ranking, rating, and/or performance attribution analysis |
Daily |
Broadridge |
Print vendor for shareholder documents, proxy solicitor/tabulator, 15(c) analysis |
Daily |
CAPIS |
Trade execution analysis |
Daily |
eVestment Alliance, LLC |
Institutional sales and RFP opportunities |
Quarterly |
FactSet |
Statistical ranking, rating, and/or performance attribution analysis |
Daily |
FXTransparency |
Trade execution analysis |
Daily |
Glass Lewis & Co. |
Proxy voting services |
Quarterly |
Globe Tax Services, Inc. |
ECJ foreign tax reclaim services |
As necessary |
Grant Thornton Pakistan |
Provide tax services for market in Pakistan |
As necessary |
IDC |
Pricing |
As necessary |
Investment Company Institute |
Holdings Information on Form N-PORT |
Quarterly |
KPMG Taiwan |
Provide tax services for market in Taiwan |
As necessary |
Lipper, Inc. |
Statistical ranking, rating, and/or performance attribution analysis |
Quarterly |
Markit North America |
Pricing |
As necessary |
Morningstar LLC |
Statistical ranking, rating, and/or performance attribution analysis |
Daily |
PricewaterhouseCoopers Private Limited |
Provide tax services for market in India |
As necessary |
Refinitiv US LLC |
Pricing |
As necessary |
R.R. Donnelly |
Financial reporting |
Monthly |
Schwab CT |
Code of Ethics monitoring |
Daily |
truView |
Risk and liquidity management analytics |
Daily |
Name and Age |
Position(s)
Held with
Trust |
Term of
Office and
Length
of Time
Served* |
Principal Occupation(s)
During Past Five Years |
Number of
Funds in
Complex
Overseen
by Board
Member |
Other
Directorships Held
By Board Member
|
INTERESTED BOARD MEMBERS | |||||
Marijn P. Smit
(47) |
Chairman of the Board,
President and
Chief Executive
Officer |
Since 2014 |
Chairman of the Board, President and Chief Executive Officer, TF, TST and TAAVF (2014 – present);
Chairman of the Board, President and Chief
Executive Officer, TET (2017 – present);
Chairman of the Board, President and Chief
Executive Officer, Transamerica Partners
Portfolio (“TPP”), Transamerica Partners
Funds Group (“TPFG”) and Transamerica
Partners Funds Group II (“TPFG II”) (2014
– 2018); Director, Chairman of the Board, President and Chief Executive Officer, Transamerica Asset Management, Inc. (“TAM”) and Transamerica Fund Services, Inc. (“TFS”) (2014 – present);
Senior Vice President, Transamerica
Retirement Solutions LLC (2012 - present);
Trust Officer, Massachusetts Fidelity Trust
Company (2014 - 2021); President, Investment Solutions, Transamerica Investments & Retirement (2014 – 2016);
Vice President, Transamerica Life Insurance
Company (2010 – 2016); Vice President, Transamerica Premier Life Insurance Company (2010 – 2016);
Senior Vice President, Transamerica
Financial Life Insurance Company (2013 –
2016); Senior Vice President, Transamerica Retirement Advisors, Inc. (2013 – 2016) and President and Director, Transamerica Stable Value Solutions, Inc. (2010 – 2016). |
120 |
Director, Massachusetts Fidelity Trust Company (2014 - 2021);
Director, Aegon Global
Funds (2016 - present) |
Alan F. Warrick (72) |
Board Member |
Since 2012 |
Board Member, TF, TST and TAAVF (2012
– present);
Board Member, TPP, TPFG and TPFG II
(2012 – 2018); Senior Advisor, Lovell Minnick Equity Partners (2010 – present); and Retired (2010). |
115 |
N/A |
INDEPENDENT BOARD MEMBERS | |||||
Sandra N. Bane
(69) |
Board Member |
Since 2008 |
Retired (1999 – present);
Board Member, TF, TST and TAAVF (2008
– present);
Board Member, TPP, TPFG and TPFG II
(2008 – 2018); and
Partner, KPMG (1975 – 1999). |
115 |
Big 5 Sporting Goods
(2002 – present); Southern Company Gas (energy services holding company) (2008 – present) |
Leo J. Hill |
Lead Independent |
Since 2002 |
Principal, Advisor Network Solutions, LLC |
115 |
Ameris Bancorp (2013 – |
Name and Age |
Position(s)
Held with
Trust |
Term of
Office and
Length
of Time
Served* |
Principal Occupation(s)
During Past Five Years |
Number of
Funds in
Complex
Overseen
by Board
Member |
Other
Directorships Held
By Board Member
|
INDEPENDENT BOARD MEMBERS—continued | |||||
Leo J. Hill
(continued)(65) |
Board Member |
|
(business consulting) (2006 – present); Board Member, TST (2001 – present); Board Member, TF (2002 – present); Board Member, TAAVF (2007 – present); Board Member, TPP, TPFG and TPFG II (2007 – 2018);
Market President, Nations Bank of Sun
Coast Florida (1998 – 1999);
Chairman, President and Chief Executive
Officer, Barnett Banks of Treasure Coast
Florida (1994 – 1998);
Executive Vice President and Senior Credit
Officer, Barnett Banks of Jacksonville,
Florida (1991 – 1994);
and Senior Vice President and Senior Loan
Administration Officer, Wachovia Bank of
Georgia (1976 – 1991). |
|
present); Ameris Bank (2013 – present) |
David W. Jennings
(74) |
Board Member |
Since 2009 |
Board Member, TF, TST and TAAVF (2009
– present);
Board Member, TPP, TPFG and TPFG II
(2009 – 2018); Managing Director, Hilton Capital Management, LLC (2010 – present). |
115 |
N/A |
Fredric A. Nelson III
(64) |
Board Member |
Since 2017 |
Board Member, TF, TST and TAAVF (2017 – present); Board Member, TPP, TPFG and TPFG II (2017 – 2018);
Chief Investment Officer (“CIO”),
Commonfund (2011 – 2015);
Vice Chairman, CIO, ING Investment
Management Americas (2003 – 2009);
Managing Director, Head of U.S. Equity, JP
Morgan Investment Management (1994 –
2003);
and Managing Director, Head of Global
Quantitative Investments Group, Bankers
Trust Global Investment Management (1981
– 1994). |
115 |
N/A |
John E. Pelletier
(57) |
Board Member |
Since 2017 |
Board Member, TF, TST and TAAVF (2017
– present);
Board Member, TPP, TPFG and TPFG II
(2017 – 2018); Director, Center for Financial Literacy, Champlain College (2010 – present);
Co-Chair, Vermont Financial Literacy
Commission with Vermont State Treasurer
(2015 – 2018);
Chairman, Vermont Universal Children’s
Higher Education Savings Account Program
Advisory Committee (2015 – 2021);
Founder and Principal, Sterling Valley
Consulting LLC (a financial services
consulting firm) (2009 – 2017);
Independent Director, The Sentinel Funds
and Sentinel Variable Products Trust (2013 –
2017);
Chief Legal Officer, Eaton Vance Corp.
(2007 – 2008);
and Executive Vice President and Chief
Operating Officer (2004 - 2007), General
Counsel (1997 – 2004), Natixis Global |
115 |
N/A |
Name and Age |
Position(s)
Held with
Trust |
Term of
Office and
Length
of Time
Served* |
Principal Occupation(s)
During Past Five Years |
Number of
Funds in
Complex
Overseen
by Board
Member |
Other
Directorships Held
By Board Member
|
INDEPENDENT BOARD MEMBERS—continued | |||||
John E. Pelletier
(continued) |
|
|
Associates. |
|
|
Patricia L. Sawyer
(71) |
Board Member |
Since 2007 |
Retired (2007 – present);
President/Founder, Smith & Sawyer LLC
(management consulting) (1989 – 2007);
Board Member, TF and TST (2007 –
present);
Board Member, TAAVF (1993 – present);
Board Member, TPP, TPFG and TPFG II
(1993 – 2018); and Trustee, Chair of Finance Committee and Chair of Nominating Committee (1987 – 1996), Bryant University. |
115 |
Honorary Trustee,
Bryant University (1996
– present) |
John W. Waechter
(69) |
Board Member |
Since 2005 |
Partner, Englander Fischer (2016 – present) (law firm); Attorney, Englander Fischer (2008 – 2015); Retired (2004 – 2008); Board Member, TST (2004 – present); Board Member, TF (2005 – present); Board Member, TAAVF (2007 – present); Board Member, TPP, TPFG and TPFG II (2007 – 2018);
Employee, RBC Dain Rauscher (securities
dealer) (2004); Executive Vice President,
Chief Financial Officer and Chief
Compliance Officer, William R. Hough &
Co. (securities dealer) (1979 – 2004);
and Treasurer, The Hough Group of Funds
(1993 – 2004) (fund accounting). |
115 |
Board Member, Operation PAR, Inc. (non-profit organization) (2008 – present);
Board Member, Boley
PAR, Inc. (non-profit
organization) (2016 -
present) Board Member, Remember Honor Support, Inc. (non-profit organization) (2013 - 2020); Board Member, WRH Income Properties, Inc. (real estate) (2014 - present) |
Name and Age |
Position |
Term of Office
and Length of
Time Served* |
Principal Occupation(s) or Employment
During Past Five Years |
Marijn P. Smit
(47) |
Chairman of the Board, President
and Chief Executive Officer |
Since 2014 |
See Interested Board Members Table Above. |
Christopher A. Staples, CFA
(50) |
Vice President and Chief Investment Officer, Advisory Services |
Since 2005 |
Vice President and Chief Investment Officer, Advisory Services, TF and TST (2007 – present);
Vice President and Chief Investment Officer, TET (2017 –
present);
Vice President and Chief Investment Officer, Advisory Services,
TAAVF (2007 – present);
Vice President and Chief Investment Officer, Advisory Services,
TPP, TPFG and TPFG II (2007 – 2018); Director (2005 – 2019), Senior Vice President (2006 – present),
Senior Director, Investments (2016 – present), Chief Investment
Officer, Advisory Services (2012 – 2016) and Lead
Portfolio Manager (2007 – present), TAM;
Director, TFS (2005 – 2019);
Trust Officer, Massachusetts Fidelity Trust Company (2010 -
present);
Registered Representative (2007 – 2016), Transamerica Capital,
Inc. (“TCI”); |
Name and Age |
Position |
Term of Office
and Length of
Time Served* |
Principal Occupation(s) or Employment
During Past Five Years |
Christopher A. Staples, CFA
(continued) |
|
|
and Registered Representative, TFA (2005 – present).
|
Thomas R. Wald, CFA
(60) |
Vice President and Chief Investment Officer |
Since 2014 |
Chief Investment Officer, TF, TST and TAAVF (2014 – present);
TET (2017 – present);
Chief Investment Officer, TPP, TPFG and TPFG II (2014 –
2018); Director (2017 – 2020), Akaan Transamerica, S.A. de C.V., Sociedad Operadora de Fondos de Inversión;
Chief Investment Officer, Transamerica Investments & Retirement
(2014 – 2020); Senior Vice President and Chief Investment Officer, TAM (2014 –
present);
Director, TFS (2019 - present); and
Trust Officer, Massachusetts Fidelity Trust Company (2015 -
present). |
Vincent J. Toner
(51) |
Vice President and Treasurer |
Since 2014 |
Vice President and Treasurer, TF, TST and TAAVF (2014 –
present), Vice President and Treasurer (2017 –
present), Vice President, Principal Financial Officer and
Treasurer (2020 – present), TET;
Vice President and Treasurer, TPP, TPFG and TPFG II (2014 –
2018); Vice President (2016 – present), Treasurer (2016 – 2019), Vice
President, Administration and Treasurer (2014 – 2016),
TAM; Vice President, Administration and Treasurer (2014
– 2019), Senior Vice President (2019 – present),
TFS; Vice President (2016 – present), TCI;
and Trust Officer (2015 – present), Massachusetts Fidelity Trust
Company. |
Francine J. Rosenberger
(53) |
Chief Compliance Officer |
Since 2019 |
Chief Compliance Officer, TF, TST, TET and TAAVF (2019 – present); Derivatives Risk Manager, TF, TST and TAAVF (2021 – present);
Chief Compliance Officer (2019 – present), TAM; and General Counsel, Corporate Secretary and Fund Chief Compliance Officer, Steben & Company, Inc. (2013 – 2019).
|
Molly Possehl
(43) |
Anti-Money Laundering Officer |
Since 2019 |
Anti-Money Laundering Officer, TF, TST, TET and TAAVF (2019
– present);
Assistant General Counsel, Transamerica Life Insurance
Company/Aegon USA (2013 – present);
and Anti-Money Laundering Compliance Officer and Fraud
Officer, Transamerica Life Insurance Company/Aegon USA (2015
– present). |
Erin D. Nelson
(44) |
Chief Legal Officer and Secretary |
Since 2019 |
Chief Legal Officer and Secretary, TF, TST, TET and TAAVF (2019 – present); Assistant General Counsel II and Assistant Secretary, TAM (2019 –
present);
Assistant Secretary (2019 – present), TFS;
and Senior Vice President and Chief Compliance Officer, ALPS
Advisors, Inc. (2015 – 2019). |
Kathryn L. Petty
(44) |
Assistant Treasurer |
Since 2021 |
Assistant Treasurer, TF, TST and TAAVF (2021 –
present); and Senior Manager, Fund Administration, TAM (2014
– 2021). |
Timothy Bresnahan
(52) |
Assistant Secretary |
Since 2020 |
Assistant Secretary, TF, TST and TAAVF (2020 – present);
Assistant Secretary (2019 – present), Secretary
(2019), TET; and Senior Counsel, TAM (2008 –
present). |
|
Interested Trustees |
|
|
|
|
|
|
| |
Fund |
Marijn P. Smit |
Alan F. Warrick |
Sandra N. Bane |
Leo J. Hill |
David W.
Jennings |
Fredric A.
Nelson III |
John E.
Pelletier |
Patricia L.
Sawyer |
John W.
Waechter |
Transamerica Asset Allocation –
Conservative Portfolio |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Asset Allocation –
Growth Portfolio |
None |
None |
None |
None |
None |
None |
None |
None |
Over $100,000 |
Transamerica Asset Allocation –
Moderate Growth Portfolio |
None |
None |
None |
None |
None |
None |
None |
None |
Over $100,000 |
Transamerica Asset Allocation –
Moderate Portfolio |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Bond |
None |
None |
None |
$50,001 – $100,000 |
None |
None |
Over $100,000 |
None |
$10,001 – $50,000 |
Transamerica Capital Growth |
None |
None |
None |
$50,001 –
$100,000 |
None |
$50,001 –
$100,000 |
None |
None |
None |
Transamerica Core Bond |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Emerging Markets
Debt |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Emerging Markets
Opportunities |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Energy Infrastructure |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Event Driven |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Floating Rate |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Global Equity |
None |
None |
None |
None |
None |
None |
None |
None |
$50,001 – $100,000 |
Transamerica Government Money
Market |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica High Yield Bond |
$10,001 – $50,000 |
None |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
None |
Transamerica High Yield ESG |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica High Yield Muni |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Inflation Opportunities |
None |
None |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
None |
Transamerica Intermediate Bond |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Intermediate Muni |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica International Equity |
Over $100,000 |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica International Growth |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica International Small
Cap Value |
None |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
None |
None |
Transamerica International Stock |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Large Cap Value |
None |
None |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
None |
Transamerica Large Growth |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Mid Cap Growth |
None |
None |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
None |
|
Interested Trustees |
|
|
|
|
|
|
| |
Fund |
Marijn P. Smit |
Alan F. Warrick |
Sandra N. Bane |
Leo J. Hill |
David W.
Jennings |
Fredric A.
Nelson III |
John E.
Pelletier |
Patricia L.
Sawyer |
John W.
Waechter |
Transamerica Mid Cap Value |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Mid Cap Value
Opportunities |
$10,001 – $50,000 |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
None |
None |
Transamerica Multi-Asset Income |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Multi-Managed
Balanced |
None |
None |
None |
$10,001 – $50,000 |
None |
None |
Over $100,000 |
None |
None |
Transamerica Short-Term Bond |
None |
None |
None |
None |
None |
None |
Over $100,000 |
None |
None |
Transamerica Small Cap Growth |
None |
None |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
None |
Transamerica Small Cap Value |
None |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
None |
None |
Transamerica Small/Mid Cap Value |
None |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
$10,001 – $50,000 |
None |
Transamerica Sustainable Bond |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Sustainable Equity
Income |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Total Return |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Unconstrained Bond |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica US Growth |
None |
None |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
None |
Transamerica Fund Family | |
Trustee |
Aggregate Dollar
Range of Equity
Securities |
Interested Trustees |
|
Marijn P. Smit |
Over $100,000 |
Alan F. Warrick |
None |
Independent Trustees |
|
Sandra N. Bane |
None |
Leo J. Hill |
Over $100,000 |
David W. Jennings |
None |
Fredric A. Nelson III |
$50,001 - $100,000 |
John E. Pelletier |
Over $100,000 |
Patricia L. Sawyer |
Over $100,000 |
John W. Waechter |
Over $100,000 |
Name of Person, Position |
Aggregate
Compensation from
the Trust |
Pension or Retirement
Benefits Accrued as
Part of Funds
Expenses(a) |
Estimated Annual
Benefits Upon
Retirement(a) |
Total Compensation
from the Transamerica
Fund Family
(including the Trust)(b) |
Sandra N. Bane, Trustee |
$122,938 |
N/A |
N/A |
$331,000 |
Leo J. Hill, Trustee |
$145,739 |
N/A |
N/A |
$392,400 |
David W. Jennings, Trustee |
$122,938 |
N/A |
N/A |
$331,000 |
Fredric A. Nelson III, Trustee |
$122,938 |
N/A |
N/A |
$331,000 |
Name of Person, Position |
Aggregate
Compensation from
the Trust |
Pension or Retirement
Benefits Accrued as
Part of Funds
Expenses(a) |
Estimated Annual
Benefits Upon
Retirement(a) |
Total Compensation
from the Transamerica
Fund Family
(including the Trust)(b) |
John E. Pelletier, Trustee |
$122,938 |
N/A |
N/A |
$331,000 |
Patricia L. Sawyer, Trustee |
$128,360 |
N/A |
N/A |
$345,600 |
John W. Waechter, Trustee |
$132,183 |
N/A |
N/A |
$355,900 |
Fund Name |
Percentage of Average Daily Net Assets |
Transamerica Asset Allocation – Conservative Portfolio
|
0.104% of the first $1 billion
0.0975% over $1 billion up to $3 billion
0.0925% over $3 billion up to $5 billion
0.085% over $5 billion up to $7 billion
0.080% in excess of $7 billion |
Transamerica Asset Allocation – Growth Portfolio |
0.104% of the first $1 billion 0.0975% over $1 billion up to $3 billion 0.0925% over $3 billion up to $5 billion 0.085% over $5 billion up to $7 billion 0.080% in excess of $7 billion |
Transamerica Asset Allocation – Moderate Growth
Portfolio |
0.104% of the first $1 billion
0.0975% over $1 billion up to $3 billion
0.0925% over $3 billion up to $5 billion
0.085% over $5 billion up to $7 billion
0.080% in excess of $7 billion |
Transamerica Asset Allocation – Moderate Portfolio
|
0.104% of the first $1 billion 0.0975% over $1 billion up to $3 billion 0.0925% over $3 billion up to $5 billion 0.085% over $5 billion up to $7 billion 0.080% in excess of $7 billion |
Transamerica Bond |
0.41% of the first $500 million
0.39% over $500 million up to $1 billion
0.38% over $1 billion up to $1.5 billion
0.375% in excess of $1.5 billion |
Transamerica Capital Growth |
0.7075% of the first $1.5 billion; 0.6415% over $1.5 billion up to $3 billion; 0.63% over $3 billion up to $5 billion; 0.57% over $5 billion up to $7 billion; 0.55% in excess of $7 billion |
Transamerica Core Bond |
0.45% of the first $750 million
0.39% over $750 million up to $1 billion
0.375% over $1 billion up to $1.5 billion
0.37% over $1.5 billion up to $3 billion
0.365% in excess of $3 billion |
Transamerica Emerging Markets Debt |
0.63% of the first $400 million 0.61% in excess of $400 million |
Fund Name |
Percentage of Average Daily Net Assets |
Transamerica Emerging Markets Opportunities |
0.83% of the first $250 million
0.80% over $250 million up to $500 million
0.75% in excess of $500 million |
Transamerica Energy Infrastructure |
1.054% of the first $250 million 1.04% over $250 million up to $500 million 0.96% over $500 million up to $1 billion 0.85% over $1 billion up to $2 billion 0.80% in excess of $2 billion |
Transamerica Event Driven |
1.25% of the first $50 million
1.13% over $50 million up to $300 million
1.08% over $300 million up to $750 million
1.055% in excess of $750 million |
Transamerica Floating Rate |
0.64% of the first $1 billion 0.62% over $1 billion up to $1.5 billion 0.60% over $1.5 billion up to $2 billion
0.59% in excess of $2 billion |
Transamerica Global Equity |
0.79% of the first $250 million
0.74% over $250 million up to $1 billion
0.73% over $1 billion up to $2 billion
0.70% in excess of $2 billion |
Transamerica Government Money Market |
0.24% of the first $1 billion 0.22% over $1 billion up to $3 billion 0.21% in excess of $3 billion |
Transamerica High Yield Bond |
0.554% of the first $1.25 billion
0.544% over $1.25 billion up to $2 billion
0.52% in excess of $2 billion |
Transamerica High Yield ESG |
0.554% of the first $1.25 billion 0.544% over $1.25 billion up to $2 billion 0.52% in excess of $2 billion |
Transamerica High Yield Muni |
0.54% of the first $500 million
0.53% over $500 million up to $1 billion
0.50% in excess of $1 billion |
Transamerica Inflation Opportunities |
0.49% of the first $250 million 0.43% over $250 million up to $1 billion 0.38% in excess of $1 billion |
Transamerica Intermediate Bond |
0.38% of the first $2 billion
0.365% over $2 billion up to $3.5 billion
0.36% over $3.5 billion up to $5 billion
0.355% in excess of $5 billion |
Transamerica Intermediate Muni |
0.47% of the first $150 million 0.45% over $150 million up to $350 million 0.44% over $350 million up to $650 million 0.42% over $650 million up to $1 billion 0.39% over $1 billion up to $2 billion 0.3875% over $2 billion up to $3 billion 0.3825% in excess of $3 billion |
Transamerica International Equity |
0.77% of the first $500 million
0.75% over $500 million up to $1 billion
0.72% over $1 billion up to $2 billion
0.69% over $2 billion up to $6 billion
0.68% in excess of $6 billion |
Transamerica International Growth |
0.77% of the first $500 million 0.76% over $500 million up to $1 billion 0.71% over $1 billion up to $2 billion 0.695% over $2 billion up to $3 billion 0.68% in excess of $3 billion |
Transamerica International Small Cap Value |
0.955% of the first $300 million
0.93% over $300 million up to $750 million
0.88% over $750 million up to $1 billion
0.84% in excess of $1 billion |
Transamerica International Stock |
0.70% of the first $500 million 0.68% over $500 million up to $1 billion 0.67% over $1 billion up to $2 billion 0.64% over $2 billion up to $3 billion 0.63% in excess of $3 billion |
Fund Name |
Percentage of Average Daily Net Assets |
Transamerica Large Cap Value |
0.594% of the first $1 billion
0.58% over $1 billion up to $2 billion
0.56% over $2 billion up to $3 billion
0.54% in excess of $3 billion |
Transamerica Large Growth |
0.65% of the first $1 billion 0.635% over $1 billion up to $1.5 billion 0.615% over $1.5 billion up to $2 billion 0.605% over $2 billion up to $3 billion 0.59% over $3 billion up to $4 billion 0.575% over $4 billion up to $5 billion 0.57% over $5 billion up to $7 billion 0.55% in excess of $7 billion |
Transamerica Mid Cap Growth |
0.705% of the first $200 million
0.685% over $200 million up to $1 billion
0.670% in excess of $1 billion |
Transamerica Mid Cap Value |
0.88% of the first $100 million 0.83% over $100 million up to $750 million 0.81% over $750 million up to $1.5 billion 0.80% in excess of $1.5 billion |
Transamerica Mid Cap Value Opportunities |
0.70% of the first $750 million
0.695% over $750 million up to $1.5 billion
0.685% over $1.5 billion up to $2 billion
0.6775% in excess of $2 billion |
Transamerica Multi-Asset Income |
0.574% of the first $500 million 0.57% over $500 million up to $1 billion 0.545% over $1 billion up to $1.5 billion 0.535% over $1.5 billion up to $2 billion 0.515% in excess of $2 billion |
Transamerica Multi-Managed Balanced |
0.61% of the first $500 million
0.59% over $500 million up to $1 billion
0.56% over $1 billion up to $1.5 billion
0.55% over $1.5 billion up to $2 billion
0.52% over $2 billion up to $5 billion
0.50% in excess of $5 billion |
Transamerica Short-Term Bond |
0.42% of the first $250 million 0.39% over $250 million up to $500 million 0.37% over $500 million up to $1 billion 0.36% in excess of $1 billion |
Transamerica Small Cap Growth |
0.87% of the first $300 million
0.83% in excess of $300 million |
Transamerica Small Cap Value |
0.80% of the first $300 million 0.75% over $300 million up to $800 million 0.71% in excess of $800 million |
Transamerica Small/Mid Cap Value |
0.79% of the first $350 million
0.78% over $350 million up to $500 million
0.765% over $500 million up to $750 million
0.755% over $750 million up to $1 billion
0.735% over $1 billion up to $1.5 billion
0.73% over $1.5 billion up to $2 billion
0.725% in excess of $2 billion |
Transamerica Sustainable Bond |
0.41% of the first $500 million 0.39% over $500 million up to $1 billion 0.38% over $1 billion up to $1.5 billion 0.375% in excess of $1.5 billion |
Transamerica Sustainable Equity Income |
0.663% of the first $500 million
0.58% over $500 million up to $1 billion
0.55% over $1 billion up to $1.5 billion
0.53% in excess of $1.5 billion |
Transamerica Total Return |
0.68% of the first $250 million 0.67% over $250 million up to $500 million 0.66% over $500 million up to $750 million 0.63% over $750 million up to $1 billion 0.60% over $1 billion up to $3 billion 0.57% in excess of $3 billion |
Transamerica Unconstrained Bond |
0.65% of the first $500 million
0.64% over $500 million up to $1 billion
0.62% over $1 billion up to $2 billion
0.61% in excess of $2 billion1 |
Fund Name |
Percentage of Average Daily Net Assets |
Transamerica US Growth |
0.68% of the first $500 million
0.67% over $500 million up to $800 million
0.6575% over $800 million up to $1 billion
0.613% over $1 billion up to $2 billion
0.605% over $2 billion up to $3 billion
0.59% over $3 billion up to $4 billion
0.575% over $4 billion up to $5 billion
0.57% over $5 billion up to $7 billion
0.55% in excess of $7 billion |
Fund Name |
Management Fees (after waivers/expense reimbursements and
recapture) |
Management Fees Waived/Expenses Reimbursed | ||||
|
2020 |
2019 |
2018 |
2020 |
2019 |
2018 |
Transamerica Asset Allocation – Conservative Portfolio
|
$847,327
|
$985,564
|
$1,234,830 |
$- |
$1,824 |
$2,205 |
Transamerica Asset Allocation – Growth Portfolio |
$1,236,554
|
$1,460,281
|
$1,805,682
|
$-
|
$17,961
|
$11,881
|
Transamerica Asset Allocation – Moderate Growth
Portfolio |
$2,146,679
|
$2,527,481
|
$3,105,414 |
$- |
$9,076 |
$11,401 |
Transamerica Asset Allocation – Moderate Portfolio
|
$1,522,994
|
$1,797,365
|
$2,238,275
|
$-
|
$4,370
|
$5,322
|
Transamerica Bond |
$5,669,375
|
$3,276,548
|
$2,155,949 |
$635,743
|
$542,824
|
$159,903 |
Transamerica Capital Growth |
$19,308,770
|
$13,084,625
|
$8,543,932
|
$-
|
$54,303
|
$3,504
|
Transamerica Core Bond |
$4,437,091
|
$4,915,180
|
$5,287,272 |
$- |
- |
$2,857 |
Transamerica Emerging Markets Debt |
$2,951,868
|
$4,080,732
|
$5,515,529
|
$-
|
$4,310
|
- |
Transamerica Emerging Markets Opportunities |
$3,087,555
|
N/A |
N/A |
$518 |
N/A |
N/A |
Transamerica Energy Infrastructure |
$2,207,891
|
$3,206,112
|
$3,514,985
|
$25,251
|
$19,893
|
$30,461
|
Transamerica Event Driven |
$952,831
|
$1,277,855
|
$1,370,040 |
$35,578 |
$71,112 |
$100,776 |
Transamerica Floating Rate |
$547,001
|
$3,512,664
|
$4,575,330
|
$263,357
|
$68,229
|
$72,525
|
Transamerica Global Equity |
$679,069
|
$789,417
|
$925,290 |
$71,341 |
$159,424
|
$119,415 |
Transamerica Government Money Market |
$689,832
|
$2,747,603
|
$2,419,499
|
$2,759,320
|
$485,121
|
$776,802
|
Transamerica High Yield Bond |
$10,730,062
|
$7,843,516
|
$8,946,630 |
$86,366 |
$245,653
|
$564,767 |
Transamerica High Yield ESG |
$(31,089)
|
N/A |
N/A |
$58,894
|
N/A |
N/A |
Transamerica High Yield Muni |
$445,193
|
$495,529
|
$553,542 |
$82,514 |
$77,949 |
$25,733 |
Transamerica Inflation Opportunities |
$611,300
|
$813,164
|
$1,010,521
|
$17,040
|
$4,531
|
$4,788
|
Transamerica Intermediate Bond |
$7,920,599
|
$10,525,992
|
$11,302,846 |
$36,908 |
$54,954 |
$293,364 |
Transamerica Intermediate Muni |
$7,049,127
|
$6,112,237
|
$6,121,835
|
$1,183,870
|
$296,109
|
- |
Transamerica International Equity |
$30,327,361
|
$35,072,589
|
$40,981,526 |
$102,388
|
$98,681 |
$38,568 |
Transamerica International Growth |
$9,388,383
|
$8,526,362
|
$10,918,077
|
$785
|
$559 |
$67
|
Transamerica International Small Cap Value |
$5,254,026
|
$5,873,732
|
$8,208,168 |
$- |
- |
- |
Transamerica International Stock |
$692,434
|
$(116,500)
|
$(23,183)
|
$50,633
|
$271,299
|
$24,463
|
Transamerica Large Cap Value |
$11,226,881
|
$13,221,316
|
$14,624,113 |
$138,653
|
$66,883 |
- |
Transamerica Large Growth |
$5,749,750
|
$5,163,002
|
$5,250,548
|
$20,241
|
$50,676
|
$395,793
|
Transamerica Mid Cap Growth |
$2,315,263
|
$600,850
|
$1,080,949 |
$1,292 |
$100,445
|
$222,072 |
Transamerica Mid Cap Value |
$1,008,415
|
$1,236,012
|
$1,560,858
|
$- |
- |
- |
Transamerica Mid Cap Value Opportunities |
$8,565,211
|
$10,584,915
|
$10,273,642 |
$117,651
|
$627,978
|
$1,159,521 |
Transamerica Multi-Asset Income |
$1,428,444
|
$1,127,242
|
$1,045,176
|
$120,752
|
$61,210
|
$31,836
|
Transamerica Multi-Managed Balanced |
$6,482,352
|
$6,287,548
|
$6,643,661 |
$- |
$2,542 |
$3,907 |
Transamerica Short-Term Bond |
$11,331,050
|
$13,372,059
|
$15,361,656
|
$- |
- |
- |
Transamerica Small Cap Growth |
$1,446,467
|
$1,131,398
|
$1,161,965 |
$16,959 |
$95,606 |
$193,051 |
Transamerica Small Cap Value |
$1,050,763
|
$1,895,351
|
$2,160,491
|
$75,692
|
$16,550
|
$298,684
|
Transamerica Small/Mid Cap Value |
$5,456,807
|
$6,323,853
|
$6,808,989 |
$- |
$1,774 |
$2,754 |
Transamerica Sustainable Bond |
$(52,511)
|
N/A |
N/A |
$78,047
|
N/A |
N/A |
Transamerica Sustainable Equity Income |
$3,462,441
|
$3,860,809
|
$4,752,411 |
$2,154 |
$1,186 |
$5 |
Transamerica Total Return |
$3,718,134
|
$4,455,945
|
$4,330,803
|
$406,410
|
$374,151
|
$168,057
|
Transamerica Unconstrained Bond |
$8,557,548
|
$4,630,997
|
$3,929,871 |
$79,397 |
$7,201 |
$4,098 |
Transamerica US Growth |
$10,833,543
|
$7,898,748
|
$7,759,248
|
$3,519
|
$28,122
|
$7,536
|
Fund Name |
Management Fees Recaptured | ||
2020 |
2019 |
2018 | |
Transamerica Asset Allocation – Conservative Portfolio
|
$- |
- |
$1,398 |
Transamerica Asset Allocation – Growth Portfolio |
$- |
$11,050
|
$3,391
|
Transamerica Asset Allocation – Moderate Growth
Portfolio |
$- |
- |
$5,883 |
Transamerica Asset Allocation – Moderate Portfolio
|
$- |
- |
$3,142
|
Transamerica Bond |
$26,297 |
$5,882 |
$114 |
Transamerica Capital Growth |
$- |
$52,404
|
$387
|
Transamerica Core Bond |
$- |
- |
- |
Transamerica Emerging Markets Debt |
$- |
$4,310
|
- |
Transamerica Emerging Markets Opportunities |
$431 |
N/A |
N/A |
Transamerica Energy Infrastructure |
$2,013
|
$4,496
|
$20,870
|
Transamerica Event Driven |
$7,382 |
$95,140 |
$4,482 |
Transamerica Floating Rate |
$104,875
|
$32,850
|
$2,048
|
Transamerica Global Equity |
$22,705 |
$71,655 |
$31,980 |
Transamerica Government Money Market |
$149,727
|
$234,866
|
$311,226
|
Transamerica High Yield Bond |
$52,168 |
$15,699 |
$19,031 |
Transamerica High Yield ESG |
$- |
N/A |
N/A |
Transamerica High Yield Muni |
$357 |
$12,572 |
$13,247 |
Transamerica Inflation Opportunities |
$11,311
|
$1,698
|
$4,209
|
Transamerica Intermediate Bond |
$2,527 |
$2,366 |
$7,607 |
Transamerica Intermediate Muni |
$- |
- |
- |
Transamerica International Equity |
$20,505 |
$48,304 |
$22,968 |
Transamerica International Growth |
$9 |
$33 |
$11
|
Transamerica International Small Cap Value |
$- |
- |
- |
Transamerica International Stock |
$109,748
|
$84,724
|
- |
Transamerica Large Cap Value |
$- |
- |
- |
Transamerica Large Growth |
$501
|
$2,184
|
$6,517
|
Transamerica Mid Cap Growth |
$24,706 |
$56,500 |
$11,531 |
Transamerica Mid Cap Value |
$- |
- |
- |
Transamerica Mid Cap Value Opportunities |
$7,470 |
$86,747 |
$30,804 |
Transamerica Multi-Asset Income |
$15,933
|
$37,020
|
$52,067
|
Transamerica Multi-Managed Balanced |
$- |
- |
$434 |
Transamerica Short-Term Bond |
$- |
- |
- |
Transamerica Small Cap Growth |
$17,433 |
$14,885 |
$21,483 |
Transamerica Small Cap Value |
$70,928
|
$2,778
|
$4,412
|
Transamerica Small/Mid Cap Value |
$- |
- |
$1,486 |
Transamerica Sustainable Bond |
$- |
N/A |
N/A |
Transamerica Sustainable Equity Income |
$1,070 |
$699 |
$1 |
Transamerica Total Return |
$- |
$133,557
|
- |
Transamerica Unconstrained Bond |
$- |
- |
$2 |
Transamerica US Growth |
$3,393
|
$22,379
|
$776
|
Fund |
Expense Cap |
Expiration Date of
Expense Cap | ||||||
|
Class A |
Class C |
Class I |
Class I2 |
Class R |
Class R3 |
Class R6 |
|
Transamerica Asset Allocation – Conservative Portfolio1 |
0.60% |
1.35% |
0.35% |
N/A |
0.95% |
N/A |
N/A |
March 1, 2022 |
Transamerica Asset Allocation – Growth Portfolio1 |
0.60% |
1.35% |
0.35% |
N/A |
0.95% |
N/A |
N/A |
March 1, 2022 |
Transamerica Asset Allocation – Moderate Growth Portfolio1 |
0.60% |
1.35% |
0.35% |
N/A |
0.85% |
N/A |
N/A |
March 1, 2022 |
Transamerica Asset Allocation – Moderate Portfolio1 |
0.60% |
1.35% |
0.35% |
N/A |
0.85% |
N/A |
N/A |
March 1, 2022 |
Transamerica Bond |
0.97% |
1.65% |
0.50% |
0.52% |
N/A |
N/A |
0.52% |
March 1, 2022 |
Transamerica Capital Growth |
1.16% |
1.90% |
0.88% |
0.78% |
N/A |
N/A |
0.78% |
March 1, 2022 |
Transamerica Core Bond |
N/A |
N/A |
N/A |
0.54% |
N/A |
N/A |
N/A |
March 1, 2022 |
Transamerica Emerging Markets Debt |
1.25% |
2.00% |
0.85% |
0.85% |
N/A |
N/A |
0.85% |
March 1, 2022 |
Transamerica Emerging Markets Opportunities |
1.55% |
2.30% |
0.98% |
0.95% |
N/A |
1.70% |
0.95% |
March 1, 2022 |
Transamerica Energy Infrastructure |
1.60% |
2.35% |
1.35% |
1.25% |
N/A |
N/A |
N/A |
March 1, 2022 |
Transamerica Event Driven |
1.60% |
N/A |
1.35% |
1.35% |
N/A |
N/A |
N/A |
March 1, 2022 |
Transamerica Floating Rate |
1.05% |
1.80% |
0.80% |
0.80% |
N/A |
N/A |
N/A |
March 1, 2022 |
Transamerica Global Equity |
1.35% |
2.10% |
1.10% |
1.05% |
N/A |
N/A |
1.05% |
March 1, 2022 |
Transamerica Government Money Market |
0.73% |
1.48% |
0.38% |
0.38% |
N/A |
N/A |
N/A |
March 1, 2022 |
Transamerica High Yield Bond2 |
1.09% |
1.85% |
0.79% |
0.67% |
N/A |
N/A |
0.67% |
March 1, 2022 |
Transamerica High Yield ESG3 |
1.00% |
1.75% |
0.85% |
0.75% |
N/A |
1.15% |
0.75% |
March 1, 2022 |
Transamerica High Yield Muni4 |
1.01% |
1.76% |
0.76% |
0.76% |
N/A |
N/A |
N/A |
March 1, 2022 |
Transamerica Inflation Opportunities |
1.00% |
1.71% |
0.65% |
0.64% |
N/A |
N/A |
0.64% |
March 1, 2022 |
Transamerica Intermediate Bond |
N/A |
N/A |
N/A |
0.50% |
N/A |
N/A |
0.50% |
March 1, 2022 |
Transamerica Intermediate Muni4 |
0.85% |
1.60% |
0.49% |
0.60% |
N/A |
N/A |
N/A |
March 1, 2022 |
Transamerica International Equity |
1.25% |
2.00% |
1.00% |
0.90% |
N/A |
N/A |
0.90% |
March 1, 2022 |
Transamerica International Growth5 |
1.20% |
1.95% |
1.05% |
0.95% |
N/A |
N/A |
0.95% |
March 1, 2022 |
Transamerica International Small Cap Value |
N/A |
N/A |
1.22% |
1.12% |
N/A |
N/A |
1.22% |
March 1, 2022 |
Transamerica International Stock |
1.25% |
N/A |
1.00% |
0.95% |
N/A |
N/A |
0.95% |
March 1, 2022 |
Transamerica Large Cap Value6 |
1.15% |
1.90% |
0.83% |
0.72% |
N/A |
N/A |
0.72% |
March 1, 2022 |
Transamerica Large Growth |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
0.75% |
March 1, 2022 |
Transamerica Mid Cap Growth |
1.30% |
2.05% |
0.98% |
0.85% |
N/A |
N/A |
0.85% |
March 1, 2022 |
Transamerica Mid Cap Value |
N/A |
N/A |
N/A |
1.05% |
N/A |
N/A |
N/A |
March 1, 2022 |
Transamerica Mid Cap Value Opportunities |
1.20% |
1.95% |
0.90% |
0.80% |
N/A |
N/A |
0.80% |
March 1, 2022 |
Transamerica Multi-Asset Income7 |
1.12% |
1.87% |
0.72% |
0.83% |
N/A |
N/A |
N/A |
March 1, 2022 |
Transamerica Multi-Managed Balanced |
1.15% |
1.90% |
0.83% |
0.73% |
N/A |
N/A |
0.73% |
March 1, 2022 |
Transamerica Short-Term Bond |
0.84% |
1.56% |
0.57% |
0.50% |
N/A |
N/A |
0.50% |
March 1, 2022 |
Transamerica Small Cap Growth |
1.40% |
2.15% |
1.15% |
1.00% |
N/A |
N/A |
1.00% |
March 1, 2022 |
Transamerica Small Cap Value |
1.30% |
2.05% |
1.05% |
0.95% |
N/A |
N/A |
0.95% |
March 1, 2022 |
Transamerica Small/Mid Cap Value |
1.37% |
2.05% |
1.00% |
0.90% |
N/A |
N/A |
0.90% |
March 1, 2022 |
Transamerica Sustainable Bond |
0.80% |
1.55% |
0.50% |
0.45% |
N/A |
0.85% |
0.45% |
March 1, 2022 |
Transamerica Sustainable Equity Income8 |
1.15% |
1.90% |
0.90% |
0.83% |
N/A |
N/A |
0.83% |
March 1, 2022 |
Transamerica Total Return |
N/A |
N/A |
N/A |
0.68% |
N/A |
N/A |
N/A |
March 1, 2022 |
Transamerica Unconstrained Bond |
1.20% |
1.20% |
0.95% |
0.85% |
N/A |
N/A |
N/A |
March 1, 2022 |
Transamerica US Growth* |
1.16% |
1.86% |
0.86% |
0.76% |
N/A |
N/A |
0.76% |
March 1, 2022 |
Fund |
Sub-Adviser |
Sub-Advisory Fees |
Transamerica Asset Allocation – Conservative
Portfolio(1)
Transamerica Asset Allocation – Growth Portfolio(1)
Transamerica Asset Allocation – Moderate
Portfolio(1)
Transamerica Asset Allocation – Moderate Growth
Portfolio(1) |
Goldman Sachs Asset Management, L.P. |
0.070% of the first $1 billion
0.055% over $1 billion up to $3 billion
0.050% over $3 billion up to $5 billion
0.045% over $5 billion up to $7 billion
0.0425% in excess of $7 billion |
Transamerica Bond |
Aegon USA Investment Management, LLC |
0.12% of the first $250 million 0.10% over $250 million up to $500 million 0.08% over $500 million up to $1 billion 0.075% in excess of $1 billion |
Transamerica Capital Growth(2) |
Morgan Stanley Investment Management Inc. |
0.27% of the first $1.5 billion
0.23% over $1.5 billion up to $3 billion 0.22% over $3 billion up to $5 billion
0.20% in excess of $5 billion |
Transamerica Core Bond(3) |
J.P. Morgan Investment Management Inc. |
0.11% |
Transamerica Emerging Markets Debt |
MetLife Investment Management, LLC |
0.27% of the first $250 million
0.24% over $250 million up to $400 million
0.20% in excess of $400 million |
Transamerica Emerging Markets Opportunities |
Wellington Management Company LLP |
0.40% of the first $250 million 0.33% in excess of $250 million |
Transamerica Energy Infrastructure |
Kayne Anderson Capital Advisors, L.P. |
0.625% of the first $250 million
0.62% over $250 million up to $500 million
0.55% over $500 million up to $1 billion
0.45% over $1 billion up to $2 billion
0.40% in excess of $2 billion |
Transamerica Event Driven |
Advent Capital Management, LLC |
0.75% of the first $50 million;
0.65% over $50 million up to $300 million; 0.60% in excess of $300 million |
Transamerica Floating Rate |
Aegon USA Investment Management, LLC |
0.25% of the first $1 billion
0.23% over $1 billion up to $1.5 billion
0.22% over $1.5 billion up to $2 billion
0.21% in excess of $2 billion |
Transamerica Global Equity |
Rockefeller & Co. LLC |
0.365% of the first $2 billion 0.355% in excess of $2 billion |
Transamerica Government Money Market |
BlackRock Investment Management, LLC |
0.024% |
Transamerica High Yield Bond(4) |
Aegon USA Investment Management, LLC |
0.35% of the first $20 million 0.24% over $20 million up to $40 million 0.19% over $40 million up to $125 million 0.14% in excess of $125 million |
Transamerica High Yield ESG(4) |
Aegon USA Investment Management, LLC |
0.35% of the first $20 million
0.24% over $20 million up to $40 million
0.19% over $40 million up to $125 million
0.14% in excess of $125 million |
Transamerica High Yield Muni |
Belle Haven Investments, L.P. |
0.25% of the first $500 million 0.24% over $500 million up to $1 billion 0.225% in excess of $1 billion |
Transamerica Inflation Opportunities(5) |
PineBridge Investments LLC |
0.15% of the first $250 million
0.10% over $250 million up to $1 billion
0.08% in excess of $1 billion |
Transamerica Intermediate Bond(6) |
Aegon USA Investment Management, LLC |
0.12% of the first $1 billion 0.05% in excess of $1 billion |
Transamerica Intermediate Muni |
Belle Haven Investments, L.P. |
0.18% of the first $150 million
0.16% over $150 million up to $350 million
0.15% over $350 million up to $650 million
0.135% over $650 million up to $1 billion
0.12% over $1 billion up to $1.5 billion
0.115% over $1.5 billion up to $2 billion
0.11% over $2 billion up to $3 billion
0.105% in excess of $3 billion |
Transamerica International Equity(7) |
Thompson, Siegel & Walmsley LLC |
0.30% of the first $1 billion 0.28% over $1 billion up to $2 billion 0.265% in excess of $2 billion |
Fund |
Sub-Adviser |
Sub-Advisory Fees |
Transamerica International Growth(8) |
TDAM USA Inc. |
0.27% of the first $1 billion
0.25% over $1 billion up to $2 billion
0.24% in excess of $2 billion |
Transamerica International Small Cap Value |
Thompson, Siegel & Walmsley LLC |
0.475% of the first $300 million 0.45% over $300 million up to $750 million 0.40% in excess of $750 million |
Transamerica International Stock |
ClariVest Asset Management LLC |
0.25% of the first $500 million
0.23% over $500 million up to $1 billion
0.22% over $1 billion up to $2 billion
0.21% over $2 billion up to $3 billion
0.20% in excess of $3 billion |
Transamerica Large Cap Value(9) |
Rothschild & Co Asset Management US Inc. |
0.144% of the first $1 billion 0.13% over $1 billion up to $3 billion 0.12% in excess of $3 billion |
Transamerica Large Growth |
Morgan Stanley Investment Management Inc.(2) |
0.27% of the first $1.5 billion
0.23% over $1.5 billion up to $3 billion
0.22% over $3 billion up to $5 billion
0.20% in excess of $5 billion |
Wellington Management Company
LLP(17) |
0.18% of the first $500 million 0.17% over $500 million up to $1 billion 0.16% over $1 billion up to $2 billion 0.15% in excess of $2 billion | |
Transamerica Mid Cap Growth |
Wellington Management Company LLP |
0.33% of the first $200 million
0.31% in excess of $200 million |
Transamerica Mid Cap Value |
J.P. Morgan Investment Management Inc. |
0.40% |
Transamerica Mid Cap Value Opportunities |
Thompson, Siegel & Walmsley LLC |
0.275% of the first $750 million
0.27% over $750 million up to $1.5 billion
0.265% over $1.5 billion up to $2 billion
0.26% in excess of $2 billion |
Transamerica Multi-Asset Income |
Thompson, Siegel & Walmsley LLC |
0.21% of the first $1 billion 0.185% over $1 billion up to $2 billion 0.17% in excess of $2 billion |
Transamerica Multi-Managed Balanced |
Aegon USA Investment Management, LLC |
0.12% of the first $1 billion
0.05% in excess of $1 billion |
J.P. Morgan Investment Management
Inc.(10) |
0.15% of the first $2 billion 0.13% over $2 billion up to $3 billion 0.12% over $3 billion up to $4 billion 0.11% in excess of $4 billion | |
Transamerica Short-Term Bond(11) |
Aegon USA Investment Management, LLC |
0.19% of the first $250 million
0.16% over $250 million up to $500 million
0.14% over $500 million up to $1 billion
0.13% in excess of $1 billion |
Transamerica Small Cap Growth |
Ranger Investment Management, L.P. |
0.415% of the first $300 million 0.375% in excess of $300 million |
Transamerica Small Cap Value |
Peregrine Capital Management, LLC |
0.36% of the first $300 million
0.31% over $300 million up to $800 million
0.30% in excess of $800 million |
Transamerica Small/Mid Cap Value |
Systematic Financial Management,
L.P.(12) |
0.45% of the first $100 million 0.40% over $100 million up to $350 million 0.35% over $350 million up to $1 billion 0.30% in excess of $1 billion |
Thompson, Siegel & Walmsley LLC(13) |
0.275% of the first $750 million
0.27% over $750 million up to $1.5 billion
0.265% over $1.5 billion up to $2 billion
0.26% in excess of $2 billion | |
Transamerica Sustainable Bond |
Aegon USA Investment Management, LLC |
0.12% of the first $250 million 0.10% over $250 million up to $500 million 0.08% over $500 million up to $1 billion 0.075% in excess of $1 billion |
Transamerica Sustainable Equity Income(14) |
Aegon Asset Management UK plc |
0.20% of the first $200 million
0.15% over $200 million up to $500 million
0.13% in excess of $500 million |
Transamerica Total Return(15) |
Pacific Investment Management Company LLC |
0.25% of the first $1 billion 0.20% in excess of $1 billion |
Transamerica Unconstrained Bond(16) |
PineBridge Investments LLC |
0.25% of the first $1 billion
0.245% over $1 billion up to $2 billion
0.24% in excess of $2 billion |
Fund |
Sub-Adviser |
Sub-Advisory Fees |
Transamerica US Growth(17) |
Wellington Management Company LLP |
0.18% of the first $500 million
0.17% over $500 million up to $1 billion
0.16% over $1 billion up to $2 billion
0.15% in excess of $2 billion |
Fund Name |
Sub-Advisory Fees Paid
(Net of Fees Reimbursed) | ||
2020 |
2019 |
2018 | |
Transamerica Asset Allocation – Conservative Portfolio
|
$565,407 |
$663,619 |
$781,231 |
Transamerica Asset Allocation – Growth Portfolio |
$755,849
|
$874,891
|
$1,010,865
|
Transamerica Asset Allocation – Moderate Growth
Portfolio |
$1,139,016 |
$1,284,341 |
$1,454239 |
Transamerica Asset Allocation – Moderate Portfolio
|
$878,433
|
$1,005,986
|
$1,177,897
|
Transamerica Bond |
$1,397,011 |
$924,050 |
$688,568 |
Transamerica Capital Growth |
$6,587,592
|
$5,277,196
|
$3,371,170
|
Transamerica Core Bond |
$1,124,598 |
$1,265,522 |
$1,372,966 |
Transamerica Emerging Markets Debt |
$1,171,928
|
$1,546,717
|
$1,808,050
|
Transamerica Emerging Markets Opportunities |
$1,388,878 |
N/A |
N/A |
Transamerica Energy Infrastructure |
$1,379,689
|
$1,977,625
|
$2,151,616
|
Transamerica Event Driven |
$578,897 |
$736,716 |
$858,963 |
Transamerica Floating Rate |
$275,203
|
$1,385,954
|
$1,814,773
|
Transamerica Global Equity |
$335,542 |
$386,848 |
$440,062 |
Transamerica Government Money Market |
$337,290
|
$305,221
|
$464,088
|
Transamerica High Yield Bond |
$2,842,721 |
$2,183,987 |
$2,568,654 |
Transamerica High Yield ESG |
$7,134
|
N/A |
N/A |
Transamerica High Yield Muni |
$243,639 |
$259,679 |
$262,034 |
Transamerica Inflation Opportunities |
$221,224
|
$293,847
|
$356,500
|
Transamerica Intermediate Bond |
$1,478,231 |
$1,889,537 |
$2,014,235 |
Transamerica Intermediate Muni |
$2,668,537
|
$2,131,993
|
$2,043,812
|
Transamerica International Equity |
$11,743,771 |
$13,575,292 |
$15,837,320 |
Transamerica International Growth |
$3,251,548
|
$2,950,788
|
$4,186,619
|
Transamerica International Small Cap Value |
$2,575,619 |
$2,880,838 |
$3,976,197 |
Transamerica International Stock |
$221,331
|
$24,114
|
$439
|
Transamerica Large Cap Value |
$3,011,411 |
$3,526,069 |
$3,809,748 |
Transamerica Large Growth |
$1,679,967
|
$1,801,858
|
$1,972,589
|
Transamerica Mid Cap Growth |
$1,055,300 |
$303,005 |
$645,782 |
Transamerica Mid Cap Value |
$461,467
|
$571,572
|
$728,146
|
Transamerica Mid Cap Value Opportunities |
$3,354,363 |
$4,292,930 |
$4,395,960 |
Transamerica Multi-Asset Income |
$559,701
|
$443,981
|
$421,360
|
Transamerica Multi-Managed Balanced |
$1,162,275, |
$1,271,171 |
$1,337,589 |
Transamerica Short-Term Bond |
$2,725,574
|
$3,174,529
|
$3,596,165
|
Transamerica Small Cap Growth |
$687,995 |
$578,195 |
$636,134 |
Transamerica Small Cap Value |
$470,266
|
$859,106
|
$1,092,533
|
Transamerica Small/Mid Cap Value |
$2,239,108 |
$2,581,960 |
$2,787,336 |
Transamerica Sustainable Bond |
$7,393
|
N/A |
N/A |
Transamerica Sustainable Equity Income |
$907,715 |
$995,008 |
$1,215,907 |
Transamerica Total Return |
$1,329,283
|
$1,504,848
|
$1,426,866
|
Transamerica Unconstrained Bond |
$3,275,358 |
$1,740,094 |
$1,463,803 |
Transamerica US Growth |
$2,429,890
|
$2,005,151
|
$2,064,000
|
Class A, C, R, T * |
|
Open Account |
$24.00 per account |
Closed Account |
$2.00 per account |
Class I* |
|
Open Direct Account |
$24.00 per account |
Open Networked Account |
$12.00 per account |
Closed Account |
$2.00 per account |
Sub-Transfer Agent and Omnibus Intermediary Fees |
Up to 10 bps |
Class I2, R6* |
|
Asset Fee to TFS |
0.75 bps |
Class R3* |
|
Asset Fee to TFS |
0.75 bps |
Sub-Transfer Agent and Omnibus Intermediary Fees |
Up to 15 bps |
Fund Name |
Commissions Received
for the Period Ended
October 31 |
Commissions Retained
for the Period Ended
October 31 | ||||
2020 |
2019 |
2018 |
2020 |
2019 |
2018 | |
Transamerica Asset Allocation – Conservative Portfolio
|
$295,638
|
$209,806
|
$228,927 |
$47,693 |
$34,089 |
$36,518 |
Transamerica Asset Allocation – Growth Portfolio |
$525,982
|
$664,347
|
$822,473
|
$82,248
|
$104,655
|
$128,052
|
Transamerica Asset Allocation – Moderate Growth
Portfolio |
$672,625
|
$840,917
|
$1,226,878 |
$106,227
|
$135,217
|
$199,033
|
Transamerica Asset Allocation – Moderate Portfolio
|
$392,704
|
$480,416
|
$676,316
|
$63,227
|
$77,361
|
$109,404
|
Transamerica Bond |
$272,964
|
$390,152
|
$245,954 |
$51,699 |
$75,182 |
$49,002 |
Transamerica Capital Growth |
$3,783,000
|
$2,993,427
|
$2,442,660
|
$595,408
|
$466,554
|
$375,004
|
Transamerica Core Bond |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Emerging Markets Debt |
$3,530
|
$8,042
|
$24,587
|
$655 |
$1,419
|
$4,754
|
Transamerica Emerging Markets Opportunities |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Energy Infrastructure |
$62,440
|
$11,990
|
$42,862
|
$9,981
|
$1,790
|
$6,528
|
Transamerica Event Driven |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Floating Rate |
$25,849
|
$48,713
|
$41,230
|
$4,544
|
$8,575
|
$7,651
|
Transamerica Global Equity |
$14,350 |
$22,210 |
$50,361 |
$2,189 |
$3,387 |
$7,822 |
Transamerica Government Money Market |
-
|
-
|
$1,078
|
-
|
-
|
$356 |
Transamerica High Yield Bond |
$113,833
|
$96,257 |
$110,263 |
$21,480 |
$17,843 |
$20,736 |
Transamerica High Yield ESG |
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
Transamerica High Yield Muni |
$35,065 |
$31,114 |
$16,427 |
$8,519 |
$8,065 |
$3,813 |
Transamerica Inflation Opportunities |
$2,704
|
$201 |
$1,193
|
$539 |
$38 |
$246 |
Transamerica Intermediate Bond |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Intermediate Muni |
$273,106
|
$279,037
|
$179,268
|
$67,842
|
$69,252
|
$43,608
|
Transamerica International Equity |
$60,134 |
$82,074 |
$355,651 |
$9,189 |
$13,610 |
$56,399 |
Transamerica International Growth |
$4,286
|
$2,830
|
$956
|
$603 |
$431 |
$188 |
Transamerica International Small Cap Value |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica International Stock |
$456 |
$109 |
N/A
|
$73 |
$14 |
N/A
|
Transamerica Large Cap Value |
$60,809 |
$225,612
|
$352,901 |
$9,940 |
$37,191 |
$57,097 |
Transamerica Large Growth |
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
Transamerica Mid Cap Growth |
$16,229 |
$34,037 |
$13,651 |
$2,633 |
$5,327 |
$2,120 |
Transamerica Mid Cap Value |
N/A
|
N/A
|
N/A |
N/A
|
N/A
|
N/A
|
Transamerica Mid Cap Value Opportunities |
$54,814 |
$65,820 |
$99,208 |
$8,817 |
$10,296 |
$15,379 |
Transamerica Multi-Asset Income |
$306,061
|
$174,112
|
$120,232
|
$52,124
|
$28,576
|
$19,277
|
Transamerica Multi-Managed Balanced |
$736,019
|
$733,146
|
$569,987 |
$121,349
|
$125,115
|
$93,501 |
Transamerica Short-Term Bond |
$217,588
|
$146,833
|
$183,151
|
$39,188
|
$28,358
|
$37,574
|
Transamerica Small Cap Growth |
$26,087 |
$27,868 |
$17,917 |
$3,993 |
$4,579 |
$2,640 |
Transamerica Small Cap Value |
$5,635
|
$2,780
|
$4,204
|
$888 |
$396 |
$695 |
Transamerica Small/Mid Cap Value |
$107,754
|
$236,344
|
$273,514 |
$17,141 |
$37,311 |
$42,603 |
Transamerica Sustainable Bond |
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
Transamerica Sustainable Equity Income |
$28,535 |
$33,601 |
$80,846 |
$5,240 |
$5,490 |
$13,192 |
Transamerica Total Return |
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
Transamerica Unconstrained Bond |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica US Growth |
$252,623
|
$226,928
|
$215,848
|
$40,164
|
$35,955
|
$33,233
|
Fund Name |
For the Period Ended October 31, 2020 | |||
Net
Underwriting
Discounts and
Commissions |
Compensation
on Redemptions
& Repurchases |
Brokerage
Commissions |
Other
Compensation | |
Transamerica Asset Allocation – Conservative Portfolio
|
$47,693 |
$4,760 |
$0 |
$145,059
|
Transamerica Asset Allocation – Growth Portfolio |
$82,248
|
$23,968
|
$0 |
$198,493
|
Transamerica Asset Allocation – Moderate Growth
Portfolio |
$106,227
|
$39,978 |
$0 |
$388,490
|
Transamerica Asset Allocation – Moderate Portfolio
|
$63,227
|
$15,585
|
$0 |
$334,586
|
Fund Name |
For the Period Ended October 31, 2020 | |||
Net
Underwriting
Discounts and
Commissions |
Compensation
on Redemptions
& Repurchases |
Brokerage
Commissions |
Other
Compensation | |
Transamerica Bond |
$51,699 |
$27,638 |
$0 |
$(169,695) |
Transamerica Capital Growth |
$595,408
|
$63,463
|
$0 |
$(470,512)
|
Transamerica Core Bond |
N/A |
N/A |
$0 |
N/A |
Transamerica Emerging Markets Debt |
$655 |
$256 |
$0 |
$7,799
|
Transamerica Emerging Markets Opportunities |
N/A |
N/A |
N/A |
N/A |
Transamerica Energy Infrastructure |
$9,981
|
$1,262
|
$0 |
$8,801
|
Transamerica Event Driven |
N/A |
N/A |
$0 |
N/A |
Transamerica Floating Rate |
$4,544
|
$12,262
|
$0 |
$9,389
|
Transamerica Global Equity |
$2,189 |
$142 |
$0 |
$10,262 |
Transamerica Government Money Market |
$0 |
$39,870
|
$0 |
$(8,973) |
Transamerica High Yield Bond |
$21,480 |
$5,865 |
$0 |
$16,254 |
Transamerica High Yield ESG |
N/A |
N/A |
$0 |
N/A |
Transamerica High Yield Muni |
$8,519 |
$3,446 |
$0 |
$(3,220) |
Transamerica Inflation Opportunities |
$539 |
$0 |
$0 |
$994 |
Transamerica Intermediate Bond |
N/A |
N/A |
$0 |
N/A |
Transamerica Intermediate Muni |
$67,842
|
$15,056
|
$0 |
$(40,628) |
Transamerica International Equity |
$9,189 |
$1,869 |
$0 |
$47,792 |
Transamerica International Growth |
$603 |
$0 |
$0 |
$(4) |
Transamerica International Small Cap Value |
N/A |
N/A |
$0 |
N/A |
Transamerica International Stock |
$73 |
$0 |
$0 |
$(13) |
Transamerica Large Cap Value |
$9,940 |
$7,451 |
$0 |
$33,670 |
Transamerica Large Growth |
N/A |
N/A |
N/A |
$805,163
|
Transamerica Mid Cap Growth |
$2,633 |
$40 |
$0 |
$706 |
Transamerica Mid Cap Value |
N/A |
N/A |
$0 |
N/A |
Transamerica Mid Cap Value Opportunities |
$8,817 |
$3,159 |
$0 |
$8,878 |
Transamerica Multi-Asset Income |
$52,124
|
$19,376
|
$0 |
$(86,082) |
Transamerica Multi-Managed Balanced |
$121,349
|
$19,440 |
$0 |
$(50,980)
|
Transamerica Short-Term Bond |
$39,188
|
$72,501
|
$0 |
$(397,830)
|
Transamerica Small Cap Growth |
$3,993 |
$70 |
$0 |
$5,301 |
Transamerica Small Cap Value |
$888 |
$18 |
$0 |
$1,115
|
Transamerica Small/Mid Cap Value |
$17,141 |
$4,153 |
$0 |
$97,571 |
Transamerica Sustainable Bond |
N/A |
N/A |
$0 |
N/A |
Transamerica Sustainable Equity Income |
$5,240 |
$81 |
$0 |
$1,101 |
Transamerica Total Return |
N/A |
N/A |
$0 |
N/A |
Transamerica Unconstrained Bond |
N/A |
N/A |
$0 |
$0 |
Transamerica US Growth |
$40,164
|
$949 |
$0 |
$1,210
|
Fund |
2020 |
2019 |
2018 |
Transamerica Asset Allocation – Conservative Portfolio
|
$3,323,628
|
$3,919,038
|
$5,752,777
|
Transamerica Asset Allocation – Growth Portfolio |
$5,568,413
|
$6,691,316 |
$9,698,031
|
Transamerica Asset Allocation – Moderate Growth
Portfolio |
$9,565,013
|
$11,441,093
|
$16,302,757
|
Transamerica Asset Allocation – Moderate Portfolio
|
$6,506,308
|
$7,959,961
|
$11,448,371
|
Transamerica Bond |
$4,841,484
|
$4,249,405
|
$1,003,470
|
Transamerica Capital Growth |
$13,734,365
|
$9,079,539 |
$8,170,857
|
Transamerica Emerging Markets Debt |
$973,586
|
$1,424,667
|
$503,578
|
Fund |
2020 |
2019 |
2018 |
Transamerica Emerging Markets Opportunities |
$0
|
N/A |
N/A |
Transamerica Energy Infrastructure |
$210,790
|
$270,018 |
$415,631
|
Transamerica Event Driven |
$2,213
|
$1,744
|
$9,212
|
Transamerica Floating Rate |
$454,878
|
$672,518 |
$1,006,950
|
Transamerica Global Equity |
$374,152
|
$486,962
|
$597,744
|
Transamerica Government Money Market |
$269,022
|
$629,629
|
$2,421,413
|
Transamerica High Yield Bond |
$2,379,371
|
$1,213,512
|
$1,491,012
|
Transamerica High Yield ESG |
$0 |
N/A |
N/A |
Transamerica High Yield Muni |
$362,766
|
$425,691
|
$367,971
|
Transamerica Inflation Opportunities |
$33,495 |
$22,950 |
$9,724 |
Transamerica Intermediate Muni |
$4,793,714
|
$6,028,955
|
$4,220,133
|
Transamerica International Equity |
$8,606,086
|
$8,163,968 |
$3,440,849
|
Transamerica International Growth |
$718 |
$475
|
$873 |
Transamerica International Small Cap Value |
$727,590
|
$453,943 |
N/A |
Transamerica International Stock |
$4,100
|
$4,060
|
$22,158
|
Transamerica Large Cap Value |
$815,109
|
$1,916,042
|
$2,023,265
|
Transamerica Large Growth |
$114,512
|
$97,241
|
$49,365
|
Transamerica Mid Cap Growth |
$57,305 |
$48,845 |
$104,965
|
Transamerica Mid Cap Value Opportunities |
$2,327,157
|
$1,843,632
|
$1,593,435
|
Transamerica Multi-Asset Income |
$1,429,018
|
$1,074,108 |
$437,976
|
Transamerica Multi-Managed Balanced |
$5,408,935
|
$4,725,438
|
$5,014,148
|
Transamerica Short-Term Bond |
$10,562,172
|
$12,321,435 |
$12,263,502
|
Transamerica Small Cap Growth |
$245,146
|
$214,052
|
$318,975
|
Transamerica Small Cap Value |
$53,960 |
$61,063 |
$36,527 |
Transamerica Small/Mid Cap Value |
$2,851,623
|
$4,182,963
|
$1,535,274
|
Transamerica Sustainable Bond |
$0 |
N/A |
N/A |
Transamerica Sustainable Equity Income |
$276,410
|
$311,087
|
$533,423
|
Transamerica Unconstrained Bond |
$2,060 |
$2,779 |
$0 |
Transamerica US Growth |
$4,066,524
|
$3,424,636
|
$1,332,737
|
Transamerica Asset Allocation – Conservative Portfolio | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class R |
Class I |
Compensation to dealers |
$1,488,857
|
$889,042
|
$0 |
$0 |
Compensation to Sales Personnel |
195,669 |
70,081 |
672 |
11,432 |
Printing and Postage |
12,799 |
4,221 |
33 |
662 |
Promotional Expenses |
58,354 |
19,243 |
152 |
3,017 |
Travel |
27,634 |
9,112 |
72 |
1,429 |
Office and Other Expenses |
383,758 |
126,548 |
998 |
19,843 |
TOTALS |
$2,167,071
|
$1,118,247
|
$1,927
|
$36,383
|
Transamerica Asset Allocation – Growth Portfolio |
||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class R |
Class I |
Compensation to dealers |
$2,098,533
|
$1,462,523
|
$25,975 |
$0 |
Compensation to Sales Personnel |
428,019 |
109,600 |
1,075 |
23,004 |
Printing and Postage |
29,302 |
6,819 |
61 |
1,475 |
Promotional Expenses |
133,592 |
31,089 |
276 |
6,726 |
Travel |
63,262 |
14,722 |
131 |
3,185 |
Office and Other Expenses |
878,544 |
204,452 |
1,818 |
44,230 |
TOTALS |
$3,631,252
|
$1,829,205
|
$29,336
|
$78,620
|
Transamerica Asset Allocation – Moderate Growth Portfolio
| ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class R |
Class I |
Compensation to dealers |
$3,664,042
|
$2,490,720
|
$31,139 |
$0 |
Compensation to Sales Personnel |
719,322 |
184,098 |
1,355 |
38,672 |
Printing and Postage |
50,102 |
11,823 |
75 |
2,605 |
Transamerica Asset Allocation – Moderate Growth Portfolio
| ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class R |
Class I |
Promotional Expenses |
228,424 |
53,905 |
341 |
11,875 |
Travel |
108,171 |
25,527 |
161 |
5,624 |
Office and Other Expenses |
1,502,197 |
354,498 |
2,240 |
78,097 |
TOTALS |
$6,272,258
|
$3,120,571
|
$35,311
|
$136,873
|
Transamerica Asset Allocation – Moderate Portfolio | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class R |
Class I |
Compensation to dealers |
$2,572,176
|
$1,811,844
|
$0 |
$0 |
Compensation to Sales Personnel |
431,515 |
132,741 |
3,027 |
28,175 |
Printing and Postage |
29,876 |
8,682 |
107 |
1,834 |
Promotional Expenses |
136,210 |
39,583 |
487 |
8,360 |
Travel |
64,502 |
18,744 |
231 |
3,959 |
Office and Other Expenses |
895,762 |
260,310 |
3,202 |
54,981 |
TOTALS |
$4,130,041
|
$2,271,904
|
$7,054
|
$97,309
|
Transamerica Bond | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$387,480
|
$1,023,075
|
$0 |
$0 |
Compensation to Sales Personnel |
116,184 |
81,508 |
1,841,374 |
4,015 |
Printing and Postage |
3,270 |
2,309 |
31,189 |
45 |
Promotional Expenses |
14,907 |
10,525 |
142,196 |
205 |
Travel |
7,059 |
4,984 |
67,337 |
97 |
Office and Other Expenses |
98,033 |
69,216 |
935,131 |
1,345 |
TOTALS |
$626,933
|
$1,191,617
|
$3,017,227
|
$5,707
|
Transamerica Capital Growth | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$1,604,134
|
$3,313,422
|
$0 |
$0 |
Compensation to Sales Personnel |
838,550 |
399,431 |
3,624,674 |
11,747 |
Printing and Postage |
23,704 |
13,065 |
66,937 |
866 |
Promotional Expenses |
108,069 |
59,565 |
305,174 |
3,948 |
Travel |
51,176 |
28,207 |
144,516 |
1,870 |
Office and Other Expenses |
710,697 |
391,720 |
2,006,930 |
25,963 |
TOTALS |
$3,336,330
|
$4,205,410
|
$6,148,231
|
$44,394
|
Transamerica Emerging Markets Debt | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$21,898 |
$64,485 |
$0 |
$0 |
Compensation to Sales Personnel |
4,898 |
5,296 |
347,696 |
14,458 |
Printing and Postage |
309 |
292 |
12,804 |
252 |
Promotional Expenses |
1,407 |
1,333 |
58,374 |
1,148 |
Travel |
666 |
631 |
27,643 |
544 |
Office and Other Expenses |
9,251 |
8,767 |
383,886 |
7,548 |
TOTALS |
$38,429
|
$80,804
|
$830,403
|
$23,950
|
Transamerica Emerging Markets Opportunities | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
N/A |
N/A |
N/A |
N/A |
Compensation to Sales Personnel |
N/A |
N/A |
N/A |
N/A |
Printing and Postage |
N/A |
N/A |
N/A |
N/A |
Promotional Expenses |
N/A |
N/A |
N/A |
N/A |
Travel |
N/A |
N/A |
N/A |
N/A |
Office and Other Expenses |
N/A |
N/A |
N/A |
N/A |
TOTALS |
$0 |
$0 |
$0 |
$0
|
Transamerica Energy Infrastructure | |||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Compensation to dealers |
$34,093 |
$80,412 |
$0 |
Compensation to Sales Personnel |
12,807 |
6,608 |
25,897 |
Printing and Postage |
497 |
351 |
505 |
Promotional Expenses |
2,264 |
1,598 |
2,302 |
Travel |
1,072 |
757 |
1,090 |
Office and Other Expenses |
14,888 |
10,510 |
15,139 |
TOTALS |
$65,621
|
$100,236
|
$44,933
|
Transamerica Event Driven | ||
Promotion and Distribution Expenses |
Class A |
Class I |
Compensation to dealers |
$0 |
$0 |
Compensation to Sales Personnel |
N/A |
586 |
Printing and Postage |
N/A |
43 |
Promotional Expenses |
N/A |
197 |
Travel |
N/A |
93 |
Office and Other Expenses |
N/A |
1,294 |
TOTALS |
$0 |
$2,213
|
Transamerica Floating Rate | |||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Compensation to dealers |
$44,733 |
$142,368
|
$0 |
Compensation to Sales Personnel |
16,130 |
11,550 |
89,918 |
Printing and Postage |
576 |
613 |
2,794 |
Promotional Expenses |
2,627 |
2,796 |
12,738 |
Travel |
1,244 |
1,324 |
6,032 |
Office and Other Expenses |
17,279 |
18,385 |
83,771 |
TOTALS |
$82,589
|
$177,036
|
$195,253
|
Transamerica Global Equity | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$130,714
|
$58,440 |
$0 |
$0 |
Compensation to Sales Personnel |
28,099 |
3,980 |
17,946 |
37 |
Printing and Postage |
1,997 |
272 |
1,307 |
3 |
Promotional Expenses |
9,106 |
1,242 |
5,958 |
12 |
Travel |
4,312 |
588 |
2,821 |
6 |
Office and Other Expenses |
59,883 |
8,168 |
39,180 |
81 |
TOTALS |
$234,111
|
$72,690
|
$67,212
|
$139
|
Transamerica Government Money Market | |||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Compensation to dealers |
$153,334
|
$36,820 |
$0 |
Compensation to Sales Personnel |
N/A |
12,935 |
16,622 |
Printing and Postage |
N/A |
601 |
707 |
Promotional Expenses |
N/A |
2,742 |
3,221 |
Travel |
N/A |
1,298 |
1,525 |
Office and Other Expenses |
N/A |
18,032 |
21,185 |
TOTALS |
$153,334
|
$72,428
|
$43,260
|
Transamerica High Yield Bond | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$212,337
|
$209,818
|
$0 |
$0 |
Compensation to Sales Personnel |
61,055 |
12,720 |
1,380,106 |
27,172 |
Printing and Postage |
2,067 |
649 |
9,219 |
695 |
Promotional Expenses |
9,423 |
2,959 |
42,032 |
3,169 |
Travel |
4,462 |
1,401 |
19,904 |
1,501 |
Office and Other Expenses |
61,966 |
19,457 |
276,418 |
20,841 |
TOTALS |
$351,310
|
$247,004
|
$1,727,679
|
$53,378
|
Transamerica High Yield ESG | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
N/A |
N/A |
$0 |
N/A |
Compensation to Sales Personnel |
N/A |
N/A |
0 |
N/A |
Printing and Postage |
N/A |
N/A |
0 |
N/A |
Promotional Expenses |
N/A |
N/A |
0 |
N/A |
Travel |
N/A |
N/A |
0 |
N/A |
Office and Other Expenses |
N/A |
N/A |
0 |
N/A |
TOTALS |
$0 |
$0 |
$0 |
$0
|
Transamerica High Yield Muni | |||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Compensation to dealers |
$29,309 |
$89,942 |
$0 |
Compensation to Sales Personnel |
15,190 |
8,907 |
113,870 |
Printing and Postage |
551 |
339 |
1,910 |
Promotional Expenses |
2,513 |
1,544 |
8,707 |
Travel |
1,190 |
731 |
4,123 |
Office and Other Expenses |
16,526 |
10,157 |
57,257 |
TOTALS |
$65,279
|
$111,620
|
$185,867
|
Transamerica Inflation Opportunities | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$2,928 |
$4,385 |
$0 |
$0 |
Compensation to Sales Personnel |
4,378 |
313 |
10,598 |
33 |
Printing and Postage |
51 |
23 |
212 |
2 |
Promotional Expenses |
233 |
104 |
965 |
11 |
Travel |
110 |
49 |
457 |
5 |
Office and Other Expenses |
1,532 |
685 |
6,349 |
72 |
TOTALS |
$9,232
|
$5,559
|
$18,581
|
$123
|
Transamerica Intermediate Bond | |
Promotion and Distribution Expenses |
Class R6 |
Compensation to dealers |
N/A |
Compensation to Sales Personnel |
N/A |
Printing and Postage |
N/A |
Promotional Expenses |
N/A |
Travel |
N/A |
Office and Other Expenses |
N/A |
TOTALS |
$0
|
Transamerica Intermediate Muni | |||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Compensation to dealers |
$428,399
|
$1,023,217
|
$0 |
Compensation to Sales Personnel |
148,959 |
67,869 |
2,135,848 |
Printing and Postage |
3,053 |
1,824 |
21,367 |
Promotional Expenses |
13,920 |
8,314 |
97,416 |
Travel |
6,592 |
3,937 |
46,132 |
Office and Other Expenses |
91,545 |
54,678 |
640,644 |
TOTALS |
$692,468
|
$1,159,839
|
$2,941,407
|
Transamerica International Equity | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$380,682
|
$321,490
|
$0 |
$0 |
Compensation to Sales Personnel |
143,295 |
25,099 |
3,996,013 |
215,137 |
Printing and Postage |
5,304 |
1,474 |
79,253 |
7,452 |
Promotional Expenses |
24,184 |
6,718 |
361,328 |
33,973 |
Travel |
11,452 |
3,182 |
171,107 |
16,088 |
Office and Other Expenses |
159,039 |
44,183 |
2,376,215 |
223,418 |
TOTALS |
$723,956
|
$402,146
|
$6,983,916
|
$496,068
|
Transamerica International Growth | |||
Promotion and Distribution Expenses |
Class A |
Class I |
Class R6 |
Compensation to dealers |
$346 |
$0 |
$0 |
Compensation to Sales Personnel |
82 |
11 |
6 |
Printing and Postage |
6 |
1 |
0 |
Promotional Expenses |
27 |
4 |
2 |
Travel |
13 |
2 |
1 |
Office and Other Expenses |
180 |
24 |
13 |
TOTALS |
$654 |
$42 |
$22
|
Transamerica International Small Cap Value | |||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Compensation to dealers |
$0 |
$0 |
$0 |
Compensation to Sales Personnel |
0 |
0 |
436,828 |
Printing and Postage |
0 |
0 |
7,712 |
Promotional Expenses |
0 |
0 |
35,162 |
Travel |
0 |
0 |
16,651 |
Office and Other Expenses |
0 |
0 |
231,237 |
TOTALS |
$0 |
$0 |
$727,590
|
Transamerica International Stock | |||
Promotion and Distribution Expenses |
Class A |
Class I |
Class R6 |
Compensation to dealers |
$1,187 |
$0 |
$0 |
Compensation to Sales Personnel |
263 |
256 |
252 |
Printing and Postage |
19 |
19 |
19 |
Promotional Expenses |
88 |
86 |
85 |
Travel |
42 |
41 |
40 |
Office and Other Expenses |
580 |
566 |
557 |
TOTALS |
$2,179
|
$968 |
$953
|
Transamerica Large Cap Value | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$157,550
|
$206,166
|
$0 |
$0 |
Compensation to Sales Personnel |
24,355 |
14,139 |
134,696 |
1,437 |
Printing and Postage |
1,437 |
902 |
4,947 |
55 |
Promotional Expenses |
6,552 |
4,115 |
22,553 |
250 |
Travel |
3,103 |
1,948 |
10,680 |
118 |
Office and Other Expenses |
43,091 |
27,058 |
148,315 |
1,642 |
TOTALS |
$236,088
|
$254,328
|
$321,191
|
$3,502
|
Transamerica Large Growth | |
Promotion and Distribution Expenses |
Class R6 |
Compensation to dealers |
N/A |
Compensation to Sales Personnel |
N/A |
Printing and Postage |
N/A |
Promotional Expenses |
N/A |
Travel |
N/A |
Office and Other Expenses |
N/A |
TOTALS |
$0
|
Transamerica Mid Cap Growth | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$31,092 |
$11,506 |
$0 |
N/A |
Compensation to Sales Personnel |
3,425 |
1,008 |
1,302 |
N/A |
Printing and Postage |
127 |
56 |
55 |
N/A |
Promotional Expenses |
581 |
254 |
250 |
N/A |
Travel |
275 |
120 |
118 |
N/A |
Office and Other Expenses |
3,822 |
1,673 |
1,641 |
N/A |
TOTALS |
$39,322
|
$14,617
|
$3,366
|
$0
|
Transamerica Mid Cap Value Opportunities | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$44,729 |
$151,385
|
$0 |
$0 |
Compensation to Sales Personnel |
14,772 |
12,142 |
760,023 |
215,395 |
Printing and Postage |
699 |
640 |
19,906 |
8,694 |
Promotional Expenses |
3,187 |
2,917 |
90,755 |
39,636 |
Travel |
1,509 |
1,381 |
42,977 |
18,770 |
Office and Other Expenses |
20,961 |
19,184 |
596,836 |
260,659 |
TOTALS |
$85,857
|
$187,649
|
$1,510,497
|
$543,154
|
Transamerica Multi-Asset Income | |||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Compensation to dealers |
$105,163
|
$591,307
|
$0 |
Compensation to Sales Personnel |
36,880 |
56,228 |
218,721 |
Printing and Postage |
1,516 |
2,183 |
7,460 |
Promotional Expenses |
6,914 |
9,951 |
34,013 |
Travel |
3,274 |
4,712 |
16,107 |
Office and Other Expenses |
45,468 |
65,441 |
223,680 |
TOTALS |
$199,215
|
$729,822
|
$499,981
|
Transamerica Multi-Managed Balanced | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$1,472,355
|
$2,034,729
|
$0 |
$0 |
Compensation to Sales Personnel |
250,309 |
200,935 |
270,916 |
11,719 |
Printing and Postage |
12,806 |
8,635 |
9,249 |
290 |
Promotional Expenses |
58,386 |
39,369 |
42,167 |
1,321 |
Travel |
27,649 |
18,643 |
19,968 |
626 |
Office and Other Expenses |
383,967 |
258,903 |
277,306 |
8,687 |
TOTALS |
$2,205,472
|
$2,561,214
|
$619,606
|
$22,643
|
Transamerica Short-Term Bond | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$2,255,197
|
$2,477,078
|
$0 |
$0 |
Compensation to Sales Personnel |
468,478 |
149,307 |
2,953,722 |
37,853 |
Printing and Postage |
11,586 |
5,732 |
40,814 |
767 |
Promotional Expenses |
52,822 |
26,134 |
186,076 |
3,498 |
Travel |
25,014 |
12,376 |
88,117 |
1,657 |
Office and Other Expenses |
347,376 |
171,863 |
1,223,699 |
23,006 |
TOTALS |
$3,160,473
|
$2,842,490
|
$4,492,428
|
$66,781
|
Transamerica Small Cap Growth | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$38,005 |
$31,029 |
$0 |
$0 |
Compensation to Sales Personnel |
8,411 |
2,313 |
94,665 |
43 |
Printing and Postage |
270 |
153 |
1,449 |
3 |
Promotional Expenses |
1,229 |
697 |
6,607 |
14 |
Travel |
582 |
330 |
3,129 |
7 |
Office and Other Expenses |
8,081 |
4,586 |
43,448 |
95 |
TOTALS |
$56,578
|
$39,108
|
$149,298
|
$162
|
Transamerica Small Cap Value | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$10,129 |
$5,019 |
$0 |
$0 |
Compensation to Sales Personnel |
2,695 |
345 |
10,852 |
28 |
Printing and Postage |
101 |
25 |
533 |
2 |
Promotional Expenses |
459 |
114 |
2,428 |
9 |
Travel |
217 |
54 |
1,150 |
4 |
Office and Other Expenses |
3,016 |
752 |
15,967 |
61 |
TOTALS |
$16,617
|
$6,309
|
$30,930
|
$104
|
Transamerica Small/Mid Cap Value | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$772,554
|
$700,239
|
$0 |
$0 |
Compensation to Sales Personnel |
140,803 |
48,619 |
306,857 |
29,415 |
Printing and Postage |
8,494 |
3,203 |
10,170 |
763 |
Promotional Expenses |
38,723 |
14,603 |
46,367 |
3,477 |
Travel |
18,338 |
6,915 |
21,957 |
1,646 |
Office and Other Expenses |
254,658 |
96,032 |
304,925 |
22,865 |
TOTALS |
$1,233,570
|
$869,611
|
$690,276
|
$58,166
|
Transamerica Sustainable Bond | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
N/A |
N/A |
$0 |
N/A |
Compensation to Sales Personnel |
N/A |
N/A |
0 |
N/A |
Printing and Postage |
N/A |
N/A |
0 |
N/A |
Promotional Expenses |
N/A |
N/A |
0 |
N/A |
Travel |
N/A |
N/A |
0 |
N/A |
Office and Other Expenses |
N/A |
N/A |
0 |
N/A |
TOTALS |
$0 |
$0 |
$0 |
$0
|
Transamerica Sustainable Equity Income | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$187,301
|
$37,993 |
$0 |
$0 |
Compensation to Sales Personnel |
6,513 |
2,661 |
8,850 |
1 |
Printing and Postage |
368 |
157 |
352 |
0 |
Promotional Expenses |
1,679 |
716 |
1,607 |
0 |
Travel |
795 |
339 |
761 |
0 |
Office and Other Expenses |
11,041 |
4,708 |
10,566 |
2 |
TOTALS |
$207,697
|
$46,574
|
$22,136
|
$3
|
Transamerica Unconstrained Bond | |||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Compensation to dealers |
$0 |
$0 |
$0 |
Compensation to Sales Personnel |
0 |
0 |
1,089 |
Printing and Postage |
0 |
0 |
26 |
Promotional Expenses |
0 |
0 |
117 |
Travel |
0 |
0 |
56 |
Office and Other Expenses |
0 |
0 |
772 |
TOTALS |
$0 |
$0 |
$2,060
|
Transamerica US Growth | ||||
Promotion and Distribution Expenses |
Class A |
Class C |
Class I |
Class R6 |
Compensation to dealers |
$1,814,948
|
$163,897
|
$0 |
N/A |
Compensation to Sales Personnel |
393,459 |
13,020 |
210,118 |
N/A |
Printing and Postage |
27,392 |
776 |
10,853 |
N/A |
Promotional Expenses |
124,884 |
3,536 |
49,478 |
N/A |
Travel |
59,139 |
1,674 |
23,431 |
N/A |
Office and Other Expenses |
821,280 |
23,252 |
325,387 |
N/A |
TOTALS |
$3,241,102
|
$206,155
|
$619,267
|
$0
|
Class A Share Dealer Reallowances
(all funds except Transamerica Bond, Transamerica Emerging Markets Debt,
Transamerica Floating Rate, Transamerica High Yield Bond,
Transamerica High Yield ESG, Transamerica High Yield Muni, Transamerica
Inflation Opportunities, Transamerica Intermediate Muni,
Transamerica Government Money Market, Transamerica Short-Term Bond and
Transamerica Sustainable Bond) | |
Amount of Purchase |
Reallowance to
Dealers as a
Percent of
Offering Price |
Under $50 Thousand |
4.75% |
$50 Thousand to under $100 Thousand |
4.00% |
$100 Thousand to under $250 Thousand |
2.75% |
$250 Thousand to under $500 Thousand |
2.25% |
$500 Thousand to under $1 Million |
1.75% |
For purchases of $1 Million and above: |
|
$1 Million to under $5 Million |
1.00%(a)
|
$5 Million to under $50 Million |
Plus 0.50%(a) |
$50 Million and above |
Plus 0.25%(a) |
Class A Share Dealer Reallowances
(Transamerica Bond, Transamerica Emerging Markets Debt, Transamerica Floating
Rate, Transamerica High Yield Bond, Transamerica High Yield ESG,
Transamerica Inflation Opportunities and Transamerica Sustainable Bond) | |
Amount of Purchase |
Reallowance to
Dealers as a
Percent of
Offering Price |
Under $50 Thousand |
4.00% |
$50 Thousand to under $100 Thousand |
3.25% |
$100 Thousand to under $250 Thousand |
2.75% |
$250 Thousand to under $500 Thousand |
1.75% |
$500 Thousand to under $1 Million |
1.00% |
For purchases of $1 Million and above: |
|
$1 Million to under $5 Million |
0.50%(a)
|
$5 Million and above |
Plus 0.25%(a) |
Class A Share Dealer Reallowances
(Transamerica High Yield Muni and Transamerica Intermediate Muni)
| |
Amount of Purchase |
Reallowance to
Dealers as a
Percent of
Offering Price |
Under $50 Thousand |
2.75% |
$50 Thousand to under $100 Thousand |
2.00% |
$100 Thousand to under $250 Thousand |
1.50% |
$250 Thousand to under $500 Thousand |
1.00% |
$500 Thousand to under $1 Million |
0.50% |
For purchases of $1 Million and above: |
|
$1 Million to under $5 Million |
0.50%(a)
|
$5 Million and above |
Plus 0.25%(a) |
Class A Share Dealer Reallowances
(Transamerica Short-Term Bond) | |
Amount of Purchase |
Reallowance to
Dealers as a
Percent of
Offering Price |
Under $250 Thousand |
2.00% |
$250 Thousand to under $5 Million |
0.50% |
$5 Million and Above |
Plus 0.25%(a) |
Class C Share Dealer Reallowances (all funds except Transamerica High Yield Muni
and Transamerica Intermediate Muni) | |
Amount of Purchase |
Reallowance to
Dealers as a Percent
of Offering Price |
All purchases |
1.00%(b)* |
Class C Share Dealer Reallowances (Transamerica High Yield Muni and Transamerica Intermediate Muni) | |
Amount of Purchase |
Reallowance to
Dealers as a Percent
of Offering Price |
All purchases |
0.75%(b)* |
Class T Share Dealer Reallowances
(Transamerica US Growth) | |
Amount of Purchase |
Reallowance to
Dealers as a Percent
of Offering Price |
Under $10,000 |
7.00% |
$10,000 to under $25,000 |
6.25% |
$25,000 to under $50,000 |
5.50% |
$50,000 to under $75,000 |
5.00% |
$75,000 to under $100,000 |
4.25% |
$100,000 to under $250,000 |
3.75% |
$250,000 to under $500,000 |
2.50% |
$500,000 to under $1,000,000 |
1.00% |
$1,000,000 and over |
1.00% |
Fund Name |
Brokerage Commissions Paid (including affiliated commissions) |
Affiliated Brokerage Commissions Paid | ||||||||||
2020($) |
2020(%)^ |
2019($) |
2019(%)^ |
2018($) |
2018(%)^ |
2020($) |
2020(%)* |
2019($) |
2019(%)* |
2018($) |
2018(%)* | |
Transamerica Asset Allocation – Conservative Portfolio
|
$ 44 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Asset Allocation – Growth Portfolio |
$ 58 |
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Asset Allocation – Moderate Growth
Portfolio |
$ 90 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Asset Allocation – Moderate Portfolio
|
$ 67 |
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Bond |
$ 8 |
0.00% |
$150 |
0.00% |
$168 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Capital Growth |
$ 463,897 |
3.99% |
$692,210
|
5.00% |
$261,094
|
1.73% |
$0.00
|
0.00% |
$7
|
0.00% |
$3,919
|
1.50% |
Transamerica Core Bond |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Emerging Markets Debt |
$0.00
|
0.00% |
$1,932
|
0.01% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Emerging Markets Opportunities |
$ 684,638 |
5.89% |
N/A |
N/A |
N/A |
N/A |
$0.00 |
0.00% |
N/A |
N/A |
N/A |
N/A |
Transamerica Energy Infrastructure |
$ 72,135 |
0.62% |
$137,931
|
1.00% |
$133,604
|
0.89% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Event Driven |
$ 85,021 |
0.73% |
$222,001 |
1.60% |
$807,260 |
5.35% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Floating Rate |
$ 652 |
0.01% |
$1,230
|
0.01% |
$2,623
|
0.02% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Global Equity |
$ 50,154 |
0.43% |
$49,212 |
0.36% |
$69,018 |
0.46% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Government Money Market |
N/A |
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica High Yield Bond |
$ 8,793 |
0.08% |
$0.00 |
0.00% |
$1,580 |
0.01% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica High Yield ESG |
$ 63 |
0.00% |
N/A |
N/A |
N/A |
N/A |
$0.00
|
0.00% |
N/A |
N/A |
N/A |
N/A |
Transamerica High Yield Muni |
$0.00 |
0.00% |
$20.00 |
0.00% |
$30 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Inflation Opportunities |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Intermediate Bond |
$ 40 |
0.00% |
$115 |
0.00% |
$879 |
0.01% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Intermediate Muni |
$ 39 |
0.00% |
$96
|
0.00% |
$29
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica International Equity |
$ 1,598,162 |
13.75% |
$1,809,001 |
13.06% |
$2,502,933 |
16.59% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica International Growth |
$ 676,644 |
5.82% |
$612,036
|
4.42% |
$1,063,045
|
7.04% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica International Small Cap Value |
$ 281,248 |
2.42% |
$323,799 |
2.34% |
$313,728 |
2.08% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica International Stock |
$ 63,470 |
0.55% |
$40,170
|
0.29% |
$1,015
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Large Cap Value |
$ 2,823,780 |
24.29% |
$2,925,128 |
21.11% |
$2,607,196 |
17.28% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Large Growth |
$ 127,744 |
1.10% |
$199,383
|
1.44% |
$209,576
|
1.39% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Mid Cap Growth |
$ 137,079 |
1.18% |
$91,849 |
0.66% |
$315,209 |
2.09% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Mid Cap Value |
$ 28,668 |
0.25% |
$18,662
|
0.13% |
$31,167
|
0.21% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Mid Cap Value Opportunities |
$ 1,425,858 |
12.27% |
$2,107,719 |
15.21% |
$2,116,847 |
14.03% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Multi-Asset Income |
$ 75,079 |
0.65% |
$60,856
|
0.44% |
$35,710
|
0.24% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Multi-Managed Balanced |
$ 147,904 |
1.27% |
$109,741 |
0.79% |
$161,686 |
1.07% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Short-Term Bond |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Small Cap Growth |
$ 159,197 |
1.37% |
$181,249 |
1.31% |
$131,779 |
0.87% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Small Cap Value |
$ 810,848 |
6.98% |
$814,948
|
5.88% |
$327,063
|
2.17% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Small/Mid Cap Value - Composite |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Small/Mid Cap Value - Systematic Sleeve |
$ 145,533 |
1.25% |
$102,232
|
0.74% |
$83,016
|
0.55% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Small/Mid Cap Value - TS&W Sleeve |
$ 622,298 |
5.36% |
$711,866 |
5.14% |
$721,641 |
4.78% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Sustainable Bond |
$0.00
|
0.00% |
N/A |
N/A |
N/A |
N/A |
$0.00
|
0.00% |
N/A |
N/A |
N/A |
N/A |
Transamerica Sustainable Equity Income |
$ 205,631 |
1.77% |
$241,624 |
1.74% |
$126,134 |
0.84% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Total Return |
$ 26,553 |
0.23% |
$62,733
|
0.45% |
$59,557
|
0.39% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Unconstrained Bond |
$ 65,837 |
0.57% |
$41,460 |
0.30% |
$39,846 |
0.26% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica US Growth |
$ 144,128 |
1.24% |
$165,146
|
1.19% |
$205,713
|
1.36% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Fund Name |
Paid as of October
31, 2020 |
Transamerica Asset Allocation – Conservative Portfolio |
$-
|
Transamerica Asset Allocation – Growth Portfolio |
$- |
Transamerica Asset Allocation – Moderate Growth Portfolio |
$-
|
Transamerica Asset Allocation – Moderate Portfolio |
$- |
Transamerica Bond |
$-
|
Transamerica Capital Growth |
$321,817 |
Transamerica Core Bond |
$-
|
Transamerica Emerging Markets Debt |
$- |
Transamerica Emerging Markets Opportunities |
$307,789
|
Transamerica Energy Infrastructure |
$46,526 |
Transamerica Event Driven |
$23,840
|
Transamerica Floating Rate |
$- |
Transamerica Global Equity |
$31,731
|
Transamerica Government Money Market |
$- |
Transamerica High Yield Bond |
$-
|
Transamerica High Yield ESG |
$- |
Transamerica High Yield Muni |
$-
|
Transamerica Inflation Opportunities |
$- |
Transamerica Intermediate Bond |
$-
|
Transamerica Intermediate Muni |
$- |
Transamerica International Equity |
$888,075
|
Transamerica International Growth |
$655,347 |
Transamerica International Small Cap Value |
$150,417
|
Transamerica International Stock |
$1,485 |
Transamerica Large Cap Value |
$1,893,938
|
Transamerica Large Growth |
$77,520 |
Transamerica Mid Cap Growth |
$86,090
|
Transamerica Mid Cap Value |
$13,002 |
Transamerica Mid Cap Value Opportunities |
$1,177,303
|
Transamerica Multi-Asset Income |
$63,394 |
Transamerica Multi-Managed Balanced - JPMorgan Sleeve |
$34,754
|
Transamerica Short-Term Bond |
$- |
Transamerica Small Cap Growth |
$133,556
|
Transamerica Small Cap Value |
$575,241 |
Transamerica Small/Mid Cap Value |
$540,200
|
Transamerica Sustainable Bond |
$- |
Transamerica Sustainable Equity Income |
$76,934
|
Transamerica Total Return |
$- |
Transamerica Unconstrained Bond |
$-
|
Transamerica US Growth |
$84,037 |
Fund Name |
Bank of
America
Corp. |
Bank of New
York Mellon |
Barclays
Capital, Inc. |
Citigroup,
Inc. |
Credit Suisse Securities (USA) LLC |
Goldman
Sachs Group, Inc. |
J.P. Morgan
Securities
LLC |
Morgan
Stanley &
Co., Inc. |
Nomura
Holdings,
Inc. |
Societe
Generale |
State Street
Bank & Trust
Co. |
UBS Securities
LLC |
Wells
Fargo
& Co. |
Transamerica Bond |
$ 25,116,211 |
$ 5,282,590 |
$ 26,646,841 |
$15,114,569
|
$23,513,976
|
$28,379,776
|
$ 23,188,090 |
$ 16,675,846 |
$ - |
$ - |
$-
|
$5,113,325
|
$ 8,253,788 |
Transamerica Core Bond |
$ 6,928,557 |
$ - |
$ 2,131,256 |
$ 2,959,207 |
$ 2,434,935 |
$ 4,248,842 |
$ 2,133,872 |
$ 5,194,384 |
$ 1,013,549 |
$ 2,053,528 |
$ - |
$ 4,381,626 |
$ 7,538,589 |
Transamerica Event Driven |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
$ 2,023,750 |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
Transamerica High Yield Bond |
$ - |
$ - |
$ 14,177,701 |
$ 9,481,614 |
$ 28,112,149 |
$ 984,082 |
$ 7,733,068 |
$ - |
$ - |
$ 8,944,858 |
$ - |
$ - |
$ - |
Transamerica High Yield ESG |
$ - |
$ - |
$ 206,214 |
$ 60,258 |
$ 212,002 |
$ - |
$ 98,600 |
$ - |
$ - |
$ 205,440 |
$ - |
$ - |
$ - |
Transamerica Inflation
Opportunities |
$ 2,154,203 |
$ - |
$ 2,650,700 |
$ 920,306 |
$ - |
$ 670,761 |
$ - |
$ 665,641 |
$ - |
$ - |
$ - |
$ - |
$ - |
Transamerica Intermediate Bond |
$ 16,872,144 |
$ - |
$ 11,849,841 |
$ 18,637,076 |
$ 6,303,587 |
$ 9,623,923 |
$ 22,179,972 |
$ 30,501,039 |
$ - |
$ - |
$ - |
$ 25,542,217 |
$ 12,459,810 |
Transamerica International Equity |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
$ 63,121,292 |
$ - |
Transamerica International Stock |
$ - |
$ - |
$ 638,280 |
$ - |
$ 1,345,234 |
$ - |
$ - |
$ - |
$ 1,219,926 |
$ 417,475 |
$ - |
$ 1,019,755 |
$ - |
Transamerica Large Cap Value |
$ - |
$ - |
$ - |
$ 46,390,400 |
$ - |
$ 53,876,400 |
$ 24,510,000 |
$ 64,280,250 |
$ - |
$ - |
$ - |
$ - |
$ - |
Transamerica Multi-Asset Income |
$ - |
$ - |
$ - |
$ 339,360 |
$ - |
$ - |
$ 4,902,000 |
$ 2,166,750 |
$ - |
$ - |
$ - |
$ - |
$ 1,035,600 |
Transamerica Multi-Managed
Balanced |
$ 6,912,655 |
$ - |
$ 2,706,771 |
$ 9,155,666 |
$ 1,831,659 |
$ 3,715,782 |
$ 6,356,481 |
$ 12,525,922 |
$ - |
$ - |
$ 1,495,235 |
$ 3,536,520 |
$ 5,161,545 |
Transamerica Short-Term Bond |
$ 41,353,576 |
$ 10,480,483 |
$ 72,708,288 |
$ 26,245,329 |
$ 21,847,493 |
$ 35,273,211 |
$ 38,435,410 |
$ 76,564,349 |
$ - |
$ - |
$ 13,349,708 |
$ 16,998,579 |
$ 24,522,925 |
Transamerica Small/Mid Cap Value |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
$ 704,184 |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
Transamerica Sustainable Bond |
$ 464,707 |
$ - |
$ 290,248 |
$ 225,309 |
$ - |
$ - |
$ 678,495 |
$ 139,816 |
$ - |
$ - |
$ - |
$ - |
$ - |
Transamerica Sustainable Equity
Income |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
$ 16,976,606 |
$ - |
$ - |
$ - |
$ - |
$ - |
$ 14,361,612 |
Transamerica Total Return |
$ 7,211,325 |
$ - |
$ 8,163,103 |
$ 4,568,415 |
$ 7,421,745 |
$ 3,027,012 |
$ 20,254,629 |
$ 1,616,139 |
$ 1,225,964 |
$ 1,953,427 |
$ - |
$ 4,572,785 |
$ 9,922,833 |
Transamerica Unconstrained Bond |
$ 12,636,110 |
$ 1,783,690 |
$ 10,585,542 |
$ 6,557,885 |
$ 5,961,243 |
$ 8,632,989 |
$ 6,795,856 |
$ 2,627,542 |
$ - |
$ 2,133,760 |
$ - |
$ 8,451,891 |
$10,734,762 |
Name & Address |
Fund Name |
Class |
Percent |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Asset Allocation - Conservative Portfolio |
A |
50.55% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Asset Allocation - Conservative Portfolio |
A |
7.31% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Asset Allocation - Conservative Portfolio |
A |
5.46% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Asset Allocation - Conservative Portfolio |
C |
17.43% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Asset Allocation - Conservative Portfolio |
C |
12.12% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Asset Allocation - Conservative Portfolio |
C |
10.27% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Asset Allocation - Conservative Portfolio |
C |
9.02% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Asset Allocation - Conservative Portfolio |
C |
8.48% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Asset Allocation - Conservative Portfolio |
I |
32.64% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Asset Allocation - Conservative Portfolio |
I |
10.84% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Asset Allocation - Conservative Portfolio |
I |
10.53% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Asset Allocation - Conservative Portfolio |
I |
8.23% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Asset Allocation - Conservative Portfolio |
I |
6.88% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Asset Allocation - Conservative Portfolio |
I |
6.68% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Asset Allocation - Conservative Portfolio |
I |
5.72% |
Name & Address |
Fund Name |
Class |
Percent |
Alexander Kirschenbaum FBO
Alexander Kirschenbaum M D P C
229 East 79th Street Ste A
New York NY 10075-0866 |
Transamerica Asset Allocation - Conservative Portfolio |
R |
40.61% |
Mid Atlantic Trust Company FBO
Graham, Arceneaux & Allen, L.L
1251 Waterfront Pl Ste 525
Pittsburgh PA 15222-4228 |
Transamerica Asset Allocation - Conservative Portfolio |
R |
20.60% |
Mid Atlantic Trust Company FBO
Glavin Industries Inc
1251 Waterfront Place, Suite 525
Pittsburgh PA 15222-4228 |
Transamerica Asset Allocation - Conservative Portfolio |
R |
11.20% |
Mid Atlantic Trust Company FBO
Selectek Inc
1251 Waterfront Place, Suite 525
Pittsburgh PA 15222-4228 |
Transamerica Asset Allocation - Conservative Portfolio |
R |
9.05% |
Mid Atlantic Trust Company FBO
Avenel Pharmacy Inc 401(k) Profit S
1251 Waterfront Pl Ste 525
Pittsburgh PA 15222-4228 |
Transamerica Asset Allocation - Conservative Portfolio |
R |
8.98% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Asset Allocation - Conservative Portfolio |
R |
6.08% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Asset Allocation - Growth Portfolio |
A |
19.87% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Asset Allocation - Growth Portfolio |
A |
8.90% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Asset Allocation - Growth Portfolio |
A |
6.96% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Asset Allocation - Growth Portfolio |
A |
5.95% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Asset Allocation - Growth Portfolio |
C |
15.84% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Asset Allocation - Growth Portfolio |
C |
10.44% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Asset Allocation - Growth Portfolio |
C |
10.39% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Asset Allocation - Growth Portfolio |
C |
9.29% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Asset Allocation - Growth Portfolio |
C |
6.52% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Asset Allocation - Growth Portfolio |
I |
24.33% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Asset Allocation - Growth Portfolio |
I |
15.63% |
Name & Address |
Fund Name |
Class |
Percent |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Asset Allocation - Growth Portfolio |
I |
11.17% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Asset Allocation - Growth Portfolio |
I |
10.31% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Asset Allocation - Growth Portfolio |
I |
9.62% |
Mid Atlantic Trust Company FBO
Graham, Arceneaux & Allen, L.L
1251 Waterfront Pl Ste 525
Pittsburgh PA 15222-4228 |
Transamerica Asset Allocation - Growth Portfolio |
R |
39.40% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Asset Allocation - Growth Portfolio |
R |
13.38% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Asset Allocation - Growth Portfolio |
R |
11.12% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Asset Allocation - Growth Portfolio |
R |
10.47% |
Mid Atlantic Trust Company FBO
Id Automation Inc
1251 Waterfront Place, Suite 525
Pittsburgh PA 15222-4228 |
Transamerica Asset Allocation - Growth Portfolio |
R |
10.46% |
Mid Atlantic Trust Company FBO
Glavin Industries Inc
1251 Waterfront Place, Suite 525
Pittsburgh PA 15222-4228 |
Transamerica Asset Allocation - Growth Portfolio |
R |
5.33% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Asset Allocation - Moderate Growth Portfolio |
A |
23.97% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Asset Allocation - Moderate Growth Portfolio
|
A |
10.65% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Asset Allocation - Moderate Growth Portfolio |
A |
6.34% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Asset Allocation - Moderate Growth Portfolio
|
A |
6.14% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Asset Allocation - Moderate Growth Portfolio |
C |
18.35% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Asset Allocation - Moderate Growth Portfolio
|
C |
10.30% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Asset Allocation - Moderate Growth Portfolio |
C |
9.64% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Asset Allocation - Moderate Growth Portfolio
|
C |
6.77% |
Name & Address |
Fund Name |
Class |
Percent |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Asset Allocation - Moderate Growth Portfolio
|
C |
6.19% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Asset Allocation - Moderate Growth Portfolio |
C |
5.42% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Asset Allocation - Moderate Growth Portfolio
|
I |
28.03% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Asset Allocation - Moderate Growth Portfolio |
I |
14.53% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Asset Allocation - Moderate Growth Portfolio
|
I |
8.40% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Asset Allocation - Moderate Growth Portfolio |
I |
8.40% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Asset Allocation - Moderate Growth Portfolio
|
I |
8.38% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Asset Allocation - Moderate Growth Portfolio |
I |
6.60% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Asset Allocation - Moderate Growth Portfolio
|
I |
5.33% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Asset Allocation - Moderate Growth Portfolio |
R |
31.26% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Asset Allocation - Moderate Growth Portfolio
|
R |
22.28% |
Pai Trust Company, Inc.
Lg Holding LLC 401(k) P/S Plan
1300 Enterprise Dr
De Pere WI 54115-4934 |
Transamerica Asset Allocation - Moderate Growth Portfolio |
R |
10.39% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Asset Allocation - Moderate Growth Portfolio
|
R |
8.28% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Asset Allocation - Moderate Portfolio |
A |
35.67% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Asset Allocation - Moderate Portfolio |
A |
10.44% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Asset Allocation - Moderate Portfolio |
A |
6.16% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Asset Allocation - Moderate Portfolio |
C |
21.12% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Asset Allocation - Moderate Portfolio |
C |
9.87% |
Name & Address |
Fund Name |
Class |
Percent |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Asset Allocation - Moderate Portfolio |
C |
9.35% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Asset Allocation - Moderate Portfolio |
C |
9.16% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Asset Allocation - Moderate Portfolio |
C |
7.58% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Asset Allocation - Moderate Portfolio |
I |
28.92% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Asset Allocation - Moderate Portfolio |
I |
14.75% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Asset Allocation - Moderate Portfolio |
I |
10.06% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Asset Allocation - Moderate Portfolio |
I |
7.85% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Asset Allocation - Moderate Portfolio |
I |
6.87% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Asset Allocation - Moderate Portfolio |
I |
6.43% |
Mid Atlantic Trust Company FBO
Jobsinlogistics Com Inc 401(k) Prof
1251 Waterfront Pl Ste 525
Pittsburgh PA 15222-4228 |
Transamerica Asset Allocation - Moderate Portfolio |
R |
21.07% |
Mid Atlantic Trust Company FBO
Smede-Son Steel & Supply Company, I
1251 Waterfront Place, Suite 525
Pittsburgh PA 15222-4228 |
Transamerica Asset Allocation - Moderate Portfolio |
R |
11.90% |
State Street Bank And Trust
Custodian FBO Adp Access Product
1 Lincoln St
Boston MA 02111-2901 |
Transamerica Asset Allocation - Moderate Portfolio |
R |
10.35% |
Mid Atlantic Trust Company FBO
Electro Tech, Inc. 401(k) Savings
Plan And Trust
1251 Waterfront Pl Ste 525
Pittsburgh PA 15222-4228 |
Transamerica Asset Allocation - Moderate Portfolio |
R |
9.64% |
Matrix Trust Company Cust. FBO
Shives Funeral Home 401k Psp
717 17th Street
Suite 1300
Denver CO 80202-3304 |
Transamerica Asset Allocation - Moderate Portfolio |
R |
8.98% |
Matrix Trust Company Cust. FBO
Vernadero Group, Inc
717 17th Street
Suite 1300
Denver CO 80202-3304 |
Transamerica Asset Allocation - Moderate Portfolio |
R |
8.47% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Bond |
A |
19.43% |
Name & Address |
Fund Name |
Class |
Percent |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Bond |
A |
11.53% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Bond |
A |
10.88% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Bond |
A |
10.56% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Bond |
A |
8.22% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Bond |
A |
5.82% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Bond |
C |
27.15% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Bond |
C |
13.48% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Bond |
C |
13.37% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Bond |
C |
10.84% |
Charles Schwab & CO Inc
211 Main St
San Francisco CA 94105-1905 |
Transamerica Bond |
C |
10.39% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Bond |
C |
7.95% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica Bond |
I |
18.44% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Bond |
I |
10.47% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Bond |
I |
9.95% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Bond |
I |
9.92% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Bond |
I |
9.54% |
American Enterprise Investment Svc
707 2nd Ave S
Minneapolis MN 55402-2405 |
Transamerica Bond |
I |
6.67% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Bond |
I |
6.62% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Bond |
I |
6.56% |
Name & Address |
Fund Name |
Class |
Percent |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Bond |
I |
5.51% |
Blackrock Tactical Allocation VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Bond |
I2 |
39.65% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Bond |
I2 |
26.24% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Bond |
I2 |
16.75% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Bond |
I2 |
15.98% |
Reliance Trust Company
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Bond |
R6 |
40.97% |
Trs-Im
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Bond |
R6 |
34.40% |
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Bond |
R6 |
15.58% |
Voya Institutional Trust Company
1 Orange Way
Windsor CT 06095-4773 |
Transamerica Bond |
R6 |
5.57% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Capital Growth |
A |
19.34% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Capital Growth |
A |
15.53% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Capital Growth |
A |
8.32% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Capital Growth |
A |
7.04% |
Charles Schwab & CO Inc
211 Main St
San Francisco CA 94105-1905 |
Transamerica Capital Growth |
A |
5.85% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Capital Growth |
C |
33.30% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Capital Growth |
C |
11.70% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Capital Growth |
C |
11.41% |
Charles Schwab & CO Inc
211 Main St
San Francisco CA 94105-1905 |
Transamerica Capital Growth |
C |
9.76% |
Name & Address |
Fund Name |
Class |
Percent |
American Enterprise Investment Svc
707 2nd Ave S
Minneapolis MN 55402-2405 |
Transamerica Capital Growth |
C |
6.61% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Capital Growth |
C |
5.72% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Capital Growth |
I |
15.05% |
American Enterprise Investment Svc
707 2nd Ave S
Minneapolis MN 55402-2405 |
Transamerica Capital Growth |
I |
14.67% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Capital Growth |
I |
12.24% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Capital Growth |
I |
12.14% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Capital Growth |
I |
9.48% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Capital Growth |
I |
9.42% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Capital Growth |
I |
6.19% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Capital Growth |
I2 |
39.47% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Capital Growth |
I2 |
31.04% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Capital Growth |
I2 |
17.35% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Capital Growth |
I2 |
6.54% |
Reliance Trust Company
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Capital Growth |
R6 |
35.19% |
Trs-Im
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Capital Growth |
R6 |
27.45% |
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Capital Growth |
R6 |
25.12% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Core Bond |
I2 |
42.95% |
Transamerica Asset Allocation-Conservative VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Core Bond |
I2 |
15.46% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Core Bond |
I2 |
11.14% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Core Bond |
I2 |
8.82% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Core Bond |
I2 |
6.75% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Core Bond |
I2 |
5.75% |
Universal Life Insurance Company
Moderate Portfolio
PO Box 2145
San Juan PR 00922-2145 |
Transamerica Core Bond |
I2 |
5.21% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Emerging Markets Debt |
A |
21.61% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Emerging Markets Debt |
A |
16.26% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Emerging Markets Debt |
A |
12.34% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Emerging Markets Debt |
A |
7.98% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica Emerging Markets Debt |
A |
7.38% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Emerging Markets Debt |
C |
19.27% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Emerging Markets Debt |
C |
14.89% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica Emerging Markets Debt |
C |
13.35% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Emerging Markets Debt |
C |
11.78% |
Name & Address |
Fund Name |
Class |
Percent |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Emerging Markets Debt |
C |
8.68% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Emerging Markets Debt |
C |
8.61% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Emerging Markets Debt |
C |
7.64% |
RBC Capital Markets LLC
Mutual Fund Omnibus Processing
Attn Mutual Fund Ops Manager
510 Marquette Ave S
Minneapolis MN 55402-1110 |
Transamerica Emerging Markets Debt |
C |
6.76% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Emerging Markets Debt |
C |
5.80% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Emerging Markets Debt |
I |
17.28% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Emerging Markets Debt |
I |
14.92% |
Charles Schwab & CO Inc
Attn Mutual Funds
101 Montgomery St
San Francisco CA 94104-4151 |
Transamerica Emerging Markets Debt |
I |
9.29% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica Emerging Markets Debt |
I |
8.75% |
RBC Capital Markets LLC
Mutual Fund Omnibus Processing
Attn Mutual Fund Ops Manager
510 Marquette Ave S
Minneapolis MN 55402-1110 |
Transamerica Emerging Markets Debt |
I |
8.00% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Emerging Markets Debt |
I |
7.42% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Emerging Markets Debt |
I |
5.31% |
American Enterprise Investment Svc
707 2nd Ave S
Minneapolis MN 55402-2405 |
Transamerica Emerging Markets Debt |
I |
5.23% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Debt |
I2 |
48.50% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Debt |
I2 |
32.68% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Debt |
I2 |
15.19% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Emerging Markets Debt |
R6 |
64.29% |
Saxon & Co
FBO
PO Box 94597
Cleveland OH 44101-4597 |
Transamerica Emerging Markets Debt |
R6 |
22.01% |
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Emerging Markets Debt |
R6 |
5.14% |
Northern Tr CO Cust FBO Schaeffer
Revocable Family Trust
PO Box 92956
Chicago IL 60675-2994 |
Transamerica Emerging Markets Opportunities |
I |
60.21% |
Attn Mutual Funds
C/O ID 337
Sei Private Tr Co
1 Freedom VAlley Dr
Oaks PA 19456-9989 |
Transamerica Emerging Markets Opportunities |
I |
23.37% |
Northern Trust As Custodian
FBO University Of Missouri Medical
PO Box 92956
Chicago IL 60675-2994 |
Transamerica Emerging Markets Opportunities |
I |
6.33% |
Northern Tr CO Cust FBO David
Schaeffer Trust
PO Box 92956
Chicago IL 60675-2956 |
Transamerica Emerging Markets Opportunities |
I |
5.51% |
Transamerica Asset
Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Opportunities |
I2 |
33.55% |
Transamerica Asset
Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Opportunities |
I2 |
26.67% |
Transamerica Asset
Allocation-Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Opportunities |
I2 |
10.98% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Opportunities |
I2 |
7.46% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Opportunities |
I2 |
6.95% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Emerging Markets Opportunities |
R6 |
100.00% |
Name & Address |
Fund Name |
Class |
Percent |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Energy Infrastructure |
A |
20.06% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Energy Infrastructure |
A |
18.55% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Energy Infrastructure |
A |
11.36% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Energy Infrastructure |
A |
10.88% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Energy Infrastructure |
A |
8.77% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Energy Infrastructure |
A |
8.48% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Energy Infrastructure |
C |
18.23% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Energy Infrastructure |
C |
18.08% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Energy Infrastructure |
C |
12.83% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Energy Infrastructure |
C |
9.42% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Energy Infrastructure |
C |
7.10% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Energy Infrastructure |
C |
5.82% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Energy Infrastructure |
I |
24.81% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Energy Infrastructure |
I |
22.55% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Energy Infrastructure |
I |
20.07% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Energy Infrastructure |
I |
10.04% |
RBC Capital Markets LLC
Mutual Fund Omnibus Processing
Attn Mutual Fund Ops Manager
510 Marquette Ave S
Minneapolis MN 55402-1110 |
Transamerica Energy Infrastructure |
I |
6.02% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Energy Infrastructure |
I2 |
37.54% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Energy Infrastructure |
I2 |
29.05% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Energy Infrastructure |
I2 |
18.39% |
Universal Life Insurance Company
Moderate Portfolio
PO Box 2145
San Juan PR 00922-2145 |
Transamerica Energy Infrastructure |
I2 |
5.57% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Energy Infrastructure |
I2 |
5.51% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Event Driven |
I |
34.82% |
Gerlach & Co, LLC/Citibank Open We0
3800 Citigroup Center
Building B3-14
Tampa FL 33610 |
Transamerica Event Driven |
I |
14.72% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Event Driven |
I |
13.84% |
Bnp Paribas New York Branch FBO
Omnibus Us Clients
525 Washington Blvd FL 9th
Jersey City NJ 07310-1606 |
Transamerica Event Driven |
I |
13.47% |
Gerlach & CO LLC/Citibank Ow Non 0
3800 Citigroup Center Bldg B3-14
Tampa FL 33610 |
Transamerica Event Driven |
I |
9.26% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Event Driven |
I |
5.29% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Event Driven |
I2 |
33.57% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Event Driven |
I2 |
26.70% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Event Driven |
I2 |
24.17% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Event Driven |
I2 |
13.73% |
Name & Address |
Fund Name |
Class |
Percent |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Floating Rate |
A |
31.82% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Floating Rate |
A |
18.10% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Floating Rate |
A |
7.19% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Floating Rate |
A |
6.30% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Floating Rate |
A |
6.23% |
American Enterprise Investment Svc
707 2nd Ave S
Minneapolis MN 55402-2405 |
Transamerica Floating Rate |
A |
5.26% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Floating Rate |
C |
52.77% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Floating Rate |
C |
19.33% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Floating Rate |
C |
5.74% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Floating Rate |
C |
5.72% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Floating Rate |
I |
20.97% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Floating Rate |
I |
19.52% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Floating Rate |
I |
12.64% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Floating Rate |
I |
10.41% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Floating Rate |
I |
9.11% |
American Enterprise Investment Svc
707 2nd Ave S
Minneapolis MN 55402-2405 |
Transamerica Floating Rate |
I |
6.95% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Floating Rate |
I |
6.69% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Floating Rate |
I2 |
51.07% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Floating Rate |
I2 |
35.16% |
Transamerica Asset Allocation-Conservative VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Floating Rate |
I2 |
9.30% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Global Equity |
A |
14.20% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Global Equity |
A |
12.37% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Global Equity |
A |
11.38% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Global Equity |
A |
8.15% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Global Equity |
A |
5.45% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Global Equity |
A |
5.41% |
Charles Schwab & CO Inc
211 Main St
San Francisco CA 94105-1905 |
Transamerica Global Equity |
A |
5.23% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Global Equity |
C |
15.81% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Global Equity |
C |
11.23% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Global Equity |
C |
8.51% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Global Equity |
C |
6.50% |
Albert H Bernhardt III &
Catherine M Bernhardt Ttees
Bernhardt Family Trust
Dtd 12/09/2004
8659 142Nd St
Orland Park IL 60462-4189 |
Transamerica Global Equity |
C |
5.91% |
Reliance Trust CO FBO
Comerica Non-Eb R/R
PO Box 78446
Atlanta GA 30357-2446 |
Transamerica Global Equity |
I |
45.86% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Global Equity |
I |
10.30% |
Name & Address |
Fund Name |
Class |
Percent |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Global Equity |
I |
9.43% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Global Equity |
I |
7.44% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Global Equity |
I |
6.56% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica Global Equity |
I |
5.10% |
Reliance Trust Company
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Global Equity |
R6 |
41.21% |
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Global Equity |
R6 |
37.93% |
Trs-Im
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Global Equity |
R6 |
12.92% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Global Equity |
R6 |
7.94% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Government Money Market |
A |
48.58% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Government Money Market |
A |
10.95% |
Edward D Jones & Co
For The Benefit Of Customers
12555 Manchester Rd
Saint Louis MO 63131-3710 |
Transamerica Government Money Market |
A |
10.07% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Government Money Market |
C |
6.57% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Government Money Market |
I |
31.77% |
Reid A Evers
1333 Valley View Rd Apt 28
Glendale CA 91202-1734 |
Transamerica Government Money Market |
I |
8.88% |
Universal Life Insurance Company
PO Box 2145
San Juan PR 00922-2145 |
Transamerica Government Money Market |
I2 |
99.41% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Government Money Market |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R2 Series
440 Mamaroneck Ave
Harrison NY 10528-2426 |
Transamerica Government Money Market |
R2 |
100.00% |
Name & Address |
Fund Name |
Class |
Percent |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Government Money Market |
R4 |
100.00% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica High Yield Bond |
A |
24.04% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica High Yield Bond |
A |
8.52% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica High Yield Bond |
A |
7.85% |
Charles Schwab & CO Inc
211 Main St
San Francisco CA 94105-1905 |
Transamerica High Yield Bond |
C |
18.09% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica High Yield Bond |
C |
15.76% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica High Yield Bond |
C |
11.21% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica High Yield Bond |
C |
9.72% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica High Yield Bond |
C |
7.88% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica High Yield Bond |
C |
5.59% |
American Enterprise Investment Svc
707 2nd Ave S
Minneapolis MN 55402-2405 |
Transamerica High Yield Bond |
C |
5.30% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica High Yield Bond |
I |
81.08% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica High Yield Bond |
I |
9.69% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica High Yield Bond |
I2 |
46.45% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica High Yield Bond |
I2 |
37.12% |
Transamerica Asset Allocation-Conservative VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica High Yield Bond |
I2 |
6.05% |
Name & Address |
Fund Name |
Class |
Percent |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Yield Bond |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Yield Bond |
R |
85.66% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica High Yield Bond |
R |
14.34% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Yield Bond |
R4 |
100.00% |
Vanguard Fiduciary Trust Company
FBO 401k Clients
Attn: Investment Services
PO Box 2600 Vm L20
Valley Forge PA 19482-2600 |
Transamerica High Yield Bond |
R6 |
24.53% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept 4th Floor
Jersey City NJ 07310-1995 |
Transamerica High Yield Bond |
R6 |
18.00% |
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Yield Bond |
R6 |
16.24% |
Lincoln Retirement Services Company
FBO InspIRA 403B Savings Plan
PO Box 7876
Fort Wayne IN 46801-7876 |
Transamerica High Yield Bond |
R6 |
14.66% |
Reliance Trust Company
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Yield Bond |
R6 |
13.05% |
Trs-Im
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Yield Bond |
R6 |
11.66% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica High Yield ESG |
I |
94.47% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica High Yield ESG |
I |
5.53% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica High Yield ESG |
I2 |
100.00% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica High Yield Muni |
A |
21.95% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica High Yield Muni |
A |
21.12% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica High Yield Muni |
A |
11.17% |
Name & Address |
Fund Name |
Class |
Percent |
Td Ameritrade Inc
FBO Our Customers
PO Box 2226
Omaha NE 68103-2226 |
Transamerica High Yield Muni |
A |
9.48% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica High Yield Muni |
A |
9.36% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica High Yield Muni |
C |
26.10% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica High Yield Muni |
C |
23.96% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica High Yield Muni |
C |
10.68% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica High Yield Muni |
C |
7.30% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica High Yield Muni |
C |
6.64% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica High Yield Muni |
C |
5.98% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica High Yield Muni |
I |
19.81% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica High Yield Muni |
I |
18.95% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica High Yield Muni |
I |
11.35% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica High Yield Muni |
I |
11.34% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica High Yield Muni |
I |
10.91% |
TD Ameritrade Inc
PO Box 2226
Omaha NE 68103-2226 |
Transamerica High Yield Muni |
I |
10.09% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica High Yield Muni |
I |
7.54% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica High Yield Muni |
I |
6.45% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica High Yield Muni |
I2 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Inflation Opportunities |
A |
25.99% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Inflation Opportunities |
A |
19.06% |
Umb Bank Na
Cust Rollover IRA FBO
Christine M Koy
3 Halifax Ct
Rockville MD 20850-3009 |
Transamerica Inflation Opportunities |
A |
9.02% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Inflation Opportunities |
A |
5.38% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Inflation Opportunities |
C |
39.92% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Inflation Opportunities |
C |
34.28% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Inflation Opportunities |
C |
18.46% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main St
San Francisco CA 94105-1905 |
Transamerica Inflation Opportunities |
I |
74.36% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Inflation Opportunities |
I |
22.75% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Inflation Opportunities |
I2 |
30.08% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Inflation Opportunities |
I2 |
21.15% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Inflation Opportunities |
I2 |
19.38% |
Universal Life Insurance Company
Moderate Portfolio
PO Box 2145
San Juan PR 00922-2145 |
Transamerica Inflation Opportunities |
I2 |
15.01% |
Name & Address |
Fund Name |
Class |
Percent |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I2 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Inflation Opportunities |
I2 |
7.75% |
Universal Life Insurance Company
Conservative Portfolio
PO Box 2145
San Juan PR 00922-2145 |
Transamerica Inflation Opportunities |
I2 |
5.20% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Inflation Opportunities |
R6 |
100.00% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Intermediate Bond |
I2 |
55.56% |
Transamerica Asset Allocation-Conservative VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Intermediate Bond |
I2 |
12.70% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Intermediate Bond |
I2 |
7.96% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Intermediate Bond |
I2 |
7.66% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Intermediate Bond |
I2 |
5.60% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Intermediate Bond |
I2 |
5.60% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Intermediate Bond |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Intermediate Bond |
R |
87.43% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Intermediate Bond |
R |
12.57% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Intermediate Bond |
R4 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Intermediate Bond |
R6 |
100.00% |
Name & Address |
Fund Name |
Class |
Percent |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Intermediate Muni |
A |
19.64% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica Intermediate Muni |
A |
11.36% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Intermediate Muni |
A |
10.82% |
Charles Schwab & Co
Special Custody Acct For Customers
Attn Mutual Funds
101 Montgomery St
San Francisco CA 94104-4151 |
Transamerica Intermediate Muni |
A |
9.34% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Intermediate Muni |
A |
7.19% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Intermediate Muni |
A |
6.62% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Intermediate Muni |
A |
5.60% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Intermediate Muni |
A |
5.21% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Intermediate Muni |
C |
22.85% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Intermediate Muni |
C |
14.33% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Intermediate Muni |
C |
12.29% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica Intermediate Muni |
C |
11.28% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Intermediate Muni |
C |
9.80% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Intermediate Muni |
C |
6.43% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Intermediate Muni |
C |
6.03% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica Intermediate Muni |
I |
15.07% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Intermediate Muni |
I |
13.78% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Intermediate Muni |
I |
10.75% |
Name & Address |
Fund Name |
Class |
Percent |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Intermediate Muni |
I |
10.22% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Intermediate Muni |
I |
8.52% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Intermediate Muni |
I |
8.09% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Intermediate Muni |
I |
6.36% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Intermediate Muni |
I |
5.62% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Intermediate Muni |
I |
5.42% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Intermediate Muni |
I2 |
100.00% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica International Equity |
A |
26.42% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica International Equity |
A |
19.49% |
Sammons Retirement Solution
4546 Corporate Dr Ste 100
Wdm IA 50266-5911 |
Transamerica International Equity |
A |
11.16% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica International Equity |
A |
7.71% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica International Equity |
C |
23.65% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica International Equity |
C |
19.59% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica International Equity |
C |
9.73% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica International Equity |
C |
8.05% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica International Equity |
C |
8.01% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica International Equity |
C |
6.95% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica International Equity |
C |
6.76% |
Name & Address |
Fund Name |
Class |
Percent |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica International Equity |
C |
5.32% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica International Equity |
I |
42.61% |
Charles Schwab & CO Inc
101 Montgomery St
San Francisco CA 94104-4151 |
Transamerica International Equity |
I |
12.88% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dt E FL 2
Jacksonville FL 32246 |
Transamerica International Equity |
I |
7.36% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica International Equity |
I |
6.79% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0001 |
Transamerica International Equity |
I |
5.95% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Equity |
I2 |
22.06% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Equity |
I2 |
21.88% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Equity |
I2 |
10.78% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Equity |
I2 |
9.05% |
Transamerica International Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Equity |
I2 |
8.37% |
Transamerica Asset Allocation-Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Equity |
I2 |
7.62% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Equity |
I2 |
5.03% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica International Equity |
I3 |
100.00% |
Name & Address |
Fund Name |
Class |
Percent |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica International Equity |
R |
86.18% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica International Equity |
R |
13.82% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica International Equity |
R4 |
100.00% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept 4th Floor
Jersey City NJ 07310-1995 |
Transamerica International Equity |
R6 |
32.84% |
Trs-Im
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica International Equity |
R6 |
10.69% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica International Equity |
R6 |
9.16% |
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica International Equity |
R6 |
6.56% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica International Growth |
A |
26.29% |
Umb Bank Na
Farwell Area Schools
403B-7 A/C Hugh W Lewis III
8757 Reiss Dr
Farwell MI 48622-8713 |
Transamerica International Growth |
A |
10.69% |
Umb Bank Na
Cust IRA FBO
Joyce Vicki Brady
304 Hobby St
Georgetown TX 78633-2301 |
Transamerica International Growth |
A |
5.86% |
Umb Bank Na
Cust Simple IRA FBO
Zonya E Foco
1240 Sand Lake Dr
Onsted MI 49265-9585 |
Transamerica International Growth |
A |
5.37% |
Umb Bank Na
Cust Simple IRA FBO
Terry J Pitchford
34 Water Front Ave
Lakeway TX 78734-5308 |
Transamerica International Growth |
A |
5.01% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica International Growth |
I |
49.07% |
Umb Bank Na
Cust Roth IRA FBO
Sandra M Coyle
4 Thomsen Ct
Stony Point NY 10980-3461 |
Transamerica International Growth |
I |
23.45% |
Umb Bank Na Cust Dcd Roth IRA For
Helena Kobinski (Dcd)
FBO Sabina M Kobinski
5418 69th Pl
Maspeth NY 11378-1810 |
Transamerica International Growth |
I |
18.83% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
I2 |
27.17% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
I2 |
26.46% |
Transamerica International Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
I2 |
10.39% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
I2 |
9.44% |
Transamerica Asset Allocation-Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
I2 |
8.93% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
I2 |
6.81% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica International Growth |
R6 |
100.00% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica International Small Cap Value |
I |
83.31% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica International Small Cap Value |
I |
10.83% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Small Cap Value |
I2 |
27.45% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Small Cap Value |
I2 |
26.94% |
Transamerica International Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Small Cap Value |
I2 |
13.22% |
Transamerica Asset Allocation-Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Small Cap Value |
I2 |
8.49% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Small Cap Value |
I2 |
6.93% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Small Cap Value |
I2 |
6.43% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica International Stock |
A |
76.62% |
Umb Bank Na
Cust Simple IRA FBO
Brian S Handa
20315 Calle Montalvo
Saratoga CA 95070-6001 |
Transamerica International Stock |
A |
12.75% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica International Stock |
I |
98.88% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Stock |
I2 |
39.56% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Stock |
I2 |
22.57% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Stock |
I2 |
20.19% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Stock |
I2 |
12.66% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica International Stock |
R6 |
100.00% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Large Cap Value |
A |
46.94% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Large Cap Value |
A |
11.35% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica Large Cap Value |
A |
9.40% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica Large Cap Value |
C |
14.51% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Large Cap Value |
C |
11.89% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Large Cap Value |
C |
11.25% |
Name & Address |
Fund Name |
Class |
Percent |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Large Cap Value |
C |
10.08% |
American Enterprise Investment Svc
707 2nd Ave S
Minneapolis MN 55402-2405 |
Transamerica Large Cap Value |
C |
9.82% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Large Cap Value |
C |
6.44% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Large Cap Value |
C |
6.24% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Large Cap Value |
C |
5.62% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Large Cap Value |
I |
21.02% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica Large Cap Value |
I |
18.97% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Large Cap Value |
I |
17.23% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Large Cap Value |
I |
8.62% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Large Cap Value |
I |
8.38% |
American Enterprise Investment Svc
707 2nd Ave S
Minneapolis MN 55402-2405 |
Transamerica Large Cap Value |
I |
6.53% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Large Cap Value |
I |
5.48% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Large Cap Value |
I2 |
32.24% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Large Cap Value |
I2 |
22.48% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Large Cap Value |
I2 |
10.93% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Large Cap Value |
I2 |
9.22% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Allocation-Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Large Cap Value |
I2 |
8.64% |
Transamerica Asset Allocation-Conservative VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Large Cap Value |
I2 |
6.04% |
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Cap Value |
R6 |
53.88% |
Reliance Trust Company
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Cap Value |
R6 |
21.50% |
Trs-Im
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Cap Value |
R6 |
13.96% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Mid Cap Growth |
A |
70.95% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Mid Cap Growth |
C |
36.04% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Mid Cap Growth |
C |
12.62% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Mid Cap Growth |
I |
27.44% |
Interactive Brokers LLC
2 Pickwick Plz Ste 202
Greenwich CT 06830-5576 |
Transamerica Mid Cap Growth |
I |
19.61% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Mid Cap Growth |
I |
16.53% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Mid Cap Growth |
I |
14.01% |
Interactive Brokers LLC
Cash Distribution Omnibus Account1
2 Pickwick Plaza
Greenwich CT 06830-5576 |
Transamerica Mid Cap Growth |
I |
10.33% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Mid Cap Growth |
I |
7.48% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Growth |
I2 |
34.46% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Growth |
I2 |
33.42% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Allocation-Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Growth |
I2 |
10.02% |
Transamerica Asset Allocation-Conservative VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Growth |
I2 |
6.14% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Growth |
I2 |
5.96% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Mid Cap Growth |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Mid Cap Growth |
R |
73.58% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Mid Cap Growth |
R |
26.42% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Mid Cap Growth |
R4 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Mid Cap Growth |
R6 |
100.00% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value |
I2 |
37.76% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value |
I2 |
33.39% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value |
I2 |
19.28% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Mid Cap Value Opportunities |
A |
17.21% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Mid Cap Value Opportunities |
A |
17.03% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Mid Cap Value Opportunities |
A |
10.25% |
Name & Address |
Fund Name |
Class |
Percent |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Mid Cap Value Opportunities |
A |
7.94% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Mid Cap Value Opportunities |
A |
5.88% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Mid Cap Value Opportunities |
A |
5.88% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Mid Cap Value Opportunities |
A |
5.45% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Mid Cap Value Opportunities |
C |
28.95% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Mid Cap Value Opportunities |
C |
22.08% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Mid Cap Value Opportunities |
C |
11.83% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Mid Cap Value Opportunities |
C |
8.24% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Mid Cap Value Opportunities |
C |
6.00% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Mid Cap Value Opportunities |
C |
5.49% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Mid Cap Value Opportunities |
C |
5.02% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Mid Cap Value Opportunities |
I |
20.15% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Mid Cap Value Opportunities |
I |
17.27% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Mid Cap Value Opportunities |
I |
15.02% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Mid Cap Value Opportunities |
I |
10.66% |
TD Ameritrade Inc
PO Box 2226
Omaha NE 68103-2226 |
Transamerica Mid Cap Value Opportunities |
I |
8.07% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Mid Cap Value Opportunities |
I |
7.39% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Mid Cap Value Opportunities |
I |
5.76% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value Opportunities |
I2 |
40.80% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value Opportunities |
I2 |
34.38% |
Transamerica Asset Allocation-Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value Opportunities |
I2 |
9.03% |
Transamerica Asset Allocation-Conservative VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value Opportunities |
I2 |
7.61% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Mid Cap Value Opportunities |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Mid Cap Value Opportunities |
R |
86.10% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Mid Cap Value Opportunities |
R |
13.90% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Mid Cap Value Opportunities |
R4 |
98.90% |
Tiaa, Fsb Cust/Ttee FBO:
Retirement Plans For Which
Tiaa Acts As Recordkeeper
Attn: Trust Operations
211 N Broadway Ste 1000
Saint Louis MO 63102-2748 |
Transamerica Mid Cap Value Opportunities |
R6 |
56.50% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Mid Cap Value Opportunities |
R6 |
29.35% |
Dcgt As Ttee And/Or Cust
FBO Plic Various Retirement Plans
Omnibus
Attn Npio Trade Desk
711 High St
Des Moines IA 50392-0001 |
Transamerica Mid Cap Value Opportunities |
R6 |
5.51% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Multi-Asset Income |
A |
16.38% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Multi-Asset Income |
A |
14.47% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Multi-Asset Income |
A |
10.96% |
Name & Address |
Fund Name |
Class |
Percent |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Multi-Asset Income |
A |
10.71% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Multi-Asset Income |
A |
9.63% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Multi-Asset Income |
A |
7.36% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Multi-Asset Income |
A |
5.31% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Multi-Asset Income |
C |
22.69% |
Charles Schwab & CO Inc
211 Main St
San Francisco CA 94105-1905 |
Transamerica Multi-Asset Income |
C |
16.23% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Multi-Asset Income |
C |
13.27% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Multi-Asset Income |
C |
9.72% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Multi-Asset Income |
C |
9.19% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Multi-Asset Income |
C |
7.31% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Multi-Asset Income |
I |
27.92% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Multi-Asset Income |
I |
13.85% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Multi-Asset Income |
I |
12.78% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Multi-Asset Income |
I |
10.88% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Multi-Asset Income |
I |
9.42% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Multi-Asset Income |
I |
6.25% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Multi-Asset Income |
I2 |
100.00% |
Name & Address |
Fund Name |
Class |
Percent |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Multi-Managed Balanced |
A |
42.89% |
Sammons Retirement Solution
4546 Corporate Dr Ste 100
Wdm IA 50266-5911 |
Transamerica Multi-Managed Balanced |
A |
8.16% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Multi-Managed Balanced |
A |
7.13% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Multi-Managed Balanced |
A |
5.32% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Multi-Managed Balanced |
C |
35.08% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Multi-Managed Balanced |
C |
11.76% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Multi-Managed Balanced |
C |
8.38% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Multi-Managed Balanced |
C |
8.02% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Multi-Managed Balanced |
C |
6.27% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Multi-Managed Balanced |
I |
16.51% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Multi-Managed Balanced |
I |
12.26% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Multi-Managed Balanced |
I |
11.65% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica Multi-Managed Balanced |
I |
8.46% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Multi-Managed Balanced |
I |
7.83% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Multi-Managed Balanced |
I |
7.72% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Multi-Managed Balanced |
I |
5.33% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Multi-Managed Balanced |
I |
5.31% |
Reliance Trust Company
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Multi-Managed Balanced |
R6 |
44.88% |
Trs-Im
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Multi-Managed Balanced |
R6 |
28.63% |
Name & Address |
Fund Name |
Class |
Percent |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Multi-Managed Balanced |
R6 |
19.97% |
John Hancocktrust Company LLC
690 Canton St Suite 100
Westwood MA 02090-2324 |
Transamerica Multi-Managed Balanced |
R6 |
6.36% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Short-Term Bond |
A |
26.61% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Short-Term Bond |
A |
15.94% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Short-Term Bond |
A |
9.21% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Short-Term Bond |
A |
8.44% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Short-Term Bond |
A |
6.46% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Short-Term Bond |
A |
5.12% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Short-Term Bond |
C |
32.53% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Short-Term Bond |
C |
12.11% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Short-Term Bond |
C |
9.47% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Short-Term Bond |
C |
7.26% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Short-Term Bond |
C |
6.69% |
Charles Schwab & CO Inc
211 Main St
San Francisco CA 94105-1905 |
Transamerica Short-Term Bond |
C |
6.34% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Short-Term Bond |
C |
5.50% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Short-Term Bond |
I |
14.31% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica Short-Term Bond |
I |
13.69% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Short-Term Bond |
I |
13.07% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Short-Term Bond |
I |
8.38% |
Name & Address |
Fund Name |
Class |
Percent |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Short-Term Bond |
I |
8.34% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Short-Term Bond |
I |
8.11% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Short-Term Bond |
I |
7.02% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Short-Term Bond |
I |
6.83% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Short-Term Bond |
I |
5.76% |
Blackrock Tactical Allocation VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Short-Term Bond |
I2 |
35.43% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Short-Term Bond |
I2 |
23.96% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Short-Term Bond |
I2 |
10.66% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Short-Term Bond |
I2 |
9.18% |
Universal Life Insurance Company
Moderate Portfolio
PO Box 2145
San Juan PR 00922-2145 |
Transamerica Short-Term Bond |
I2 |
7.67% |
Transamerica
60/40 Allocation VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Short-Term Bond |
I2 |
5.98% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Short-Term Bond |
R6 |
97.26% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Small Cap Growth |
A |
53.18% |
Charles Schwab & Co
101 Montgomery St
San Francisco CA 94104-4151 |
Transamerica Small Cap Growth |
A |
7.66% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Small Cap Growth |
C |
38.73% |
Name & Address |
Fund Name |
Class |
Percent |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Small Cap Growth |
C |
16.25% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Small Cap Growth |
C |
10.62% |
American Enterprise Investment Svc
707 2nd Ave S
Minneapolis MN 55402-2405 |
Transamerica Small Cap Growth |
C |
8.69% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Small Cap Growth |
I |
81.73% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Small Cap Growth |
I |
11.32% |
Saxon & Co.
PO Box 94597
Cleveland OH 44101-4597 |
Transamerica Small Cap Growth |
I2 |
45.31% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Growth |
I2 |
15.76% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Growth |
I2 |
11.15% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Growth |
I2 |
10.57% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Growth |
I2 |
5.70% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Small Cap Growth |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Small Cap Growth |
R |
74.35% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Small Cap Growth |
R |
25.65% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Small Cap Growth |
R4 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Small Cap Growth |
R6 |
100.00% |
Name & Address |
Fund Name |
Class |
Percent |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Small Cap Value |
A |
42.07% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Small Cap Value |
A |
29.80% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Small Cap Value |
A |
10.63% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main St
San Francisco CA 94105-1905 |
Transamerica Small Cap Value |
C |
41.57% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Small Cap Value |
C |
20.04% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Small Cap Value |
C |
15.00% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Small Cap Value |
C |
7.86% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Small Cap Value |
C |
7.54% |
T. Rowe Price Retirement Plan
Services Inc
FBO Retirement Plan Clients
4515 Painters Mill Rd
Owings Mills MD 21117-4903 |
Transamerica Small Cap Value |
I |
94.29% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Value |
I2 |
42.92% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Value |
I2 |
29.51% |
Transamerica Asset Allocation-Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Value |
I2 |
10.29% |
Transamerica Asset Allocation-Conservative VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Value |
I2 |
7.89% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Small Cap Value |
I3 |
100.00% |
Name & Address |
Fund Name |
Class |
Percent |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Small Cap Value |
R |
83.52% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Small Cap Value |
R |
16.48% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Small Cap Value |
R4 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Small Cap Value |
R6 |
100.00% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Small/Mid Cap Value |
A |
20.28% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Small/Mid Cap Value |
A |
9.28% |
TCM Division
Transamerica Life Insurance Company
Seperate Account D
4333 Edgewood Rd NE MS 4410
Cedar Rapids IA 52499-0001 |
Transamerica Small/Mid Cap Value |
A |
8.58% |
Sammons Retirement Solution
4546 Corporate Dr Ste 100
Wdm IA 50266-5911 |
Transamerica Small/Mid Cap Value |
A |
7.52% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Small/Mid Cap Value |
A |
7.31% |
Merrill Lynch Pierce Fenner & Smith Inc
For the Sole Benefit of Its Customers
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Small/Mid Cap Value |
A |
6.93% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Small/Mid Cap Value |
A |
6.35% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Small/Mid Cap Value |
C |
24.66% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Small/Mid Cap Value |
C |
13.53% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Small/Mid Cap Value |
C |
11.80% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Small/Mid Cap Value |
C |
8.07% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Small/Mid Cap Value |
C |
7.86% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Small/Mid Cap Value |
C |
7.63% |
Name & Address |
Fund Name |
Class |
Percent |
Charles Schwab & CO Inc
211 Main St
San Francisco CA 94105-1905 |
Transamerica Small/Mid Cap Value |
C |
7.63% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Small/Mid Cap Value |
I |
16.50% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Small/Mid Cap Value |
I |
13.20% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica Small/Mid Cap Value |
I |
11.30% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Small/Mid Cap Value |
I |
8.45% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Small/Mid Cap Value |
I |
8.17% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Small/Mid Cap Value |
I |
7.33% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Small/Mid Cap Value |
I |
7.20% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Small/Mid Cap Value |
I |
6.99% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Small/Mid Cap Value |
I |
6.65% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Small/Mid Cap Value |
I2 |
100.00% |
Trs-Im
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Small/Mid Cap Value |
R6 |
38.30% |
State Street Bank & Trust As Ttee
For Hanesbrands Inc Master
Investment Trust For Defined
Contribution Plans
801 Pennsylvania Ave
Kansas City MO 64105-1307 |
Transamerica Small/Mid Cap Value |
R6 |
16.98% |
Pims/Prudential Retirement
As Nominee For The Ttee/Cust Pl 300
Grundfos Pumps Corporation
3905 Enterprise Ct
Aurora IL 60504-8132 |
Transamerica Small/Mid Cap Value |
R6 |
14.35% |
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Small/Mid Cap Value |
R6 |
6.85% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Sustainable Bond |
I |
99.80% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Sustainable Bond |
I2 |
100.00% |
TCM Division
Transamerica Life Insurance Company
Seperate Account D
4333 Edgewood Rd NE MS 4410
Cedar Rapids IA 52499-0001 |
Transamerica Sustainable Equity Income |
A |
73.82% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Sustainable Equity Income |
A |
12.77% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Sustainable Equity Income |
C |
28.05% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Sustainable Equity Income |
C |
16.04% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Sustainable Equity Income |
C |
8.67% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Sustainable Equity Income |
C |
7.91% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Sustainable Equity Income |
C |
7.29% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Sustainable Equity Income |
C |
5.30% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Sustainable Equity Income |
I |
24.90% |
Matrix Trust CO As Agent FBO
Old Mutual Asset Management Volunta
PO Box 52129
Phoenix AZ 85072-2129 |
Transamerica Sustainable Equity Income |
I |
23.35% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Sustainable Equity Income |
I |
12.17% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Sustainable Equity Income |
I |
10.14% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Sustainable Equity Income |
I |
8.94% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Sustainable Equity Income |
I |
8.59% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Sustainable Equity Income |
I2 |
35.60% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Sustainable Equity Income |
I2 |
28.91% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Sustainable Equity Income |
I2 |
16.57% |
Universal Life Insurance Company
Moderate Portfolio
PO Box 2145
San Juan PR 00922-2145 |
Transamerica Sustainable Equity Income |
I2 |
6.75% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Sustainable Equity Income |
I2 |
6.01% |
Reliance Trust Company
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Sustainable Equity Income |
R6 |
56.98% |
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Sustainable Equity Income |
R6 |
39.59% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Total Return |
I2 |
31.75% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Total Return |
I2 |
28.22% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Total Return |
I2 |
26.36% |
Universal Life Insurance Company
Moderate Portfolio
PO Box 2145
San Juan PR 00922-2145 |
Transamerica Total Return |
I2 |
9.65% |
John Sung Woo TOD
29375 Laro Dr
Agoura Hills CA 91301-1682 |
Transamerica Unconstrained Bond |
A |
27.85% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Unconstrained Bond |
A |
18.70% |
RBC Capital Markets LLC
Mutual Fund Omnibus Processing
Attn Mutual Fund Ops Manager
510 Marquette Ave S
Minneapolis MN 55402-1110 |
Transamerica Unconstrained Bond |
A |
13.64% |
John Sung Woo TOD
29375 Laro Dr
Agoura Hills CA 91301-1682 |
Transamerica Unconstrained Bond |
A |
8.35% |
Umb Bank Na
Farwell Area Schools
403B-7 A/C Hugh W Lewis III
8757 Reiss Dr
Farwell MI 48622-8713 |
Transamerica Unconstrained Bond |
A |
5.97% |
Name & Address |
Fund Name |
Class |
Percent |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Unconstrained Bond |
I |
33.83% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Unconstrained Bond |
I |
31.66% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Unconstrained Bond |
I |
19.92% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Unconstrained Bond |
I |
12.45% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Unconstrained Bond |
I2 |
53.56% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Unconstrained Bond |
I2 |
29.63% |
Transamerica Asset Allocation-Conservative VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Unconstrained Bond |
I2 |
11.40% |
Transamerica International Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Unconstrained Bond |
I2 |
5.41% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica US Growth |
A |
8.67% |
Charles Schwab & CO Inc
211 Main St
San Francisco CA 94105-1905 |
Transamerica US Growth |
C |
14.60% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica US Growth |
C |
7.29% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica US Growth |
C |
7.03% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica US Growth |
C |
6.76% |
RBC Capital Markets LLC
Mutual Fund Omnibus Processing
Attn Mutual Fund Ops Manager
510 Marquette Ave S
Minneapolis MN 55402-1110 |
Transamerica US Growth |
C |
6.37% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica US Growth |
C |
6.11% |
Name & Address |
Fund Name |
Class |
Percent |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica US Growth |
I |
27.84% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica US Growth |
I |
19.80% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica US Growth |
I2 |
35.29% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica US Growth |
I2 |
33.87% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica US Growth |
I2 |
17.92% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica US Growth |
I2 |
6.46% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica US Growth |
R6 |
100.00% |
Name & Address |
Fund Name |
Percentage of Fund
Owned |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Asset Allocation - Conservative Portfolio |
45.32% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Asset Allocation - Moderate Portfolio |
31.34% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Core Bond |
42.95% |
Name & Address |
Fund Name |
Percentage of Fund
Owned |
Transamerica Asset
Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Opportunities |
33.25% |
Transamerica Asset
Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Opportunities |
26.43% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Energy Infrastructure |
26.83% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Event Driven |
32.04% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Event Driven |
25.48% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Floating Rate |
26.01% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica High Yield Bond |
29.79% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica High Yield ESG |
94.72% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Inflation Opportunities |
26.61% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Intermediate Bond |
37.52% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
27.16% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
26.45% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica International Small Cap Value |
38.99% |
Name & Address |
Fund Name |
Percentage of Fund
Owned |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Stock |
38.99% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Large Cap Value |
29.69% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Growth |
25.74% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value |
37.76% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value |
33.39% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Value |
39.62% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Value |
27.24% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Sustainable Bond |
95.99% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Sustainable Equity Income |
26.09% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Total Return |
31.75% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Total Return |
28.22% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Total Return |
26.36% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Unconstrained Bond |
52.32% |
Name & Address |
Fund Name |
Percentage of Fund
Owned |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Unconstrained Bond |
28.95% |
|
Public Company
Executive or
Fund Manager1 |
# Outside Public
Boards2 |
Total # of Public
Boards |
Director A |
✓ |
1 |
2 |
Director B |
F078 |
3 |
4 |
1 In this instance, “fund manager” refers to individuals whose full-time employment involves responsibility for the investment and oversight of fund
vehicles, and those who have employment as professional
investors and provide oversight for those holdings.2 In addition to the company under review. |
|
Combined Chair/ CEO Model |
Separate Chair Model | |
|
Chair/ CEO |
Lead Director |
Chair |
Board Meetings |
|
|
|
Authority to call full meetings of the
board of directors |
Attends full meetings of the board of
directors |
Authority to call full meetings of the
board of directors | |
|
Authority to call meetings of independent directors |
| |
|
Briefs CEO on issues arising from
executive sessions |
| |
Agenda |
|
|
|
Primary responsibility for shaping
board agendas, consulting with the lead
director |
Collaborates with chair/CEO to set
board agenda and board information |
Primary responsibility for shaping
board agendas, in conjunction with
CEO | |
Board Communications |
|
|
|
Communicates with all directors on key
issues and concerns outside board
meetings |
Facilitates discussion among
independent directors on key issues and
concerns outside of full board meetings,
including contributing to the oversight
of CEO and management succession
planning |
Facilitates discussion among
independent directors on key issues and
concerns outside of full board meetings,
including contributing to the oversight
of CEO and management succession
planning |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Odell Lambroza |
1 |
$59.4 million |
5 |
$447.3 million |
0 |
$0 |
Tracy V. Maitland |
2 |
$937.7
million |
6 |
$514.9
million |
569 |
$8.6
billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Odell Lambroza |
1 |
$59.4
million |
5 |
$447.3
million |
0 |
$0
|
Tracy V. Maitland |
2 |
$937.7 million |
5 |
$447.3 million |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |||
Mark Peden, CFA |
1 |
$501 million |
4 |
$1.5 billion |
1 |
$197
million | ||
Robin Black |
2 |
$570
million |
3 |
$447
million |
1 |
$197
million | ||
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||||
Mark Peden, CFA |
0 |
$0
|
0 |
$0
|
0 |
$0
| ||
Robin Black |
0 |
$0
|
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |||
Bradley D. Doyle, CFA |
6 |
$3.61 billion |
8 |
$2.13 billion |
15 |
$41.56 billion | ||
Tyler A. Knight, CFA* |
6 |
$7.02 billion |
7 |
$3.31 billion |
22 |
$11.71 billion | ||
Jeremy Mead, CFA |
1 |
$25 million |
5 |
$2.15 billion |
7 |
$3.51 billion | ||
Brian W. Westhoff, CFA |
6 |
$6.26 billion |
7 |
$2.49 billion |
17 |
$43.05 billion | ||
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||||
Bradley D. Doyle, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 | ||
Tyler A. Knight, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 | ||
Jeremy Mead, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 | ||
Brian W. Westhoff, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |||
John F. Bailey, CFA |
0 |
$0 |
0 |
$0 |
1 |
$49 million | ||
Jason P. Felderman, CFA |
0 |
$0 |
0 |
$0 |
1 |
$49 million | ||
Zach Halstead |
0 |
$0 |
0 |
$0 |
2 |
$483 million | ||
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||||
John F. Bailey, CFA |
0 |
$0 |
0 |
$0 |
10 |
$3.91 billion | ||
Jason P. Felderman, CFA |
0 |
$0 |
0 |
$0 |
10 |
$3.91 billion | ||
Zach Halstead |
0 |
$0 |
0 |
$0 |
10 |
$3.91 billion |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |||
Kevin Bakker, CFA |
2 |
$259 million |
13 |
$3.60 billion |
14 |
$2.74 billion | ||
Benjamin D. Miller, CFA |
2 |
$259 million |
13 |
$3.60 billion |
14 |
$2.74 billion | ||
James K. Schaeffer, Jr. |
4 |
$2.24 billion |
16 |
$4.71 billion |
21 |
$3.04 billion | ||
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||||
Kevin Bakker, CFA |
0 |
$0 |
0 |
$0 |
1 |
$444 million | ||
Benjamin D. Miller, CFA |
0 |
$0 |
0 |
$0 |
1 |
$444 million | ||
James K. Schaeffer, Jr. |
0 |
$0 |
0 |
$0 |
11 |
$4.35 billion |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |||
Kevin Bakker, CFA |
2 |
$2.83 billion |
13 |
$3.60 billion |
14 |
$2.74 billion | ||
Benjamin D. Miller, CFA |
2 |
$2.83 billion |
13 |
$3.60 billion |
14 |
$2.74 billion | ||
James K. Schaeffer, Jr. |
4 |
$4.81 billion |
16 |
$4.71 billion |
21 |
$3.04 billion |
Portfolio Manager |
Registered
Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |||
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||||
Kevin Bakker, CFA |
0 |
$0 |
0 |
$0 |
1 |
$444 million | ||
Benjamin D. Miller, CFA |
0 |
$0 |
0 |
$0 |
1 |
$444 million | ||
James K. Schaeffer, Jr. |
0 |
$0 |
0 |
$0 |
11 |
$4.35 billion |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |||
Bradley D. Doyle, CFA |
6 |
$3.64 billion |
8 |
$2.13 billion |
15 |
$41.56 billion | ||
Tyler A. Knight, CFA |
5 |
$8.57 billion |
7 |
$2.52 billion |
22 |
$11.54 billion | ||
Brian W. Westhoff, CFA |
6 |
$10.02 billion |
7 |
$2.49 billion |
17 |
$43.05 billion | ||
Sivakumar N. Rajan |
3 |
$4.96 billion |
5 |
$996 million |
7 |
$40.90 billion | ||
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||||
Bradley D. Doyle, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 | ||
Tyler A. Knight, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 | ||
Brian W. Westhoff, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 | ||
Sivakumar N. Rajan |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |||
Bradley D. Doyle, CFA |
6 |
$5.06 billion |
8 |
$2.13 billion |
15 |
$41.56 billion | ||
Tyler A. Knight, CFA |
5 |
$6.26 billion |
7 |
$2.52 billion |
22 |
$11.54 billion | ||
Brian W. Westhoff, CFA |
6 |
$7.71 billion |
7 |
$2.49 billion |
17 |
$43.05 billion | ||
Sivakumar N. Rajan |
3 |
$2.64 billion |
5 |
$996 million |
7 |
$40.90 billion | ||
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||||
Bradley D. Doyle, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 | ||
Tyler A. Knight, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 | ||
Brian W. Westhoff, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 | ||
Sivakumar N. Rajan |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Tyler A. Knight, CFA |
5 |
$3.59 billion |
7 |
$2.52 billion |
22 |
$11.54 billion |
Doug Weih, CFA |
6 |
$5.49 billion |
3 |
$1.24 billion |
8 |
$9.83 billion |
Brian W. Westhoff, CFA |
6 |
$5.04 billion |
7 |
$2.47 billion |
17 |
$43.05 billion |
Norbert King |
0 |
$0 |
2 |
$107 million |
16 |
$42.56 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Tyler A. Knight, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Doug Weih, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Brian W. Westhoff, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Norbert King |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Bradley D. Doyle, CFA |
7 |
$5.49 billion |
8 |
$2.13 billion |
15 |
$41.56 billion |
Charles Foster, CFA |
2 |
$496 million |
5 |
$1.06 billion |
9 |
$3.13 billion |
James Rich |
1 |
$0 |
2 |
$54 million |
5 |
$247 million |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Bradley D. Doyle, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Charles Foster, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
James Rich |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Range of Securities Owned |
Fund |
Doug Weih, CFA |
$1 - $10,000 |
Transamerica Bond |
Brian W. Westhoff, CFA |
$50,001 - $100,000 |
Transamerica Bond |
John F. Bailey, CFA |
$10,001 - $50,000 |
Transamerica Floating Rate |
Kevin Bakker, CFA |
$100,001 - $500,000 |
Transamerica High Yield Bond |
Benjamin D. Miller, CFA |
$10,001 - $50,000 |
Transamerica High Yield Bond |
James K. Schaeffer, Jr. |
$100,001 - $500,000 |
Transamerica High Yield Bond |
Doug Weih, CFA |
$1 - $10,000 |
Transamerica Short-Term Bond |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Matthew Dalton |
0 |
$0 |
1 |
$18.4 million |
14,086 |
$10.95 billion |
Brian Steeves |
0 |
$0 |
0 |
$0 |
14,086 |
$10.95 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Matthew Dalton |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Brian Steeves |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Matthew Dalton |
0 |
$0 |
1 |
$18.4 million |
14,086 |
$10.95 billion |
Brian Steeves |
0 |
$0 |
0 |
$0 |
14,086 |
$10.95 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Matthew Dalton |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Brian Steeves |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
David R. Vaughn, CFA |
2 |
$63.8 million |
5 |
$388.7 million |
7 |
$113.3 million |
Alex Turner, CFA |
2 |
$63.8 million |
5 |
$388.7 million |
7 |
$113.3 million |
Gashi Zengeni, CFA |
2 |
$63.8 million |
5 |
$388.7 million |
5 |
$112.8 million |
Fee Based Accounts
(The number of accounts and the total assets in the accounts
managed by each portfolio manager with respect to
which the advisory fee is based on the performance of the account.) | ||||||
David R. Vaughn, CFA |
0 |
$0 |
1 |
$57 million |
0 |
$0 |
Alex Turner, CFA |
0 |
$0 |
1 |
$57 million |
0 |
$0 |
Gashi Zengeni, CFA |
0 |
$0 |
1 |
$57 million |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Michael Carapucci* |
5 |
$18.0 billion |
0 |
$0 |
0 |
$0 |
Neill Nuttall |
21 |
$8.5 billion |
19 |
$7.1 billion |
80 |
$112.4 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Michael Carapucci* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Neill Nuttall |
0 |
$0 |
0 |
$0 |
2 |
$4.04 billion |
Portfolio Manager |
Registered Investment
Companies* |
Other Pooled Investment
Vehicles* |
Other Accounts* | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Richard Figuly, CFA |
28 |
$68.32 billion |
12 |
$16.57 billion |
17 |
$7.31 billion |
Steven Lear, CFA |
5 |
$21.03 billion |
4 |
$5.35 billion |
11 |
$2.13 billion |
Justin Rucker, CFA |
14 |
$49.22 billion |
6 |
$13.88 billion |
29 |
$9.12 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Richard Figuly, CFA |
0 |
$0 |
0 |
$0 |
1 |
$1.06 billion |
Steven Lear, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Justin Rucker, CFA |
0 |
$0 |
0 |
$0 |
1 |
$1.06 billion |
Portfolio Manager |
Registered Investment
Companies* |
Other Pooled Investment
Vehicles* |
Other Accounts* | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Lawrence Playford, CFA |
13 |
$25.63 billion |
1 |
$1.89 billion |
38 |
$1.80 billion |
Jonathan K. L. Simon |
14 |
$26.91 billion |
8 |
$8.04 billion |
39 |
$1.88 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Lawrence Playford, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Jonathan K. L. Simon |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies* |
Other Pooled Investment
Vehicles* |
Other Accounts* | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Tim Snyder, CFA |
9 |
$7.58 billion |
10 |
$3.89 billion |
12 |
$8.69 billion |
Raffaele Zingone, CFA |
13 |
$21.85 billion |
10 |
$3.81 billion |
12 |
$8.80 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Tim Snyder, CFA |
0 |
$0 |
1 |
$109 million |
2 |
$489 million |
Raffaele Zingone, CFA |
0 |
$0 |
0 |
$0 |
3 |
$598 million |
Portfolio Manager |
Registered Investment
Companies1 |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
John C. Frey |
3 |
$1.43 billion |
11 |
$1.37 billion |
11 |
$337.6 million |
Fee Based Accounts2 (The number of accounts and the total assets in the accounts managed by each portfolio manager with
respect to which the advisory fee is based on the performance of the
account.) | ||||||
John C. Frey |
0 |
$0 |
8 |
$1.01 billion |
3 |
$178.8 million |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Todd Howard, CFA |
3 |
$220.02 million |
3 |
$932.79 million |
11 |
$1.09 billion |
Scott Moses, CFA |
2 |
$207.45 million |
3 |
$932.79 million |
7 |
$964.52 million |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Todd Howard, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Scott Moses, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Range of Securities Owned |
Fund |
Scott Moses, CFA |
$1 - $50,000 |
Transamerica Emerging Markets Debt |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts* | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Dennis P. Lynch |
23 |
$37.43 billion |
21 |
$22.86 billion |
17 |
$7.67 billion |
Sam G. Chainani, CFA |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
Jason C. Yeung, CFA |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
David S. Cohen |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
Armistead B. Nash |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
Alexander T. Norton |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Dennis P. Lynch |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Sam G. Chainani, CFA |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Jason C. Yeung, CFA |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
David S. Cohen |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Armistead B. Nash |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Alexander T. Norton |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts* | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Dennis P. Lynch |
23 |
$37.43 billion |
21 |
$22.86 billion |
17 |
$7.67 billion |
Sam G. Chainani, CFA |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
Jason C. Yeung, CFA |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
David S. Cohen |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
Armistead B. Nash |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
Alexander T. Norton |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Dennis P. Lynch |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Sam G. Chainani, CFA |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Jason C. Yeung, CFA |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
David S. Cohen |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Armistead B. Nash |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Alexander T. Norton |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Mark Kiesel |
23 |
$160.5 billion |
43 |
$64.2 billion |
103 |
$82.8 billion |
Scott Mather |
21 |
$114 billion |
19 |
$14.1 billion |
89 |
$45.4 billion |
Mohit Mittal |
29 |
$131 billion |
22 |
$38.4 billion |
145 |
$99.6 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Mark Kiesel |
0 |
$0 |
1 |
$175.7 million |
5 |
$2.56 billion |
Scott Mather |
0 |
$0 |
0 |
$0 |
7 |
$5.4 billion |
Mohit Mittal |
0 |
$0 |
2 |
$2.5 billion |
6 |
$1.53 billion |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Jason R. Ballsrud, CFA |
1 |
$472.6 million |
1 |
$3.1 million |
3 |
$222.3 million |
Tasso H. Coin, Jr., CFA |
1 |
$472.6 million |
1 |
$3.1 million |
3 |
$222.3 million |
Douglas G. Pugh, CFA |
1 |
$472.6 million |
1 |
$3.1 million |
3 |
$222.3 million |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Jason R. Ballsrud, CFA |
0 |
$0 |
0 |
$0 |
1 |
$293.2 million |
Tasso H. Coin, Jr., CFA |
0 |
$0 |
0 |
$0 |
1 |
$293.2 million |
Douglas G. Pugh, CFA |
0 |
$0 |
0 |
$0 |
1 |
$293.2 million |
Portfolio Manager |
Range of Securities Owned |
Fund |
Jason R. Ballsrud, CFA |
$500,000 - $1,000,000 |
Transamerica Small Cap Value |
Douglas G. Pugh, CFA |
$500,000 - $1,000,000 |
Transamerica Small Cap Value |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Robert A. Vanden Assem, CFA |
9 |
$3.07 billion |
14 |
$3.08 billion |
15 |
$4.96 billion |
Roberto Coronado |
6 |
$3.22 billion |
5 |
$1.01 billion |
3 |
$3.03 billion |
Gunter H. Seeger |
4 |
$1.96 billion |
0 |
$0 |
0 |
$0 |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Robert A. Vanden Assem, CFA |
0 |
$0 |
0 |
$0 |
3 |
$3.03 billion |
Roberto Coronado |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Gunter H. Seeger |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Peter Hu, CFA |
3 |
$2.12 billion |
12 |
$4.40 billion |
3 |
$1.32 billion |
Michael J. Kelly, CFA |
7 |
$4.14 billion |
17 |
$5.58 billion |
8 |
$2.46 billion |
Steven Oh, CFA |
1 |
$1.59 billion |
7 |
$7.07 billion |
14 |
$4.42 billion |
Robert A. Vanden Assem, CFA |
9 |
$3.07 billion |
14 |
$3.08 billion |
15 |
$4.96 billion |
Roberto Coronado |
6 |
$3.25 billion |
5 |
$1.01 billion |
3 |
$3.03 billion |
Gunter H. Seeger |
4 |
$1.96 billion |
0 |
$0 |
0 |
$0 |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Peter Hu, CFA |
0 |
$0 |
1 |
$315 million |
1 |
$350 million |
Michael J. Kelly, CFA |
0 |
$0 |
2 |
$317 million |
1 |
$350 million |
Steven Oh, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Robert A. Vanden Assem, CFA |
0 |
$0 |
0 |
$0 |
3 |
$849 million |
Roberto Coronado |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Gunter H. Seeger |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
W. Conrad Doenges |
5 |
$322.7 million |
4 |
$125.1 million |
23 |
$1.1 billion |
Andrew Hill |
5 |
$322.7 million |
4 |
$125.1 million |
23 |
$1.1 billion |
Joseph LaBate |
5 |
$322.7 million |
4 |
$125.1 million |
23 |
$1.1 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
W. Conrad Doenges |
0 |
$0 |
1 |
$58.8 million |
0 |
$0 |
Andrew Hill |
0 |
$0 |
1 |
$58.8 million |
0 |
$0 |
Joseph LaBate |
0 |
$0 |
1 |
$58.8 million |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
David P. Harris, CFA |
3 |
$699.8 million |
22 |
$2.93 billion |
222 |
$3.23 billion |
Michael Seo, CFA |
3 |
$699.8 million |
16 |
$2.23 billion |
198 |
$2.74 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
David P. Harris, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Michael Seo, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Paul Roukis, CFA |
4 |
$1.4 billion |
1 |
$19.2 million |
22 |
$1.1 billion |
Jeff Agne |
4 |
$1.4 billion |
1 |
$19.2 million |
35 |
$1.8 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Paul Roukis, CFA |
1 |
$115.8 million |
0 |
$0 |
0 |
$0 |
Jeff Agne |
1 |
$115.8 million |
0 |
$0 |
0 |
$0 |
Analyst Responsibilities |
Portfolio Manager
Responsibilities |
Other |
Objective |
Objective |
-Participation in business
development. |
-The relative performance of the stock recommendations.
|
-The portfolio’s performance relative to the respective benchmark as well as versus peers. |
-Participation in business development |
Analyst Responsibilities |
Portfolio Manager
Responsibilities |
Other |
Qualitative |
Qualitative |
-Collaboration with team
members. |
-Thoughtfulness in stock analysis. |
-Consideration of our rigorous risk controls. |
-Long-term potential contribution. |
-Adherence to our disciplined research process. |
|
|
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Kenneth Burgess, CFA |
1 |
$182 million |
0 |
$0 |
106 |
$1.45 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Kenneth Burgess, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Range of Securities Owned |
Fund |
Kenneth Burgess, CFA |
$100,001 - $500,000 |
Transamerica Small/Mid Cap Value |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Michael E. Brown, CFA* |
0 |
$0 |
2 |
$483.5 million |
0 |
$0 |
Alfred Li, CFA |
0 |
$0 |
2 |
$242 million |
0 |
$0 |
Jeff Tiefenbach, CFA |
0 |
$0 |
5 |
$663 million |
11 |
$5.6 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Michael E. Brown, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Alfred Li, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Jeff Tiefenbach, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Brandon H. Harrell, CFA |
5 |
$2.50 billion |
6 |
$1.42 billion |
13 |
$3.75 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Brandon H. Harrell, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Brandon H. Harrell, CFA |
5 |
$6.15 billion |
6 |
$1.42 billion |
13 |
$3.75 billion |
Stedman D. Oakey, CFA |
0 |
$0 |
2 |
$339.5 million |
2 |
$565.6 million |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Brandon H. Harrell, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Stedman D. Oakey, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
R. Michael Creager, CFA |
3 |
$766.6 million |
1 |
$73.1 million |
19 |
$1.32 billion |
Brett P. Hawkins, CFA |
4 |
$798.4 million |
3 |
$140.3 million |
35 |
$2.21 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
R. Michael Creager, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Brett P. Hawkins, CFA |
0 |
$0 |
0 |
$0 |
1 |
$11 million |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
William M. Bellamy, CFA |
1 |
$1.16 billion |
0 |
$0 |
23 |
$189.6 million |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
William M. Bellamy, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
R. Michael Creager, CFA |
2 |
$776.6 million |
1 |
$73.1 million |
19 |
$1.32 billion |
Brett P. Hawkins, CFA |
3 |
$1.31 billion |
3 |
$140.3 million |
33 |
$2.21 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
R. Michael Creager, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Brett P. Hawkins, CFA |
0 |
$0 |
0 |
$0 |
1 |
$11 million |
Portfolio Manager |
Range of Securities Owned |
Fund |
Brandon H. Harrell, CFA |
$500,001 – $1,000,000 |
Transamerica International Equity |
Brett P. Hawkins, CFA |
Over $1,000,000 |
Transamerica Mid Cap Value Opportunities |
William M. Bellamy, CFA |
$100,001 - $500,000 |
Transamerica Multi-Asset Income |
Brandon H. Harrell, CFA |
$100,001 - $500,000 |
Transamerica International Small Cap Value |
Stedman D. Oakey, CFA |
$500,001 – $1,000,000 |
Transamerica International Small Cap Value |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Mary L. Pryshlak, CFA |
11 |
$7.42 billion |
53 |
$18.72 billion |
90 |
$32.94 billion |
Jonathan G. White, CFA |
11 |
$7.42 billion |
53 |
$18.72 billion |
92 |
$33.03 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Mary L. Pryshlak, CFA |
2 |
$825.2 million |
10 |
$6.11 billion |
14 |
$5.93 billion |
Jonathan G. White, CFA |
2 |
$825.2 million |
10 |
$6.11 billion |
14 |
$5.93 billion |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Mammen Chally, CFA |
11 |
$19.08 billion |
11 |
$1.74 billion |
13 |
$1.53 billion |
Douglas McLane, CFA |
11 |
$19.08 billion |
23 |
$2.07 billion |
40 |
$1.69 billion |
David Siegle, CFA |
11 |
$19.08 billion |
10 |
$1.73 billion |
13 |
$1.53 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Mammen Chally, CFA |
0 |
$0 |
1 |
$6.31 million |
1 |
$316.9 million |
Douglas McLane, CFA |
0 |
$0 |
2 |
$193.9 million |
1 |
$316.9 million |
David Siegle, CFA |
0 |
$0 |
0 |
$0 |
1 |
$316.9 million |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Timothy N. Manning |
3 |
$538.5 million |
6 |
$214.03 million |
6 |
$960.2 million |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Timothy N. Manning |
1 |
$372.5 million |
1 |
$10.4 million |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Mammen Chally, CFA |
11 |
$19.08 billion |
11 |
$1.74 billion |
13 |
$1.53 billion |
Douglas McLane, CFA |
11 |
$19.08 billion |
23 |
$2.07 billion |
40 |
$1.69 billion |
David Siegle, CFA |
11 |
$19.08 billion |
10 |
$1.73 billion |
13 |
$1.53 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Mammen Chally, CFA |
0 |
$0 |
1 |
$6.31 million |
1 |
$316.9 million |
Douglas McLane, CFA |
0 |
$0 |
2 |
$193.9 million |
1 |
$316.9 million |
David Siegle, CFA |
0 |
$0 |
0 |
$0 |
1 |
$316.9 million |
Fund |
Benchmark Index and/or Peer Group
for Incentive Period |
Transamerica Large Growth |
Russell 1000® Growth Index |
Fund |
Benchmark Index and/or Peer Group
for Incentive Period |
Transamerica Mid Cap Growth |
Russell Midcap® Growth Index |
Transamerica US Growth |
Russell 1000® Growth Index |
Transamerica Emerging Markets Opportunities |
N/A |
Transamerica Bond | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$234,403.61
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$10,805.90
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$10,171.69 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$116,090.02
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$137,067.61
|
Net income from securities lending activities |
$97,336.00 |
Transamerica Capital Growth | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$1,407,403.16
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$65,332.20
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$42,172.51 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$713,315.45
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$820,820.16
|
Net income from securities lending activities |
$586,583.00 |
Transamerica Core Bond | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$149,500.25
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$7,530.37
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$12,201.61 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$61,977.27
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$81,709.25
|
Net income from securities lending activities |
$67,791.00 |
Transamerica Emerging Markets Debt |
|
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$116,130.05
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$2,946.93
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$4,114.56 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$82,436.56
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$89,498.05
|
Net income from securities lending activities |
$26,632.00 |
Transamerica Emerging Markets Opportunities | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$71,841.72
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$6,972.10
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$1,040.07 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$994.55
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$9,006.72
|
Net income from securities lending activities |
$62,835.00 |
Transamerica Energy Infrastructure |
|
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$49,474.62
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$2,299.84
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$1,242.77 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$25,171.01
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$28,713.62
|
Net income from securities lending activities |
$20,761.00 |
Transamerica Event Driven | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$14,220.50
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$325.39
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$368.63 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$10,585.48
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$11,279.50
|
Net income from securities lending activities |
$2,941.00 |
Transamerica Floating Rate | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$5,259.36
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$452.26
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$105.27 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$625.83
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$1,183.36
|
Net income from securities lending activities |
$4,076.00 |
Transamerica Global Equity | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$14,647.77
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$1,044.79
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$314.93 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$3,881.05
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$5,240.77
|
Net income from securities lending activities |
$9,407.00 |
Transamerica High Yield Bond | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$551,675.93
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$24,989.88
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$23,234.41 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$278,055.64
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$326,279.93
|
Net income from securities lending activities |
$225,396.00 |
Transamerica High Yield ESG | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$72.65
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$6.89
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$2.76 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$0.00
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$9.65
|
Net income from securities lending activities |
$63.00 |
Transamerica High Yield Muni | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$1,600.95
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$128.53
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$14.69 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$301.73
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$444.95
|
Net income from securities lending activities |
$1,156.00 |
Transamerica Inflation Opportunities |
|
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$22,830.25
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$1,041.25
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$934.21 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$11,463.79
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$13,439.25
|
Net income from securities lending activities |
$9,391.00 |
Transamerica Intermediate Bond | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$269,611.76
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$14,450.61
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$15,348.90 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$109,738.25
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$139,537.76
|
Net income from securities lending activities |
$130,074.00 |
Transamerica International Equity |
|
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$685,820.43
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$48,373.92
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$13,686.17 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$188,438.34
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$250,498.43
|
Net income from securities lending activities |
$435,322.00 |
Transamerica International Growth |
|
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$392,409.67
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$27,407.59
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$6,491.78 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$111,842.30
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$145,741.67
|
Net income from securities lending activities |
$246,668.00 |
Transamerica International Small Cap Value | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$126,691.18
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$9,355.82
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$3,635.68 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$29,361.68
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$42,353.18
|
Net income from securities lending activities |
$84,338.00 |
Transamerica International Stock | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$14,038.02
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$889.86
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$703.98 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$4,403.18
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$5,997.02
|
Net income from securities lending activities |
$8,041.00 |
Transamerica Large Cap Value | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$149,306.15
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$3,890.67
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$3,005.87 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$107,387.61
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$114,284.15
|
Net income from securities lending activities |
$35,022.00 |
Transamerica Large Growth | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$482,246.77
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$14,227.81
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$13,089.38 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$326,786.58
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$354,103.77
|
Net income from securities lending activities |
$128,143.00 |
Transamerica Mid Cap Growth | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$93,933.26
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$1,685.40
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$2,301.76 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$74,754.10
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$78,741.26
|
Net income from securities lending activities |
$15,192.00 |
Transamerica Mid Cap Value | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$16,078.76
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$304.00
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$373.79 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$12,632.97
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$13,310.76
|
Net income from securities lending activities |
$2,768.00 |
Transamerica Mid Cap Value Opportunities | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$27,067.92
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$2,200.06
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$455.27 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$4,586.59
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$7,241.92
|
Net income from securities lending activities |
$19,826.00 |
Transamerica Multi-Asset Income | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$101,072.93
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$5,539.45
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$2,158.80 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$43,430.68
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$51,128.93
|
Net income from securities lending activities |
$49,944.00 |
Transamerica Multi-Managed Balanced |
|
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$48,126.98
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$2,391.28
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$2,666.46 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$21,511.24
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$26,568.98
|
Net income from securities lending activities |
$21,558.00 |
Transamerica Short-Term Bond | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$116,572.04
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$3,635.11
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$6,342.01 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$73,826.92
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$83,804.04
|
Net income from securities lending activities |
$32,768.00 |
Transamerica Small Cap Growth | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$82,275.12
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$2,706.90
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$2,542.93 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$52,415.29
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$57,665.12
|
Net income from securities lending activities |
$24,610.00 |
Transamerica Small Cap Value | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$155,572.10
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$12,205.33
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$1,581.63 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$31,277.14
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$45,064.10
|
Net income from securities lending activities |
$110,508.00 |
Transamerica Small/Mid Cap Value | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$163,006.33
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$8,881.45
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$2,689.83 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$71,330.05
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$82,901.33
|
Net income from securities lending activities |
$80,105.00 |
Transamerica Sustainable Bond | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$309.67
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$12.43
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$64.69 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$114.55
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$191.67
|
Net income from securities lending activities |
$118.00 |
Transamerica Sustainable Equity Income |
|
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$3,033.45
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$293.09
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$87.36 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$0.00
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$380.45
|
Net income from securities lending activities |
$2,653.00 |
Transamerica Total Return | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$94,918.50
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$4,840.34
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$2,627.42 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$43,850.74
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$51,318.50
|
Net income from securities lending activities |
$43,600.00 |
Transamerica Unconstrained Bond | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$209,891.67
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$13,860.48
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$8,123.59 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$62,914.60
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$84,898.67
|
Net income from securities lending activities |
$124,993.00 |
Transamerica US Growth | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$32,787.91
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$2,672.51
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$201.90 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$5,857.50
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$8,731.91
|
Net income from securities lending activities |
$24,056.00 |
Fund |
Class R1 Ticker |
Class R3
Ticker |
Class R6 Ticker |
Transamerica ClearTrack® 2015 |
TCFTX |
TCTGX |
TDKTX |
Transamerica ClearTrack® 2020 |
TCHTX |
TCTJX |
TCSUX |
Transamerica ClearTrack® 2025 |
TDITX |
TCTKX |
TDOTX |
Transamerica ClearTrack® 2030 |
TDFTX |
TCTLX |
TDHTX |
Transamerica ClearTrack® 2035 |
TCETX |
TCTMX |
TCHDX |
Transamerica ClearTrack® 2040 |
TCRTX |
TCTQX |
TCKTX |
Transamerica ClearTrack® 2045 |
TCPTX |
TCTTX |
TCOTX |
Transamerica ClearTrack® 2050 |
TRNTX |
TCTUX |
TCMTX |
Transamerica ClearTrack® 2055 |
TCTOX |
TCTVX |
TCTSX |
Transamerica ClearTrack® 2060 |
TCSOX |
TCTYX |
TCSSX |
Transamerica ClearTrack® Retirement Income |
TCITX |
TCTZX |
TCJTX |
|
Page |
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4 | |
35 | |
36 | |
38 | |
38 | |
45 | |
45 | |
46 | |
47 | |
47 | |
47 | |
47 | |
52 | |
54 | |
55 | |
55 | |
55 | |
56 | |
56 | |
56 | |
58 | |
58 | |
58 | |
59 | |
60 | |
63 | |
68 | |
70 | |
71 | |
76 | |
A-1 | |
B-1 | |
C-1 |
Fund Name |
Fund Name History |
Transamerica ClearTrack® 2015 |
ClearTrack® 2015 was renamed Transamerica ClearTrack® 2015 on
March 1, 2019. |
Transamerica ClearTrack® 2020 |
ClearTrack® 2020 was renamed Transamerica ClearTrack® 2020 on March 1,
2019. |
Transamerica ClearTrack® 2025 |
ClearTrack® 2025 was renamed Transamerica ClearTrack® 2025 on
March 1, 2019. |
Transamerica ClearTrack® 2030 |
ClearTrack® 2030 was renamed Transamerica ClearTrack® 2030 on March 1,
2019. |
Transamerica ClearTrack® 2035 |
ClearTrack® 2035 was renamed Transamerica ClearTrack® 2035 on
March 1, 2019. |
Transamerica ClearTrack® 2040 |
ClearTrack® 2040 was renamed Transamerica ClearTrack® 2040 on March 1,
2019. |
Transamerica ClearTrack® 2045 |
ClearTrack® 2045 was renamed Transamerica ClearTrack® 2045 on
March 1, 2019. |
Transamerica ClearTrack® 2050 |
ClearTrack® 2050 was renamed Transamerica ClearTrack® 2050 on March 1,
2019. |
Transamerica ClearTrack® 2055 |
ClearTrack® 2055 was renamed Transamerica ClearTrack® 2055 on
March 1, 2019. |
Transamerica ClearTrack® 2060 |
ClearTrack® 2060 was renamed Transamerica ClearTrack® 2060 on March 1,
2019. |
Transamerica ClearTrack® Retirement Income |
ClearTrack® Retirement Income was renamed Transamerica
ClearTrack® Retirement Income on March 1,
2019. |
Recipient |
Purpose |
Frequency |
Bloomberg LP |
Statistical ranking, rating, and/or performance attribution analysis |
Daily |
Broadridge |
Print vendor for shareholder documents, proxy solicitor/tabulator, 15(c) analysis |
Daily |
CAPIS |
Trade execution analysis |
Daily |
eVestment Alliance, LLC |
Institutional sales and RFP opportunities |
Quarterly |
FactSet |
Statistical ranking, rating, and/or performance attribution analysis |
Daily |
FXTransparency |
Trade execution analysis |
Daily |
Glass Lewis & Co. |
Proxy voting services |
Quarterly |
Globe Tax Services, Inc. |
ECJ foreign tax reclaim services |
As necessary |
Grant Thornton Pakistan |
Provide tax services for market in Pakistan |
As necessary |
IDC |
Pricing |
As necessary |
Investment Company Institute |
Holdings Information on Form N-PORT |
Quarterly |
KPMG Taiwan |
Provide tax services for market in Taiwan |
As necessary |
Lipper, Inc. |
Statistical ranking, rating, and/or performance attribution analysis |
Quarterly |
Markit North America |
Pricing |
As necessary |
Morningstar LLC |
Statistical ranking, rating, and/or performance attribution analysis |
Daily |
PricewaterhouseCoopers Private Limited |
Provide tax services for market in India |
As necessary |
Refinitiv US LLC |
Pricing |
As necessary |
R.R. Donnelly |
Financial reporting |
Monthly |
Schwab CT |
Code of Ethics monitoring |
Daily |
truView |
Risk and liquidity management analytics |
Daily |
Name and Age |
Position(s)
Held with
Trust |
Term of
Office and
Length
of Time
Served* |
Principal Occupation(s)
During Past Five Years |
Number of
Funds in
Complex
Overseen
by Board
Member |
Other
Directorships Held
By Board Member
|
INTERESTED BOARD MEMBERS | |||||
Marijn P. Smit
(47) |
Chairman of the Board,
President and
Chief Executive
Officer |
Since 2014 |
Chairman of the Board, President and Chief Executive Officer, TF, TST and TAAVF (2014 – present);
Chairman of the Board, President and Chief
Executive Officer, TET (2017 – present);
Chairman of the Board, President and Chief
Executive Officer, Transamerica Partners
Portfolio (“TPP”), Transamerica Partners
Funds Group (“TPFG”) and Transamerica
Partners Funds Group II (“TPFG II”) (2014
– 2018); Director, Chairman of the Board, President and Chief Executive Officer, Transamerica Asset Management, Inc. (“TAM”) and Transamerica Fund Services, Inc. (“TFS”) (2014 – present);
Senior Vice President, Transamerica
Retirement Solutions LLC (2012 - present);
Trust Officer, Massachusetts Fidelity Trust
Company (2014 - 2021); President, Investment Solutions, Transamerica Investments & Retirement (2014 – 2016);
Vice President, Transamerica Life Insurance
Company (2010 – 2016); Vice President, Transamerica Premier Life Insurance Company (2010 – 2016);
Senior Vice President, Transamerica
Financial Life Insurance Company (2013 –
2016); Senior Vice President, Transamerica Retirement Advisors, Inc. (2013 – 2016) and President and Director, Transamerica Stable Value Solutions, Inc. (2010 – 2016). |
120 |
Director, Massachusetts Fidelity Trust Company (2014 - 2021);
Director, Aegon Global
Funds (2016 - present) |
Alan F. Warrick (72) |
Board Member |
Since 2012 |
Board Member, TF, TST and TAAVF (2012
– present);
Board Member, TPP, TPFG and TPFG II
(2012 – 2018); Senior Advisor, Lovell Minnick Equity Partners (2010 – present); and Retired (2010). |
115 |
N/A |
INDEPENDENT BOARD MEMBERS | |||||
Sandra N. Bane
(69) |
Board Member |
Since 2008 |
Retired (1999 – present);
Board Member, TF, TST and TAAVF (2008
– present);
Board Member, TPP, TPFG and TPFG II
(2008 – 2018); and
Partner, KPMG (1975 – 1999). |
115 |
Big 5 Sporting Goods
(2002 – present); Southern Company Gas (energy services holding company) (2008 – present) |
Leo J. Hill
(65) |
Lead Independent Board Member |
Since 2002 |
Principal, Advisor Network Solutions, LLC (business consulting) (2006 – present); Board Member, TST (2001 – present); Board Member, TF (2002 – present); Board Member, TAAVF (2007 – present); Board Member, TPP, TPFG and TPFG II (2007 – 2018);
Market President, Nations Bank of Sun
Coast Florida (1998 – 1999);
Chairman, President and Chief Executive
Officer, Barnett Banks of Treasure Coast
Florida (1994 – 1998); |
115 |
Ameris Bancorp (2013 – present); Ameris Bank (2013 – present) |
Name and Age |
Position(s)
Held with
Trust |
Term of
Office and
Length
of Time
Served* |
Principal Occupation(s)
During Past Five Years |
Number of
Funds in
Complex
Overseen
by Board
Member |
Other
Directorships Held
By Board Member
|
INDEPENDENT BOARD MEMBERS—continued | |||||
Leo J. Hill
(continued) |
|
|
Executive Vice President and Senior Credit Officer, Barnett Banks of Jacksonville, Florida (1991 – 1994); and Senior Vice President and Senior Loan Administration Officer, Wachovia Bank of Georgia (1976 – 1991). |
|
|
David W. Jennings
(74) |
Board Member |
Since 2009 |
Board Member, TF, TST and TAAVF (2009
– present);
Board Member, TPP, TPFG and TPFG II
(2009 – 2018); Managing Director, Hilton Capital Management, LLC (2010 – present). |
115 |
N/A |
Fredric A. Nelson III
(64) |
Board Member |
Since 2017 |
Board Member, TF, TST and TAAVF (2017 – present); Board Member, TPP, TPFG and TPFG II (2017 – 2018);
Chief Investment Officer (“CIO”),
Commonfund (2011 – 2015);
Vice Chairman, CIO, ING Investment
Management Americas (2003 – 2009);
Managing Director, Head of U.S. Equity, JP
Morgan Investment Management (1994 –
2003);
and Managing Director, Head of Global
Quantitative Investments Group, Bankers
Trust Global Investment Management (1981
– 1994). |
115 |
N/A |
John E. Pelletier
(57) |
Board Member |
Since 2017 |
Board Member, TF, TST and TAAVF (2017
– present);
Board Member, TPP, TPFG and TPFG II
(2017 – 2018); Director, Center for Financial Literacy, Champlain College (2010 – present);
Co-Chair, Vermont Financial Literacy
Commission with Vermont State Treasurer
(2015 – 2018);
Chairman, Vermont Universal Children’s
Higher Education Savings Account Program
Advisory Committee (2015 – 2021);
Founder and Principal, Sterling Valley
Consulting LLC (a financial services
consulting firm) (2009 – 2017);
Independent Director, The Sentinel Funds
and Sentinel Variable Products Trust (2013 –
2017);
Chief Legal Officer, Eaton Vance Corp.
(2007 – 2008);
and Executive Vice President and Chief
Operating Officer (2004 - 2007), General
Counsel (1997 – 2004), Natixis Global
Associates. |
115 |
N/A |
Patricia L. Sawyer
(71) |
Board Member |
Since 2007 |
Retired (2007 – present); President/Founder, Smith & Sawyer LLC (management consulting) (1989 – 2007); Board Member, TF and TST (2007 – present); Board Member, TAAVF (1993 – present); Board Member, TPP, TPFG and TPFG II (1993 – 2018);
and Trustee, Chair of Finance Committee
and Chair of Nominating Committee (1987 |
115 |
Honorary Trustee, Bryant University (1996 – present) |
Name and Age |
Position(s)
Held with
Trust |
Term of
Office and
Length
of Time
Served* |
Principal Occupation(s)
During Past Five Years |
Number of
Funds in
Complex
Overseen
by Board
Member |
Other
Directorships Held
By Board Member
|
INDEPENDENT BOARD MEMBERS—continued | |||||
Patricia L. Sawyer
(continued) |
|
|
– 1996), Bryant University. |
|
|
John W. Waechter
(69) |
Board Member |
Since 2005 |
Partner, Englander Fischer (2016 – present)
(law firm);
Attorney, Englander Fischer (2008 – 2015);
Retired (2004 – 2008);
Board Member, TST (2004 – present);
Board Member, TF (2005 – present);
Board Member, TAAVF (2007 – present);
Board Member, TPP, TPFG and TPFG II
(2007 – 2018); Employee, RBC Dain Rauscher (securities dealer) (2004); Executive Vice President, Chief Financial Officer and Chief Compliance Officer, William R. Hough & Co. (securities dealer) (1979 – 2004); and Treasurer, The Hough Group of Funds (1993 – 2004) (fund accounting). |
115 |
Board Member,
Operation PAR, Inc.
(non-profit organization)
(2008 – present); Board Member, Boley PAR, Inc. (non-profit organization) (2016 - present)
Board Member,
Remember Honor
Support, Inc. (non-profit
organization)
(2013 - 2020);
Board Member, WRH
Income Properties, Inc.
(real estate) (2014 -
present) |
Name and Age |
Position |
Term of Office
and Length of
Time Served* |
Principal Occupation(s) or Employment
During Past Five Years |
Marijn P. Smit
(47) |
Chairman of the Board, President
and Chief Executive Officer |
Since 2014 |
See Interested Board Members Table Above. |
Christopher A. Staples, CFA
(50) |
Vice President and Chief Investment Officer, Advisory Services |
Since 2005 |
Vice President and Chief Investment Officer, Advisory Services, TF and TST (2007 – present);
Vice President and Chief Investment Officer, TET (2017 –
present);
Vice President and Chief Investment Officer, Advisory Services,
TAAVF (2007 – present);
Vice President and Chief Investment Officer, Advisory Services,
TPP, TPFG and TPFG II (2007 – 2018); Director (2005 – 2019), Senior Vice President (2006 – present),
Senior Director, Investments (2016 – present), Chief Investment
Officer, Advisory Services (2012 – 2016) and Lead
Portfolio Manager (2007 – present), TAM;
Director, TFS (2005 – 2019);
Trust Officer, Massachusetts Fidelity Trust Company (2010 -
present);
Registered Representative (2007 – 2016), Transamerica Capital,
Inc. (“TCI”);
and Registered Representative, TFA (2005 – present).
|
Thomas R. Wald, CFA
(60) |
Vice President and Chief
Investment Officer |
Since 2014 |
Chief Investment Officer, TF, TST and TAAVF (2014 – present);
TET (2017 – present);
Chief Investment Officer, TPP, TPFG and TPFG II (2014 –
2018); Director (2017 – 2020), Akaan Transamerica, S.A. de C.V., Sociedad Operadora de Fondos de Inversión;
Chief Investment Officer, Transamerica Investments & Retirement
(2014 – 2020); Senior Vice President and Chief Investment Officer, TAM (2014 –
present);
Director, TFS (2019 - present); and |
Name and Age |
Position |
Term of Office
and Length of
Time Served* |
Principal Occupation(s) or Employment
During Past Five Years |
Thomas R. Wald, CFA
(continued) |
|
|
Trust Officer, Massachusetts Fidelity Trust Company (2015 -
present). |
Vincent J. Toner
(51) |
Vice President and Treasurer |
Since 2014 |
Vice President and Treasurer, TF, TST and TAAVF (2014 – present), Vice President and Treasurer (2017 – present), Vice
President, Principal Financial Officer and Treasurer (2020 –
present), TET;
Vice President and Treasurer, TPP, TPFG and TPFG II (2014 –
2018); Vice President (2016 – present), Treasurer (2016 – 2019), Vice
President, Administration and Treasurer (2014 – 2016),
TAM; Vice President, Administration and Treasurer (2014
– 2019), Senior Vice President (2019 – present),
TFS; Vice President (2016 – present), TCI;
and Trust Officer (2015 – present), Massachusetts Fidelity Trust
Company. |
Francine J. Rosenberger
(53) |
Chief Compliance Officer |
Since 2019 |
Chief Compliance Officer, TF, TST, TET and TAAVF (2019 –
present);
Derivatives Risk Manager, TF, TST and TAAVF (2021 –
present); Chief Compliance Officer (2019 – present),
TAM; and General Counsel, Corporate Secretary and Fund Chief Compliance Officer, Steben & Company, Inc. (2013 – 2019).
|
Molly Possehl
(43) |
Anti-Money Laundering Officer |
Since 2019 |
Anti-Money Laundering Officer, TF, TST, TET and TAAVF (2019 – present); Assistant General Counsel, Transamerica Life Insurance Company/Aegon USA (2013 – present); and Anti-Money Laundering Compliance Officer and Fraud Officer, Transamerica Life Insurance Company/Aegon USA (2015 – present). |
Erin D. Nelson
(44) |
Chief Legal Officer and
Secretary |
Since 2019 |
Chief Legal Officer and Secretary, TF, TST, TET and TAAVF
(2019 – present);
Assistant General Counsel II and Assistant Secretary, TAM (2019 –
present);
Assistant Secretary (2019 – present), TFS;
and Senior Vice President and Chief Compliance Officer, ALPS
Advisors, Inc. (2015 – 2019). |
Kathryn L. Petty
(44) |
Assistant Treasurer |
Since 2021 |
Assistant Treasurer, TF, TST and TAAVF (2021 – present); and Senior Manager, Fund Administration, TAM (2014 – 2021).
|
Timothy Bresnahan
(52) |
Assistant Secretary |
Since 2020 |
Assistant Secretary, TF, TST and TAAVF (2020 – present); Assistant Secretary (2019 – present), Secretary (2019), TET; and Senior Counsel, TAM (2008 – present). |
Transamerica Fund Family | |
Trustee |
Aggregate Dollar
Range of Equity
Securities |
Interested Trustees |
|
Marijn P. Smit |
Over $100,000 |
Alan F. Warrick |
None |
Independent Trustees |
|
Sandra N. Bane |
None |
Leo J. Hill |
Over $100,000 |
David W. Jennings |
None |
Fredric A. Nelson III |
$50,001 - $100,000 |
John E. Pelletier |
Over $100,000 |
Patricia L. Sawyer |
Over $100,000 |
John W. Waechter |
Over $100,000 |
Name of Person, Position |
Aggregate
Compensation from
the Trust |
Pension or Retirement
Benefits Accrued as
Part of Funds
Expenses(a) |
Estimated Annual
Benefits Upon
Retirement(a) |
Total Compensation
from the Transamerica
Fund Family
(including the Trust)(b) |
Sandra N. Bane, Trustee |
$122,938 |
N/A |
N/A |
$331,000 |
Leo J. Hill, Trustee |
$145,739 |
N/A |
N/A |
$392,400 |
David W. Jennings, Trustee |
$122,938 |
N/A |
N/A |
$331,000 |
Fredric A. Nelson III, Trustee |
$122,938 |
N/A |
N/A |
$331,000 |
John E. Pelletier, Trustee |
$122,938 |
N/A |
N/A |
$331,000 |
Patricia L. Sawyer, Trustee |
$128,360 |
N/A |
N/A |
$345,600 |
John W. Waechter, Trustee |
$132,183 |
N/A |
N/A |
$355,900 |
Fund Name |
Percentage of Average Daily Net Assets |
Transamerica ClearTrack 2015 |
0.38% of the first $2.5 billion
0.37% over $2.5 billion up to $4 billion
0.36% in excess of $4 billion |
Transamerica ClearTrack 2020 |
0.38% of the first $2.5 billion 0.37% over $2.5 billion up to $4 billion 0.36% in excess of $4 billion |
Transamerica ClearTrack 2025 |
0.38% of the first $2.5 billion
0.37% over $2.5 billion up to $4 billion
0.36% in excess of $4 billion |
Transamerica ClearTrack 2030 |
0.38% of the first $2.5 billion 0.37% over $2.5 billion up to $4 billion 0.36% in excess of $4 billion |
Transamerica ClearTrack 2035 |
0.38% of the first $2.5 billion
0.37% over $2.5 billion up to $4 billion
0.36% in excess of $4 billion |
Transamerica ClearTrack 2040 |
0.38% of the first $2.5 billion 0.37% over $2.5 billion up to $4 billion 0.36% in excess of $4 billion |
Transamerica ClearTrack 2045 |
0.38% of the first $2.5 billion
0.37% over $2.5 billion up to $4 billion
0.36% in excess of $4 billion |
Transamerica ClearTrack 2050 |
0.38% of the first $2.5 billion 0.37% over $2.5 billion up to $4 billion 0.36% in excess of $4 billion |
Transamerica ClearTrack 2055 |
0.38% of the first $2.5 billion
0.37% over $2.5 billion up to $4 billion
0.36% in excess of $4 billion |
Transamerica ClearTrack 2060 |
0.38% of the first $2.5 billion 0.37% over $2.5 billion up to $4 billion 0.36% in excess of $4 billion |
Transamerica ClearTrack Retirement Income |
0.38% of the first $2.5 billion
0.37% over $2.5 billion up to $4 billion
0.36% in excess of $4 billion |
Fund Name |
Management Fees (after waivers/expense reimbursements and
recapture) |
Management Fees Waived/Expenses Reimbursed | ||||
|
2020 |
2019 |
2018 |
2020 |
2019 |
2018 |
Transamerica ClearTrack 2015 |
$91,788 |
$94,180 |
$145,934 |
$63,117 |
$76,714 |
$50,423 |
Transamerica ClearTrack 2020 |
$122,811
|
$169,582
|
$245,284
|
$75,208
|
$70,864
|
$44,893
|
Transamerica ClearTrack 2025 |
$231,897
|
$259,265
|
$319,322 |
$57,957 |
$50,500 |
$29,839 |
Transamerica ClearTrack 2030 |
$189,651
|
$188,813
|
$235,110
|
$46,412
|
$55,023
|
$37,918
|
Transamerica ClearTrack 2035 |
$195,593
|
$193,290
|
$237,829 |
$43,324 |
$54,788 |
$37,686 |
Transamerica ClearTrack 2040 |
$165,916
|
$161,665
|
$200,765
|
$47,060
|
$57,073
|
$38,980
|
Transamerica ClearTrack 2045 |
$84,806 |
$82,353 |
$116,385 |
$57,243 |
$68,818 |
$41,106 |
Transamerica ClearTrack 2050 |
$58,975
|
$46,990
|
$76,524
|
$59,235
|
$75,329
|
$47,408
|
Transamerica ClearTrack 2055 |
$(63,398) |
$(74,341)
|
$(56,537)
|
$76,396 |
$94,570 |
$89,773 |
Transamerica ClearTrack 2060 |
$(63,378)
|
$(74,370) |
$(56,539) |
$76,344
|
$94,583
|
$89,772
|
Transamerica ClearTrack Retirement Income |
$203,009
|
$214,619
|
$307,873 |
$49,919 |
$61,545 |
$45,698 |
|
Management Fees Recaptured | ||
Fund Name |
2020 |
2019 |
2018 |
Transamerica ClearTrack 2015 |
$19,131 |
$19,885 |
$16,267 |
Transamerica ClearTrack 2020 |
$28,124
|
$22,802
|
$22,349
|
Transamerica ClearTrack 2025 |
$35,041 |
$28,110 |
$23,819 |
Transamerica ClearTrack 2030 |
$23,295
|
$25,712
|
$19,651
|
Transamerica ClearTrack 2035 |
$21,394 |
$26,515 |
$19,690 |
Transamerica ClearTrack 2040 |
$19,745
|
$22,858
|
$16,703
|
Transamerica ClearTrack 2045 |
$15,559 |
$19,999 |
$11,591 |
Transamerica ClearTrack 2050 |
$15,004
|
$20,005
|
$10,500
|
Transamerica ClearTrack 2055 |
$10,505 |
$18,040 |
$31,133 |
Transamerica ClearTrack 2060 |
$10,564
|
$18,049
|
$31,132
|
Transamerica ClearTrack Retirement Income |
$19,530 |
$18,357 |
$26,175 |
Fund Name |
Expense Cap1 |
Expiration Date of Expense Cap |
Transamerica ClearTrack 2015 |
Class R1 - 1.20%
Class R3 - 0.95%
Class R6 - 0.55% |
March 1, 2022 |
Transamerica ClearTrack 2020 |
Class R1 - 1.20% Class R3 - 0.95% Class R6 - 0.55% |
March 1, 2022 |
Transamerica ClearTrack 2025 |
Class R1 - 1.20%
Class R3 - 0.95%
Class R6 - 0.55% |
March 1, 2022 |
Transamerica ClearTrack 2030 |
Class R1 - 1.20% Class R3 - 0.95% Class R6 - 0.55% |
March 1, 2022 |
Transamerica ClearTrack 2035 |
Class R1 - 1.20%
Class R3 - 0.95%
Class R6 - 0.55% |
March 1, 2022 |
Transamerica ClearTrack 2040 |
Class R1 - 1.20% Class R3 - 0.95% Class R6 - 0.55% |
March 1, 2022 |
Transamerica ClearTrack 2045 |
Class R1 - 1.20%
Class R3 - 0.95%
Class R6 - 0.55% |
March 1, 2022 |
Transamerica ClearTrack 2050 |
Class R1 - 1.20% Class R3 - 0.95% Class R6 - 0.55% |
March 1, 2022 |
Transamerica ClearTrack 2055 |
Class R1 - 1.20%
Class R3 - 0.95%
Class R6 - 0.55% |
March 1, 2022 |
Transamerica ClearTrack 2060 |
Class R1 - 1.20% Class R3 - 0.95% Class R6 - 0.55% |
March 1, 2022 |
Transamerica ClearTrack Retirement Income |
Class R1 - 1.20%
Class R3 - 0.95%
Class R6 - 0.55% |
March 1, 2022 |
0.05% of the first $2.5 billion |
0.04% in excess of $2.5 billion |
Fund Name |
Sub-Advisory Fees Paid
(Net of Fees Reimbursed) | ||
2020 |
2019 |
2018 | |
Transamerica ClearTrack 2015 |
$17,827 |
$19,870 |
$23,696 |
Transamerica ClearTrack 2020 |
$22,315
|
$28,637
|
$35,241
|
Transamerica ClearTrack 2025 |
$33,465 |
$37,060 |
$42,808 |
Transamerica ClearTrack 2030 |
$27,934
|
$28,701
|
$33,339
|
Transamerica ClearTrack 2035 |
$28,557 |
$29,153 |
$33,661 |
Transamerica ClearTrack 2040 |
$25,367
|
$25,774
|
$29,348
|
Transamerica ClearTrack 2045 |
$16,606 |
$17,259 |
$19,198 |
Transamerica ClearTrack 2050 |
$13,548
|
$13,462
|
$14,925
|
Transamerica ClearTrack 2055 |
$327 |
$288 |
$277 |
Transamerica ClearTrack 2060 |
$315
|
$285
|
$276
|
Transamerica ClearTrack Retirement Income |
$30,645 |
$33,922 |
$43,078 |
Class R6* |
|
Asset Fee to TFS |
0.75 bps |
Class R1 and Class R3* |
|
Asset Fee to TFS |
0.75 bps |
Sub-Transfer Agent and Omnibus Intermediary Fees |
up to 15 bps |
Fund Name |
Commissions Received
for the Period Ended
October 31 |
Commissions Retained
for the Period Ended
October 31 | ||||
2020 |
2019 |
2018 |
2020 |
2019 |
2018 | |
Transamerica ClearTrack 2015 |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica ClearTrack 2020 |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica ClearTrack 2025 |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica ClearTrack 2030 |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica ClearTrack 2035 |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica ClearTrack 2040 |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica ClearTrack 2045 |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica ClearTrack 2050 |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica ClearTrack 2055 |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica ClearTrack 2060 |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica ClearTrack Retirement Income |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Fund Name |
For the Period Ended October 31, 2020 | |||
Net
Underwriting
Discounts and
Commissions |
Compensation
on Redemptions
& Repurchases |
Brokerage
Commissions |
Other
Compensation | |
Transamerica ClearTrack 2015 |
N/A |
N/A |
N/A |
$176,163
|
Transamerica ClearTrack 2020 |
N/A |
N/A |
N/A |
$221,124
|
Transamerica ClearTrack 2025 |
N/A |
N/A |
N/A |
$327,409
|
Transamerica ClearTrack 2030 |
N/A |
N/A |
N/A |
$277,132
|
Transamerica ClearTrack 2035 |
N/A |
N/A |
N/A |
$282,748
|
Fund Name |
For the Period Ended October 31, 2020 | |||
Net
Underwriting
Discounts and
Commissions |
Compensation
on Redemptions
& Repurchases |
Brokerage
Commissions |
Other
Compensation | |
Transamerica ClearTrack 2040 |
N/A |
N/A |
N/A |
$249,569
|
Transamerica ClearTrack 2045 |
N/A |
N/A |
N/A |
$164,074
|
Transamerica ClearTrack 2050 |
N/A |
N/A |
N/A |
$133,119
|
Transamerica ClearTrack 2055 |
N/A |
N/A |
N/A |
$1,519
|
Transamerica ClearTrack 2060 |
N/A |
N/A |
N/A |
$1,520 |
Transamerica ClearTrack Retirement Income |
N/A |
N/A |
N/A |
$303,999
|
Fund Name |
Brokerage Commissions Paid (including affiliated commissions) |
Affiliated Brokerage Commissions Paid | ||||||||||
2020($) |
2020(%)^ |
2019($) |
2019(%)^ |
2018($) |
2018(%)^ |
2020($) |
2020(%)* |
2019($) |
2019(%)* |
2018($) |
2018(%)* | |
Transamerica ClearTrack 2015 |
$1,863 |
0.02% |
$5,924 |
0.04% |
$5,247 |
0.03% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica ClearTrack 2020 |
$11,864
|
0.10% |
$10,418
|
0.08% |
$8,201
|
0.05% |
$0.00
|
0.00% |
$0.00 |
0.00% |
$0.00
|
0.00% |
Transamerica ClearTrack 2025 |
$19,559 |
0.17% |
$5,533 |
0.04% |
$9,025 |
0.06% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica ClearTrack 2030 |
$2,930
|
0.03% |
$3,816
|
0.03% |
$7,018
|
0.05% |
$0.00
|
0.00% |
$0.00 |
0.00% |
$0.00
|
0.00% |
Transamerica ClearTrack 2035 |
$2,699 |
0.02% |
$3,252 |
0.02% |
$6,760 |
0.04% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica ClearTrack 2040 |
$2,262
|
0.02% |
$3,295
|
0.02% |
$4,935
|
0.03% |
$0.00
|
0.00% |
$0.00 |
0.00% |
$0.00
|
0.00% |
Transamerica ClearTrack 2045 |
$1,290 |
0.01% |
$2,345 |
0.02% |
$2,368 |
0.02% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica ClearTrack 2050 |
$761 |
0.01% |
$1,659
|
0.01% |
$1,634
|
0.01% |
$0.00
|
0.00% |
$0.00 |
0.00% |
$0.00
|
0.00% |
Transamerica ClearTrack 2055 |
$33 |
0.00% |
$60 |
0.00% |
$70 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica ClearTrack 2060 |
$25 |
0.00% |
$57 |
0.00% |
$69
|
0.00% |
$0.00
|
0.00% |
$0.00 |
0.00% |
$0.00
|
0.00% |
Transamerica ClearTrack Retirement Income |
$2,909 |
0.03% |
$5,639 |
0.04% |
$10,717 |
0.07% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica ClearTrack® 2015
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2015 |
R1 |
90.45% |
Transamerica ClearTrack® 2015
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2015 |
R1 |
9.55% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2015 |
R3 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2015 |
R6 |
61.67% |
Transamerica ClearTrack® 2015
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2015 |
R6 |
38.10% |
Transamerica ClearTrack® 2020
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2020 |
R1 |
90.92% |
Transamerica ClearTrack® 2020
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2020 |
R1 |
9.08% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2020 |
R3 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2020 |
R6 |
54.01% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica ClearTrack® 2020
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2020 |
R6 |
34.59% |
Transamerica ClearTrack® 2020
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2020 |
R6 |
11.40% |
Transamerica ClearTrack® 2025
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2025 |
R1 |
91.82% |
Transamerica ClearTrack® 2025
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2025 |
R1 |
8.18% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2025 |
R3 |
100.00% |
Transamerica ClearTrack® 2025
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2025 |
R6 |
41.49% |
Transamerica ClearTrack® 2025
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2025 |
R6 |
35.43% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2025 |
R6 |
23.07% |
Transamerica ClearTrack® 2030
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2030 |
R1 |
88.26% |
Transamerica ClearTrack® 2030
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2030 |
R1 |
11.74% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2030 |
R3 |
100.00% |
Transamerica ClearTrack® 2030
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2030 |
R6 |
49.91% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2030 |
R6 |
40.37% |
Transamerica ClearTrack® 2030
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2030 |
R6 |
9.72% |
Transamerica ClearTrack® 2035
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2035 |
R1 |
88.99% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica ClearTrack® 2035
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2035 |
R1 |
11.01% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2035 |
R3 |
100.00% |
Transamerica ClearTrack® 2035
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2035 |
R6 |
49.79% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2035 |
R6 |
42.94% |
Transamerica ClearTrack® 2035
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2035 |
R6 |
7.28% |
Transamerica ClearTrack® 2040
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2040 |
R1 |
88.74% |
Transamerica ClearTrack® 2040
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2040 |
R1 |
11.26% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2040 |
R3 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2040 |
R6 |
57.46% |
Transamerica ClearTrack® 2040
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2040 |
R6 |
38.10% |
Transamerica ClearTrack® 2045
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2045 |
R1 |
89.17% |
Transamerica ClearTrack® 2045
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2045 |
R1 |
10.83% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2045 |
R3 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2045 |
R6 |
67.46% |
Transamerica ClearTrack® 2045
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2045 |
R6 |
28.22% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica ClearTrack® 2050
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2050 |
R1 |
92.97% |
Transamerica ClearTrack® 2050
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2050 |
R1 |
7.03% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2050 |
R3 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2050 |
R6 |
58.02% |
Transamerica ClearTrack® 2050
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2050 |
R6 |
27.37% |
Transamerica ClearTrack® 2050
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2050 |
R6 |
14.61% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2055 |
R1 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2055 |
R3 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2055 |
R6 |
76.64% |
Transamerica ClearTrack® 2055
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2055 |
R6 |
14.90% |
Transamerica ClearTrack® 2055
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2055 |
R6 |
8.46% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2060 |
R1 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2060 |
R3 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2060 |
R6 |
86.74% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica ClearTrack® 2060
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2060 |
R6 |
10.49% |
Transamerica ClearTrack® Retirement Income
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® Retirement Income |
R1 |
92.70% |
Transamerica ClearTrack® Retirement Income
Reliance Trust Company
FBO Transamerica Retirement Plans
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® Retirement Income |
R1 |
7.30% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® Retirement Income |
R3 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® Retirement Income |
R6 |
66.94% |
Transamerica ClearTrack® Retirement Income
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® Retirement Income |
R6 |
30.74% |
Name & Address |
Fund Name |
Percentage of Fund
Owned |
Transamerica ClearTrack® 2015
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2015 |
88.88% |
Transamerica ClearTrack® 2020
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2020 |
89.46% |
Transamerica ClearTrack® 2025
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2025 |
89.62% |
Transamerica ClearTrack® 2030
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2030 |
86.82% |
Transamerica ClearTrack® 2035
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2035 |
87.62% |
Transamerica ClearTrack® 2040
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2040 |
87.52% |
Transamerica ClearTrack® 2045
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2045 |
87.58% |
Transamerica ClearTrack® 2050
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® 2050 |
90.67% |
Name & Address |
Fund Name |
Percentage of Fund
Owned |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2055 |
43.22% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2055 |
42.07% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2060 |
46.27% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica ClearTrack® 2060 |
45.01% |
Transamerica ClearTrack® Retirement Income
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica ClearTrack® Retirement Income |
91.85% |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts |
| |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed |
| |
Laura Green, CFA* |
0 |
$0 |
8 |
$304 million |
21 |
$433 million |
|
Jacqueline Kenney, CFA* |
13 |
$2.41 billion |
7 |
$497 million |
6 |
$222 million |
|
Thomas Picciochi |
35 |
$8.31 billion |
32 |
$5.08 billion |
36 |
$675 million |
|
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | |||||||
Laura Green, CFA* |
0 |
$0 |
0 |
$0 |
1 |
$49 million |
|
Jacqueline Kenney, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
|
Thomas Picciochi |
0 |
$0 |
0 |
$0 |
1 |
$45 million |
|
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts |
| |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed |
| |
Laura Green, CFA* |
0 |
$0 |
8 |
$304 million |
21 |
$433 million |
|
Jacqueline Kenney, CFA* |
13 |
$2.41 billion |
7 |
$497 million |
6 |
$222 million |
|
Thomas Picciochi |
35 |
$8.31 billion |
32 |
$5.08 billion |
36 |
$675 million |
|
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | |||||||
Laura Green, CFA* |
|
$0 |
0 |
$0 |
1 |
$49 million |
|
Jacqueline Kenney, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
|
Thomas Picciochi |
0 |
$0 |
0 |
$0 |
1 |
$45 million |
|
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts |
| |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed |
| |
Laura Green, CFA* |
0 |
$0 |
8 |
$304 million |
21 |
$433 million |
|
Jacqueline Kenney, CFA* |
13 |
$2.41 billion |
7 |
$497 million |
6 |
$222 million |
|
Thomas Picciochi |
35 |
$8.31 billion |
32 |
$5.08 billion |
36 |
$675 million |
|
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | |||||||
Laura Green, CFA* |
0 |
$0 |
0 |
$0 |
1 |
$49 million |
|
Jacqueline Kenney, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
|
Thomas Picciochi |
0 |
$0 |
0 |
$0 |
1 |
$45 million |
|
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts |
| |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed |
| |
Laura Green, CFA* |
0 |
$0 |
8 |
$304 million |
21 |
$433 million |
|
Jacqueline Kenney, CFA* |
13 |
$2.41 billion |
7 |
$497 million |
6 |
$222 million |
|
Thomas Picciochi |
35 |
$8.31 billion |
32 |
$5.08 billion |
36 |
$675 million |
|
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | |||||||
Laura Green, CFA* |
0 |
$0 |
0 |
$0 |
1 |
$49 million |
|
Jacqueline Kenney, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
|
Thomas Picciochi |
0 |
$0 |
0 |
$0 |
1 |
$45 million |
|
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts |
| |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed |
| |
Laura Green, CFA* |
0 |
$0 |
8 |
$304 million |
21 |
$433 million |
|
Jacqueline Kenney, CFA* |
13 |
$2.41 billion |
7 |
$497 million |
6 |
$222 million |
|
Thomas Picciochi |
35 |
$8.31 billion |
32 |
$5.08 billion |
36 |
$675 million |
|
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | |||||||
Laura Green, CFA* |
0 |
$0 |
0 |
$0 |
1 |
$49 million |
|
Jacqueline Kenney, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
|
Thomas Picciochi |
0 |
$0 |
0 |
$0 |
1 |
$45 million |
|
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts |
| |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed |
| |
Laura Green, CFA* |
0 |
$0 |
8 |
$304 million |
21 |
$433 million |
|
Jacqueline Kenney, CFA* |
13 |
$2.41 billion |
7 |
$497 million |
6 |
$222 million |
|
Thomas Picciochi |
35 |
$8.31 billion |
32 |
$5.08 billion |
36 |
$675 million |
|
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | |||||||
Laura Green, CFA* |
0 |
$0 |
0 |
$0 |
1 |
$49 million |
|
Jacqueline Kenney, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
|
Thomas Picciochi |
0 |
$0 |
0 |
$0 |
1 |
$45 million |
|
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts |
| |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed |
| |
Laura Green, CFA* |
0 |
$0 |
8 |
$304 million |
21 |
$433 million |
|
Jacqueline Kenney, CFA* |
13 |
$2.41 billion |
7 |
$497 million |
6 |
$222 million |
|
Thomas Picciochi |
35 |
$8.31 billion |
32 |
$5.08 billion |
36 |
$675 million |
|
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | |||||||
Laura Green, CFA* |
0 |
$0 |
0 |
$0 |
1 |
$49 million |
|
Jacqueline Kenney, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
|
Thomas Picciochi |
0 |
$0 |
0 |
$0 |
1 |
$45 million |
|
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts |
| |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed |
| |
Laura Green, CFA* |
0 |
$0 |
8 |
$304 million |
21 |
$433 million |
|
Jacqueline Kenney, CFA* |
13 |
$2.41 billion |
7 |
$497 million |
6 |
$222 million |
|
Thomas Picciochi |
35 |
$8.31 billion |
32 |
$5.08 billion |
36 |
$675 million |
|
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | |||||||
Laura Green, CFA* |
0 |
$0 |
0 |
$0 |
1 |
$49 million |
|
Jacqueline Kenney, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
|
Thomas Picciochi |
0 |
$0 |
0 |
$0 |
1 |
$45 million |
|
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts |
| |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed |
| |
Laura Green, CFA* |
0 |
$0 |
8 |
$304 million |
21 |
$433 million |
|
Jacqueline Kenney, CFA* |
13 |
$2.41 billion |
7 |
$497 million |
6 |
$222 million |
|
Thomas Picciochi |
35 |
$8.31 billion |
32 |
$5.08 billion |
36 |
$675 million |
|
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | |||||||
Laura Green, CFA* |
0 |
$0 |
0 |
$0 |
1 |
$49 million |
|
Jacqueline Kenney, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
|
Thomas Picciochi |
0 |
$0 |
0 |
$0 |
1 |
$45 million |
|
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts |
| |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed |
| |
Laura Green, CFA* |
0 |
$0 |
8 |
$304 million |
21 |
$433 million |
|
Jacqueline Kenney, CFA* |
13 |
$2.41 billion |
7 |
$497 million |
6 |
$222 million |
|
Thomas Picciochi |
35 |
$8.31 billion |
32 |
$5.08 billion |
36 |
$675 million |
|
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | |||||||
Laura Green, CFA* |
0 |
$0 |
0 |
$0 |
1 |
$49 million |
|
Jacqueline Kenney, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
|
Thomas Picciochi |
0 |
$0 |
0 |
$0 |
1 |
$45 million |
|
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts |
| |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed |
| |
Laura Green, CFA* |
0 |
$0 |
8 |
$304 million |
21 |
$433 million |
|
Jacqueline Kenney, CFA* |
13 |
$2.41 billion |
7 |
$497 million |
6 |
$222 million |
|
Thomas Picciochi |
35 |
$8.31 billion |
32 |
$5.08 billion |
36 |
$675 million |
|
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | |||||||
Laura Green, CFA* |
0 |
$0 |
0 |
$0 |
1 |
$49 million |
|
Jacqueline Kenney, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
|
Portfolio Manager |
Registered
Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts |
| |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed |
| |
Thomas Picciochi |
0 |
$0 |
0 |
$0 |
1 |
$45 million |
|
Transamerica ClearTrack 2015 | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$21,603.38
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$966.69
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$799.89 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$11,130.80
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$12,897.38
|
Net income from securities lending activities |
$8,706.00 |
Transamerica ClearTrack 2020 | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$22,338.79
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$864.91
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$706.61 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$12,960.27
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$14,531.79
|
Net income from securities lending activities |
$7,807.00 |
Transamerica ClearTrack 2025 | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$29,760.78
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$1,021.48
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$920.54 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$18,606.76
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$20,548.78
|
Net income from securities lending activities |
$9,212.00 |
Transamerica ClearTrack 2030 | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$28,434.61
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$1,226.63
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$1,055.30 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$15,092.68
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$17,374.61
|
Net income from securities lending activities |
$11,060.00 |
Transamerica ClearTrack 2035 | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$28,425.00
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$1,148.56
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$1,115.11 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$15,811.33
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$18,075.00
|
Net income from securities lending activities |
$10,350.00 |
Transamerica ClearTrack 2040 | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$30,128.51
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$1,250.45
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$1,097.72 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$16,515.34
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$18,863.51
|
Net income from securities lending activities |
$11,265.00 |
Transamerica ClearTrack 2045 | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$23,465.63
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$1,048.62
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$877.37 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$12,085.64
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$14,011.63
|
Net income from securities lending activities |
$9,454.00 |
Transamerica ClearTrack 2050 | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$21,901.79
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$992.93
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$808.15 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$11,150.71
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$12,951.79
|
Net income from securities lending activities |
$8,950.00 |
Transamerica ClearTrack 2055 | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$902.43
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$36.11
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$27.72 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$498.60
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$562.43
|
Net income from securities lending activities |
$340.00 |
Transamerica ClearTrack 2060 | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$927.70
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$39.47
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$27.91 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$494.32
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$561.70
|
Net income from securities lending activities |
$366.00 |
Transamerica ClearTrack Retirement Income | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$32,038.16
|
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$1,599.01
|
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$1,179.18 |
Administrative fees not included in revenue split |
$0.00
|
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$14,865.97
|
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$17,644.16
|
Net income from securities lending activities |
$14,394.00 |
Fund |
Class R Ticker |
Class R4 Ticker |
Class I3 Ticker |
Transamerica Asset Allocation Intermediate Horizon |
TAARX |
TAAFX |
- |
Transamerica Asset Allocation Long Horizon |
TALRX |
TALFX |
- |
Transamerica Asset Allocation Short Horizon |
TSHRX |
TSHFX |
- |
Transamerica Balanced II |
TBLRX |
TBLFX |
TBLTX |
Transamerica Emerging Markets Opportunities |
TEORX |
TEOPX |
- |
Transamerica Government Money Market1 |
- |
TFGXX |
TGTXX |
Transamerica High Quality Bond |
TBDRX |
TBDFX |
TBDTX |
Transamerica High Yield Bond |
TAHRX |
TAHFX |
TAHTX |
Transamerica High Yield ESG |
TANKX |
TAYNX |
- |
Transamerica Inflation-Protected Securities |
TPRRX |
TPRFX |
TPRTX |
Transamerica Intermediate Bond |
TMBRX |
TMBFX |
TMBTX |
Transamerica International Equity |
TRWRX |
TRWFX |
TRWTX |
Transamerica International Growth |
TIGSX |
TIGFX |
- |
Transamerica Large Core |
TLARX |
TLAFX |
TLATX |
Transamerica Large Growth |
TGWRX |
TGWFX |
TGWTX |
Transamerica Large Value Opportunities |
TLORX |
TLOFX |
TLOTX |
Transamerica Mid Cap Growth |
TMIRX |
TMIFX |
TMITX |
Transamerica Mid Cap Value Opportunities |
TOTRX |
TOTFX |
TOTTX |
Transamerica Small Cap Growth |
TSPRX |
TSPFX |
TSPTX |
Transamerica Small Cap Value |
TRSLX |
TSLFX |
TSLTX |
Transamerica Sustainable Bond |
TAUKX |
TAZOX |
- |
|
Page |
2 | |
2 | |
2 | |
5 | |
36 | |
36 | |
39 | |
39 | |
46 | |
47 | |
48 | |
48 | |
48 | |
49 | |
49 | |
54 | |
56 | |
59 | |
60 | |
60 | |
60 | |
60 | |
61 | |
67 | |
67 | |
68 | |
69 | |
70 | |
75 | |
92 | |
94 | |
94 | |
101 | |
A-1 | |
B-1 | |
C-1 |
Fund Name |
Fund Name History |
Transamerica Asset Allocation Intermediate Horizon |
N/A |
Transamerica Asset Allocation Long Horizon |
N/A |
Transamerica Asset Allocation Short Horizon |
N/A |
Transamerica Balanced II |
N/A |
Transamerica Emerging Markets Opportunities1 |
N/A |
Transamerica Government Money Market |
Transamerica Money Market was renamed Transamerica Government Money
Market on May 1, 2016. |
Transamerica High Quality Bond |
N/A |
Transamerica High Yield Bond |
N/A |
Transamerica High Yield ESG2 |
N/A |
Transamerica Inflation-Protected Securities |
N/A |
Transamerica Intermediate Bond |
N/A |
Transamerica International Equity |
N/A |
Transamerica International Growth |
Transamerica International Equity Opportunities was renamed Transamerica
International Growth on March 1, 2018. |
Transamerica Large Core |
N/A |
Transamerica Large Growth |
N/A |
Transamerica Large Value Opportunities |
N/A |
Transamerica Mid Cap Growth |
N/A |
Transamerica Mid Cap Value Opportunities |
N/A |
Transamerica Small Cap Growth |
N/A |
Transamerica Small Cap Value |
N/A |
Transamerica Sustainable Bond2 |
N/A |
Recipient |
Purpose |
Frequency |
Bloomberg LP |
Statistical ranking, rating, and/or performance attribution analysis |
Daily |
Broadridge |
Print vendor for shareholder documents, proxy solicitor/tabulator, 15(c) analysis |
Daily |
CAPIS |
Trade execution analysis |
Daily |
eVestment Alliance, LLC |
Institutional sales and RFP opportunities |
Quarterly |
FactSet |
Statistical ranking, rating, and/or performance attribution analysis |
Daily |
FXTransparency |
Trade execution analysis |
Daily |
Glass Lewis & Co. |
Proxy voting services |
Quarterly |
Globe Tax Services, Inc. |
ECJ foreign tax reclaim services |
As necessary |
Grant Thornton Pakistan |
Provide tax services for market in Pakistan |
As necessary |
IDC |
Pricing |
As necessary |
Investment Company Institute |
Holdings Information on Form N-PORT |
Quarterly |
KPMG Taiwan |
Provide tax services for market in Taiwan |
As necessary |
Lipper, Inc. |
Statistical ranking, rating, and/or performance attribution analysis
|
Quarterly |
Markit North America |
Pricing |
As necessary |
Morningstar LLC |
Statistical ranking, rating, and/or performance attribution analysis |
Daily |
PricewaterhouseCoopers Private Limited |
Provide tax services for market in India |
As necessary |
Refinitiv US LLC |
Pricing |
As necessary |
R.R. Donnelly |
Financial reporting |
Monthly |
Schwab CT |
Code of Ethics monitoring |
Daily |
truView |
Risk and liquidity management analytics |
Daily |
Name and Age |
Position(s)
Held with
Trust |
Term of
Office and
Length
of Time
Served* |
Principal Occupation(s)
During Past Five Years |
Number of
Funds in
Complex
Overseen
by Board
Member |
Other
Directorships Held
By Board Member
|
INTERESTED BOARD MEMBERS | |||||
Marijn P. Smit
(47) |
Chairman of the Board,
President and
Chief Executive
Officer |
Since 2014 |
Chairman of the Board, President and Chief Executive Officer, TF, TST and TAAVF (2014 – present);
Chairman of the Board, President and Chief
Executive Officer, TET (2017 – present);
Chairman of the Board, President and Chief
Executive Officer, Transamerica Partners
Portfolio (“TPP”), Transamerica Partners
Funds Group (“TPFG”) and Transamerica
Partners Funds Group II (“TPFG II”) (2014
– 2018); Director, Chairman of the Board, President and Chief Executive Officer, Transamerica Asset Management, Inc. (“TAM”) and Transamerica Fund Services, Inc. (“TFS”) (2014 – present);
Senior Vice President, Transamerica
Retirement Solutions LLC (2012 - present);
Trust Officer, Massachusetts Fidelity Trust
Company (2014 - 2021); President, Investment Solutions, Transamerica Investments & Retirement (2014 – 2016);
Vice President, Transamerica Life Insurance |
120 |
Director, Massachusetts Fidelity Trust Company (2014 - 2021);
Director, Aegon Global
Funds (2016 - present) |
Name and Age |
Position(s)
Held with
Trust |
Term of
Office and
Length
of Time
Served* |
Principal Occupation(s)
During Past Five Years |
Number of
Funds in
Complex
Overseen
by Board
Member |
Other
Directorships Held
By Board Member
|
INTERESTED BOARD MEMBERS—continued | |||||
Marijn P. Smit
(continued) |
|
|
Company (2010 – 2016);
Vice President, Transamerica Premier Life
Insurance Company (2010 – 2016); Senior Vice President, Transamerica Financial Life Insurance Company (2013 – 2016);
Senior Vice President, Transamerica
Retirement Advisors, Inc. (2013 – 2016)
and President and Director, Transamerica
Stable Value Solutions, Inc. (2010 – 2016). |
|
|
Alan F. Warrick (72) |
Board Member |
Since 2012 |
Board Member, TF, TST and TAAVF (2012
– present);
Board Member, TPP, TPFG and TPFG II
(2012 – 2018); Senior Advisor, Lovell Minnick Equity Partners (2010 – present); and Retired (2010). |
115 |
N/A |
INDEPENDENT BOARD MEMBERS | |||||
Sandra N. Bane
(69) |
Board Member |
Since 2008 |
Retired (1999 – present);
Board Member, TF, TST and TAAVF (2008
– present);
Board Member, TPP, TPFG and TPFG II
(2008 – 2018); and
Partner, KPMG (1975 – 1999). |
115 |
Big 5 Sporting Goods
(2002 – present); Southern Company Gas (energy services holding company) (2008 – present) |
Leo J. Hill
(65) |
Lead Independent Board Member |
Since 2002 |
Principal, Advisor Network Solutions, LLC (business consulting) (2006 – present); Board Member, TST (2001 – present); Board Member, TF (2002 – present); Board Member, TAAVF (2007 – present); Board Member, TPP, TPFG and TPFG II (2007 – 2018);
Market President, Nations Bank of Sun
Coast Florida (1998 – 1999);
Chairman, President and Chief Executive
Officer, Barnett Banks of Treasure Coast
Florida (1994 – 1998);
Executive Vice President and Senior Credit
Officer, Barnett Banks of Jacksonville,
Florida (1991 – 1994);
and Senior Vice President and Senior Loan
Administration Officer, Wachovia Bank of
Georgia (1976 – 1991). |
115 |
Ameris Bancorp (2013 – present); Ameris Bank (2013 – present) |
David W. Jennings
(74) |
Board Member |
Since 2009 |
Board Member, TF, TST and TAAVF (2009
– present);
Board Member, TPP, TPFG and TPFG II
(2009 – 2018); Managing Director, Hilton Capital Management, LLC (2010 – present). |
115 |
N/A |
Fredric A. Nelson III
(64) |
Board Member |
Since 2017 |
Board Member, TF, TST and TAAVF (2017 – present); Board Member, TPP, TPFG and TPFG II (2017 – 2018);
Chief Investment Officer (“CIO”),
Commonfund (2011 – 2015);
Vice Chairman, CIO, ING Investment
Management Americas (2003 – 2009);
Managing Director, Head of U.S. Equity, JP
Morgan Investment Management (1994 –
2003);
and Managing Director, Head of Global |
115 |
N/A |
Name and Age |
Position(s)
Held with
Trust |
Term of
Office and
Length
of Time
Served* |
Principal Occupation(s)
During Past Five Years |
Number of
Funds in
Complex
Overseen
by Board
Member |
Other
Directorships Held
By Board Member
|
INDEPENDENT BOARD MEMBERS—continued | |||||
Fredric A. Nelson III
(continued) |
|
|
Quantitative Investments Group, Bankers Trust Global Investment Management (1981 – 1994). |
|
|
John E. Pelletier
(57) |
Board Member |
Since 2017 |
Board Member, TF, TST and TAAVF (2017
– present);
Board Member, TPP, TPFG and TPFG II
(2017 – 2018); Director, Center for Financial Literacy, Champlain College (2010 – present);
Co-Chair, Vermont Financial Literacy
Commission with Vermont State Treasurer
(2015 – 2018);
Chairman, Vermont Universal Children’s
Higher Education Savings Account Program
Advisory Committee (2015 – 2021);
Founder and Principal, Sterling Valley
Consulting LLC (a financial services
consulting firm) (2009 – 2017);
Independent Director, The Sentinel Funds
and Sentinel Variable Products Trust (2013 –
2017);
Chief Legal Officer, Eaton Vance Corp.
(2007 – 2008);
and Executive Vice President and Chief
Operating Officer (2004 - 2007), General
Counsel (1997 – 2004), Natixis Global
Associates. |
115 |
N/A |
Patricia L. Sawyer
(71) |
Board Member |
Since 2007 |
Retired (2007 – present); President/Founder, Smith & Sawyer LLC (management consulting) (1989 – 2007); Board Member, TF and TST (2007 – present); Board Member, TAAVF (1993 – present); Board Member, TPP, TPFG and TPFG II (1993 – 2018);
and Trustee, Chair of Finance Committee
and Chair of Nominating Committee (1987
– 1996), Bryant University. |
115 |
Honorary Trustee, Bryant University (1996 – present) |
John W. Waechter
(69) |
Board Member |
Since 2005 |
Partner, Englander Fischer (2016 – present)
(law firm);
Attorney, Englander Fischer (2008 – 2015);
Retired (2004 – 2008);
Board Member, TST (2004 – present);
Board Member, TF (2005 – present);
Board Member, TAAVF (2007 – present);
Board Member, TPP, TPFG and TPFG II
(2007 – 2018); Employee, RBC Dain Rauscher (securities dealer) (2004); Executive Vice President, Chief Financial Officer and Chief Compliance Officer, William R. Hough & Co. (securities dealer) (1979 – 2004); and Treasurer, The Hough Group of Funds (1993 – 2004) (fund accounting). |
115 |
Board Member,
Operation PAR, Inc.
(non-profit organization)
(2008 – present); Board Member, Boley PAR, Inc. (non-profit organization) (2016 - present)
Board Member,
Remember Honor
Support, Inc. (non-profit
organization)
(2013 - 2020);
Board Member, WRH
Income Properties, Inc.
(real estate) (2014 -
present) |
Name and Age |
Position |
Term of Office
and Length of
Time Served* |
Principal Occupation(s) or Employment
During Past Five Years |
Marijn P. Smit
(47) |
Chairman of the Board, President
and Chief Executive Officer |
Since 2014 |
See Interested Board Members Table Above. |
Christopher A. Staples, CFA
(50) |
Vice President and Chief Investment Officer, Advisory Services |
Since 2005 |
Vice President and Chief Investment Officer, Advisory Services, TF and TST (2007 – present);
Vice President and Chief Investment Officer, TET (2017 –
present);
Vice President and Chief Investment Officer, Advisory Services,
TAAVF (2007 – present);
Vice President and Chief Investment Officer, Advisory Services,
TPP, TPFG and TPFG II (2007 – 2018); Director (2005 – 2019), Senior Vice President (2006 – present),
Senior Director, Investments (2016 – present), Chief Investment
Officer, Advisory Services (2012 – 2016) and Lead
Portfolio Manager (2007 – present), TAM;
Director, TFS (2005 – 2019);
Trust Officer, Massachusetts Fidelity Trust Company (2010 -
present);
Registered Representative (2007 – 2016), Transamerica Capital,
Inc. (“TCI”);
and Registered Representative, TFA (2005 – present).
|
Thomas R. Wald, CFA
(60) |
Vice President and Chief
Investment Officer |
Since 2014 |
Chief Investment Officer, TF, TST and TAAVF (2014 – present);
TET (2017 – present);
Chief Investment Officer, TPP, TPFG and TPFG II (2014 –
2018); Director (2017 – 2020), Akaan Transamerica, S.A. de C.V., Sociedad Operadora de Fondos de Inversión;
Chief Investment Officer, Transamerica Investments & Retirement
(2014 – 2020); Senior Vice President and Chief Investment Officer, TAM (2014 –
present);
Director, TFS (2019 - present); and
Trust Officer, Massachusetts Fidelity Trust Company (2015 -
present). |
Vincent J. Toner
(51) |
Vice President and Treasurer |
Since 2014 |
Vice President and Treasurer, TF, TST and TAAVF (2014 – present), Vice President and Treasurer (2017 – present), Vice
President, Principal Financial Officer and Treasurer (2020 –
present), TET;
Vice President and Treasurer, TPP, TPFG and TPFG II (2014 –
2018); Vice President (2016 – present), Treasurer (2016 – 2019), Vice
President, Administration and Treasurer (2014 – 2016),
TAM; Vice President, Administration and Treasurer (2014
– 2019), Senior Vice President (2019 – present),
TFS; Vice President (2016 – present), TCI;
and Trust Officer (2015 – present), Massachusetts Fidelity Trust
Company. |
Francine J. Rosenberger
(53) |
Chief Compliance Officer |
Since 2019 |
Chief Compliance Officer, TF, TST, TET and TAAVF (2019 –
present);
Derivatives Risk Manager, TF, TST and TAAVF (2021 –
present); Chief Compliance Officer (2019 – present),
TAM; and General Counsel, Corporate Secretary and Fund Chief Compliance Officer, Steben & Company, Inc. (2013 – 2019).
|
Molly Possehl
(43) |
Anti-Money Laundering Officer |
Since 2019 |
Anti-Money Laundering Officer, TF, TST, TET and TAAVF (2019 – present); Assistant General Counsel, Transamerica Life Insurance Company/Aegon USA (2013 – present); and Anti-Money Laundering Compliance Officer and Fraud Officer, Transamerica Life Insurance Company/Aegon USA (2015 |
Name and Age |
Position |
Term of Office
and Length of
Time Served* |
Principal Occupation(s) or Employment
During Past Five Years |
Molly Possehl
(continued) |
|
|
– present). |
Erin D. Nelson
(44) |
Chief Legal Officer and Secretary |
Since 2019 |
Chief Legal Officer and Secretary, TF, TST, TET and TAAVF (2019 – present); Assistant General Counsel II and Assistant Secretary, TAM (2019 –
present);
Assistant Secretary (2019 – present), TFS;
and Senior Vice President and Chief Compliance Officer, ALPS
Advisors, Inc. (2015 – 2019). |
Kathryn L. Petty
(44) |
Assistant Treasurer |
Since 2021 |
Assistant Treasurer, TF, TST and TAAVF (2021 –
present); and Senior Manager, Fund Administration, TAM (2014
– 2021). |
Timothy Bresnahan
(52) |
Assistant Secretary |
Since 2020 |
Assistant Secretary, TF, TST and TAAVF (2020 – present);
Assistant Secretary (2019 – present), Secretary
(2019), TET; and Senior Counsel, TAM (2008 –
present). |
Fund |
Interested Trustees |
|
|
|
|
|
|
| |
|
Marijn P. Smit |
Alan F. Warrick |
Sandra N. Bane |
Leo J. Hill |
David W.
Jennings |
Fredric A.
Nelson III |
John E.
Pelletier |
Patricia L.
Sawyer |
John W.
Waechter |
Transamerica Asset Allocation
Intermediate Horizon |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Asset Allocation Long
Horizon |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Asset Allocation Short
Horizon |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Balanced II |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Emerging Markets
Opportunities |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Government Money
Market |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica High Quality Bond |
$10,001 - $50,000 |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica High Yield Bond |
$10,001 - $50,000 |
None |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
None |
Transamerica High Yield ESG |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Inflation-Protected
Securities |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Intermediate Bond |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica International Equity |
Over $100,000 |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica International Growth |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Large Core |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Large Growth |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Large Value
Opportunities |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Mid Cap Growth |
None |
None |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
None |
Transamerica Mid Cap Value
Opportunities |
$10,001 – $50,000 |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
None |
None |
Transamerica Small Cap Growth |
None |
None |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
None |
Transamerica Small Cap Value |
None |
None |
None |
None |
None |
None |
$10,001 – $50,000 |
None |
None |
Transamerica Sustainable Bond |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Fund Family | |
Trustee |
Aggregate Dollar
Range of Equity
Securities |
Interested Trustees |
|
Marijn P. Smit |
Over $100,000 |
Alan F. Warrick |
None |
Independent Trustees |
|
Sandra N. Bane |
None |
Leo J. Hill |
Over $100,000 |
David W. Jennings |
None |
Fredric A. Nelson III |
$50,001 - $100,000 |
John E. Pelletier |
Over $100,000 |
Patricia L. Sawyer |
Over $100,000 |
John W. Waechter |
Over $100,000 |
Name of Person, Position |
Aggregate
Compensation from
the Trust |
Pension or Retirement
Benefits Accrued as
Part of Funds
Expenses(a) |
Estimated Annual
Benefits Upon
Retirement(a) |
Total Compensation
from the Transamerica
Fund Family
(including the Trust)(b) |
Sandra N. Bane, Trustee |
$122,938 |
N/A |
N/A |
$331,000 |
Leo J. Hill, Trustee |
$145,739 |
N/A |
N/A |
$392,400 |
David W. Jennings, Trustee |
$122,938 |
N/A |
N/A |
$331,000 |
Fredric A. Nelson III, Trustee |
$122,938 |
N/A |
N/A |
$331,000 |
Name of Person, Position |
Aggregate
Compensation from
the Trust |
Pension or Retirement
Benefits Accrued as
Part of Funds
Expenses(a) |
Estimated Annual
Benefits Upon
Retirement(a) |
Total Compensation
from the Transamerica
Fund Family
(including the Trust)(b) |
John E. Pelletier, Trustee |
$122,938 |
N/A |
N/A |
$331,000 |
Patricia L. Sawyer, Trustee |
$128,360 |
N/A |
N/A |
$345,600 |
John W. Waechter, Trustee |
$132,183 |
N/A |
N/A |
$355,900 |
Fund Name |
Percentage of Average Daily Net Assets |
Transamerica Asset Allocation Intermediate Horizon |
0.12% |
Transamerica Asset Allocation Long Horizon |
0.12% |
Transamerica Asset Allocation Short Horizon |
0.12% |
Transamerica Balanced II |
0.48% |
Transamerica Emerging Markets Opportunities |
0.83% of the first $250 million
0.80% over $250 million up to $500 million
0.75% in excess of $500 million |
Transamerica Government Money Market |
0.24% of the first $1 billion 0.22% over $1 billion up to $3 billion 0.21% in excess of $3 billion |
Transamerica High Quality Bond |
0.38% |
Transamerica High Yield Bond |
0.554% of the first $1.25 billion 0.544% over $1.25 billion up to $2 billion 0.52% in excess of $2 billion |
Transamerica High Yield ESG |
0.554% of the first $1.25 billion
0.544% over $1.25 billion up to $2 billion
0.52% in excess of $2 billion |
Transamerica Inflation-Protected Securities(1) |
0.38% |
Transamerica Intermediate Bond |
0.38% of the first $2 billion
0.365% over $2 billion up to $3.5 billion
0.36% over $3.5 billion up to $5 billion
0.355% in excess of $5 billion |
Transamerica International Equity |
0.77% of the first $500 million 0.75% over $500 million up to $1 billion 0.72% over $1 billion up to $2 billion 0.69% over $2 billion up to $6 billion 0.68% in excess of $6 billion |
Transamerica International Growth |
0.77% of the first $500 million
0.76% over $500 million up to $1 billion
0.71% over $1 billion up to $2 billion
0.695% over $2 billion up to $3 billion
0.68% in excess of $3 billion |
Transamerica Large Core |
0.45% of the first $250 million 0.44% over $250 million up to $750 million 0.43% in excess of $750 million |
Fund Name |
Percentage of Average Daily Net Assets |
Transamerica Large Growth |
0.65% of the first $1 billion
0.635% over $1 billion up to $1.5 billion
0.615% over $1.5 billion up to $2 billion
0.605% over $2 billion up to $3 billion
0.59% over $3 billion up to $4 billion
0.575% over $4 billion up to $5 billion
0.57% over $5 billion up to $7 billion
0.55% in excess of $7 billion |
Transamerica Large Value Opportunities |
0.45% of the first $250 million 0.44% over $250 million up to $750 million 0.43% in excess of $750 million |
Transamerica Mid Cap Growth |
0.705% of the first $200 million
0.685% over $200 million up to $1 billion
0.670% in excess of $1 billion |
Transamerica Mid Cap Value Opportunities |
0.70% of the first $750 million 0.695% over $750 million up to $1.5 billion 0.685% over $1.5 billion up to $2 billion 0.6775% in excess of $2 billion |
Transamerica Small Cap Growth |
0.87% of the first $300 million
0.83% in excess of $300 million |
Transamerica Small Cap Value |
0.80% of the first $300 million 0.75% over $300 million up to $800 million 0.71% in excess of $800 million |
Transamerica Sustainable Bond |
0.41% of the first $500 million
0.39% over $500 million up to $1 billion
0.38% over $1 billion up to $1.5 billion
0.375% in excess of $1.5 billion |
Fund Name |
Management Fees (after waivers/expense reimbursements and recapture) |
Management Fees Waived/Expenses Reimbursed | ||||
|
2020 |
2019 |
2018 |
2020 |
2019 |
2018 |
Transamerica Asset Allocation Intermediate Horizon |
$320,671
|
$354,919
|
$418,410 |
$64,991 |
$72,314 |
$85,403 |
Transamerica Asset Allocation Long Horizon |
$175,989
|
$202,625
|
$243,850
|
$35,969
|
$42,559
|
$51,744
|
Transamerica Asset Allocation Short Horizon |
$128,166
|
$138,821
|
$167,837 |
$25,828 |
$28,052 |
$34,074 |
Transamerica Balanced II |
$570,390
|
$589,726
|
$563,706
|
$161 |
$6,435
|
$151,430
|
Transamerica Emerging Markets Opportunities |
$3,087,555
|
N/A |
N/A |
$518 |
N/A |
N/A |
Transamerica Government Money Market |
$689,832
|
$2,747,603
|
$2,419,499
|
$2,759,320
|
$485,121
|
$776,802
|
Transamerica High Quality Bond |
$725,173
|
$926,846
|
$989,566 |
$25,698 |
$31,052 |
$110,446 |
Transamerica High Yield Bond |
$10,499,169
|
$7,843,516
|
$8,946,630
|
$317,259
|
$245,653
|
$564,767
|
Transamerica High Yield ESG |
$(31,290) |
N/A |
N/A |
$59,085 |
N/A |
N/A |
Transamerica Inflation-Protected Securities |
$440,511
|
$444,791
|
$358,834
|
$27,330
|
$60,560
|
$259,271
|
Transamerica Intermediate Bond |
$7,920,599
|
$10,525,992
|
$11,302,846 |
$36,908 |
$54,954 |
$293,364 |
Transamerica International Equity |
$30,327,361
|
$35,072,589
|
$40,981,526
|
$102,388
|
$98,681
|
$38,568
|
Transamerica International Growth |
$9,388,377
|
$8,526,362
|
$10,918,077
|
$791 |
$559 |
$67 |
Transamerica Large Core |
$880,281
|
$1,319,124
|
$1,696,102
|
$- |
$687 |
$127,098
|
Transamerica Large Growth |
$5,749,750
|
$5,163,002
|
$5,250,548 |
$20,241 |
$50,676 |
$395,793 |
Transamerica Large Value Opportunities |
$1,799,331
|
$2,564,297
|
$2,964,564
|
$8,190
|
$4,984
|
$192,908
|
Transamerica Mid Cap Growth |
$2,315,263
|
$600,850
|
$1,080,949 |
$1,292 |
$100,445 |
$222,072 |
Transamerica Mid Cap Value Opportunities |
$8,565,211
|
$10,584,915
|
$10,273,642
|
$117,651
|
$627,978
|
$1,159,521
|
Transamerica Small Cap Growth |
$1,446,467
|
$1,131,398
|
$1,161,965 |
$16,959 |
$95,606 |
$193,051 |
Transamerica Small Cap Value |
$1,050,763
|
$1,895,351
|
$2,160,491
|
$75,692
|
$16,550
|
$298,684
|
Transamerica Sustainable Bond |
$(52,511) |
N/A |
N/A |
$78,047 |
N/A |
N/A |
Fund Name |
Management Fees Recaptured | ||
|
2020 |
2019 |
2018 |
Transamerica Asset Allocation Intermediate Horizon |
$- |
$6 |
- |
Transamerica Asset Allocation Long Horizon |
$5 |
$30 |
$382
|
Transamerica Asset Allocation Short Horizon |
$5 |
- |
$12 |
Transamerica Balanced II |
$161 |
- |
$29,489
|
Transamerica Emerging Markets Opportunities |
$431 |
N/A |
N/A |
Transamerica Government Money Market |
$149,727
|
$234,866
|
$311,226
|
Transamerica High Quality Bond |
$2,314 |
$3,650 |
$8,200 |
Transamerica High Yield Bond |
$52,168
|
$15,699
|
$19,031
|
Transamerica High Yield ESG |
$- |
N/A |
N/A |
Transamerica Inflation-Protected Securities |
$36,230
|
$38,860
|
$4,856
|
Transamerica Intermediate Bond |
$2,527 |
$2,366 |
$7,607 |
Transamerica International Equity |
$20,505
|
$48,304
|
$22,968
|
Transamerica International Growth |
$9 |
$33 |
$11 |
Transamerica Large Core |
$- |
$155,645
|
$81,120
|
Transamerica Large Growth |
$501 |
$2,184 |
$6,517 |
Transamerica Large Value Opportunities |
$17,975
|
$53,566
|
$42,264
|
Transamerica Mid Cap Growth |
$24,706 |
$56,500 |
$11,531 |
Transamerica Mid Cap Value Opportunities |
$7,470
|
$86,747
|
$30,804
|
Transamerica Small Cap Growth |
$17,433 |
$14,885 |
$21,483 |
Transamerica Small Cap Value |
$70,928
|
$2,778
|
$4,412
|
Transamerica Sustainable Bond |
$- |
N/A |
N/A |
Fund Name |
Expense Cap Class R |
Expense Cap Class R4 |
Expense Cap Class I3 |
Expiration Date of
Expense Cap |
Transamerica Asset Allocation Intermediate Horizon |
0.60% |
0.35% |
N/A |
March 1, 2022 |
Transamerica Asset Allocation Long Horizon |
0.60% |
0.35% |
N/A |
March 1, 2022 |
Transamerica Asset Allocation Short Horizon |
0.60% |
0.35% |
N/A |
March 1, 2022 |
Transamerica Balanced II |
1.10% |
0.75% |
0.66% |
March 1, 2022 |
Transamerica Emerging Markets Opportunities |
1.80% |
1.55% |
N/A |
March 1, 2022 |
Transamerica Government Money Market1 |
N/A |
0.50% |
0.38% |
March 1, 2022 |
Transamerica High Quality Bond |
1.00% |
0.65% |
0.52% |
March 1, 2022 |
Transamerica High Yield Bond |
1.10% |
0.85% |
0.67% |
March 1, 2022 |
Fund Name |
Expense Cap Class R |
Expense Cap Class R4 |
Expense Cap Class I3 |
Expiration Date of
Expense Cap |
Transamerica High Yield ESG |
1.25% |
1.00% |
N/A |
March 1, 2022 |
Transamerica Inflation-Protected Securities |
1.00% |
0.65% |
0.53% |
March 1, 2022 |
Transamerica Intermediate Bond |
1.00% |
0.65% |
0.50% |
March 1, 2022 |
Transamerica International Equity |
1.40% |
1.15% |
0.90% |
March 1, 2022 |
Transamerica International Growth |
1.55% |
1.20% |
N/A |
March 1, 2022 |
Transamerica Large Core |
1.15% |
0.83% |
0.65% |
March 1, 2022 |
Transamerica Large Growth |
1.25% |
0.90% |
0.75% |
March 1, 2022 |
Transamerica Large Value Opportunities |
1.00% |
0.75% |
0.65% |
March 1, 2022 |
Transamerica Mid Cap Growth |
1.35% |
0.95% |
0.85% |
March 1, 2022 |
Transamerica Mid Cap Value Opportunities |
1.25% |
0.90% |
0.80% |
March 1, 2022 |
Transamerica Small Cap Growth |
1.55% |
1.15% |
1.00% |
March 1, 2022 |
Transamerica Small Cap Value |
1.50% |
1.10% |
0.95% |
March 1, 2022 |
Transamerica Sustainable Bond |
1.05% |
0.70% |
N/A |
March 1, 2022 |
Fund |
Sub-Adviser |
Sub-Advisory Fees |
Transamerica Balanced II |
Aegon USA Investment Management, LLC(1) |
0.12% of the first $1 billion
0.05% in excess of $1 billion |
J.P. Morgan Investment Management
Inc.(2) |
0.15% of the first $2 billion 0.13% over $2 billion up to $3 billion 0.12% over $3 billion up to $4 billion 0.11% in excess of $4 billion | |
Transamerica Emerging Markets Opportunities |
Wellington Management Company LLP |
0.40% of the first $250 million
0.33% in excess of $250 million |
Transamerica Government Money Market |
BlackRock Investment Management, LLC |
0.024% |
Transamerica High Quality Bond |
Merganser Capital Management, LLC |
0.20% of the first $100 million
0.15% over $100 million up to $200 million
0.10% over $200 million up to $300 million
0.05% in excess of $300 million |
Transamerica High Yield Bond(3) |
Aegon USA Investment Management, LLC |
0.35% of the first $20 million 0.24% over $20 million up to $40 million 0.19% over $40 million up to $125 million 0.14% in excess of $125 million |
Transamerica High Yield ESG(3) |
Aegon USA Investment Management, LLC |
0.35% of the first $20 million
0.24% over $20 million up to $40 million
0.19% over $40 million up to $125 million
0.14% in excess of $125 million |
Transamerica Inflation-Protected Securities(4) |
PineBridge Investments LLC |
0.15% of the first $100 million 0.10% over $100 million up to $250 million 0.05% in excess of $250 million |
Transamerica Intermediate Bond(5) |
Aegon USA Investment Management, LLC |
0.12% of the first $1 billion
0.05% in excess of $1 billion |
Transamerica International Equity(6) |
Thompson, Siegel & Walmsley LLC |
0.30% of the first $1 billion 0.28% over $1 billion up to $2 billion 0.265% in excess of $2 billion |
Transamerica International Growth(7) |
TDAM USA Inc. |
0.27% of the first $1 billion
0.25% over $1 billion up to $2 billion
0.24% in excess of $2 billion |
Transamerica Large Core(8) |
PineBridge Investments LLC |
0.10% of the first $250 million 0.09% over $250 million up to $500 million 0.08% in excess of $500 million |
Transamerica Large Growth |
Morgan Stanley Investment Management Inc.(9) |
0.27% of the first $1.5 billion
0.23% over $1.5 billion up to $3 billion
0.22% over $3 billion up to $5 billion
0.20% in excess of $5 billion |
Wellington Management Company
LLP(10) |
0.18% of the first $500 million 0.17% over $500 million up to $1 billion 0.16% over $1 billion up to $2 billion 0.15% in excess of $2 billion | |
Transamerica Large Value Opportunities(11) |
PineBridge Investments LLC |
0.10% of the first $250 million
0.09% over $250 million up to $500 million
0.08% in excess of $500 million |
Transamerica Mid Cap Growth |
Wellington Management Company LLP |
0.33% of the first $200 million 0.31% in excess of $200 million |
Fund |
Sub-Adviser |
Sub-Advisory Fees |
Transamerica Mid Cap Value Opportunities(12) |
Thompson, Siegel & Walmsley LLC |
0.275% of the first $750 million
0.27% over $750 million up to $1.5 billion
0.265% over $1.5 billion up to $2 billion
0.26% in excess of $2 billion |
Transamerica Small Cap Growth |
Ranger Investment Management, L.P. |
0.415% of the first $300 million 0.375% in excess of $300 million |
Transamerica Small Cap Value |
Peregrine Capital Management, LLC |
0.36% of the first $300 million
0.31% over $300 million up to $800 million
0.30% in excess of $800 million |
Transamerica Sustainable Bond |
Aegon USA Investment Management, LLC |
0.12% of the first $250 million 0.10% over $250 million up to $500 million 0.08% over $500 million up to $1 billion 0.075% in excess of $1 billion |
|
Sub-Advisory Fees Paid
(Net of Fees Reimbursed) | ||
Fund Name |
2020 |
2019 |
2018 |
Transamerica Asset Allocation Intermediate Horizon |
N/A |
N/A |
N/A |
Transamerica Asset Allocation Long Horizon |
N/A |
N/A |
N/A |
Transamerica Asset Allocation Short Horizon |
N/A |
N/A |
N/A |
Transamerica Balanced II |
$132,920
|
$162,438
|
$185,593
|
Transamerica Emerging Markets Opportunities |
$1,388,878 |
N/A |
N/A |
Transamerica Government Money Market |
$337,290
|
$305,221
|
$464,088
|
Transamerica High Quality Bond |
$340,457 |
$401,120 |
$437,073 |
Transamerica High Yield Bond |
$2,842,721
|
$2,183,987
|
$2,568,654
|
Transamerica High Yield ESG |
$7,134 |
N/A |
N/A |
Transamerica Inflation-Protected Securities |
$156,691
|
$171,562
|
$210,578
|
Transamerica Intermediate Bond |
$1,478,231 |
$1,889,537 |
$2,014,235 |
Transamerica International Equity |
$11,743,771
|
$13,575,292
|
$15,837,320
|
Transamerica International Growth |
$3,251,548 |
$2,950,788 |
$4,186,619 |
|
Sub-Advisory Fees Paid
(Net of Fees Reimbursed) | ||
Fund Name |
2020 |
2019 |
2018 |
Transamerica Large Core |
$180,663 |
$230,682 |
$508,622 |
Transamerica Large Growth |
$1,679,967
|
$1,801,858
|
$1,972,589
|
Transamerica Large Value Opportunities |
$370,117 |
$504,312 |
$1,153,441 |
Transamerica Mid Cap Growth |
$1,055,300
|
$303,005
|
$645,782
|
Transamerica Mid Cap Value Opportunities |
$3,354,363 |
$4,292,930 |
$4,395,960 |
Transamerica Small Cap Growth |
$687,995
|
$578,195
|
$636,134
|
Transamerica Small Cap Value |
$470,266 |
$859,106 |
$1,092,533 |
Transamerica Sustainable Bond |
$7,393
|
N/A |
N/A |
Class R* |
|
Open Account |
$24.00 per account |
Closed Account |
$2.00 per account |
Class I3, R4* |
|
Asset Fee to TFS |
0.75 bps |
Class R2* |
|
Sub-Transfer Agent and Omnibus Intermediary Fees |
$11.00 per account |
Fund Name |
Commissions Received
for the Period Ended
October 31 |
Commissions Retained
for the Period Ended
October 31 | ||||
|
2020 |
2019 |
2018 |
2020 |
2019 |
2018 |
Transamerica Asset Allocation Intermediate Horizon |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Asset Allocation Long Horizon |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Asset Allocation Short Horizon |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Balanced II |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Emerging Markets Opportunities |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Government Money Market |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica High Quality Bond |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica High Yield Bond |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica High Yield ESG |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Inflation-Protected Securities |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Intermediate Bond |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica International Equity |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica International Growth |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Large Core |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Large Growth |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Large Value Opportunities |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Mid Cap Growth |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Mid Cap Value Opportunities |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Small Cap Growth |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Small Cap Value |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Transamerica Sustainable Bond |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Fund Name |
For the Period Ended October 31, 2020 | |||
Net
Underwriting
Discounts and
Commissions |
Compensation
on Redemptions
& Repurchases |
Brokerage
Commissions |
Other
Compensation | |
Transamerica Asset Allocation Intermediate Horizon |
N/A |
N/A |
N/A |
$1,583,126
|
Transamerica Asset Allocation Long Horizon |
N/A |
N/A |
N/A |
$861,855
|
Transamerica Asset Allocation Short Horizon |
N/A |
N/A |
N/A |
$636,364
|
Transamerica Balanced II |
N/A |
N/A |
N/A |
$339,229
|
Transamerica Emerging Markets Opportunities |
N/A |
N/A |
N/A |
N/A |
Transamerica Government Money Market |
N/A |
N/A |
N/A |
$132,550
|
Transamerica High Quality Bond |
N/A |
N/A |
N/A |
$163,305
|
Transamerica High Yield Bond |
N/A |
N/A |
N/A |
$1,274,322
|
Transamerica High Yield ESG |
N/A |
N/A |
N/A |
N/A |
Transamerica Inflation-Protected Securities |
N/A |
N/A |
N/A |
$55,553
|
Transamerica Intermediate Bond |
N/A |
N/A |
N/A |
$638,243
|
Transamerica International Equity |
N/A |
N/A |
N/A |
$185,151
|
Transamerica International Growth |
N/A |
N/A |
N/A |
N/A |
Fund Name |
For the Period Ended October 31, 2020 | |||
Net
Underwriting
Discounts and
Commissions |
Compensation
on Redemptions
& Repurchases |
Brokerage
Commissions |
Other
Compensation | |
Transamerica Large Core |
N/A |
N/A |
N/A |
$300,248
|
Transamerica Large Growth |
N/A |
N/A |
N/A |
$805,163
|
Transamerica Large Value Opportunities |
N/A |
N/A |
N/A |
$379,146
|
Transamerica Mid Cap Growth |
N/A |
N/A |
N/A |
$109,146
|
Transamerica Mid Cap Value Opportunities |
N/A |
N/A |
N/A |
$473,387
|
Transamerica Small Cap Growth |
N/A |
N/A |
N/A |
$76,255
|
Transamerica Small Cap Value |
N/A |
N/A |
N/A |
$32,778 |
Transamerica Sustainable Bond |
N/A |
N/A |
N/A |
N/A |
Fund |
2020 |
2019 |
2018 |
Transamerica Asset Allocation Intermediate Horizon |
$627,248
|
$701,689
|
$39,173
|
Transamerica Asset Allocation Long Horizon |
$344,727
|
$402,647 |
$21,809 |
Transamerica Asset Allocation Short Horizon |
$250,452
|
$274,076
|
$15,987
|
Transamerica Balanced II |
$132,415
|
$147,018 |
$8,662 |
Transamerica Emerging Markets Opportunities |
$0
|
N/A |
N/A |
Transamerica Government Money Market |
$0 |
$0 |
$187,063
|
Transamerica High Quality Bond |
$102,148
|
$99,450
|
$5,632
|
Transamerica High Yield Bond |
$875,967
|
$760,000 |
$99,281 |
Transamerica High Yield ESG |
$0
|
N/A |
N/A |
Transamerica Inflation-Protected Securities |
$23,780 |
$29,673 |
$2,892 |
Transamerica Intermediate Bond |
$329,508
|
$375,080
|
$39,001
|
Transamerica International Equity |
$41,603 |
$41,605 |
N/A |
Transamerica International Growth |
$0
|
$0
|
$15,760
|
Transamerica Large Core |
$17,241 |
$20,808 |
$15,943 |
Transamerica Large Growth |
$114,512
|
$97,241
|
$49,365
|
Transamerica Large Value Opportunities |
$49,082 |
$88,554 |
$16,778 |
Transamerica Mid Cap Growth |
$11,262
|
$16,341
|
$31,734
|
Transamerica Mid Cap Value Opportunities |
$185,927
|
$650,160 |
$60,045 |
Transamerica Small Cap Growth |
$7,831
|
$14,489
|
$36,588
|
Transamerica Small Cap Value |
$2,660 |
$3,917 |
$8,815 |
Transamerica Sustainable Bond |
$0
|
N/A |
N/A |
Transamerica Asset Allocation Intermediate Horizon |
||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
305,887 |
9,337 |
Printing and Postage |
8,031 |
245 |
Transamerica Asset Allocation Intermediate Horizon |
||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Promotional Expenses |
36,616 |
1,118 |
Travel |
17,339 |
529 |
Office and Other Expenses |
240,796 |
7,350 |
TOTALS |
$ 608,669 |
$18,579
|
Transamerica Asset Allocation Long Horizon | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
164,891 |
8,352 |
Printing and Postage |
4,329 |
219 |
Promotional Expenses |
19,738 |
1,000 |
Travel |
9,347 |
473 |
Office and Other Expenses |
129,803 |
6,575 |
TOTALS |
$ 328,108 |
$16,619
|
Transamerica Asset Allocation Short Horizon | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
123,802 |
2,063 |
Printing and Postage |
3,250 |
54 |
Promotional Expenses |
14,819 |
247 |
Travel |
7,018 |
117 |
Office and Other Expenses |
97,458 |
1,624 |
TOTALS |
$ 246,347 |
$4,105
|
Transamerica Balanced II | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
66,545 |
0 |
Printing and Postage |
1,747 |
0 |
Promotional Expenses |
7,966 |
0 |
Travel |
3,772 |
0 |
Office and Other Expenses |
52,385 |
0 |
TOTALS |
$ 132,415 |
$0
|
Transamerica Emerging Markets Opportunities | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
N/A |
N/A |
Compensation to Sales Personnel |
N/A |
N/A |
Printing and Postage |
N/A |
N/A |
Promotional Expenses |
N/A |
N/A |
Travel |
N/A |
N/A |
Office and Other Expenses |
N/A |
N/A |
TOTALS |
N/A |
N/A |
Transamerica Government Money Market | ||
Promotion and Distribution Expenses |
Class R2 |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
0 |
0 |
Printing and Postage |
0 |
0 |
Promotional Expenses |
0 |
0 |
Travel |
0 |
0 |
Office and Other Expenses |
0 |
0 |
TOTALS |
$ 0 |
$0
|
Transamerica High Quality Bond | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
12,735 |
38,600 |
Printing and Postage |
334 |
1,013 |
Transamerica High Quality Bond | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Promotional Expenses |
1,524 |
4,621 |
Travel |
722 |
2,188 |
Office and Other Expenses |
10,025 |
30,386 |
TOTALS |
$ 25,340 |
$76,808
|
Transamerica High Yield Bond | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
2,709 |
435,073 |
Printing and Postage |
200 |
11,423 |
Promotional Expenses |
910 |
52,080 |
Travel |
431 |
24,662 |
Office and Other Expenses |
5,986 |
342,493 |
TOTALS |
$ 10,236 |
$865,731
|
Transamerica High Yield ESG | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
N/A |
N/A |
Compensation to Sales Personnel |
N/A |
N/A |
Printing and Postage |
N/A |
N/A |
Promotional Expenses |
N/A |
N/A |
Travel |
N/A |
N/A |
Office and Other Expenses |
N/A |
N/A |
TOTALS |
N/A |
N/A |
Transamerica Inflation-Protected Securities | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
9,844 |
2,108 |
Printing and Postage |
258 |
55 |
Promotional Expenses |
1,178 |
252 |
Travel |
558 |
119 |
Office and Other Expenses |
7,749 |
1,659 |
TOTALS |
$ 19,587 |
$4,193
|
Transamerica Intermediate Bond | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
2,340 |
161,151 |
Printing and Postage |
172 |
4,231 |
Promotional Expenses |
786 |
19,290 |
Travel |
372 |
9,135 |
Office and Other Expenses |
5,172 |
126,859 |
TOTALS |
$ 8,842 |
$320,666
|
Transamerica International Equity | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
1,762 |
17,562 |
Printing and Postage |
130 |
461 |
Promotional Expenses |
592 |
2,102 |
Travel |
280 |
995 |
Office and Other Expenses |
3,894 |
13,825 |
TOTALS |
$ 6,658 |
$34,945
|
Transamerica International Growth | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
N/A |
N/A |
Compensation to Sales Personnel |
N/A |
N/A |
Printing and Postage |
N/A |
N/A |
Promotional Expenses |
N/A |
N/A |
Travel |
N/A |
N/A |
Office and Other Expenses |
N/A |
N/A |
TOTALS |
N/A |
N/A |
Transamerica Large Core | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
2,506 |
3,905 |
Printing and Postage |
185 |
103 |
Promotional Expenses |
842 |
467 |
Travel |
399 |
221 |
Office and Other Expenses |
5,539 |
3,074 |
TOTALS |
$ 9,471 |
$7,770
|
Transamerica Large Growth | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
7,412 |
43,472 |
Printing and Postage |
546 |
1,141 |
Promotional Expenses |
2,491 |
5,204 |
Travel |
1,180 |
2,464 |
Office and Other Expenses |
16,381 |
34,221 |
TOTALS |
$ 28,010 |
$86,502
|
Transamerica Large Value Opportunities | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
1,585 |
21,655 |
Printing and Postage |
117 |
569 |
Promotional Expenses |
533 |
2,592 |
Travel |
252 |
1,228 |
Office and Other Expenses |
3,504 |
17,047 |
TOTALS |
$ 5,991 |
$43,091
|
Transamerica Mid Cap Growth | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
2,723 |
488 |
Printing and Postage |
201 |
13 |
Promotional Expenses |
915 |
58 |
Travel |
433 |
28 |
Office and Other Expenses |
6,019 |
384 |
TOTALS |
$ 10,291 |
$971
|
Transamerica Mid Cap Value Opportunities | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
3,328 |
87,117 |
Printing and Postage |
245 |
2,287 |
Promotional Expenses |
1,119 |
10,428 |
Travel |
530 |
4,938 |
Office and Other Expenses |
7,356 |
68,579 |
TOTALS |
$ 12,578 |
$173,349
|
Transamerica Small Cap Growth | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
2,020 |
99 |
Printing and Postage |
149 |
3 |
Promotional Expenses |
679 |
12 |
Travel |
321 |
6 |
Office and Other Expenses |
4,464 |
78 |
TOTALS |
$ 7,633 |
$198
|
Transamerica Small Cap Value | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$ 0 |
$ 0 |
Compensation to Sales Personnel |
625 |
149 |
Printing and Postage |
46 |
4 |
Promotional Expenses |
210 |
18 |
Travel |
100 |
8 |
Office and Other Expenses |
1,382 |
118 |
TOTALS |
$ 2,363 |
$297
|
Transamerica Sustainable Bond | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
N/A |
N/A |
Compensation to Sales Personnel |
N/A |
N/A |
Printing and Postage |
N/A |
N/A |
Promotional Expenses |
N/A |
N/A |
Travel |
N/A |
N/A |
Office and Other Expenses |
N/A |
N/A |
TOTALS |
N/A |
N/A |
Fund Name |
Brokerage Commissions Paid (including affiliated commissions) |
Affiliated Brokerage Commissions Paid | ||||||||||
|
2020($) |
2020(%)* |
2019($) |
2019(%)^ |
2018($) |
2018(%)^ |
2020($) |
2020(%)* |
2019($) |
2019(%)* |
2018($) |
2018(%)* |
Transamerica Asset Allocation Intermediate Horizon |
N/A |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Asset Allocation Long Horizon |
N/A |
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Asset Allocation Short Horizon |
N/A |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Balanced II |
$ 16,075 |
0.14% |
$16,135
|
0.12% |
$ 22,386 |
0.15% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Emerging Markets Opportunities |
$ 684,638 |
5.89% |
N/A |
N/A |
N/A |
N/A |
$0.00 |
0.00% |
N/A |
N/A |
N/A |
N/A |
Transamerica Government Money Market |
N/A |
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica High Quality Bond |
N/A |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica High Yield Bond |
$ 8,793 |
0.08% |
$0.00
|
0.00% |
$ 1,580 |
0.01% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica High Yield ESG |
$ 63 |
0.00% |
N/A |
N/A |
N/A |
N/A |
$0.00 |
0.00% |
N/A |
N/A |
N/A |
N/A |
Transamerica Inflation-Protected Securities |
N/A |
0.00% |
$0.00
|
0.00% |
$8,847
|
0.06% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Intermediate Bond |
$ 40 |
0.00% |
$115 |
0.00% |
$879 |
0.01% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica International Equity |
$ 1,598,162 |
13.75% |
$1,809,001
|
13.06% |
$ 2,502,933 |
16.59% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica International Growth |
$ 676,644 |
5.82% |
$612,036 |
4.42% |
$ 1,063,045 |
7.04% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Large Core |
$ 122,443 |
1.05% |
$143,769
|
1.04% |
$ 108,952 |
0.72% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Large Growth |
$ 127,744 |
1.10% |
$199,383 |
1.44% |
$ 209,576 |
1.39% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Large Value Opportunities |
$ 417,741 |
3.59% |
$514,536
|
3.71% |
$ 438,129 |
2.90% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Mid Cap Growth |
$ 137,079 |
1.18% |
$91,849 |
0.66% |
$ 315,209 |
2.09% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Mid Cap Value Opportunities |
$ 1,425,858 |
12.27% |
$2,107,719
|
15.21% |
$2,116,847
|
14.03% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Small Cap Growth |
$ 159,197 |
1.37% |
$181,249 |
1.31% |
$ 131,779 |
0.87% |
$0.00 |
0.00% |
$0.00 |
0.00% |
$0.00 |
0.00% |
Transamerica Small Cap Value |
$ 810,848 |
6.98% |
$814,948
|
5.88% |
$ 327,063 |
2.17% |
$0.00
|
0.00% |
$0.00
|
0.00% |
$0.00
|
0.00% |
Transamerica Sustainable Bond |
N/A |
0.00% |
N/A |
N/A |
N/A |
N/A |
$0.00 |
0.00% |
N/A |
N/A |
N/A |
N/A |
Fund Name |
Paid as of
October 31, 2020 |
Transamerica Asset Allocation Intermediate Horizon |
$-
|
Transamerica Asset Allocation Long Horizon |
$- |
Transamerica Asset Allocation Short Horizon |
$-
|
Transamerica Balanced II |
$4,199 |
Transamerica Emerging Markets Opportunities |
$307,789
|
Transamerica Government Money Market |
$- |
Transamerica High Quality Bond |
$-
|
Transamerica High Yield Bond |
$- |
Transamerica High Yield ESG |
$-
|
Transamerica Inflation-Protected Securities |
$- |
Transamerica Intermediate Bond |
$-
|
Transamerica International Equity |
$888,075 |
Transamerica International Growth |
$655,347
|
Transamerica Large Core |
$77,086 |
Transamerica Large Growth |
$77,520
|
Transamerica Large Value Opportunities |
$280,955 |
Transamerica Mid Cap Growth |
$86,090
|
Transamerica Mid Cap Value Opportunities |
$1,177,303 |
Transamerica Small Cap Growth |
$133,556
|
Transamerica Small Cap Value |
$575,241 |
Transamerica Sustainable Bond |
$-
|
Fund Name |
Bank of
America
Corp. |
Barclays
Capital, Inc. |
Citigroup,
Inc. |
Credit Suisse Securities (USA) LLC |
Goldman
Sachs Group, Inc. |
J.P.
Morgan
Securities
LLC |
Morgan
Stanley &
Co., Inc. |
Societe
Generale |
State Street
Bank & Trust
Co. |
UBS
Securities
LLC |
Wells
Fargo
& Co. |
Transamerica Balanced II |
$ 730,002 |
$ 396,705 |
$ 1,236,950 |
$ 56,019 |
$ 616,785 |
$ 379,134 |
$ 1,344,861 |
$ - |
$ 158,971 |
$ 818,867 |
$ 555,673 |
Transamerica High Quality Bond |
$ 2,523,988 |
$ 2,011,575 |
$ 3,629,310 |
$ 2,905,062 |
$ 3,513,947 |
$ 763,944 |
$ 3,244,385 |
$ - |
$ - |
$ - |
$ 3,974,028 |
Transamerica High Yield Bond |
$ - |
$ 14,177,701 |
$ 9,481,614 |
$ 28,112,149 |
$ 984,082 |
$ 7,733,068 |
$ - |
$ 8,944,858 |
$ - |
$ - |
$ - |
Transamerica High Yield ESG |
$ - |
$ 206,214 |
$ 60,258 |
$ 212,002 |
$ - |
$ 98,600 |
$ - |
$ 205,440 |
$ - |
$ - |
$ - |
Transamerica Inflation-Protected Securities |
$ 1,675,666 |
$ - |
$ 968,266 |
$ - |
$ - |
$ 296,055 |
$ - |
$ - |
$ - |
$ - |
$ - |
Transamerica Intermediate Bond |
$ 16,872,144 |
$ 11,849,841 |
$ 18,637,076 |
$ 6,303,587 |
$ 9,623,923 |
$ 22,179,972 |
$ 30,501,039 |
$ - |
$ - |
$ 25,542,217 |
$ 12,459,810 |
Transamerica International Equity |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
$ - |
$ 63,121,292 |
$ - |
Transamerica Large Core |
$ - |
$ - |
$ 535,726 |
$ - |
$ - |
$ 2,170,508 |
$ 898,119 |
$ - |
$ 434,977 |
$ - |
$ - |
Transamerica Large Value Opportunities |
$ 1,379,814 |
$ - |
$ - |
$ - |
$ - |
$ 7,294,960 |
$ 848,162 |
$ - |
$ - |
$ - |
$ - |
Transamerica Sustainable Bond |
$ 464,707 |
$ 290,248 |
$ 225,309 |
$ - |
$ - |
$ 678,495 |
$ 139,816 |
$ - |
$ - |
$ - |
$- |
Name & Address |
Fund Name |
Class |
Percent |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Asset Allocation Intermediate Horizon |
R |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Asset Allocation Intermediate Horizon |
R4 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Asset Allocation Long Horizon |
R |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Asset Allocation Long Horizon |
R4 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Asset Allocation Short Horizon |
R |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Asset Allocation Short Horizon |
R4 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Balanced II |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Balanced II |
R |
100.00% |
Northern Tr CO Cust FBO Schaeffer
Revocable Family Trust
PO Box 92956
Chicago IL 60675-2994 |
Transamerica Emerging Markets Opportunities |
I |
60.21% |
Attn Mutual Funds
C/O ID 337
Sei Private Tr Co
1 Freedom VAlley Dr
Oaks PA 19456-9989 |
Transamerica Emerging Markets Opportunities |
I |
23.37% |
Northern Trust As Custodian
FBO University Of Missouri Medical
PO Box 92956
Chicago IL 60675-2994 |
Transamerica Emerging Markets Opportunities |
I |
6.33% |
Northern Tr CO Cust FBO David
Schaeffer Trust
PO Box 92956
Chicago IL 60675-2956 |
Transamerica Emerging Markets Opportunities |
I |
5.51% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset
Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Opportunities |
I2 |
33.55% |
Transamerica Asset
Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Opportunities |
I2 |
26.67% |
Transamerica Asset
Allocation-Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Opportunities |
I2 |
10.98% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Opportunities |
I2 |
7.46% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Opportunities |
I2 |
6.95% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Emerging Markets Opportunities |
R6 |
100.00% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Government Money Market |
A |
48.58% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Government Money Market |
A |
10.95% |
Edward D Jones & Co
For The Benefit Of Customers
12555 Manchester Rd
Saint Louis MO 63131-3710 |
Transamerica Government Money Market |
A |
10.07% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Government Money Market |
C |
6.57% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Government Money Market |
I |
31.77% |
Reid A Evers
1333 Valley View Rd Apt 28
Glendale CA 91202-1734 |
Transamerica Government Money Market |
I |
8.88% |
Universal Life Insurance Company
PO Box 2145
San Juan PR 00922-2145 |
Transamerica Government Money Market |
I2 |
99.41% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Government Money Market |
I3 |
100.00% |
Name & Address |
Fund Name |
Class |
Percent |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R2 Series
440 Mamaroneck Ave
Harrison NY 10528-2426 |
Transamerica Government Money Market |
R2 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Government Money Market |
R4 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Quality Bond |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Quality Bond |
R |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Quality Bond |
R4 |
100.00% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica High Yield Bond |
A |
24.04% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica High Yield Bond |
A |
8.52% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica High Yield Bond |
A |
7.85% |
Charles Schwab & CO Inc
211 Main St
San Francisco CA 94105-1905 |
Transamerica High Yield Bond |
C |
18.09% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica High Yield Bond |
C |
15.76% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica High Yield Bond |
C |
11.21% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica High Yield Bond |
C |
9.72% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica High Yield Bond |
C |
7.88% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica High Yield Bond |
C |
5.59% |
American Enterprise Investment Svc
707 2nd Ave S
Minneapolis MN 55402-2405 |
Transamerica High Yield Bond |
C |
5.30% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica High Yield Bond |
I |
81.08% |
Name & Address |
Fund Name |
Class |
Percent |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica High Yield Bond |
I |
9.69% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica High Yield Bond |
I2 |
46.45% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica High Yield Bond |
I2 |
37.12% |
Transamerica Asset Allocation-Conservative VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica High Yield Bond |
I2 |
6.05% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Yield Bond |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Yield Bond |
R |
85.66% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica High Yield Bond |
R |
14.34% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Yield Bond |
R4 |
100.00% |
Vanguard Fiduciary Trust Company
FBO 401k Clients
Attn: Investment Services
PO Box 2600 Vm L20
Valley Forge PA 19482-2600 |
Transamerica High Yield Bond |
R6 |
24.53% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept 4th Floor
Jersey City NJ 07310-1995 |
Transamerica High Yield Bond |
R6 |
18.00% |
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Yield Bond |
R6 |
16.24% |
Lincoln Retirement Services Company
FBO InspIRA 403B Savings Plan
PO Box 7876
Fort Wayne IN 46801-7876 |
Transamerica High Yield Bond |
R6 |
14.66% |
Reliance Trust Company
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Yield Bond |
R6 |
13.05% |
Trs-Im
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Yield Bond |
R6 |
11.66% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica High Yield ESG |
I |
94.47% |
Name & Address |
Fund Name |
Class |
Percent |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica High Yield ESG |
I |
5.53% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica High Yield ESG |
I2 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Inflation-Protected Securities |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Inflation-Protected Securities |
R |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Inflation-Protected Securities |
R4 |
100.00% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Intermediate Bond |
I2 |
55.56% |
Transamerica Asset Allocation-Conservative VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Intermediate Bond |
I2 |
12.70% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Intermediate Bond |
I2 |
7.96% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Intermediate Bond |
I2 |
7.66% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Intermediate Bond |
I2 |
5.60% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Intermediate Bond |
I2 |
5.60% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Intermediate Bond |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Intermediate Bond |
R |
87.43% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Intermediate Bond |
R |
12.57% |
Name & Address |
Fund Name |
Class |
Percent |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Intermediate Bond |
R4 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Intermediate Bond |
R6 |
100.00% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica International Equity |
A |
26.42% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica International Equity |
A |
19.49% |
Sammons Retirement Solution
4546 Corporate Dr Ste 100
Wdm IA 50266-5911 |
Transamerica International Equity |
A |
11.16% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica International Equity |
A |
7.71% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica International Equity |
C |
23.65% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica International Equity |
C |
19.59% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica International Equity |
C |
9.73% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica International Equity |
C |
8.05% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica International Equity |
C |
8.01% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica International Equity |
C |
6.95% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6486 |
Transamerica International Equity |
C |
6.76% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica International Equity |
C |
5.32% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica International Equity |
I |
42.61% |
Charles Schwab & CO Inc
101 Montgomery St
San Francisco CA 94104-4151 |
Transamerica International Equity |
I |
12.88% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dt E FL 2
Jacksonville FL 32246 |
Transamerica International Equity |
I |
7.36% |
Name & Address |
Fund Name |
Class |
Percent |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica International Equity |
I |
6.79% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0001 |
Transamerica International Equity |
I |
5.95% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Equity |
I2 |
22.06% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Equity |
I2 |
21.88% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Equity |
I2 |
10.78% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Equity |
I2 |
9.05% |
Transamerica International Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Equity |
I2 |
8.37% |
Transamerica Asset Allocation-Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Equity |
I2 |
7.62% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Equity |
I2 |
5.03% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica International Equity |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica International Equity |
R |
86.18% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica International Equity |
R |
13.82% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica International Equity |
R4 |
100.00% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept 4th Floor
Jersey City NJ 07310-1995 |
Transamerica International Equity |
R6 |
32.84% |
Name & Address |
Fund Name |
Class |
Percent |
Trs-Im
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica International Equity |
R6 |
10.69% |
Merrill Lynch Pierce Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica International Equity |
R6 |
9.16% |
Transamerica Life Insurance Co.
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica International Equity |
R6 |
6.56% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica International Growth |
A |
26.29% |
Umb Bank Na
Farwell Area Schools
403B-7 A/C Hugh W Lewis III
8757 Reiss Dr
Farwell MI 48622-8713 |
Transamerica International Growth |
A |
10.69% |
Umb Bank Na
Cust IRA FBO
Joyce Vicki Brady
304 Hobby St
Georgetown TX 78633-2301 |
Transamerica International Growth |
A |
5.86% |
Umb Bank Na
Cust Simple IRA FBO
Zonya E Foco
1240 Sand Lake Dr
Onsted MI 49265-9585 |
Transamerica International Growth |
A |
5.37% |
Umb Bank Na
Cust Simple IRA FBO
Terry J Pitchford
34 Water Front Ave
Lakeway TX 78734-5308 |
Transamerica International Growth |
A |
5.01% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica International Growth |
I |
49.07% |
Umb Bank Na
Cust Roth IRA FBO
Sandra M Coyle
4 Thomsen Ct
Stony Point NY 10980-3461 |
Transamerica International Growth |
I |
23.45% |
Umb Bank Na Cust Dcd Roth IRA For
Helena Kobinski (Dcd)
FBO Sabina M Kobinski
5418 69th Pl
Maspeth NY 11378-1810 |
Transamerica International Growth |
I |
18.83% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
I2 |
27.17% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
I2 |
26.46% |
Transamerica International Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
I2 |
10.39% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
I2 |
9.44% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Allocation-Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
I2 |
8.93% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
I2 |
6.81% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica International Growth |
R6 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Core |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Core |
R |
90.53% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Large Core |
R |
9.39% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Core |
R4 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Growth |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Growth |
R |
89.21% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Large Growth |
R |
10.79% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Growth |
R4 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Large Growth |
R6 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Value Opportunities |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Value Opportunities |
R |
94.48% |
Name & Address |
Fund Name |
Class |
Percent |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Large Value Opportunities |
R |
5.52% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Value Opportunities |
R4 |
100.00% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Mid Cap Growth |
A |
70.95% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Mid Cap Growth |
C |
36.04% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Mid Cap Growth |
C |
12.62% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Mid Cap Growth |
I |
27.44% |
Interactive Brokers LLC
2 Pickwick Plz Ste 202
Greenwich CT 06830-5576 |
Transamerica Mid Cap Growth |
I |
19.61% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Mid Cap Growth |
I |
16.53% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Mid Cap Growth |
I |
14.01% |
Interactive Brokers LLC
Cash Distribution Omnibus Account1
2 Pickwick Plaza
Greenwich CT 06830-5576 |
Transamerica Mid Cap Growth |
I |
10.33% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Mid Cap Growth |
I |
7.48% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Growth |
I2 |
34.46% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Growth |
I2 |
33.42% |
Transamerica Asset Allocation-Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Growth |
I2 |
10.02% |
Transamerica Asset Allocation-Conservative VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Growth |
I2 |
6.14% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Growth |
I2 |
5.96% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Mid Cap Growth |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Mid Cap Growth |
R |
73.58% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Mid Cap Growth |
R |
26.42% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Mid Cap Growth |
R4 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Mid Cap Growth |
R6 |
100.00% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value |
I2 |
37.76% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value |
I2 |
33.39% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value |
I2 |
19.28% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Mid Cap Value Opportunities |
A |
17.21% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Mid Cap Value Opportunities |
A |
17.03% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Mid Cap Value Opportunities |
A |
10.25% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Mid Cap Value Opportunities |
A |
7.94% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Mid Cap Value Opportunities |
A |
5.88% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Mid Cap Value Opportunities |
A |
5.88% |
Name & Address |
Fund Name |
Class |
Percent |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Mid Cap Value Opportunities |
A |
5.45% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Mid Cap Value Opportunities |
C |
28.95% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Mid Cap Value Opportunities |
C |
22.08% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Mid Cap Value Opportunities |
C |
11.83% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Mid Cap Value Opportunities |
C |
8.24% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Mid Cap Value Opportunities |
C |
6.00% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Mid Cap Value Opportunities |
C |
5.49% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Mid Cap Value Opportunities |
C |
5.02% |
Morgan Stanley Smith Barney LLC
For The Exclusive Bene Of Its Cust
1 New York Plz FL 12
New York NY 10004-1932 |
Transamerica Mid Cap Value Opportunities |
I |
20.15% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Mid Cap Value Opportunities |
I |
17.27% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Mid Cap Value Opportunities |
I |
15.02% |
UBS WM USA
Spec Cdy A/C Eboc Ubsfsi
1000 Harbor Blvd
Weehawken NJ 07086-6761 |
Transamerica Mid Cap Value Opportunities |
I |
10.66% |
TD Ameritrade Inc
PO Box 2226
Omaha NE 68103-2226 |
Transamerica Mid Cap Value Opportunities |
I |
8.07% |
Merrill Lynch Fenner & Smith Inc
4800 Deer Lake Dr E Fl 2
Jacksonville FL 32246-6484 |
Transamerica Mid Cap Value Opportunities |
I |
7.39% |
Wells Fargo Clearing Services LLC
2801 Market St
Saint Louis MO 63103-2523 |
Transamerica Mid Cap Value Opportunities |
I |
5.76% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value Opportunities |
I2 |
40.80% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value Opportunities |
I2 |
34.38% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Allocation-Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value Opportunities |
I2 |
9.03% |
Transamerica Asset Allocation-Conservative VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value Opportunities |
I2 |
7.61% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Mid Cap Value Opportunities |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Mid Cap Value Opportunities |
R |
86.10% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Mid Cap Value Opportunities |
R |
13.90% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Mid Cap Value Opportunities |
R4 |
98.90% |
Tiaa, Fsb Cust/Ttee FBO:
Retirement Plans For Which
Tiaa Acts As Recordkeeper
Attn: Trust Operations
211 N Broadway Ste 1000
Saint Louis MO 63102-2748 |
Transamerica Mid Cap Value Opportunities |
R6 |
56.50% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Mid Cap Value Opportunities |
R6 |
29.35% |
Dcgt As Ttee And/Or Cust
FBO Plic Various Retirement Plans
Omnibus
Attn Npio Trade Desk
711 High St
Des Moines IA 50392-0001 |
Transamerica Mid Cap Value Opportunities |
R6 |
5.51% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Small Cap Growth |
A |
53.18% |
Charles Schwab & Co
101 Montgomery St
San Francisco CA 94104-4151 |
Transamerica Small Cap Growth |
A |
7.66% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Small Cap Growth |
C |
38.73% |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main Street
San Francisco CA 94105-1905 |
Transamerica Small Cap Growth |
C |
16.25% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Small Cap Growth |
C |
10.62% |
American Enterprise Investment Svc
707 2nd Ave S
Minneapolis MN 55402-2405 |
Transamerica Small Cap Growth |
C |
8.69% |
Name & Address |
Fund Name |
Class |
Percent |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Small Cap Growth |
I |
81.73% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Small Cap Growth |
I |
11.32% |
Saxon & Co.
PO Box 94597
Cleveland OH 44101-4597 |
Transamerica Small Cap Growth |
I2 |
45.31% |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Growth |
I2 |
15.76% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Growth |
I2 |
11.15% |
Transamerica Asset Allocation - Moderate Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Growth |
I2 |
10.57% |
Transamerica Asset Allocation - Conservative Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Growth |
I2 |
5.70% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Small Cap Growth |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Small Cap Growth |
R |
74.35% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Small Cap Growth |
R |
25.65% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Small Cap Growth |
R4 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Small Cap Growth |
R6 |
100.00% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Small Cap Value |
A |
42.07% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Small Cap Value |
A |
29.80% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Small Cap Value |
A |
10.63% |
Name & Address |
Fund Name |
Class |
Percent |
Charles Schwab & CO Inc
Special Custody A/C FBO Customers
Attn Mutual Funds
211 Main St
San Francisco CA 94105-1905 |
Transamerica Small Cap Value |
C |
41.57% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica Small Cap Value |
C |
20.04% |
National Financial Services LLC
For the Exclusive Benefit of Our Customers
499 Washington Blvd
Attn Mutual Fund Dept - 4th Floor
Jersey City NJ 07310-1995 |
Transamerica Small Cap Value |
C |
15.00% |
Pershing LLC
1 Pershing Plz
Jersey City NJ 07399-0002 |
Transamerica Small Cap Value |
C |
7.86% |
LPL Financial
Omnibus Customer Account
Attn Mutual Fund Trading
4707 Executive Dr
San Diego CA 92121-3091 |
Transamerica Small Cap Value |
C |
7.54% |
T. Rowe Price Retirement Plan
Services Inc
FBO Retirement Plan Clients
4515 Painters Mill Rd
Owings Mills MD 21117-4903 |
Transamerica Small Cap Value |
I |
94.29% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Value |
I2 |
42.92% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Value |
I2 |
29.51% |
Transamerica Asset Allocation-Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Value |
I2 |
10.29% |
Transamerica Asset Allocation-Conservative VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Value |
I2 |
7.89% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Small Cap Value |
I3 |
100.00% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Small Cap Value |
R |
83.52% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Small Cap Value |
R |
16.48% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Small Cap Value |
R4 |
100.00% |
Name & Address |
Fund Name |
Class |
Percent |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Small Cap Value |
R6 |
100.00% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Sustainable Bond |
I |
99.80% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Sustainable Bond |
I2 |
100.00% |
Name & Address |
Fund Name |
Percentage of Fund
Owned |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Asset Allocation Long Horizon |
96.74% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Asset Allocation Intermediate Horizon |
96.89% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Asset Allocation Long Horizon |
96.73% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Asset Allocation Short Horizon |
99.52% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Balanced II |
57.22% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Balanced II |
42.78% |
Transamerica Asset
Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Opportunities |
33.25% |
Name & Address |
Fund Name |
Percentage of Fund
Owned |
Transamerica Asset
Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Emerging Markets Opportunities |
26.43% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica High Quality Bond |
69.35% |
Raymond James
880 Carillon Pkwy
St Petersburg FL 33716-1100 |
Transamerica High Yield Bond |
29.79% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica High Yield ESG |
94.72% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Inflation-Protected Securities |
90.24% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Intermediate Bond |
37.52% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
27.16% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica International Growth |
26.45% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Core |
66.38% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Core |
29.22% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Growth |
78.78% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class I3 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Large Value Opportunities |
79.76% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Growth |
25.74% |
Name & Address |
Fund Name |
Percentage of Fund
Owned |
Transamerica Asset Allocation - Moderate Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value |
37.76% |
Transamerica Asset Allocation - Growth Portfolio
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Mid Cap Value |
33.39% |
Transamerica Asset Allocation-Moderate VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Value |
39.62% |
Transamerica Asset Allocation-Moderate Growth VP
Investment Account
Attn Fund Operations Mailstop 20B
1801 California St Ste 5200
Denver CO 80202-2642 |
Transamerica Small Cap Value |
27.24% |
Transamerica Asset Management Inc
Seed Money Account
Attn Corporate Accounting
6400 C St Sw Msc 2H-Cr
Cedar Rapids IA 52499-0003 |
Transamerica Sustainable Bond |
95.99% |
|
Public Company
Executive or
Fund Manager1 |
# Outside Public
Boards2 |
Total # of Public
Boards |
Director A |
✓ |
1 |
2 |
Director B |
F078 |
3 |
4 |
1 In this instance, “fund manager” refers to individuals whose full-time employment involves responsibility for the investment and oversight of fund
vehicles, and those who have employment as professional
investors and provide oversight for those holdings.2 In addition to the company under review. |
|
Combined Chair/ CEO Model |
Separate Chair Model | |
|
Chair/ CEO |
Lead Director |
Chair |
Board Meetings |
|
|
|
Authority to call full meetings of the
board of directors |
Attends full meetings of the board of
directors |
Authority to call full meetings of the
board of directors | |
|
Authority to call meetings of independent directors |
| |
|
Briefs CEO on issues arising from
executive sessions |
| |
Agenda |
|
|
|
Primary responsibility for shaping
board agendas, consulting with the lead
director |
Collaborates with chair/CEO to set
board agenda and board information |
Primary responsibility for shaping
board agendas, in conjunction with
CEO | |
Board Communications |
|
|
|
Communicates with all directors on key
issues and concerns outside board
meetings |
Facilitates discussion among
independent directors on key issues and
concerns outside of full board meetings,
including contributing to the oversight
of CEO and management succession
planning |
Facilitates discussion among
independent directors on key issues and
concerns outside of full board meetings,
including contributing to the oversight
of CEO and management succession
planning |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Bradley D. Doyle, CFA |
6 |
$5.46 billion |
8 |
$2.13 billion |
15 |
$41.56 billion |
Tyler A. Knight, CFA |
5 |
$6.66 billion |
7 |
$2.52 billion |
22 |
$11.54 billion |
Brian W. Westhoff, CFA |
6 |
$8.11 billion |
7 |
$2.49 billion |
17 |
$43.05 billion |
Sivakumar N. Rajan |
3 |
$3.04 billion |
5 |
$996 million |
7 |
$40.90 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Bradley D. Doyle, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Tyler A. Knight, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Brian W. Westhoff, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Sivakumar N. Rajan |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Kevin Bakker, CFA |
2 |
$259 million |
13 |
$3.60 billion |
14 |
$2.74 billion |
Benjamin D. Miller, CFA |
2 |
$259 million |
13 |
$3.60 billion |
14 |
$2.74 billion |
James K. Schaeffer, Jr. |
4 |
$2.24 billion |
16 |
$4.71 billion |
21 |
$3.04 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Kevin Bakker, CFA |
0 |
$0 |
0 |
$0 |
1 |
$444 million |
Benjamin D. Miller, CFA |
0 |
$0 |
0 |
$0 |
1 |
$444 million |
James K. Schaeffer, Jr. |
0 |
$0 |
0 |
$0 |
11 |
$4.35 billion |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Kevin Bakker, CFA |
2 |
$2.83 billion |
13 |
$3.60 billion |
14 |
$2.74 billion |
Benjamin D. Miller, CFA |
2 |
$2.83 billion |
13 |
$3.60 billion |
14 |
$2.74 billion |
James K. Schaeffer, Jr. |
4 |
$4.81 billion |
16 |
$4.71 billion |
21 |
$3.04 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Kevin Bakker, CFA |
0 |
$0 |
0 |
$0 |
1 |
$444 million |
Benjamin D. Miller, CFA |
0 |
$0 |
0 |
$0 |
1 |
$444 million |
James K. Schaeffer, Jr. |
0 |
$0 |
0 |
$0 |
11 |
$4.35 billion |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Bradley D. Doyle, CFA |
6 |
$3.64 billion |
8 |
$2.13 billion |
15 |
$41.6 billion |
Tyler A. Knight, CFA |
5 |
$8.57 billion |
7 |
$2.52 billion |
22 |
$11.54 billion |
Brian W. Westhoff, CFA |
6 |
$10.02 billion |
7 |
$2.49 billion |
17 |
$43.05 billion |
Sivakumar N. Rajan |
3 |
$4.96 billion |
5 |
$996 million |
7 |
$40.90 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Bradley D. Doyle, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Tyler A. Knight, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Brian W. Westhoff, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Sivakumar N. Rajan |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Bradley D. Doyle, CFA |
7 |
$5.49 billion |
8 |
$2.13 billion |
15 |
$41.56 billion |
Charles Foster, CFA |
2 |
$496 million |
5 |
$1.06 billion |
9 |
$3.13 billion |
James Rich |
1 |
$0 |
2 |
$54 million |
5 |
$247 million |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Bradley D. Doyle, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Charles Foster, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
James Rich |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Range of Securities Owned |
Fund |
Kevin Bakker, CFA |
$100,001 - $500,000 |
Transamerica High Yield Bond |
Benjamin D. Miller, CFA |
$10,001 - $50,000 |
Transamerica High Yield Bond |
James K. Schaeffer, Jr. |
$100,001 - $500,000 |
Transamerica High Yield Bond |
Portfolio Manager |
Registered Investment
Companies* |
Other Pooled Investment
Vehicles* |
Other Accounts* | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Tim Snyder, CFA |
9 |
$8.17 billion |
10 |
$3.89 billion |
12 |
$8.69 billion |
Raffaele Zingone, CFA |
13 |
$22.44 billion |
10 |
$3.81 billion |
12 |
$8.80 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Tim Snyder, CFA |
0 |
$0 |
1 |
$109 million |
2 |
$489 million |
Raffaele Zingone, CFA |
0 |
$0 |
0 |
$0 |
3 |
$598 million |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Peter S. Kaplan, CFA |
1 |
$173.05 million |
0 |
$0 |
10 |
$3.54 billion |
Adam Ware, CFA |
1 |
$173.05 million |
2 |
$413.23 million |
37 |
$4.49 billion |
Jennifer K. Wynn, CFA |
1 |
$173.05 million |
0 |
$0 |
0 |
$0 |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Peter S. Kaplan, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Adam Ware, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Jennifer K. Wynn, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts* | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Dennis P. Lynch |
23 |
$37.43 billion |
21 |
$22.86 billion |
17 |
$7.67 billion |
Sam G. Chainani, CFA |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
Jason C. Yeung, CFA |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
David S. Cohen |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
Armistead B. Nash |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
Alexander T. Norton |
22 |
$37.41 billion |
20 |
$22.85 billion |
16 |
$7.57 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Dennis P. Lynch |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Sam G. Chainani, CFA |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Jason C. Yeung, CFA |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
David S. Cohen |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Armistead B. Nash |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Alexander T. Norton |
0 |
$0 |
0 |
$0 |
2 |
$581.7 million |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Jason R. Ballsrud, CFA |
1 |
$472.6 million |
1 |
$3.1 million |
3 |
$222.3 million |
Tasso H. Coin, Jr., CFA |
1 |
$472.6 million |
1 |
$3.1 million |
3 |
$222.3 million |
Douglas G. Pugh, CFA |
1 |
$472.6 million |
1 |
$3.1 million |
3 |
$222.3 million |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Jason R. Ballsrud, CFA |
0 |
$0 |
0 |
$0 |
1 |
$293.2 million |
Tasso H. Coin, Jr., CFA |
0 |
$0 |
0 |
$0 |
1 |
$293.2 million |
Douglas G. Pugh, CFA |
0 |
$0 |
0 |
$0 |
1 |
$293.2 million |
Portfolio Manager |
Range of Securities Owned |
Fund |
Jason R. Ballsrud, CFA |
$500,000 - $1,000,000 |
Transamerica Small Cap Value |
Douglas G. Pugh, CFA |
$500,000 - $1,000,000 |
Transamerica Small Cap Value |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Robert A. Vanden Assem, CFA |
9 |
$3.07 billion |
14 |
$3.08 billion |
15 |
$4.96 billion |
Roberto Coronado |
6 |
$3.22 billion |
5 |
$1.01 billion |
3 |
$3.03 billion |
Gunter H. Seeger |
4 |
$1.96 billion |
0 |
$0 |
0 |
$0 |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Robert A. Vanden Assem, CFA |
0 |
$0 |
0 |
$0 |
3 |
$849 million |
Roberto Coronado |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Gunter H. Seeger |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Sheedsa Ali, CFA |
3 |
$2.09 billion |
3 |
$260 million |
10 |
$1.30 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Sheedsa Ali, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Sheedsa Ali, CFA |
3 |
$2.09 billion |
3 |
$260 million |
10 |
$1.30 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Sheedsa Ali, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
W. Conrad Doenges |
5 |
$322.7 million |
4 |
$125.1 |
23 |
$1.1 billion |
Andrew Hill |
5 |
$322.7 million |
4 |
$125.1 |
23 |
$1.1 billion |
Joseph LaBate |
5 |
$322.7 million |
4 |
$125.1 |
23 |
$1.1 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
W. Conrad Doenges |
0 |
$0 |
1 |
$58.8 million |
0 |
$0 |
Andrew Hill |
0 |
$0 |
1 |
$58.8 million |
0 |
$0 |
Joseph LaBate |
0 |
$0 |
1 |
$58.8 million |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Michael E. Brown, CFA* |
0 |
$0 |
2 |
$483.5 million |
0 |
$0 |
Alfred Li, CFA |
0 |
$0 |
2 |
$242 million |
0 |
$0 |
Jeff Tiefenbach, CFA |
0 |
$0 |
5 |
$663 million |
11 |
$5.6 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Michael E. Brown, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Alfred Li, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Jeff Tiefenbach, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Brandon H. Harrell, CFA |
5 |
$2.50 billion |
6 |
$1.42 billion |
13 |
$3.75 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Brandon H. Harrell, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
R. Michael Creager, CFA |
3 |
$766.6 million |
1 |
$73.1 million |
19 |
$1.32 billion |
Brett P. Hawkins, CFA |
4 |
$798.4 million |
3 |
$140.3 million |
35 |
$2.21 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
R. Michael Creager, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Brett P. Hawkins, CFA |
0 |
$0 |
0 |
$0 |
1 |
$11 million |
Portfolio Manager |
Range of Securities Owned |
Fund |
Brandon H. Harrell, CFA |
$500,001 - $1,000,000 |
Transamerica International Equity |
Brett P. Hawkins, CFA |
Over $1,000,000 |
Transamerica Mid Cap Value Opportunities |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Christopher A. Staples, CFA |
7 |
$691 million |
10 |
$82 million |
5 |
$9.5 million |
Kane Cotton, CFA |
7 |
$691 million |
10 |
$82 million |
5 |
$9.5 million |
Rufat Garalov, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Christopher A. Staples, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Kane Cotton, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Rufat Garalov, CFA* |
0 |
$0 |
0 |
$0 |
0 |
$0 |
* as of April 30, 2021 |
|
|
|
|
|
|
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Mary L. Pryshlak, CFA |
11 |
$7.42 billion |
53 |
$18.72 billion |
90 |
$32.94 billion |
Jonathan G. White, CFA |
11 |
$7.42 billion |
53 |
$18.72 billion |
92 |
$33.03 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Mary L. Pryshlak, CFA |
2 |
$825.2 million |
10 |
$6.11 billion |
14 |
$5.93 billion |
Jonathan G. White, CFA |
2 |
$825.2 million |
10 |
$6.11 billion |
14 |
$5.93 billion |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Mammen Chally, CFA |
11 |
$19.08 billion |
11 |
$1.74 billion |
13 |
$1.53 billion |
Douglas McLane, CFA |
11 |
$19.08 billion |
23 |
$2.07 billion |
40 |
$1.69 billion |
David Siegle, CFA |
11 |
$19.08 billion |
10 |
$1.73 billion |
13 |
$1.53 billion |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Mammen Chally, CFA |
0 |
$0 |
1 |
$6.31 million |
1 |
$316.9 million |
Douglas McLane, CFA |
0 |
$0 |
2 |
$193.9 million |
1 |
$316.9 million |
David Siegle, CFA |
0 |
$0 |
0 |
$0 |
1 |
$316.9 million |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Timothy N. Manning |
3 |
$538.5 million |
6 |
$214.03 million |
6 |
$960.2 million |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Timothy N. Manning |
1 |
$372.5 million |
1 |
$10.4 million |
0 |
$0 |
Fund |
Benchmark Index and/or Peer Group
for Incentive Period |
Transamerica Large Growth
Transamerica Mid Cap Growth |
Russell 1000® Growth Index
Russell Midcap® Growth Index |
Transamerica Emerging Markets Opportunities |
N/A |
Transamerica Balanced II | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$11,513.75 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$361.79 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$555.90 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$7,274.06 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$8,191.75 |
Net income from securities lending activities |
$3,322.00 |
Transamerica Emerging Markets Opportunities | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$71,841.72 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$6,972.10 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$1,040.07 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$994.55 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$9,006.72 |
Net income from securities lending activities |
$62,835.00 |
Transamerica High Quality Bond | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$7,788.15 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$260.84 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$481.70 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$4,701.61 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$5,444.15 |
Net income from securities lending activities |
$2,344.00 |
Transamerica High Yield Bond | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$551,675.93 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$24,989.88 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$23,234.41 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$278,055.64 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$326,279.93 |
Net income from securities lending activities |
$225,396.00 |
Transamerica High Yield ESG | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$72.65 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$6.89 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$2.76 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$0.00 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$9.65 |
Net income from securities lending activities |
$63.00 |
Transamerica Inflation-Protected Securities | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$10,184.62 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$682.13 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$338.99 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$3,014.50 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$4,035.62 |
Net income from securities lending activities |
$6,149.00 |
Transamerica Intermediate Bond | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$269,611.76 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$14,450.61 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$15,348.90 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$109,738.25 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$139,537.76 |
Net income from securities lending activities |
$130,074.00 |
Transamerica International Equity |
|
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$685,820.43 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$48,373.92 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$13,686.17 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$188,438.34 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$250,498.43 |
Net income from securities lending activities |
$435,322.00 |
Transamerica International Growth |
|
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$392,409.67 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$27,407.59 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$6,491.78 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$111,842.30 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$145,741.67 |
Net income from securities lending activities |
$246,668.00 |
Transamerica Large Core | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$10,945.57 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$365.42 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$413.20 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$6,855.95 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$7,634.57 |
Net income from securities lending activities |
$3,311.00 |
Transamerica Large Growth | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$482,246.77 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$14,227.81 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$13,089.38 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$326,786.58 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$354,103.77 |
Net income from securities lending activities |
$128,143.00 |
Transamerica Large Value Opportunities |
|
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$30,858.60 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$1,123.93 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$1,089.88 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$18,513.79 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$20,727.60 |
Net income from securities lending activities |
$10,131.00 |
Transamerica Mid Cap Growth | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$93,933.26 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$1,685.40 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$2,301.76 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$74,754.10 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$78,741.26 |
Net income from securities lending activities |
$15,192.00 |
Transamerica Mid Cap Value Opportunities | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$27,067.92 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$2,200.06 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$455.27 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$4,586.59 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$7,241.92 |
Net income from securities lending activities |
$19,826.00 |
Transamerica Small Cap Growth | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$82,275.12 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$2,706.90 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$2,542.93 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$52,415.29 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$57,665.12 |
Net income from securities lending activities |
$24,610.00 |
Transamerica Small Cap Value | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$155,572.10 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$12,205.33 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$1,581.63 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$31,277.14 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$45,064.10 |
Net income from securities lending activities |
$110,508.00 |
Transamerica Sustainable Bond | |
Gross income from securities lending activities (including income from
cash collateral reinvestment) |
$309.67 |
Fees and/or compensation for securities lending
activities and related services | |
Fees paid to securities lending agent from a revenue split
|
$12.43 |
Fees paid for any cash collateral management service (including fees
deducted from a pooled cash collateral reinvestment vehicle) that are not included in the revenue split |
$64.69 |
Administrative fees not included in revenue split |
$0.00 |
Indemnification fees not included in revenue split |
$0.00 |
Rebate (paid to borrower) |
$114.55 |
Other fees not included in revenue split |
$0.00 |
Aggregate fees/compensation for securities lending activities
|
$191.67 |
Net income from securities lending activities |
$118.00 |
Fund |
Class R Ticker |
Class R4 Ticker |
Transamerica Stock Index |
TSTRX |
TSTFX |
|
Page |
2 | |
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5 | |
15 | |
15 | |
20 | |
20 | |
26 | |
26 | |
27 | |
28 | |
28 | |
28 | |
28 | |
30 | |
33 | |
33 | |
33 | |
33 | |
33 | |
34 | |
36 | |
36 | |
36 | |
37 | |
38 | |
40 | |
41 | |
43 | |
43 | |
48 | |
A-1 | |
B-1 | |
C-1 |
Recipient |
Purpose |
Frequency |
Bloomberg LP |
Statistical ranking, rating, and/or performance attribution analysis |
Daily |
Broadridge |
Print vendor for shareholder documents, proxy solicitor/tabulator, 15(c) analysis |
Daily |
CAPIS |
Trade execution analysis |
Daily |
eVestment Alliance, LLC |
Institutional sales and RFP opportunities |
Quarterly |
FactSet |
Statistical ranking, rating, and/or performance attribution analysis |
Daily |
FXTransparency |
Trade execution analysis |
Daily |
Glass Lewis & Co. |
Proxy voting services |
Quarterly |
Globe Tax Services, Inc. |
ECJ foreign tax reclaim services |
As necessary |
Grant Thornton Pakistan |
Provide tax services for market in Pakistan |
As necessary |
IDC |
Pricing |
As necessary |
Investment Company Institute |
Holdings Information on Form N-PORT |
Quarterly |
KPMG Taiwan |
Provide tax services for market in Taiwan |
As necessary |
Lipper, Inc. |
Statistical ranking, rating, and/or performance attribution analysis |
Quarterly |
Markit North America |
Pricing |
As necessary |
Morningstar LLC |
Statistical ranking, rating, and/or performance attribution analysis |
Daily |
PricewaterhouseCoopers Private Limited |
Provide tax services for market in India |
As necessary |
Refinitiv US LLC |
Pricing |
As necessary |
R.R. Donnelly |
Financial reporting |
Monthly |
Schwab CT |
Code of Ethics monitoring |
Daily |
truView |
Risk and liquidity management analytics |
Daily |
Name and Age |
Position(s)
Held with
Trust |
Term of
Office and
Length
of Time
Served* |
Principal Occupation(s)
During Past Five Years |
Number of
Funds in
Complex
Overseen
by Board
Member |
Other
Directorships Held
By Board Member
|
INTERESTED BOARD MEMBERS | |||||
Marijn P. Smit
(47) |
Chairman of the Board,
President and
Chief Executive
Officer |
Since 2014 |
Chairman of the Board, President and Chief Executive Officer, TF, TST and TAAVF (2014 – present);
Chairman of the Board, President and Chief
Executive Officer, TET (2017 – present);
Chairman of the Board, President and Chief
Executive Officer, Transamerica Partners
Portfolio (“TPP”), Transamerica Partners
Funds Group (“TPFG”) and Transamerica
Partners Funds Group II (“TPFG II”) (2014
– 2018); Director, Chairman of the Board, President and Chief Executive Officer, Transamerica |
121 |
Director, Massachusetts Fidelity Trust Company (2014 - 2021);
Director, Aegon Global
Funds (2016 - present) |
Name and Age |
Position(s)
Held with
Trust |
Term of
Office and
Length
of Time
Served* |
Principal Occupation(s)
During Past Five Years |
Number of
Funds in
Complex
Overseen
by Board
Member |
Other
Directorships Held
By Board Member
|
INTERESTED BOARD MEMBERS—continued | |||||
Marijn P. Smit
(continued) |
|
|
Asset Management, Inc. (“TAM”) and Transamerica Fund Services, Inc. (“TFS”) (2014 – present);
Senior Vice President, Transamerica
Retirement Solutions LLC (2012 - present);
Trust Officer, Massachusetts Fidelity Trust
Company (2014 - 2021); President, Investment Solutions, Transamerica Investments & Retirement (2014 – 2016);
Vice President, Transamerica Life Insurance
Company (2010 – 2016); Vice President, Transamerica Premier Life Insurance Company (2010 – 2016);
Senior Vice President, Transamerica
Financial Life Insurance Company (2013 –
2016); Senior Vice President, Transamerica Retirement Advisors, Inc. (2013 – 2016) and President and Director, Transamerica Stable Value Solutions, Inc. (2010 – 2016). |
|
|
Alan F. Warrick (72) |
Board Member |
Since 2012 |
Board Member, TF, TST and TAAVF (2012
– present);
Board Member, TPP, TPFG and TPFG II
(2012 – 2018); Senior Advisor, Lovell Minnick Equity Partners (2010 – present); and Retired (2010). |
116 |
N/A |
INDEPENDENT BOARD MEMBERS | |||||
Sandra N. Bane
(69) |
Board Member |
Since 2008 |
Retired (1999 – present);
Board Member, TF, TST and TAAVF (2008
– present);
Board Member, TPP, TPFG and TPFG II
(2008 – 2018); and
Partner, KPMG (1975 – 1999). |
116 |
Big 5 Sporting Goods
(2002 – present); Southern Company Gas (energy services holding company) (2008 – present) |
Leo J. Hill
(65) |
Lead Independent Board Member |
Since 2002 |
Principal, Advisor Network Solutions, LLC (business consulting) (2006 – present); Board Member, TST (2001 – present); Board Member, TF (2002 – present); Board Member, TAAVF (2007 – present); Board Member, TPP, TPFG and TPFG II (2007 – 2018);
Market President, Nations Bank of Sun
Coast Florida (1998 – 1999);
Chairman, President and Chief Executive
Officer, Barnett Banks of Treasure Coast
Florida (1994 – 1998);
Executive Vice President and Senior Credit
Officer, Barnett Banks of Jacksonville,
Florida (1991 – 1994);
and Senior Vice President and Senior Loan
Administration Officer, Wachovia Bank of
Georgia (1976 – 1991). |
116 |
Ameris Bancorp (2013 – present); Ameris Bank (2013 – present) |
David W. Jennings
(74) |
Board Member |
Since 2009 |
Board Member, TF, TST and TAAVF (2009
– present);
Board Member, TPP, TPFG and TPFG II
(2009 – 2018); Managing Director, Hilton Capital Management, LLC (2010 – present). |
116 |
N/A |
Fredric A. Nelson III |
Board Member |
Since 2017 |
Board Member, TF, TST and TAAVF (2017 |
116 |
N/A |
Name and Age |
Position(s)
Held with
Trust |
Term of
Office and
Length
of Time
Served* |
Principal Occupation(s)
During Past Five Years |
Number of
Funds in
Complex
Overseen
by Board
Member |
Other
Directorships Held
By Board Member
|
INDEPENDENT BOARD MEMBERS—continued | |||||
Fredric A. Nelson III
(continued)(64) |
|
|
– present); Board Member, TPP, TPFG and TPFG II (2017 – 2018);
Chief Investment Officer (“CIO”),
Commonfund (2011 – 2015);
Vice Chairman, CIO, ING Investment
Management Americas (2003 – 2009);
Managing Director, Head of U.S. Equity, JP
Morgan Investment Management (1994 –
2003);
and Managing Director, Head of Global
Quantitative Investments Group, Bankers
Trust Global Investment Management (1981
– 1994). |
|
|
John E. Pelletier
(57) |
Board Member |
Since 2017 |
Board Member, TF, TST and TAAVF (2017
– present);
Board Member, TPP, TPFG and TPFG II
(2017 – 2018); Director, Center for Financial Literacy, Champlain College (2010 – present);
Co-Chair, Vermont Financial Literacy
Commission with Vermont State Treasurer
(2015 – 2018);
Chairman, Vermont Universal Children’s
Higher Education Savings Account Program
Advisory Committee (2015 – 2021);
Founder and Principal, Sterling Valley
Consulting LLC (a financial services
consulting firm) (2009 – 2017);
Independent Director, The Sentinel Funds
and Sentinel Variable Products Trust (2013 –
2017);
Chief Legal Officer, Eaton Vance Corp.
(2007 – 2008);
and Executive Vice President and Chief
Operating Officer (2004 - 2007), General
Counsel (1997 – 2004), Natixis Global
Associates. |
116 |
N/A |
Patricia L. Sawyer
(71) |
Board Member |
Since 2007 |
Retired (2007 – present); President/Founder, Smith & Sawyer LLC (management consulting) (1989 – 2007); Board Member, TF and TST (2007 – present); Board Member, TAAVF (1993 – present); Board Member, TPP, TPFG and TPFG II (1993 – 2018);
and Trustee, Chair of Finance Committee
and Chair of Nominating Committee (1987
– 1996), Bryant University. |
116 |
Honorary Trustee, Bryant University (1996 – present) |
John W. Waechter
(69) |
Board Member |
Since 2005 |
Partner, Englander Fischer (2016 – present)
(law firm);
Attorney, Englander Fischer (2008 – 2015);
Retired (2004 – 2008);
Board Member, TST (2004 – present);
Board Member, TF (2005 – present);
Board Member, TAAVF (2007 – present);
Board Member, TPP, TPFG and TPFG II
(2007 – 2018); Employee, RBC Dain Rauscher (securities dealer) (2004); Executive Vice President, |
116 |
Board Member,
Operation PAR, Inc.
(non-profit organization)
(2008 – present); Board Member, Boley PAR, Inc. (non-profit organization) (2016 - present)
Board Member,
Remember Honor
Support, Inc. (non-profit
organization)
(2013 - 2020); |
Name and Age |
Position(s)
Held with
Trust |
Term of
Office and
Length
of Time
Served* |
Principal Occupation(s)
During Past Five Years |
Number of
Funds in
Complex
Overseen
by Board
Member |
Other
Directorships Held
By Board Member
|
INDEPENDENT BOARD MEMBERS—continued | |||||
John W. Waechter
(continued) |
|
|
Chief Financial Officer and Chief Compliance Officer, William R. Hough & Co. (securities dealer) (1979 – 2004); and Treasurer, The Hough Group of Funds (1993 – 2004) (fund accounting). |
|
Board Member, WRH Income Properties, Inc. (real estate) (2014 - present) |
Name and Age |
Position |
Term of Office
and Length of
Time Served* |
Principal Occupation(s) or Employment
During Past Five Years |
Marijn P. Smit
(47) |
Chairman of the Board, President
and Chief Executive Officer |
Since 2014 |
See Interested Board Members Table Above. |
Christopher A. Staples, CFA
(50) |
Vice President and Chief Investment Officer, Advisory Services |
Since 2005 |
Vice President and Chief Investment Officer, Advisory Services, TF and TST (2007 – present);
Vice President and Chief Investment Officer, TET (2017 –
present);
Vice President and Chief Investment Officer, Advisory Services,
TAAVF (2007 – present);
Vice President and Chief Investment Officer, Advisory Services,
TPP, TPFG and TPFG II (2007 – 2018); Director (2005 – 2019), Senior Vice President (2006 – present),
Senior Director, Investments (2016 – present), Chief Investment
Officer, Advisory Services (2012 – 2016) and Lead
Portfolio Manager (2007 – present), TAM;
Director, TFS (2005 – 2019);
Trust Officer, Massachusetts Fidelity Trust Company (2010 -
present);
Registered Representative (2007 – 2016), Transamerica Capital,
Inc. (“TCI”);
and Registered Representative, TFA (2005 – present).
|
Thomas R. Wald, CFA
(60) |
Vice President and Chief
Investment Officer |
Since 2014 |
Chief Investment Officer, TF, TST and TAAVF (2014 – present);
TET (2017 – present);
Chief Investment Officer, TPP, TPFG and TPFG II (2014 –
2018); Director (2017 – 2020), Akaan Transamerica, S.A. de C.V., Sociedad Operadora de Fondos de Inversión;
Chief Investment Officer, Transamerica Investments & Retirement
(2014 – 2020); Senior Vice President and Chief Investment Officer, TAM (2014 –
present);
Director, TFS (2019 - present); and
Trust Officer, Massachusetts Fidelity Trust Company (2015 -
present). |
Vincent J. Toner
(51) |
Vice President and Treasurer |
Since 2014 |
Vice President and Treasurer, TF, TST and TAAVF (2014 – present), Vice President and Treasurer (2017 – present), Vice
President, Principal Financial Officer and Treasurer (2020 –
present), TET;
Vice President and Treasurer, TPP, TPFG and TPFG II (2014 –
2018); Vice President (2016 – present), Treasurer (2016 – 2019), Vice
President, Administration and Treasurer (2014 – 2016),
TAM; Vice President, Administration and Treasurer (2014
– 2019), Senior Vice President (2019 – present),
TFS; Vice President (2016 – present), TCI;
|
Name and Age |
Position |
Term of Office
and Length of
Time Served* |
Principal Occupation(s) or Employment
During Past Five Years |
Vincent J. Toner
(continued) |
|
|
and Trust Officer (2015 – present), Massachusetts Fidelity Trust
Company. |
Francine J. Rosenberger
(53) |
Chief Compliance Officer |
Since 2019 |
Chief Compliance Officer, TF, TST, TET and TAAVF (2019 – present); Derivatives Risk Manager, TF, TST and TAAVF (2021 – present);
Chief Compliance Officer (2019 – present), TAM; and General Counsel, Corporate Secretary and Fund Chief Compliance Officer, Steben & Company, Inc. (2013 – 2019).
|
Molly Possehl
(43) |
Anti-Money Laundering Officer |
Since 2019 |
Anti-Money Laundering Officer, TF, TST, TET and TAAVF (2019
– present);
Assistant General Counsel, Transamerica Life Insurance
Company/Aegon USA (2013 – present);
and Anti-Money Laundering Compliance Officer and Fraud
Officer, Transamerica Life Insurance Company/Aegon USA (2015
– present). |
Erin D. Nelson
(44) |
Chief Legal Officer and Secretary |
Since 2019 |
Chief Legal Officer and Secretary, TF, TST, TET and TAAVF (2019 – present); Assistant General Counsel II and Assistant Secretary, TAM (2019 –
present);
Assistant Secretary (2019 – present), TFS;
and Senior Vice President and Chief Compliance Officer, ALPS
Advisors, Inc. (2015 – 2019). |
Kathryn L. Petty
(44) |
Assistant Treasurer |
Since 2021 |
Assistant Treasurer, TF, TST and TAAVF (2021 –
present); and Senior Manager, Fund Administration, TAM (2014
– 2021). |
Timothy Bresnahan
(52) |
Assistant Secretary |
Since 2020 |
Assistant Secretary, TF, TST and TAAVF (2020 – present);
Assistant Secretary (2019 – present), Secretary
(2019), TET; and Senior Counsel, TAM (2008 –
present). |
Fund |
Interested Trustees |
|
|
|
|
|
|
| |
|
Marijn P.
Smit |
Alan F.
Warrick |
Sandra N.
Bane |
Leo J. Hill |
David W.
Jennings |
Fredric A.
Nelson III |
John E.
Pelletier |
Patricia L.
Sawyer |
John W.
Waechter |
Transamerica Stock Index |
None |
None |
None |
None |
None |
None |
None |
None |
None |
Transamerica Fund Family | |
Trustee |
Aggregate Dollar
Range of Equity
Securities |
Interested Trustees |
|
Marijn P. Smit |
Over $100,000 |
Alan F. Warrick |
None |
Independent Trustees |
|
Sandra N. Bane |
None |
Leo J. Hill |
Over $100,000 |
David W. Jennings |
None |
Fredric A. Nelson III |
$50,001 - $100,000 |
John E. Pelletier |
Over $100,000 |
Patricia L. Sawyer |
Over $100,000 |
John W. Waechter |
Over $100,000 |
Name of Person, Position |
Aggregate
Compensation from
the Trust |
Pension or Retirement
Benefits Accrued as
Part of Funds
Expenses(a) |
Estimated Annual
Benefits Upon
Retirement(a) |
Total Compensation
from the Transamerica
Fund Family
(including the Trust)(b) |
Sandra N. Bane, Trustee |
$123,281 |
N/A |
N/A |
$330,000 |
Leo J. Hill, Trustee |
$146,817 |
N/A |
N/A |
$393,000 |
David W. Jennings, Trustee |
$123,281 |
N/A |
N/A |
$330,000 |
Fredric A. Nelson III, Trustee |
$123,281 |
N/A |
N/A |
$330,000 |
John E. Pelletier, Trustee |
$123,281 |
N/A |
N/A |
$330,000 |
Patricia L. Sawyer, Trustee |
$128,885 |
N/A |
N/A |
$345,000 |
John W. Waechter, Trustee |
$133,742 |
N/A |
N/A |
$358,000 |
Fund Name |
Percentage of Average Daily Net Assets |
Transamerica Stock Index |
0.07% |
Fund Name |
Management Fees (after waivers/expense reimbursements and recapture)* |
Management Fees Waived/Expenses Reimbursed | ||||
2020 |
2019 |
2018 |
2020 |
2019 |
2018 | |
Transamerica Stock Index |
$67,147 |
$(751) |
$(49,512) |
$200,492 |
$242,677 |
$247,366 |
Fund Name |
Management Fees Recaptured | ||
2020 |
2019 |
2018 | |
Transamerica Stock Index |
$11,094 |
$11,184 |
$0 |
Fund Name |
Expense Cap Class R |
Expense Cap Class
R4 |
Expiration Date of
Expense Cap |
Transamerica Stock Index |
0.65% |
0.30% |
May 1,
2022 |
Class R* |
|
Open Account |
$24.00 per account |
Closed Account |
$2.00 per account |
Class R4* |
|
Asset Fee to TFS |
0.75 bps |
Fund Name |
Commissions Received
for the Period Ended
December 31 |
Commissions Retained
for the Period Ended
December 31 | ||||
2020 |
2019 |
2018 |
2020 |
2019 |
2018 | |
Transamerica Stock Index |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Fund Name |
For the Period Ended December 31, 2020 | |||
Net
Underwriting
Discounts and
Commissions |
Compensation
on Redemptions
& Repurchases |
Brokerage
Commissions |
Other
Compensation | |
Transamerica Stock Index |
N/A |
N/A |
N/A |
$1,520,063 |
Fund |
Fiscal Year Ended
December 31, 2020 |
Fiscal Year Ended
December 31, 2019 |
Fiscal Year Ended
December 31, 2018 |
Transamerica Stock Index |
$555,691 |
$660,308 |
$53,046 |
Transamerica Stock Index | ||
Promotion and Distribution Expenses |
Class R |
Class R4 |
Compensation to dealers |
$0 |
$0 |
Compensation to Sales Personnel |
$7,401
|
$265,207
|
Printing and Postage |
$546 |
$6,963 |
Promotional Expenses |
$2,487
|
$31,746
|
Travel |
$1,178 |
$15,033 |
Office and Other Expenses |
$16,357
|
$208,773
|
TOTALS |
$27,969 |
$527,722 |
Fund Name |
Brokerage Commissions Paid (including affiliated commissions) |
Affiliated Brokerage Commissions Paid | ||||||||||
2020($) |
2020(%) |
2019($) |
2019(%) |
2018($) |
2018(%) |
2020($) |
2020(%) |
2019($) |
2019(%) |
2018($) |
2018(%) | |
Transamerica Stock Index |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
Fund Name |
Paid as of December
31, 2020 |
Transamerica Stock Index |
$0
|
Name & Address |
Fund Name |
Class |
Percent |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Stock Index |
R |
92.29% |
Charles Schwab & Co
211 Main St
San Francisco CA 94105-1905 |
Transamerica Stock Index |
R |
7.71% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Stock Index |
R4 |
100.00% |
Name & Address |
Fund Name |
Percentage of Fund
Owned |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Stock Index |
48.65% |
State Street Bank & Trust Co Ttee
Various Retirement Plans
Trs Class R4 Series
440 Mamaroneck Ave
Harrison NY 10528-2418 |
Transamerica Stock Index |
47.28% |
Trustees |
Experience, Qualifications and Skills |
Independent Trustees | |
Bruce R. Bond |
Bruce R. Bond has served for approximately 20 years on the board of registered
investment companies, having served as a member of the boards of certain
BlackRock-advised Funds and predecessor funds, including the
legacy-BlackRock funds and the State Street Research Mutual
Funds. He also has executive management and business
experience, having served as president and chief executive
officer of several communications networking companies. Mr. Bond also has corporate governance experience from his service as a director of a computer
equipment company. |
Susan J. Carter |
Susan J. Carter has over 35 years of experience in investment management.
She has served as President & Chief Executive Officer of
Commonfund Capital, Inc. (“CCI”), a registered
investment adviser focused on non-profit investors, from 1997
to 2013, Chief Executive Officer of CCI from 2013 to 2014 and Senior
Advisor to CCI in 2015. Ms. Carter also served as trustee to
the Pacific Pension Institute from 2014 to 2018. She
currently serves as trustee to the Financial Accounting
Foundation, Advisory Board Member for the Center for Private Equity and
Entrepreneurship at Tuck School of Business, Board Member
for Girls Who Invest, Advisory Board Member for Bridges Fund
Management and Practitioner Advisory Board Member for
Private Capital Research Institute (“PCRI”). These positions have provided her with insight and perspective on the markets and the economy. |
Collette Chilton |
Collette Chilton has over 20 years of experience in investment management. She has
held the position of Chief Investment Officer of Williams College since
October 2006. Prior to that she was President and Chief
Investment Officer of Lucent Asset Management Corporation,
where she oversaw approximately $40 billion in pension and
retirement savings assets for the company. These positions have provided her with insight and perspective on the markets and the economy. |
Neil A. Cotty |
Neil A. Cotty has more than 30 years of experience in the financial
services industry, including 19 years at Bank of America
Corporation and its affiliates, where he served, at
different times, as the Chief Financial Officer of various businesses including Investment Banking, Global Markets, Wealth Management and Consumer
and also served ten years as the Chief Accounting Officer for Bank of
America Corporation. Mr. Cotty has been determined by the
Audit Committee to be an audit committee financial expert,
as such term is defined in the applicable Commission
rules. |
Lena G. Goldberg |
Lena G. Goldberg has more than 20 years of business and oversight experience,
most recently through her service as a senior lecturer at Harvard Business
School. Prior thereto, she held legal and management
positions at FMR LLC/Fidelity Investments as well as
positions on the boards of various Fidelity subsidiaries
over a 12-year period. She has additional corporate governance experience
as a member of board and advisory committees for privately
held corporations and non-profit organizations. Ms. Goldberg
also has more than 17 years of legal experience as an
attorney in private practice, including as a partner in a
law firm. |
Henry R. Keizer |
Henry R. Keizer brings over 40 years of executive, financial, operational,
strategic and global expertise gained through his 35 year
career at KPMG, a global professional services organization
and by his service as a director to both publicly and
privately held organizations. He has extensive experience with issues facing complex, global companies and expertise in financial reporting, accounting,
auditing, risk management, and regulatory affairs for such companies. Mr.
Keizer’s experience also includes service as an audit
committee chair to both publicly and privately held
organizations across numerous industries including professional services, property and casualty reinsurance, insurance, diversified financial
services, banking, direct to consumer, business to business and
technology. Mr. Keizer is a certified public accountant and
also served on the board of the American Institute of
Certified Public Accountants. Mr. Keizer has been determined
by the Audit Committee to be an audit committee financial expert, as such
term is defined in the applicable Commission
rules. |
Trustees |
Experience, Qualifications and Skills |
Cynthia A. Montgomery |
Cynthia A. Montgomery has served for over 20 years on the boards of
registered investment companies, most recently as a member
of the boards of certain BlackRock-advised Funds and
predecessor funds, including the legacy Merrill Lynch
Investment Managers, L.P. (“MLIM”) funds. The Board benefits from Ms. Montgomery’s more than 20 years of academic experience as a professor at
Harvard Business School where she taught courses on corporate strategy and
corporate governance. Ms. Montgomery also has business
management and corporate governance experience through her
service on the corporate boards of a variety of public
companies. She has also authored numerous articles and books on these topics. |
Donald C. Opatrny |
Donald C. Opatrny has more than 39 years of business, oversight and executive
experience, including through his service as president, director and
investment committee chair for academic and not-for-profit
organizations, and his experience as a partner, managing
director and advisory director at Goldman Sachs for 32 years.
He also has investment management experience as a board member of Athena
Capital Advisors LLC. |
Joseph P. Platt |
Joseph P. Platt has served for over 15 years on the boards of registered
investment companies, most recently as a member of the
boards of certain BlackRock-advised Funds and predecessor
funds, including the legacy BlackRock funds. Mr. Platt
currently serves as general partner at Thorn Partners, LP, a private
investment company. Prior to his joining Thorn Partners, LP,
he was an owner, director and executive vice president with
Johnson and Higgins, an insurance broker and employee
benefits consultant. He has over 25 years of experience in the areas of insurance, compensation and benefits. Mr. Platt also serves on the boards of public,
private and non-profit companies. |
Mark Stalnecker |
Mark Stalnecker has gained a wealth of experience in investing and asset
management from his over 13 years of service as the Chief Investment
Officer of the University of Delaware as well as from his
various positions with First Union Corporation, including
Senior Vice President and State Investment Director of First
Investment Advisors. The Board benefits from his experience and
perspective as the Chief Investment Officer of a university
endowment and from the oversight experience he gained from
service on various private and non-profit boards. |
Kenneth L. Urish |
Kenneth L. Urish has served for over 15 years on the boards of registered
investment companies, most recently as a member of the
boards of certain BlackRock-advised Funds and predecessor
funds, including the legacy BlackRock funds. He has over 30
years of experience in public accounting. Mr. Urish has served as a
managing member of an accounting and consulting firm. Mr.
Urish has been determined by the Audit Committee to be an
audit committee financial expert, as such term is defined in
the applicable Commission rules. |
Claire A. Walton |
Claire A. Walton has over 25 years of experience in investment management. She
has served as the Chief Operating Officer and Chief Financial Officer of
Liberty Square Asset Management, LP from 1998 to 2015, an
investment manager that specialized in long/short non-U.S.
equity investments, and has been an owner and General
Partner of Neon Liberty Capital Management, LLC since 2003, a firm focusing on long/short equities in global emerging and frontier markets. These
positions have provided her with insight and perspective on the markets
and the economy. |
Trustees |
Experience, Qualifications and Skills |
Interested Trustees | |
Robert Fairbairn |
Robert Fairbairn has more than 25 years of experience with BlackRock, Inc. and
over 30 years of experience in finance and asset management. In
particular, Mr. Fairbairn’s positions as Vice Chairman
of BlackRock, Inc., Member of BlackRock’s Global
Executive and Global Operating Committees and Co-Chair of BlackRock’s Human Capital Committee provide the Board with a wealth of practical business
knowledge and leadership. In addition, Mr. Fairbairn has global investment
management and oversight experience through his former
positions as Global Head of BlackRock’s Retail and
iShares® businesses,
Head of BlackRock’s Global Client Group, Chairman of
BlackRock’s international businesses and his previous oversight over BlackRock’s Strategic Partner Program and Strategic Product Management
Group. Mr. Fairbairn also serves as a board member for the funds in the
BlackRock Fixed-Income Complex. |
Trustees |
Experience, Qualifications and Skills |
John M. Perlowski |
John M. Perlowski’s experience as Managing Director of BlackRock,
Inc. since 2009, as the Head of BlackRock Global Accounting
and Product Services since 2009, and as President and Chief
Executive Officer of the BlackRock-advised Funds provides
him with a strong understanding of the BlackRock-advised Funds, their operations, and the business and regulatory issues facing the BlackRock-advised
Funds. Mr. Perlowski’s prior position as Managing Director and Chief
Operating Officer of the Global Product Group at Goldman
Sachs Asset Management, and his former service as Treasurer
and Senior Vice President of the Goldman Sachs Mutual Funds
and as Director of the Goldman Sachs Offshore Funds provides the Board with the benefit of his experience with the management practices of other financial
companies. Mr. Perlowski also serves as a board member for the funds in
the BlackRock Fixed-Income Complex. |
Name and
Year of Birth1,2 |
Position(s)
Held (Length of
Service)3 |
Number of
BlackRock-
Advised
Registered
Investment
Companies
(“RICs”)
Consisting
of
Investment
Portfolios
(“Portfolios”)
Overseen |
Principal Occupation(s) During Past
Five Years |
Public
Company and
Other
Investment
Company
Directorships
Held During
Past Five
Years |
Independent Trustees | ||||
Mark Stalnecker 1951 |
Chair of the Board (Since 2019) and Trustee
(Since 2015) |
30 RICs
consisting of 152
Portfolios |
Chief Investment Officer, University of Delaware from 1999 to 2013; Trustee and Chair of the Finance and Investment Committees, Winterthur Museum and Country Estate from 2005 to 2016; Member of the Investment Committee, Delaware Public Employees’ Retirement System since 2002; Member of the Investment Committee, Christiana Care Health System from 2009 to 2017; Member of the Investment Committee, Delaware Community Foundation from 2013 to 2014; Director and Chair of the Audit Committee, SEI Private Trust Co. from 2001 to 2014. |
None |
Bruce R. Bond 1946 |
Trustee (Since
2019) |
30 RICs consisting
of 152 Portfolios |
Board Member, Amsphere Limited
(software) since 2018; Trustee and Member
of the Governance Committee, State Street
Research Mutual Funds from 1997 to 2005;
Board Member of Governance, Audit and
Finance Committee, Avaya Inc. (computer
equipment) from 2003 to 2007. |
None |
Susan J. Carter 1956 |
Trustee (Since 2016) |
30 RICs
consisting of 152
Portfolios |
Director, Pacific Pension Institute from 2014 to 2018; Advisory Board Member, Center for Private Equity and Entrepreneurship at Tuck School of Business since 1997; Senior Advisor, CCI (investment adviser) in 2015; Chief Executive Officer, CCI from 2013 to 2014; President & Chief Executive Officer, CCI from 1997 to 2013; Advisory Board Member, Girls Who Invest from 2015 to 2018 and Board Member thereof since 2018; Advisory Board Member, Bridges Fund Management since 2016; Trustee, Financial Accounting Foundation since 2017; Practitioner Advisory Board Member, PCRI since 2017; Lecturer in the Practice of Management, Yale School of Management since 2019; Advisor to Finance Committee, Altman Foundation since 2020. |
None |
Collette Chilton |
Trustee (Since |
30 RICs |
Chief Investment Officer, Williams College |
None |
Name and
Year of Birth1,2 |
Position(s)
Held (Length of
Service)3 |
Number of
BlackRock-
Advised
Registered
Investment
Companies
(“RICs”)
Consisting
of
Investment
Portfolios
(“Portfolios”)
Overseen |
Principal Occupation(s) During Past
Five Years |
Public
Company and
Other
Investment
Company
Directorships
Held During
Past Five
Years |
Collette Chilton
(continued)
1958 |
2015) |
consisting of 152
Portfolios |
since 2006; Chief Investment Officer,
Lucent Asset Management Corporation from
1998 to 2006; Director, Boys and Girls Club
of Boston since 2017; Director, B1 Capital
since 2018; Director, David and Lucile
Packard Foundation since 2020. |
|
Neil A. Cotty 1954 |
Trustee (Since 2016) |
30 RICs
consisting of 152
Portfolios |
Bank of America Corporation from 1996 to 2015, serving in various senior finance leadership roles, including Chief Accounting Officer from 2009 to 2015, Chief Financial Officer of Global Banking, Markets and Wealth Management from 2008 to 2009, Chief Accounting Officer from 2004 to 2008, Chief Financial Officer of Consumer Bank from 2003 to 2004, Chief Financial Officer of Global Corporate Investment Bank from 1999 to 2002. |
None |
Lena G. Goldberg 1949 |
Trustee (Since
2019) |
30 RICs consisting
of 152 Portfolios |
Senior Lecturer, Harvard Business School,
since 2008; Director, Charles Stark Draper
Laboratory, Inc. since 2013; FMR
LLC/Fidelity Investments (financial
services) from 1996 to 2008, serving in
various senior roles including Executive
Vice President — Strategic Corporate
Initiatives and Executive Vice President and
General Counsel; Partner, Sullivan &
Worcester LLP from 1985 to 1996 and
Associate thereof from 1979 to 1985. |
None |
Henry R. Keizer 1956 |
Trustee (Since 2019) |
30 RICs
consisting of 152
Portfolios |
Director, Park Indemnity Ltd. (captive insurer) since 2010; Director, MUFG Americas Holdings Corporation and MUFG Union Bank, N.A. (financial and bank holding company) from 2014 to 2016; Director, American Institute of Certified Public Accountants from 2009 to 2011; Director, KPMG LLP (audit, tax and advisory services) from 2004 to 2005 and 2010 to 2012; Director, KPMG International in 2012, Deputy Chairman and Chief Operating Officer thereof from 2010 to 2012 and U.S. Vice Chairman of Audit thereof from 2005 to 2010; Global Head of Audit, KPMGI (consortium of KPMG firms) from 2006 to 2010; Director, YMCA of Greater New York from 2006 to 2010. |
Hertz Global Holdings (car rental); Montpelier Re Holdings, Ltd. (publicly held property and casualty reinsurance) from 2013 until 2015; WABCO (commercial vehicle safety systems) from 2015 to 2020; Sealed Air Corp. (packaging) |
Cynthia A. Montgomery 1952 |
Trustee (Since
2009) |
30 RICs consisting
of 152 Portfolios |
Professor, Harvard Business School since
1989. |
Newell Rubbermaid, Inc.
(manufacturing) from
1995 to 2016 |
Donald C. Opatrny 1952 |
Trustee (Since 2019) |
30 RICs
consisting of 152
Portfolios |
Trustee, Vice Chair, Member of the Executive Committee and Chair of the Investment Committee, Cornell University from 2004 to 2019; President, Trustee and Member of the Investment Committee, The Aldrich Contemporary Art Museum from 2007 to 2014; Member of the Board and Investment Committee, University School from 2007 to 2018; Member of the Investment Committee, Mellon Foundation from 2009 to 2015; Trustee, Artstor (a Mellon Foundation affiliate) from 2010 to |
None |
Name and
Year of Birth1,2 |
Position(s)
Held (Length of
Service)3 |
Number of
BlackRock-
Advised
Registered
Investment
Companies
(“RICs”)
Consisting
of
Investment
Portfolios
(“Portfolios”)
Overseen |
Principal Occupation(s) During Past
Five Years |
Public
Company and
Other
Investment
Company
Directorships
Held During
Past Five
Years |
Donald C. Opatrny
(continued)
|
|
|
2015; President and Trustee, the Center for
the Arts, Jackson Hole from 2011 to 2018;
Director, Athena Capital Advisors LLC
(investment management firm) since 2013;
Trustee and Chair of the Investment
Committee, Community Foundation of
Jackson Hole since 2014; Member of
Affordable Housing Supply Board of
Jackson, Wyoming since 2018; Member,
Investment Funds Committee, State of
Wyoming since 2017; Trustee, Phoenix Art
Museum since 2017; Trustee, Arizona
Community Foundation and Member of
Investment Committee since 2020. |
|
Joseph P. Platt 1947 |
Trustee (Since 2009) |
30 RICs
consisting of 152
Portfolios |
General Partner, Thorn Partners, LP (private investments) since 1998; Director, WQED Multi-Media (public broadcasting not-for-profit) since 2001; Chair, Basic Health International (non-profit) since 2015. |
Greenlight
Capital Re, Ltd. (reinsurance
company); Consol Energy
Inc. |
Kenneth L. Urish 1951 |
Trustee (Since
2009) |
30 RICs consisting
of 152 Portfolios |
Managing Partner, Urish Popeck & Co.,
LLC (certified public accountants and
consultants) since 1976; Past-Chairman of
the Professional Ethics Committee of the
Pennsylvania Institute of Certified Public
Accountants and Committee Member
thereof since 2007; Member of External
Advisory Board, The Pennsylvania State
University Accounting Department since
founding in 2001; Principal, UP Strategic
Wealth Investment Advisors, LLC since
2013; Trustee, The Holy Family Institute
from 2001 to 2010; President and Trustee,
Pittsburgh Catholic Publishing Associates
from 2003 to 2008; Director, Inter-Tel from
2006 to 2007; Member, Advisory Board,
ESG Competent Boards since 2020. |
None |
Claire A. Walton 1957 |
Trustee (Since 2016) |
30 RICs
consisting of 152
Portfolios |
Chief Operating Officer and Chief Financial Officer of Liberty Square Asset Management, LP from 1998 to 2015; General Partner of Neon Liberty Capital Management, LLC since 2003; Director, Boston Hedge Fund Group from 2009 to 2018; Director, Woodstock Ski Runners since 2013; Director, Massachusetts Council on Economic Education from 2013 to 2015. |
None |
Interested Trustees 4 | ||||
Robert Fairbairn 1965 |
Trustee (Since 2018) |
103 RICs
consisting of 250
Portfolios |
Vice Chairman of BlackRock, Inc. since 2019; Member of BlackRock’s Global Executive and Global Operating Committees; Co-Chair of BlackRock’s Human Capital Committee; Senior Managing Director of BlackRock, Inc. from 2010 to 2019; oversaw BlackRock’s Strategic Partner Program and Strategic Product Management Group from 2012 to 2019; Member of the Board of Managers of BlackRock Investments, LLC from 2011 to 2018; Global Head of BlackRock’s Retail and iShares® businesses from 2012 to 2016. |
None |
John M. Perlowski |
Trustee (Since |
105 RICs |
Managing Director of BlackRock, Inc. since |
None |
Name and
Year of Birth1,2 |
Position(s)
Held (Length of
Service)3 |
Number of
BlackRock-
Advised
Registered
Investment
Companies
(“RICs”)
Consisting
of
Investment
Portfolios
(“Portfolios”)
Overseen |
Principal Occupation(s) During Past
Five Years |
Public
Company and
Other
Investment
Company
Directorships
Held During
Past Five
Years |
John M. Perlowski
(continued)
1964 |
2015)
President and
Chief
Executive Officer
(Since 2010) |
consisting of 252
Portfolios |
2009; Head of BlackRock Global
Accounting and Product Services since
2009; Advisory Director of Family Resource
Network (charitable foundation) since 2009. |
|
Name and
Year of Birth1,2 |
Position(s)
Held (Length of
Service) |
Principal Occupation(s) During Past Five Years |
Officers Who Are Not Trustees | ||
Thomas Callahan 1968 |
Vice President (Since 2016) |
Managing Director of BlackRock, Inc. since 2013; Member of the Board of Managers of BlackRock Investments, LLC (principal underwriter) since 2019 and Managing Director thereof since 2017; Head of BlackRock’s Global Cash Management Business since 2016; Co-Head of the Global Cash Management Business from 2014 to 2016; Deputy Head of the Global Cash Management Business from 2013 to 2014; Member of the Cash Management Group Executive Committee since 2013; Chief Executive Officer of NYSE Liffe U.S. from 2008 to 2013. |
Jennifer McGovern 1977 |
Vice President (Since 2014) |
Managing Director of BlackRock, Inc. since 2016;
Director of BlackRock, Inc. from 2011 to 2015; Head of
Product Development and Oversight for BlackRock’s
Strategic Product Management Group since 2019; Head
of Product Structure and Oversight for BlackRock’s U.S.
Wealth Advisory Group from 2013 to 2019. |
Trent Walker 1974 |
Chief Financial Officer (Since 2021) |
Managing Director of BlackRock, Inc. since September 2019; Executive Vice President of PIMCO from 2016 to 2019; Senior Vice President of PIMCO from 2008 to 2015; Treasurer from 2013 to 2019 and Assistant Treasurer from 2007 to 2017 of PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, 2 PIMCO-sponsored interval funds and 21 PIMCO-sponsored closed-end funds. |
Jay M. Fife 1970 |
Treasurer (Since 2009) |
Managing Director of BlackRock, Inc. since 2007. |
Name and
Year of Birth1,2 |
Position(s)
Held (Length of
Service) |
Principal Occupation(s) During Past Five Years |
Charles Park 1967 |
Chief Compliance Officer (Since 2014) |
Anti-Money Laundering Compliance Officer for certain
BlackRock-advised Funds from 2014 to 2015; Chief
Compliance Officer of BlackRock Advisors, LLC and the
BlackRock-advised Funds in the BlackRock Multi-Asset
Complex and the BlackRock Fixed-Income Complex
since 2014; Principal of and Chief Compliance Officer
for iShares® Delaware Trust Sponsor LLC since
2012 and BlackRock Fund Advisors (“BFA”) since
2006; Chief Compliance Officer
for the BFA-advised iShares® exchange traded funds
since 2006; Chief Compliance Officer for BlackRock
Asset Management International Inc. since 2012.
|
Lisa Belle 1968 |
Anti-Money Laundering Compliance Officer (Since 2019) |
Managing Director of BlackRock, Inc. since 2019; Global Financial Crime Head for Asset and Wealth Management of JP Morgan from 2013 to 2019; Managing Director of RBS Securities from 2012 to 2013; Head of Financial Crimes for Barclays Wealth Americas from 2010 to 2012. |
Janey Ahn 1975 |
Secretary (Since 2019) |
Managing Director of BlackRock, Inc. since 2018;
Director of BlackRock, Inc. from 2009 to 2017. |
Name |
Aggregate Dollar
Range of Equity
Securities in
Supervised Funds |
Independent Trustees: | |
Bruce R. Bond |
Over $100,000 |
Susan J. Carter |
Over $100,000 |
Collette Chilton |
Over $100,000 |
Neil A. Cotty |
Over $100,000 |
Lena G. Goldberg |
Over $100,000 |
Henry R. Keizer |
Over $100,000 |
Cynthia A. Montgomery |
Over $100,000 |
Donald C. Opatrny |
Over $100,000 |
Joseph P. Platt |
Over $100,000 |
Mark Stalnecker |
Over $100,000 |
Kenneth L. Urish |
Over $100,000 |
Claire A. Walton |
Over $100,000 |
Interested Trustees: | |
Robert Fairbairn |
Over $100,000 |
John M. Perlowski |
Over $100,000 |
Name |
Compensation
from the
Master Portfolio |
Estimated Annual
Benefits upon
Retirement |
Aggregate
Compensation from
the Master
Portfolio and
Other BlackRock-
Advised Funds1 |
Independent Trustees: | |||
Bruce R. Bond |
$20,667 |
None |
$400,000 |
Susan J. Carter |
$20,667
|
None |
$400,000
|
Collette Chilton |
$20,667 |
None |
$400,000 |
Neil A. Cotty |
$20,667
|
None |
$400,000
|
Lena G. Goldberg2 |
$21,680 |
None |
$430,000 |
Henry R. Keizer3 |
$21,680
|
None |
$430,000
|
Cynthia A. Montgomery4 |
$21,680 |
None |
$430,000 |
Donald C. Opatrny5 |
$21,680
|
None |
$430,000
|
Joseph P. Platt |
$20,667 |
None |
$400,000 |
Mark Stalnecker6 |
$24,721
|
None |
$520,000
|
Kenneth L. Urish |
$20,667 |
None |
$400,000 |
Claire A. Walton |
$20,667
|
None |
$400,000
|
Interested Trustees: | |||
Robert Fairbairn |
None |
None |
None |
John M. Perlowski |
None |
None |
None |
|
Public Company
Executive or
Fund Manager1 |
# Outside Public
Boards2 |
Total # of Public
Boards |
Director A |
✓ |
1 |
2 |
Director B |
F078 |
3 |
4 |
1 In this instance, “fund manager” refers to individuals whose full-time employment involves responsibility for the investment and oversight of fund
vehicles, and those who have employment as professional
investors and provide oversight for those holdings.2 In addition to the company under review. |
|
Combined Chair/ CEO Model |
Separate Chair Model | |
|
Chair/ CEO |
Lead Director |
Chair |
Board Meetings |
|
|
|
Authority to call full meetings of the
board of directors |
Attends full meetings of the board of
directors |
Authority to call full meetings of the
board of directors | |
|
Authority to call meetings of independent directors |
| |
|
Briefs CEO on issues arising from
executive sessions |
| |
Agenda |
|
|
|
Primary responsibility for shaping
board agendas, consulting with the lead
director |
Collaborates with chair/CEO to set
board agenda and board information |
Primary responsibility for shaping
board agendas, in conjunction with
CEO | |
Board Communications |
|
|
|
Communicates with all directors on key
issues and concerns outside board
meetings |
Facilitates discussion among
independent directors on key issues and
concerns outside of full board meetings,
including contributing to the oversight
of CEO and management succession
planning |
Facilitates discussion among
independent directors on key issues and
concerns outside of full board meetings,
including contributing to the oversight
of CEO and management succession
planning |
Portfolio Manager |
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Number |
Assets
Managed |
Number |
Assets
Managed |
Number |
Assets
Managed | |
Jennifer Hsui, CFA |
335 |
$1.64 trillion |
63 |
$92.13 billion |
30 |
$33.26 billion |
Suzanne Henige |
79 |
$134.3 billion |
5 |
$3.71 billion |
0 |
$0 |
Alan Mason |
363 |
$1.69 trillion |
0 |
$0 |
0 |
$0 |
Amy Whitelaw |
366 |
$1.69 trillion |
114 |
$50.57 billion |
0 |
$0 |
Fee Based Accounts
(The number of accounts and the total assets in the accounts managed by each
portfolio manager with respect to which the advisory fee is based
on the performance of the account.) | ||||||
Jennifer Hsui, CFA |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Suzanne Henige |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Alan Mason |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Amy Whitelaw |
0 |
$0 |
0 |
$0 |
0 |
$0 |