Fund Name |
A |
C |
I |
L |
R2 |
R3 |
R4 |
R5 |
R6 |
JPMorgan Diversified Fund (the “Diversified Fund”) |
JDVAX |
JDVCX |
JDVSX |
JPDVX |
|
|
|
|
JDVZX |
JPMorgan Equity Focus Fund (the “Equity Focus Fund”) |
JPFAX |
JPFCX |
JPFSX |
|
|
|
|
|
JPFRX |
JPMorgan Hedged Equity Fund (the “Hedged Equity Fund”) |
JHQAX |
JHQCX |
JHEQX |
|
|
|
|
JHQPX |
JHQRX |
JPMorgan Mid Cap Equity Fund (the “Mid Cap Equity Fund”) |
JCMAX |
JMCCX |
VSNGX |
|
JMCEX |
|
|
JMEEX |
JPPEX |
JPMorgan Small Cap Blend Fund (the “Small Cap Blend Fund”) |
VSCOX |
VSCCX |
JDSCX |
|
* |
* |
* |
* |
JSCHX |
JPMorgan Small Cap Equity Fund (the “Small Cap Equity Fund”) |
VSEAX |
JSECX |
VSEIX |
|
JSEZX |
JSEPX |
JSEQX |
JSERX |
VSENX |
JPMorgan Small Cap Sustainable Leaders Fund (the “Small Cap Sustainable Leaders Fund”) |
VSSBX |
VSSRX |
VSSWX |
|
JRJUX |
JGAUX |
JGREX |
VSSCX |
VSSLX |
JPMorgan U.S. Applied Data Science Value Fund (the “U.S. Applied Data Science Value Fund”) |
JIVAX |
JIVCX |
JPIVX |
|
JIVZX |
|
|
JIVRX |
JIVMX |
JPMorgan U.S. Equity Fund (the “U.S. Equity Fund”) |
JUEAX |
JUECX |
JUESX |
JMUEX |
JUEZX |
JUEPX |
JUEQX |
JUSRX |
JUEMX |
JPMorgan U.S. GARP Equity Fund (the “U.S. GARP Equity Fund”) |
JIGAX |
JCICX |
JPGSX |
|
JIGZX |
|
|
JGIRX |
JGISX |
JPMorgan U.S. Large Cap Core Plus Fund (the “U.S. Large Cap Core Plus Fund”) |
JLCAX |
JLPCX |
JLPSX |
|
JLPZX |
|
|
JCPRX |
JLPYX |
JPMorgan U.S. Research Enhanced Equity Fund (the “U.S. Research Enhanced Equity Fund”) |
JDEAX |
|
JDESX |
|
|
|
|
|
JDEUX |
JPMorgan U.S. Small Company Fund (the “U.S. Small Company Fund”) |
JTUAX |
JTUCX |
JSCSX |
JUSSX |
JSCZX |
JUSPX |
JUSQX |
JUSYX |
JUSMX |
JPMorgan U.S. Sustainable Leaders Fund (the “U.S. Sustainable Leaders Fund”) |
JICAX |
JICCX |
JIISX |
|
|
|
|
|
JIIGX |
JPMorgan U.S. Value Fund (the “U.S. Value Fund”) |
VGRIX |
VGICX |
VGIIX |
|
VGRTX |
JGAVX |
JGRUX |
VGIFX |
VGINX |
JPMorgan Value Advantage Fund (the “Value Advantage Fund”) |
JVAAX |
JVACX |
JVASX |
JVAIX |
JGAQX |
JVAPX |
JVAQX |
JVARX |
JVAYX |
Fund Name |
A |
C |
I |
L |
R2 |
R3 |
R4 |
R5 |
R6 |
JPMorgan Equity Income Fund (the “Equity Income Fund”) |
OIEIX |
OINCX |
HLIEX |
|
OIEFX |
OIEPX |
OIEQX |
OIERX |
OIEJX |
JPMorgan Equity Index Fund (the “Equity Index Fund”) |
OGEAX |
OEICX |
HLEIX |
|
|
|
|
|
OGFAX |
JPMorgan Large Cap Growth Fund (the “Large Cap Growth Fund”) |
OLGAX |
OLGCX |
SEEGX |
|
JLGZX |
JLGPX |
JLGQX |
JLGRX |
JLGMX |
JPMorgan Large Cap Value Fund (the “Large Cap Value Fund”) |
OLVAX |
OLVCX |
HLQVX |
|
JLVZX |
OLVTX |
OLVRX |
JLVRX |
JLVMX |
JPMorgan Mid Cap Growth Fund (the “Mid Cap Growth Fund”) |
OSGIX |
OMGCX |
HLGEX |
|
JMGZX |
JMGPX |
JMGQX |
JMGFX |
JMGMX |
JPMorgan Small Cap Growth Fund (the “Small Cap Growth Fund”) |
PGSGX |
OSGCX |
OGGFX |
JISGX |
JSGZX |
JGRQX |
JGLYX |
JGSVX |
JGSMX |
JPMorgan Small Cap Value Fund (the “Small Cap Value Fund”) |
PSOAX |
OSVCX |
PSOPX |
|
JSVZX |
JSVPX |
JSVQX |
JSVRX |
JSVUX |
JPMorgan SMID Cap Equity Fund (the “SMID Cap Equity Fund”) |
PECAX |
ODMCX |
WOOPX |
|
|
WOOOX |
WOOQX |
|
WOOSX |
Fund Name |
A |
C |
I |
L |
R2 |
R3 |
R4 |
R5 |
R6 |
JPMorgan Equity Premium Income Fund (the “Equity Premium Income Fund”) |
JEPAX |
JEPCX |
JEPIX |
|
|
|
|
JEPSX |
JEPRX |
JPMorgan Hedged Equity 2 Fund (the “Hedged Equity 2 Fund”) |
JHDAX |
JHDCX |
JHQDX |
|
|
|
|
JHDFX |
JHDRX |
JPMorgan Hedged Equity 3 Fund (the “Hedged Equity 3 Fund”) |
JHTAX |
JHTCX |
JHQTX |
|
|
|
|
JHTGX |
JHTRX |
Fund Name |
A |
C |
I |
L |
R2 |
R3 |
R4 |
R5 |
R6 |
JPMorgan Growth Advantage Fund (the “Growth Advantage Fund”) |
VHIAX |
JGACX |
JGASX |
|
JGRJX |
JGTTX |
JGTUX |
JGVRX |
JGVVX |
Fund Name |
A |
C |
I |
L |
R2 |
R3 |
R4 |
R5 |
R6 |
JPMorgan Mid Cap Value Fund (the “Mid Cap Value Fund”) |
JAMCX |
JCMVX |
JMVSX |
FLMVX |
JMVZX |
JMVPX |
JMVQX |
JMVRX |
JMVYX |
1 | |
1 | |
3 | |
4 | |
5 | |
15 | |
21 | |
22 | |
22 | |
22 | |
23 | |
23 | |
24 | |
27 | |
30 | |
30 | |
31 | |
31 | |
36 | |
38 | |
39 | |
39 | |
39 | |
39 | |
40 | |
42 | |
42 | |
43 | |
46 | |
46 | |
49 | |
49 | |
51 | |
52 | |
53 | |
53 | |
53 | |
54 | |
54 | |
54 | |
54 | |
56 | |
56 | |
57 | |
57 | |
58 |
J.P. Morgan Institutional Funds (“JPMIF”) |
J.P. Morgan Mutual Fund Select Group (“JPMMFSG”) |
JPMorgan Diversified Fund |
JPMorgan Mid Cap Equity Fund |
JPMorgan U.S. Equity Fund |
JPMorgan Small Cap Sustainable Leaders Fund |
JPMorgan U.S. Research Enhanced Equity Fund |
|
JPMorgan U.S. Small Company Fund |
|
J.P. Morgan Mutual Fund Group (“JPMMFG”) |
J.P. Morgan Mutual Fund Series (“JPMMFS”) |
JPMorgan U.S. Value Fund |
JPMorgan U.S. GARP Equity Fund |
JPMorgan Small Cap Blend Fund |
JPMorgan U.S. Sustainable Leaders Fund |
JPMorgan Small Cap Equity Fund |
JPMorgan U.S. Applied Data Science Value Fund |
Target Funds |
Surviving Funds |
JPMorgan Equity Income Fund |
One Group Equity Income Fund |
|
(now known as JPMorgan Equity Income Fund) |
JPMorgan Equity Growth Fund |
One Group Large Cap Growth Fund |
|
(now known as JPMorgan Large Cap Growth Fund) |
JPMorgan Small Cap Growth Fund; JPMorgan U.S. |
One Group Small Cap Growth Fund |
Small Company Opportunities Fund |
(now known as JPMorgan Small Cap Growth Fund) |
One Group Balanced Fund |
JPMorgan Diversified Fund |
One Group Diversified Equity Fund |
JPMorgan U.S. Equity Fund |
Acquired Funds |
Acquiring Funds |
JPMorgan Capital Growth Fund |
JPMorgan Mid Cap Growth Fund |
JPMorgan Diversified Mid Cap Value Fund |
JPMorgan Mid Cap Value Fund |
Former Name |
Current Name |
One Group Diversified Mid Cap Fund |
JPMorgan SMID Cap Equity Fund1
|
One Group Equity Income Fund |
JPMorgan Equity Income Fund |
One Group Equity Index Fund |
JPMorgan Equity Index Fund |
One Group Large Cap Growth Fund |
JPMorgan Large Cap Growth Fund |
Former Name |
Current Name |
One Group Large Cap Value Fund |
JPMorgan Large Cap Value Fund |
One Group Mid Cap Growth Fund |
JPMorgan Mid Cap Growth Fund2
|
JPMorgan Intrepid Investor Fund |
JPMorgan U.S. Sustainable Leaders
Fund3 |
JPMorgan Trust Small Cap Equity Fund |
JPMorgan Small Cap Sustainable Leaders Fund4 |
Former Name |
Name As Of May 1, 2003 |
J. P. Morgan Select Mid Cap Equity |
JPMorgan Mid Cap Equity Fund |
J. P. Morgan Select Small Cap Equity Fund |
JPMorgan Trust Small Cap Equity Fund* |
Fund |
Class A |
Class C |
Class I |
Class L |
Class R2 |
Class R3 |
Class R4 |
Class R5 |
Class R6 |
Diversified Fund |
X |
X |
X |
X |
|
|
|
|
X1 |
Equity Focus Fund |
X |
X |
X |
|
|
|
|
|
X2 |
Equity Income Fund |
X |
X |
X |
|
X |
X3 |
X3 |
X |
X |
Equity Index Fund |
X |
X |
X |
|
|
|
|
|
X4 |
Equity Premium Income Fund |
X |
X |
X |
|
|
|
|
X |
X |
Growth Advantage Fund |
X |
X |
X |
|
X5 |
X6 |
X6 |
X |
X |
Hedged Equity Fund |
X |
X |
X |
|
|
|
|
X |
X |
Hedged Equity 2 Fund |
X |
X |
X |
|
|
|
|
X |
X |
Hedged Equity 3 Fund |
X |
X |
X |
|
|
|
|
X |
X |
Large Cap Growth Fund |
X |
X |
X |
|
X |
X3 |
X3 |
X |
X |
Large Cap Value Fund |
X |
X |
X |
|
X |
X2 |
X2 |
X |
X |
Mid Cap Equity Fund |
X |
X |
X |
|
X |
|
|
X |
X |
Mid Cap Growth Fund |
X |
X |
X |
|
X |
X3 |
X3 |
X |
X |
Mid Cap Value Fund |
X |
X |
X |
X |
X |
X3 |
X3 |
X4 |
X4 |
Small Cap Blend Fund |
X |
X |
X |
|
X* |
X* |
X* |
X* |
X7 |
Small Cap Equity Fund |
X |
X |
X |
|
X |
X3 |
X3 |
X |
X8 |
Small Cap Growth Fund |
X |
X |
X |
X |
X |
X5 |
X5 |
X4 |
X |
Small Cap Sustainable Leaders Fund |
X8 |
X8 |
X9 |
|
X5 |
X5 |
X5 |
X10 |
X8 |
Small Cap Value Fund |
X |
X |
X |
|
X |
X3 |
X3 |
X |
X |
SMID Cap Equity Fund |
X |
X |
X |
|
|
X3 |
X3 |
|
X11 |
U.S. Applied Data Science Value Fund |
X |
X |
X |
|
X |
|
|
X |
X |
U.S. Equity Fund |
X |
X |
X |
X |
X |
X3 |
X3 |
X |
X |
U.S. GARP Equity Fund |
X |
X |
X |
|
X |
|
|
X |
X11 |
U.S. Large Cap Core Plus Fund |
X |
X |
X |
|
X |
|
|
X |
X1 |
U.S. Research Enhanced Equity Fund |
X |
|
X |
|
|
|
|
|
X |
U.S. Small Company Fund |
X |
X |
X |
X |
X |
X3 |
X3 |
X4 |
X |
U.S. Sustainable Leaders Fund |
X |
X |
X |
|
|
|
|
|
X12 |
U.S. Value Fund |
X |
X |
X |
|
X11 |
X5 |
X5 |
X11 |
X11 |
Value Advantage Fund |
X |
X |
X |
X |
X5 |
X4 |
X4 |
X4 |
X4 |
|
|
|
|
|
|
|
|
|
|
FUND NAME |
FUND CODE |
Diversified Fund |
1 |
Equity Focus Fund |
2 |
Equity Income Fund |
3 |
Equity Index Fund |
4 |
Equity Premium Income Fund |
5 |
Growth Advantage Fund |
6 |
Hedged Equity Fund |
7 |
Hedged Equity 2 Fund |
8 |
Hedged Equity 3 Fund |
9 |
Large Cap Growth Fund |
10 |
Large Cap Value Fund |
11 |
Mid Cap Equity Fund |
12 |
Mid Cap Growth Fund |
13 |
Mid Cap Value Fund |
14 |
Small Cap Blend Fund |
15 |
Small Cap Equity Fund |
16 |
Small Cap Growth Fund |
17 |
Small Cap Sustainable Leaders Fund |
18 |
Small Cap Value Fund |
19 |
SMID Cap Equity Fund |
20 |
U.S. Applied Data Science Value Fund |
21 |
U.S. Equity Fund |
22 |
U.S. GARP Equity Fund |
23 |
FUND NAME |
FUND CODE |
U.S. Large Cap Core Plus Fund |
24 |
U.S. Research Enhanced Equity Fund |
25 |
U.S. Small Company Fund |
26 |
U.S. Sustainable Leaders Fund |
27 |
U.S. Value Fund |
28 |
Value Advantage Fund |
29 |
Instrument |
Fund Code |
Part II
Section Reference |
Adjustable Rate Mortgage Loans (“ARMs”):
Loans in a mortgage pool which provide for a fixed initial mortgage interest rate for a specified period of time, after which the rate may be subject to periodic adjustments. |
1, 3, 6, 12-21, 23, 27-29 |
Mortgage-Related
Securities |
Asset-Backed Securities: Securities secured by company receivables, home equity loans, truck and auto loans, leases, and credit card receivables or other securities backed by other types of receivables or other assets. |
1, 3, 6, 12-21, 23, 27-29 |
Asset-Backed
Securities |
Auction Rate Securities: Auction rate municipal securities and auction rate preferred securities issued by closed-end investment companies. |
3, 6, 12-21, 23, 27-29 |
Auction Rate
Securities |
Bank Obligations: Bankers’ acceptances, certificates of deposit and time deposits. Bankers’ acceptances are bills of
exchange or time drafts drawn on and accepted by a
commercial bank. Maturities are generally six months or
less. Certificates of deposit are negotiable certificates issued
by a bank for a specified period of time and earning a
specified return. Time deposits are non-negotiable receipts
issued by a bank in exchange for the deposit of
funds. |
1-29 |
Bank Obligations |
Borrowings: A Fund may borrow for temporary purposes and/or for investment purposes. Such a practice will result in leveraging of a Fund’s assets and may cause a Fund to liquidate portfolio positions when it would not be advantageous to do so. A Fund must maintain continuous asset coverage of 300% of the amount borrowed, with the exception for borrowings not in excess of 6% of the Fund’s total assets made for temporary administrative purposes. |
1-29 |
Miscellaneous
Investment
Strategies
and Risks |
Brady Bonds: Securities created through the exchange of existing commercial bank loans to public and private entities in certain emerging markets for new bonds in connection with debt restructurings. |
1, 3, 6, 12-21, 23, 27-29 |
Foreign Investments
(including Foreign
Currencies) |
Call and Put Options: A call option gives the buyer the right to buy, and obligates the seller of the option to sell, a security at a specified price at a future date. A put option gives the buyer the right to sell, and obligates the seller of the option to buy, a security at a specified price at a future date. |
1-29 |
Options and Futures
Transactions |
Commercial Paper: Secured and unsecured short-term promissory notes issued by corporations and other entities. Maturities generally vary from a few days to nine months. |
1-4, 6-29 |
Commercial Paper |
Common Stock: Shares of ownership of a company. |
1-29 |
Equity Securities,
Warrants and Rights |
Common Stock Warrants and Rights: Securities, typically issued with preferred stock or bonds, that give the holder the right to buy a proportionate amount of common stock at a specified price. |
1-29 |
Equity Securities,
Warrants and Rights |
Convertible Securities: Bonds or preferred stock that can convert to common stock including contingent convertible securities. |
1-29 |
Convertible
Securities |
Instrument |
Fund Code |
Part II
Section Reference |
Corporate Debt Securities: May include bonds and other debt securities of domestic and foreign issuers, including obligations of industrial, utility, banking and other corporate issuers. |
1, 3-4, 6, 10,
12-23, 25-29 |
Debt Instruments |
Credit Default Swaps (“CDSs”): A swap agreement between two parties pursuant to which one party pays the other a fixed periodic coupon for the specified life of the agreement. The other party makes no payment unless a credit event, relating to a predetermined reference asset, occurs. If such an event occurs, the party will then make a payment to the first party, and the swap will terminate. |
1, 3, 6, 12-13, 15-21, 23,
27-29 |
Swaps and Related
Swap Products |
Demand Features: Securities that are subject to puts and standby commitments to purchase the securities at a fixed price (usually with accrued interest) within a fixed period of time following demand by a Fund. |
1, 3, 6, 12-21, 23, 27-29 |
Demand Features |
Emerging Market Securities: Securities issued by issuers or governments in countries with emerging economies or securities markets which may be undergoing significant evolution and rapid development. |
1-3, 6, 12-29 |
Foreign Investments
(including Foreign
Currencies) |
Exchange-Traded Funds (“ETFs”): Ownership interest in unit investment trusts, depositary receipts, and other pooled investment vehicles that hold a portfolio of securities or stocks designed to track the price performance and dividend yield of a particular broad-based, sector or international index. ETFs include a wide range of investments. |
1-29 |
Investment
Company
Securities and
Exchange-Traded
Funds |
Foreign Currency Transactions: Strategies used to hedge against currency risks, for other risk management purposes or to increase income or gain to a Fund. These strategies may consist of use of any of the following: options on currencies, currency futures, options on such futures, forward foreign currency transactions (including non- deliverable forwards (“NDFs”)), forward rate agreements
and currency swaps, caps and floors. |
1-3, 6, 12-23, 27, 29 |
Foreign Investments
(including Foreign
Currencies) |
Foreign Investments: Equity and debt securities (e.g., bonds and commercial paper) of foreign entities and obligations of foreign branches of U.S. banks and foreign banks. Foreign securities may also include American Depositary Receipts (“ADRs”), Global Depositary Receipts (“GDRs”), European
Depositary Receipts (“EDRs”) and American Depositary
Securities. |
1-29 |
Foreign Investments
(including Foreign
Currencies) |
High Yield/High Risk Securities/Junk Bonds: Securities that are generally rated below investment grade by the primary rating agencies or are unrated but are deemed by a Fund’s Adviser to be of comparable quality. |
1, 3, 6, 10,
12-21, 23, 27-29 |
Debt Instruments |
Inflation-Linked Debt Securities: Includes fixed and floating rate debt securities of varying maturities issued by the U.S. government as well as securities issued by other entities such as corporations, foreign governments and foreign issuers. |
1, 3, 6, 12-21, 23, 27-29 |
Debt Instruments |
Initial Public Offerings (“IPOs”): A transaction in which a previously private company makes its first sale of stock to the public. |
1-29 |
Equity Securities,
Warrants and Rights |
Interfund Lending: Involves lending money and borrowing money for temporary purposes through a credit facility. |
1-4, 6-29 |
Miscellaneous
Investment
Strategies
and Risks |
Instrument |
Fund Code |
Part II
Section Reference |
Inverse Floating Rate Instruments: Leveraged variable debt instruments with interest rates that reset in the opposite direction from the market rate of interest to which the inverse floater is indexed. |
1, 3, 6, 12-21, 23, 27-29 |
Inverse Floaters and
Interest Rate Caps |
Investment Company Securities: Shares of other investment companies, including money market funds for which the Adviser and/or its affiliates serve as investment adviser or administrator. The Adviser will waive certain fees when investing in funds for which it serves as investment adviser, to the extent required by law or by contract. |
1-29 |
Investment
Company
Securities and
Exchange-Traded
Funds |
Loan Assignments and Participations: Assignments of, or participations in, all or a portion of loans to corporations or governments, including governments in less developed countries. |
1, 3, 6, 10,
12-21, 23, 27-29 |
Loans |
Master Limited Partnerships (“MLPs”):
Limited partnerships that are publicly traded on a securities exchange. |
1-29 |
Master Limited
Partnerships |
Mortgages (Directly Held): Debt instruments secured by real property. |
3, 6, 10-24, 27-29 |
Mortgage-Related Securities |
Mortgage-Backed Securities: Debt obligations secured by real estate loans and pools of loans such as collateralized mortgage obligations (“CMOs”), commercial mortgage- backed securities (“CMBSs”) and other asset-backed structures. |
1, 3, 6, 10-21,
23, 27-29 |
Mortgage-Related
Securities |
Mortgage Dollar Rolls: A transaction in which a Fund sells securities for delivery in a current month and simultaneously contracts with the same party to repurchase similar but not identical securities on a specified future date. |
1, 3, 6, 12-21, 23, 27-29 |
Mortgage-Related
Securities |
Municipal Securities: Securities issued by a state or political subdivision to obtain funds for various public purposes. Municipal securities include, among others, private activity bonds and industrial development bonds, as well as general obligation notes, tax anticipation notes, bond anticipation notes, revenue anticipation notes, other short-term tax- exempt obligations, municipal leases, obligations of municipal housing authorities and single-family revenue bonds. |
1, 3, 6, 10-21,
23, 27-29 |
Municipal Securities |
New Financial Products: New options and futures contracts and other financial products continue to be developed and a Fund may invest in such options, contracts and products. |
1-29 |
Miscellaneous
Investment
Strategies
and Risks |
Obligations of Supranational Agencies: Obligations which are chartered to promote economic development and are supported by various governments and governmental agencies. |
1, 3, 6, 12-21,
23, 27-29 |
Foreign Investments
(including Foreign
Currencies) |
Options and Futures Transactions: A Fund may purchase and sell (a) exchange traded and over-the-counter put and call options on securities, indexes of securities and futures contracts on securities and indexes of securities and (b) futures contracts on securities and indexes of securities. |
1-29 |
Options and Futures
Transactions |
Preferred Stock: A class of stock that generally pays a dividend at a specified rate and has preference over common stock in the payment of dividends and in liquidation. |
1-29 |
Equity Securities,
Warrants and Rights |
Private Placements, Restricted Securities and Other
Unregistered Securities: Securities not registered under the Securities Act of 1933, such as privately placed commercial paper and Rule 144A securities. |
1-29 |
Miscellaneous
Investment
Strategies
and Risks |
Instrument |
Fund Code |
Part II
Section Reference |
Real Estate Investment Trusts (“REITs”):
Pooled investment vehicles which invest primarily in income producing real estate or real estate related loans or interest. |
1-29 |
Real Estate
Investment Trusts |
Repurchase Agreements: The purchase of a security and the simultaneous commitment to return the security to the seller at an agreed upon price on an agreed upon date. This is treated as a loan. |
1-4, 6-29 |
Repurchase
Agreements |
Reverse Repurchase Agreements: The sale of a security and the simultaneous commitment to buy the security back at an agreed upon price on an agreed upon date. This is treated as a borrowing by a Fund. |
1-4, 6-29 |
Reverse Repurchase
Agreements |
Securities Issued in Connection with Reorganizations
and Corporate Restructurings: In connection with
reorganizing or restructuring of an issuer, an issuer may
issue common stock or other securities to holders of its
debt securities. |
1-4, 6-29 |
Miscellaneous
Investment
Strategies
and Risks |
Securities Lending: The lending of up to 33 1∕3% of a Fund’s total assets. In return, a Fund will receive cash, other securities and/or letters of credit as collateral. |
1-29 |
Securities Lending |
Short Selling: A Fund sells a security it does not own in anticipation of a decline in the market value of the security. To complete the transaction, a Fund must borrow the security to make delivery to the buyer. A Fund is obligated to replace the security borrowed by purchasing it subsequently at the market price at the time of replacement. |
1, 6, 12, 14-16, 18, 21, 23-24, 27-29 |
Short Selling |
Short-Term Funding Agreements: Agreements issued by banks and highly rated U.S. insurance companies such as Guaranteed Investment Contracts (“GICs”) and Bank Investment Contracts (“BICs”). |
1-4, 6-29 |
Short-Term Funding
Agreements |
Sovereign Obligations: Investments in debt obligations issued or guaranteed by a foreign sovereign government, or its agencies, authorities or political subdivisions. |
1, 3, 6, 12-24, 27-29 |
Foreign Investments
(including Foreign
Currencies) |
Stripped Mortgage-Backed Securities: Derivative multi- class mortgage securities which are usually structured with two classes of shares that receive different proportions of the interest and principal from a pool of mortgage assets. These include Interest Only (“IO”) and Principal-Only (“PO”)
securities issued outside a Real Estate Mortgage Investment
Conduit (“REMIC”) or CMO structure. |
1, 3, 6, 12-29 |
Mortgage-Related
Securities |
Structured Investments: A security having a return tied to an underlying index or other security or asset class. Structured investments generally are individually negotiated agreements and may be traded over-the-counter. Structured investments are organized and operated to restructure the investment characteristics of the underlying index, commodity, currency or financial instrument. |
1, 3, 5-6, 10-21, 23, 27, 29 |
Structured
Investments |
Swaps and Related Swap Products: Swaps involve an exchange of obligations by two parties. Caps and floors entitle a purchaser to a principal amount from the seller of the cap or floor to the extent that a specified index exceeds or falls below a predetermined interest rate or amount. A Fund may enter into these transactions to manage its exposure to changing interest rates and other factors. |
1, 3-4, 6, 10-29 |
Swaps and Related Swap Products |
Instrument |
Fund Code |
Part II
Section Reference |
Synthetic Variable Rate Instruments: Instruments that generally involve the deposit of a long-term tax exempt bond in a custody or trust arrangement and the creation of a mechanism to adjust the long-term interest rate on the bond to a variable short-term rate and a right (subject to certain conditions) on the part of the purchaser to tender it periodically to a third party at par. |
3, 6, 12-21, 23, 27-29 |
Swaps and Related
Swap Products |
Temporary Defensive Positions: To respond to unusual circumstances, a Fund may invest a portion of its total assets in cash and cash equivalents for temporary defensive purposes. |
1-29 |
Miscellaneous
Investment
Strategies
and Risks |
Treasury Receipts: A Fund may purchase interests in separately traded interest and principal component parts of U.S. Treasury obligations that are issued by banks or brokerage firms and that are created by depositing U.S. Treasury notes and U.S. Treasury bonds into a special account at a custodian bank. Receipts include Treasury Receipts (“TRs”), Treasury Investment Growth Receipts (“TIGRs”), and Certificates of Accrual on Treasury Securities (“CATS”). |
1-4, 6-29 |
Treasury Receipts |
Trust Preferreds: Securities with characteristics of both subordinated debt and preferred stock. Trust preferreds are generally long term securities that make periodic fixed or variable interest payments. |
1, 3-4, 6, 10, 12-25, 27-29 |
Trust Preferred
Securities |
U.S. Government Agency Securities: Securities issued by agencies and instrumentalities of the U.S. government. These include all types of securities issued by the Government National Mortgage Association (“Ginnie Mae”), the Federal National Mortgage Association (“Fannie
Mae”) and the Federal Home Loan Mortgage Corporation
(“Freddie Mac”), including funding notes, subordinated
benchmark notes, CMOs and REMICs. |
1-4, 6-29 |
Mortgage-Related
Securities |
U.S. Government Obligations: May include direct obligations of the U.S. Treasury, including Treasury bills, notes and bonds, all of which are backed as to principal and interest payments by the full faith and credit of the United States, and separately traded principal and interest component parts of such obligations that are transferable through the Federal book-entry system known as Separate Trading of Registered Interest and Principal of Securities (“STRIPS”) and Coupons Under Book-Entry-Safekeeping (“CUBES”). |
1-4, 6-29 |
U.S. Government
Obligations |
Variable and Floating Rate Instruments: Obligations with interest rates which are reset daily, weekly, quarterly or some other frequency and which may be payable to a Fund on demand or at the expiration of a specified term. |
1-3, 6, 10-21, 23, 25, 27-29 |
Debt Instruments |
When-Issued Securities, Delayed Delivery Securities and
Forward Commitments: Purchase or contract to purchase securities at a fixed price for delivery at a future date. |
1-4, 6-29 |
When-Issued
Securities, Delayed
Delivery Securities
and Forward
Commitments |
Instrument |
Fund Code |
Part II
Section Reference |
Zero-Coupon, Pay-in-Kind and Deferred Payment
Securities: Zero-coupon securities are securities that are sold at a discount to par value and on which interest payments are not made during the life of the security. Pay- in-kind securities are securities that have interest payable by delivery of additional securities. Deferred payment securities are zero-coupon debt securities which convert on a specified date to interest bearing debt securities. |
1, 3, 6, 10,
12-21, 23, 27-29 |
Debt Instruments |
|
Fiscal
Year Ended June 30, | |
Fund |
2021 |
2022 |
U.S. Large Cap Core Plus Fund |
96% |
91% |
|
Fiscal
Year Ended June 30, | |
Fund |
2021 |
2022 |
Diversified Fund |
119% |
94% |
Equity Focus Fund |
58% |
29% |
Equity Income Fund |
16% |
15% |
Equity Index Fund |
26% |
11% |
Equity Premium Income Fund |
217% |
188% |
Growth Advantage Fund |
43% |
33% |
Hedged Equity Fund |
39% |
44% |
Hedged Equity 2 Fund1
|
6% |
39% |
Hedged Equity 3 Fund1
|
7% |
29% |
Large Cap Growth Fund |
58% |
50% |
Large Cap Value Fund |
93% |
121% |
Mid Cap Equity Fund |
54% |
33% |
Mid Cap Growth Fund |
42% |
45% |
Mid Cap Value Fund |
21% |
16% |
Small Cap Blend Fund |
48% |
45% |
Small Cap Equity Fund |
29% |
16% |
Small Cap Growth Fund |
52% |
35% |
Small Cap Sustainable Leaders Fund |
83% |
140% |
Small Cap Value Fund |
78% |
56% |
SMID Cap Equity Fund2
|
122% |
24% |
U.S. Applied Data Science Value Fund |
72% |
55% |
U.S. Equity Fund |
60% |
53% |
U.S. GARP Equity Fund |
64% |
44% |
U.S. Large Cap Core Plus Fund |
57% |
59% |
U.S. Research Enhanced Equity Fund |
35% |
30% |
U.S. Small Company Fund |
94% |
66% |
U.S. Sustainable Leaders Fund |
44% |
39% |
U.S. Value Fund |
14% |
22% |
Value Advantage Fund |
34% |
23% |
Committee |
Fiscal Year Ended
June 30, 2022 |
Audit and Valuation Committee |
4 |
Compliance Committee |
5 |
Governance Committee |
7 |
Equity Committee |
5 |
Committee |
Fiscal Year Ended
June 30, 2022 |
ETF Committee*
|
2 |
Fixed Income Committee |
5 |
Money Market and Alternative Products Committee |
6 |
Name of Trustee |
Dollar Range of Equity
Securities in Diversified
Fund |
Dollar Range of Equity
Securities in Equity
Focus Fund |
Dollar Range of Equity
Securities in Equity
Income Fund |
Dollar Range of Equity
Securities in Equity
Index Fund |
Dollar Range of Equity
Securities in Equity
Premium Income
Fund |
Independent Trustees |
|
|
|
|
|
John F. Finn |
None |
None |
Over
$100,000 |
None |
None |
Stephen P. Fisher |
None |
None |
Over
$100,000 |
None |
None |
Gary L. French3
|
None |
None |
None |
None |
None |
Kathleen M. Gallagher |
None |
None |
None |
Over
$100,000 |
None |
Robert J. Grassi3
|
None |
None |
None |
None |
None |
Frankie D. Hughes |
None |
None |
None |
None |
None |
Raymond Kanner |
None |
None |
None |
None |
None |
Thomas P. Lemke3
|
None |
None |
None |
None |
None |
Lawrence R. Maffia3
|
None |
None |
None |
None |
None |
Mary E. Martinez |
None |
None |
None |
None |
None |
Marilyn McCoy |
None |
None |
None |
None |
None |
Dr. Robert A. Oden, Jr. |
None |
None |
None |
None |
None |
Marian U. Pardo |
None |
None |
None |
None |
None |
Emily A. Youssouf3
|
None |
None |
None |
None |
None |
Interested Trustees |
|
|
|
|
|
Robert Deutsch3
|
None |
None |
None |
None |
None |
Nina O. Shenker3
|
None |
None |
None |
None |
None |
Name of Trustee |
Dollar Range of Equity
Securities in Growth
Advantage Fund |
Dollar Range of Equity
Securities in Hedged
Equity Fund |
Dollar Range of Equity
Securities in Hedged Equity
2 Fund |
Dollar Range of Equity
Securities in Hedged Equity
3 Fund |
Dollar Range of Equity
Securities in Large Cap
Growth Fund |
Independent Trustees |
|
|
|
|
|
John F. Finn |
None |
None |
None |
None |
Over $100,000
|
Stephen P. Fisher |
None |
None |
None |
None |
None |
Gary L. French3
|
None |
None |
None |
None |
None |
Kathleen M. Gallagher |
None |
None |
None |
None |
None |
Robert J. Grassi3
|
None |
None |
None |
None |
None |
Frankie D. Hughes |
None |
None |
None |
None |
None |
Raymond Kanner |
None |
Over
$100,000 |
None |
None |
None |
Thomas P. Lemke3
|
None |
None |
None |
None |
None |
Lawrence R. Maffia3
|
None |
None |
None |
None |
None |
Mary E. Martinez |
None |
None |
None |
None |
None |
Marilyn McCoy |
None |
None |
None |
None |
None |
Dr. Robert A. Oden, Jr. |
None |
None |
None |
None |
None |
Name of Trustee |
Dollar Range of Equity
Securities in Growth
Advantage Fund |
Dollar Range of Equity
Securities in Hedged
Equity Fund |
Dollar Range of Equity
Securities in Hedged Equity
2 Fund |
Dollar Range of Equity
Securities in Hedged Equity
3 Fund |
Dollar Range of Equity
Securities in Large Cap
Growth Fund |
Marian U. Pardo |
None |
None |
None |
None |
None |
Emily A. Youssouf3
|
None |
None |
None |
None |
None |
Interested Trustees |
|
|
|
|
|
Robert Deutsch3
|
None |
None |
None |
None |
None |
Nina O. Shenker3
|
None |
None |
None |
None |
None |
Name of Trustee |
Dollar Range of Equity
Securities in Large Cap
Value Fund |
Dollar Range of Equity
Securities in Mid Cap
Equity Fund |
Dollar Range of Equity
Securities in Mid Cap
Growth Fund |
Dollar Range of Equity
Securities in Mid Cap
Value Fund |
Dollar Range of Equity
Securities in Small Cap Blend
Fund |
Independent Trustees |
|
|
|
|
|
John F. Finn |
None |
Over
$100,000 |
None |
None |
None |
Stephen P. Fisher |
None |
None |
None |
None |
None |
Gary L. French3
|
None |
None |
None |
None |
None |
Kathleen M. Gallagher |
None |
None |
None |
None |
None |
Robert J. Grassi3
|
None |
None |
None |
None |
None |
Frankie D. Hughes |
None |
None |
None |
None |
None |
Raymond Kanner |
None |
None |
None |
None |
None |
Thomas P. Lemke3
|
None |
None |
None |
None |
None |
Lawrence R. Maffia3
|
None |
None |
None |
None |
None |
Mary E. Martinez |
None |
None |
None |
None |
None |
Marilyn McCoy |
None |
None |
None |
None |
None |
Dr. Robert A. Oden, Jr. |
None |
None |
None |
None |
None |
Marian U. Pardo |
None |
None |
Over
$100,000 |
None |
None |
Emily A. Youssouf3
|
None |
None |
None |
None |
None |
Interested Trustees |
|
|
|
|
|
Robert Deutsch3
|
None |
None |
None |
None |
None |
Nina O. Shenker3
|
None |
None |
None |
None |
None |
Name of Trustee |
Dollar Range of Equity
Securities in Small Cap
Equity Fund |
Dollar Range of Equity
Securities in Small Cap
Growth Fund |
Dollar Range of Equity
Securities in Small Cap Value
Fund |
Dollar Range of Equity
Securities in Small Cap
Sustainable Leaders
Fund |
Dollar
Range of Equity Securities in
SMID Cap Equity Fund |
Independent Trustees |
|
|
|
|
|
John F. Finn |
None |
None |
None |
None |
None |
Stephen P. Fisher |
None |
None |
None |
None |
None |
Gary L. French3
|
None |
None |
None |
None |
None |
Kathleen M. Gallagher |
None |
None |
None |
None |
None |
Robert J. Grassi3
|
None |
None |
None |
None |
None |
Frankie D. Hughes |
None |
None |
None |
None |
None |
Raymond Kanner |
None |
None |
None |
None |
None |
Thomas P. Lemke3
|
None |
None |
None |
None |
None |
Lawrence R. Maffia3
|
None |
None |
None |
None |
None |
Mary E. Martinez |
None |
None |
None |
None |
None |
Marilyn McCoy |
None |
None |
None |
None |
None |
Dr. Robert A. Oden, Jr. |
None |
None |
None |
None |
None |
Marian U. Pardo |
None |
None |
None |
None |
None |
Emily A. Youssouf3
|
None |
None |
None |
None |
None |
Interested Trustees |
|
|
|
|
|
Robert Deutsch3
|
None |
None |
None |
None |
None |
Nina O. Shenker3
|
None |
None |
None |
None |
None |
Name of Trustee |
Dollar Range of Equity
Securities in U.S. Applied
Data Science Value Fund |
Dollar Range of Equity
Securities in U.S.
Equity Fund |
Dollar Range of Equity
Securities in U.S.
GARP Equity
Fund |
Dollar Range of Equity
Securities in U.S. Large
Cap Core Plus Fund |
Dollar
Range of Equity Securities in
U.S. Research
Enhanced Equity Fund |
Independent Trustees |
|
|
|
|
|
John F. Finn |
None |
None |
None |
None |
None |
Stephen P. Fisher |
None |
None |
None |
None |
None |
Gary L. French3
|
None |
None |
None |
None |
None |
Kathleen M. Gallagher |
None |
None |
None |
None |
None |
Robert J. Grassi3
|
None |
None |
None |
None |
None |
Frankie D. Hughes |
None |
None |
None |
None |
None |
Raymond Kanner |
None |
None |
None |
None |
None |
Thomas P. Lemke3
|
None |
None |
None |
None |
None |
Lawrence R. Maffia3
|
None |
None |
None |
None |
None |
Mary E. Martinez |
None |
None |
None |
None |
None |
Marilyn McCoy |
None |
None |
None |
None |
None |
Dr. Robert A. Oden, Jr. |
None |
None |
None |
None |
None |
Marian U. Pardo |
None |
None |
None |
None |
None |
Emily A. Youssouf3
|
None |
None |
None |
None |
None |
Interested Trustees |
|
|
|
|
|
Robert Deutsch3
|
None |
None |
None |
None |
None |
Nina O. Shenker3
|
None |
None |
None |
None |
None |
Name of Trustee |
Dollar Range of Equity
Securities in U.S.
Small Company
Fund |
Dollar Range of Equity
Securities in U.S.
Sustainable Leaders
Fund |
Dollar Range of Equity
Securities in U.S.
Value Fund |
Dollar Range of Equity
Securities in Value
Advantage Fund |
Aggregate Dollar Range of
Equity Securities in All
Registered Investment
Companies Overseen by the
Trustee in Family of
Investment Companies1,2
|
Independent Trustees |
|
|
|
|
|
John F. Finn |
None |
None |
None |
None |
Over $100,000
|
Stephen P. Fisher |
None |
None |
None |
None |
Over $100,000
|
Gary L. French3
|
None |
None |
None |
None |
Over $100,000
|
Kathleen M. Gallagher |
None |
None |
None |
None |
Over $100,000
|
Robert J. Grassi3
|
None |
None |
None |
None |
Over $100,000
|
Frankie D. Hughes |
None |
None |
None |
None |
Over $100,000
|
Raymond Kanner |
None |
None |
None |
None |
Over $100,000
|
Thomas P. Lemke3
|
None |
None |
None |
None |
Over $100,000
|
Lawrence R. Maffia3
|
None |
None |
None |
None |
Over $100,000
|
Mary E. Martinez |
None |
None |
None |
None |
Over $100,000
|
Marilyn McCoy |
None |
None |
None |
None |
Over $100,000
|
Dr. Robert A. Oden, Jr. |
None |
None |
None |
None |
Over $100,000
|
Marian U. Pardo |
None |
None |
None |
None |
Over $100,000 |
Name of Trustee |
Dollar Range of Equity
Securities in U.S.
Small Company
Fund |
Dollar Range of Equity
Securities in U.S.
Sustainable Leaders
Fund |
Dollar Range of Equity
Securities in U.S.
Value Fund |
Dollar Range of Equity
Securities in Value
Advantage Fund |
Aggregate Dollar Range of
Equity Securities in All
Registered Investment
Companies Overseen by the
Trustee in Family of
Investment Companies1,2 |
Emily A. Youssouf3
|
None |
None |
None |
None |
$10,001–
$50,000 |
Interested Trustees |
|
|
|
|
|
Robert Deutsch3
|
None |
None |
None |
None |
Over $100,000
|
Nina O. Shenker3
|
None |
None |
None |
None |
None |
Name of Trustee |
Diversified Fund |
Equity Focus Fund |
Equity Income Fund |
Equity Index Fund |
Equity
Premium Income Fund |
Independent Trustees |
|
|
|
|
|
John F. Finn |
$2,627 |
$2,336 |
$17,689 |
$4,768 |
$2,580 |
Stephen P. Fisher |
2,451 |
2,312 |
9,600 |
3,468 |
2,428 |
Gary L. French3
|
0 |
0 |
0 |
0 |
0 |
Kathleen M. Gallagher |
2,438 |
2,311 |
9,083 |
3,375 |
2,424 |
Name of Trustee |
Diversified Fund |
Equity Focus Fund |
Equity Income Fund |
Equity Index Fund |
Equity
Premium Income Fund |
Robert J. Grassi3
|
$0 |
$0 |
$0 |
$0 |
$0 |
Dennis P. Harrington5
|
2,413 |
2,307 |
7,805 |
3,190 |
2,389 |
Frankie D. Hughes |
2,400 |
2,306 |
7,289 |
3,097 |
2,385 |
Raymond Kanner |
2,451 |
2,312 |
9,600 |
3,468 |
2,428 |
Thomas P. Lemke3
|
0 |
0 |
0 |
0 |
0 |
Lawrence R. Maffia3
|
0 |
0 |
0 |
0 |
0 |
Mary E. Martinez |
2,526 |
2,323 |
13,139 |
4,024 |
2,496 |
Marilyn McCoy |
2,400 |
2,306 |
7,289 |
3,097 |
2,385 |
Mitchell M. Merin7
|
2,400 |
2,306 |
7,289 |
3,097 |
2,385 |
Dr. Robert A. Oden, Jr. |
2,451 |
2,312 |
9,600 |
3,468 |
2,428 |
Marian U. Pardo |
2,451 |
2,312 |
9,600 |
3,468 |
2,428 |
Emily A. Youssouf3
|
0 |
0 |
0 |
0 |
0 |
Interested Trustees |
|
|
|
|
|
Robert Deutsch3
|
0 |
0 |
0 |
0 |
0 |
Nina O. Shenker3
|
0 |
0 |
0 |
0 |
0 |
Name of Trustee |
Growth Advantage Fund |
Hedged Equity Fund |
Hedged Equity 2 Fund |
Hedged Equity 3 Fund |
Large Cap
Growth Fund |
Independent Trustees |
|
|
|
|
|
John F. Finn |
$7,469 |
$8,415 |
$2,105 |
$1,920 |
$15,021 |
Stephen P. Fisher |
4,751 |
5,198 |
1,905 |
1,817 |
8,335 |
Gary L. French3
|
0 |
0 |
0 |
0 |
0 |
Kathleen M. Gallagher |
4,551 |
4,986 |
1,904 |
1,817 |
7,871 |
Robert J. Grassi3
|
0 |
0 |
0 |
0 |
0 |
Dennis P. Harrington5
|
4,174 |
4,491 |
1,847 |
1,788 |
6,889 |
Frankie D. Hughes |
3,974 |
4,279 |
1,847 |
1,788 |
6,425 |
Raymond Kanner |
4,751 |
5,198 |
1,905 |
1,817 |
8,335 |
Thomas P. Lemke3
|
0 |
0 |
0 |
0 |
0 |
Lawrence R. Maffia3
|
0 |
0 |
0 |
0 |
0 |
Mary E. Martinez |
5,911 |
6,615 |
1,995 |
1,864 |
11,249 |
Marilyn McCoy |
3,974 |
4,279 |
1,847 |
1,788 |
6,425 |
Mitchell M. Merin7
|
3,974 |
4,279 |
1,847 |
1,788 |
6,425 |
Dr. Robert A. Oden, Jr. |
4,751 |
5,198 |
1,905 |
1,817 |
8,335 |
Marian U. Pardo |
4,751 |
5,198 |
1,905 |
1,817 |
8,335 |
Emily A. Youssouf3
|
0 |
0 |
0 |
0 |
0 |
Interested Trustees |
|
|
|
|
|
Robert Deutsch3
|
0 |
0 |
0 |
0 |
0 |
Nina O. Shenker3
|
0 |
0 |
0 |
0 |
0 |
Name of Trustee |
Large
Cap Value Fund |
Mid
Cap Equity Fund |
Mid
Cap Growth Fund |
Mid
Cap Value Fund |
Small Cap
Blend Fund |
Independent Trustees |
|
|
|
|
|
John F. Finn |
$3,325 |
$3,238 |
$5,353 |
$8,089 |
$2,654 |
Stephen P. Fisher |
2,780 |
2,741 |
3,745 |
5,044 |
2,464 |
Gary L. French3
|
0 |
0 |
0 |
0 |
0 |
Kathleen M. Gallagher |
2,755 |
2,710 |
3,632 |
4,834 |
2,453 |
Robert J. Grassi3
|
0 |
0 |
0 |
0 |
0 |
Dennis P. Harrington5
|
2,650 |
2,630 |
3,399 |
4,383 |
2,421 |
Frankie D. Hughes |
2,625 |
2,599 |
3,286 |
4,174 |
2,409 |
Raymond Kanner |
2,780 |
2,741 |
3,745 |
5,044 |
2,464 |
Thomas P. Lemke3
|
0 |
0 |
0 |
0 |
0 |
Lawrence R. Maffia3
|
0 |
0 |
0 |
0 |
0 |
Mary E. Martinez |
3,028 |
2,966 |
4,446 |
6,365 |
2,550 |
Marilyn McCoy |
2,625 |
2,599 |
3,286 |
4,174 |
2,409 |
Mitchell M. Merin7
|
2,625 |
2,599 |
3,286 |
4,174 |
2,409 |
Dr. Robert A. Oden, Jr. |
2,780 |
2,741 |
3,745 |
5,044 |
2,464 |
Marian U. Pardo |
2,780 |
2,741 |
3,745 |
5,044 |
2,464 |
Emily A. Youssouf3
|
0 |
0 |
0 |
0 |
0 |
Interested Trustees |
|
|
|
|
|
Robert Deutsch3
|
0 |
0 |
0 |
0 |
0 |
Nina O. Shenker3
|
0 |
0 |
0 |
0 |
0 |
Name of Trustee |
Small
Cap Equity Fund |
Small
Cap Growth Fund |
Small
Cap Sustainable Leaders Fund |
Small
Cap Value Fund |
SMID Cap
Equity Fund |
Independent Trustees |
|
|
|
|
|
John F. Finn |
$5,269 |
$4,634 |
$2,436 |
$2,795 |
$2,438 |
Stephen P. Fisher |
3,705 |
3,404 |
2,360 |
2,531 |
2,361 |
Gary L. French3
|
0 |
0 |
0 |
0 |
0 |
Kathleen M. Gallagher |
3,587 |
3,309 |
2,354 |
2,512 |
2,356 |
Robert J. Grassi3
|
0 |
0 |
0 |
0 |
0 |
Dennis P. Harrington5
|
3,378 |
3,148 |
2,345 |
2,473 |
2,345 |
Frankie D. Hughes |
3,259 |
3,053 |
2,339 |
2,455 |
2,339 |
Raymond Kanner |
3,705 |
3,404 |
2,360 |
2,531 |
2,361 |
Thomas P. Lemke3
|
0 |
0 |
0 |
0 |
0 |
Lawrence R. Maffia3
|
0 |
0 |
0 |
0 |
0 |
Mary E. Martinez |
4,372 |
3,937 |
2,393 |
2,645 |
2,394 |
Marilyn McCoy |
3,259 |
3,053 |
2,339 |
2,455 |
2,339 |
Mitchell M. Merin7
|
3,259 |
3,053 |
2,339 |
2,455 |
2,339 |
Dr. Robert A. Oden, Jr. |
3,705 |
3,404 |
2,360 |
2,531 |
2,361 |
Marian U. Pardo |
3,705 |
3,404 |
2,360 |
2,531 |
2,361 |
Emily A. Youssouf3
|
0 |
0 |
0 |
0 |
0 |
Interested Trustees |
|
|
|
|
|
Robert Deutsch3
|
0 |
0 |
0 |
0 |
0 |
Nina O. Shenker3
|
0 |
0 |
0 |
0 |
0 |
Name of Trustee |
U.S.
Applied Data Science Value Fund |
U.S.
Equity Fund |
U.S.
GARP Equity Fund |
U.S.
Large Cap Core Plus Fund |
U.S.
Research Enhanced Equity Fund |
Independent Trustees |
|
|
|
|
|
John F. Finn |
$2,383 |
$9,262 |
$2,751 |
$3,225 |
$4,143 |
Stephen P. Fisher |
2,335 |
5,601 |
2,510 |
2,735 |
3,171 |
Gary L. French3
|
0 |
0 |
0 |
0 |
0 |
Kathleen M. Gallagher |
2,331 |
5,340 |
2,492 |
2,697 |
3,101 |
Robert J. Grassi3
|
0 |
0 |
0 |
0 |
0 |
Dennis P. Harrington5
|
2,325 |
4,818 |
2,459 |
2,632 |
2,964 |
Frankie D. Hughes |
2,321 |
4,556 |
2,441 |
2,595 |
2,894 |
Raymond Kanner |
2,335 |
5,601 |
2,510 |
2,735 |
3,171 |
Thomas P. Lemke3
|
0 |
0 |
0 |
0 |
0 |
Lawrence R. Maffia3
|
0 |
0 |
0 |
0 |
0 |
Mary E. Martinez |
2,355 |
7,182 |
2,614 |
2,938 |
3,597 |
Marilyn McCoy |
2,321 |
4,556 |
2,441 |
2,595 |
2,894 |
Mitchell M. Merin7
|
2,321 |
4,556 |
2,441 |
2,595 |
2,894 |
Dr. Robert A. Oden, Jr. |
2,335 |
5,601 |
2,510 |
2,735 |
3,171 |
Marian U. Pardo |
2,335 |
5,601 |
2,510 |
2,735 |
3,171 |
Emily A. Youssouf3
|
0 |
0 |
0 |
0 |
0 |
Interested Trustees |
|
|
|
|
|
Robert Deutsch3
|
0 |
0 |
0 |
0 |
0 |
Nina O. Shenker3
|
0 |
0 |
0 |
0 |
0 |
Name of Trustee |
U.S.
Small Company Fund |
U.S. Sustainable
Leaders Fund |
U.S.
Value Fund |
Value
Advantage Fund |
Total
Compensation Paid From
Fund Complex1 |
Independent Trustees |
|
|
|
|
|
John F. Finn |
$2,680 |
$2,330 |
$2,806 |
$5,999 |
$620,000 |
Stephen P. Fisher |
2,476 |
2,310 |
2,535 |
4,051 |
445,0002
|
Gary L. French3
|
0 |
0 |
0 |
0 |
157,500 |
Kathleen M. Gallagher |
2,461 |
2,309 |
2,520 |
3,917 |
432,5004
|
Robert J. Grassi3
|
0 |
0 |
0 |
0 |
156,000 |
Dennis P. Harrington5
|
2,432 |
2,305 |
2,474 |
3,629 |
407,500 |
Frankie D. Hughes |
2,418 |
2,304 |
2,458 |
3,495 |
395,000 |
Raymond Kanner |
2,476 |
2,310 |
2,535 |
4,051 |
445,0002
|
Thomas P. Lemke3
|
0 |
0 |
0 |
0 |
158,000 |
Lawrence R. Maffia3
|
0 |
0 |
0 |
0 |
156,000 |
Mary E. Martinez |
2,563 |
2,319 |
2,655 |
4,895 |
520,000 |
Name of Trustee |
U.S.
Small Company Fund |
U.S. Sustainable
Leaders Fund |
U.S.
Value Fund |
Value
Advantage Fund |
Total
Compensation Paid From
Fund Complex1 |
Marilyn McCoy |
$2,418 |
$2,304 |
$2,458 |
$3,495 |
$395,0006 |
Mitchell M. Merin7
|
2,418 |
2,304 |
2,458 |
3,495 |
395,000 |
Dr. Robert A. Oden, Jr. |
2,476 |
2,310 |
2,535 |
4,051 |
445,000 |
Marian U. Pardo |
2,476 |
2,310 |
2,535 |
4,051 |
445,000 |
Emily A. Youssouf3
|
0 |
0 |
0 |
0 |
156,000 |
Interested Trustees |
|
|
|
|
|
Robert Deutsch3
|
0 |
0 |
0 |
0 |
150,000 |
Nina O. Shenker3
|
0 |
0 |
0 |
0 |
0 |
|
Fiscal
Year Ended | |||||
|
June
30, 2020 |
June
30, 2021 |
June
30, 2022 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived
|
Diversified Fund |
$4,143 |
$(1,074) |
$3,691 |
$(675) |
$3,841 |
$(591) |
Equity Focus Fund |
344 |
(147) |
448 |
(91) |
666 |
(83) |
Equity Income Fund |
111,171 |
(1,353) |
147,576 |
(1,060) |
195,472 |
(1,074) |
Equity Index Fund |
— |
(1,942) |
— |
(2,458) |
168 |
(2,924) |
Equity Premium Income Fund |
82 |
(211) |
736 |
(191) |
5,091 |
(340) |
Growth Advantage Fund |
51,305 |
(772) |
73,678 |
(194) |
77,580 |
(5,135) |
Hedged Equity Fund |
16,071 |
(305) |
35,574 |
(362) |
46,463 |
(201) |
Hedged Equity 2 Fund1
|
N/A |
N/A |
397 |
(108) |
8,754 |
(485) |
Hedged Equity 3 Fund1
|
N/A |
N/A |
112 |
(92) |
4,610 |
(357) |
Large Cap Growth Fund |
70,090 |
(10,555) |
126,606 |
(14,685) |
152,229 |
(16,154) |
Large Cap Value Fund |
5,132 |
(620) |
7,465 |
(755) |
12,293 |
(1,243) |
Mid Cap Equity Fund |
11,189 |
(1,417) |
12,634 |
(1,517) |
17,044 |
(2,129) |
Mid Cap Growth Fund |
30,554 |
(270) |
48,031 |
(283) |
54,917 |
(1,820) |
Mid Cap Value Fund |
98,922 |
(843) |
96,344 |
(1,199) |
102,822 |
(5,096) |
Small Cap Blend Fund |
2,455 |
(148) |
4,862 |
(145) |
7,565 |
(213) |
Small Cap Equity Fund |
42,202 |
(418) |
51,426 |
(315) |
48,518 |
(198) |
Small Cap Growth Fund |
20,197 |
(377) |
38,121 |
(300) |
35,939 |
(374) |
Small Cap Sustainable Leaders Fund |
2,533 |
(159) |
2,556 |
(118) |
1,405 |
(374) |
Small Cap Value Fund |
8,025 |
(99) |
8,015 |
(28) |
9,491 |
(38) |
SMID Cap Equity Fund |
2,396 |
(177) |
2,055 |
(187) |
1,986 |
(130) |
|
Fiscal
Year Ended | |||||
|
June
30, 2020 |
June
30, 2021 |
June
30, 2022 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived
|
U.S. Applied Data Science Value Fund |
$1,877 |
$(457) |
$536 |
$(231) |
$532 |
$(180) |
U.S. Equity Fund |
55,053 |
(3,608) |
68,535 |
(3,874) |
79,635 |
(4,153) |
U.S. GARP Equity Fund |
2,954 |
(584) |
3,286 |
(471) |
3,248 |
(465) |
U.S. Large Cap Core Plus Fund |
26,285 |
(1,365) |
18,235 |
(697) |
15,186 |
(595) |
U.S. Research Enhanced Equity Fund |
8,832 |
(2,398) |
9,832 |
(2,581) |
11,729 |
(3,218) |
U.S. Small Company Fund |
7,170 |
(35) |
6,088 |
(22) |
6,365 |
(21) |
U.S. Sustainable Leaders Fund |
— |
(154) |
8 |
(215) |
339 |
(197) |
U.S. Value Fund |
2,412 |
(368) |
4,090 |
(452) |
7,855 |
(943) |
Value Advantage Fund |
57,073 |
(1,003) |
52,888 |
(306) |
55,283 |
(3,777) |
|
Non-Performance Based Fee Advisory Accounts | |||||
|
Registered Investment
Companies |
Other
Pooled Investment Vehicles |
Other
Accounts | |||
|
Number
of
Accounts |
Total
Assets ($thousands) |
Number
of
Accounts |
Total
Assets ($thousands) |
Number
of
Accounts |
Total Assets
($thousands) |
Diversified Fund |
|
|
|
|
|
|
Jeffrey Geller |
35 |
$77,587,080 |
46 |
$52,176,809 |
18 |
$13,643,145 |
Gary Herbert |
6 |
18,284,422 |
23 |
33,159,759 |
5 |
2,515,087 |
Morgan Moriarty |
5 |
7,115,692 |
3 |
1,513,933 |
44 |
10,208,665 |
Equity Focus Fund |
|
|
|
|
|
|
Jonathan Simon |
19 |
31,273,231 |
6 |
9,729,653 |
40 |
2,396,441 |
Timothy Parton |
15 |
26,067,236 |
9 |
14,824,681 |
24 |
4,195,061 |
Felise Agranoff |
10 |
30,285,989 |
4 |
4,425,635 |
13 |
2,279,322 |
Daniel J. Percella |
6 |
7,223,297 |
2 |
506,066 |
6 |
522,761 |
Equity Income Fund |
|
|
|
|
|
|
Clare Hart |
8 |
5,937,780 |
9 |
14,805,587 |
49 |
23,018,042 |
David Silberman |
8 |
5,937,780 |
9 |
14,805,587 |
49 |
23,018,042 |
Andrew Brandon |
8 |
5,937,780 |
9 |
14,805,587 |
49 |
23,018,042 |
Equity Index Fund |
|
|
|
|
|
|
Michael Loeffler |
18 |
45,357,204 |
8 |
23,381,688 |
3 |
345,470 |
Nicholas D’Eramo |
18 |
45,357,204 |
8 |
23,381,688 |
3 |
345,470 |
Oliver Furby |
11 |
28,208,132 |
8 |
23,381,688 |
2 |
182,946 |
Alex Hamilton |
11 |
28,208,132 |
8 |
23,381,688 |
2 |
182,946 |
Equity Premium Income Fund |
|
|
|
|
|
|
Hamilton Reiner |
8 |
36,313,669 |
1 |
394,463 |
0 |
0 |
Raffaele Zingone |
14 |
46,261,667 |
10 |
7,060,184 |
11 |
9,992,817 |
Growth Advantage Fund |
|
|
|
|
|
|
Timothy Parton |
15 |
14,158,333 |
9 |
14,824,681 |
24 |
4,195,061 |
Felise Agranoff |
9 |
18,197,017 |
4 |
4,425,635 |
13 |
2,279,322 |
Larry H. Lee |
4 |
32,173,941 |
2 |
2,844,856 |
22 |
7,311,143 |
Hedged Equity Fund |
|
|
|
|
|
|
Hamilton Reiner |
8 |
23,396,746 |
1 |
394,463 |
0 |
0 |
Raffaele Zingone |
14 |
33,344,744 |
10 |
7,060,184 |
11 |
9,992,817 |
|
Non-Performance Based Fee Advisory Accounts | |||||
|
Registered Investment Companies |
Other
Pooled Investment Vehicles |
Other
Accounts | |||
|
Number
of Accounts |
Total
Assets ($thousands) |
Number
of Accounts |
Total
Assets ($thousands) |
Number
of Accounts |
Total Assets ($thousands) |
Hedged Equity 2 Fund |
|
|
|
|
|
|
Hamilton Reiner |
8 |
$34,292,620 |
1 |
$394,463 |
0 |
$0 |
Raffaele Zingone |
14 |
44,240,618 |
10 |
7,060,184 |
11 |
9,992,817 |
Hedged Equity 3 Fund |
|
|
|
|
|
|
Hamilton Reiner |
8 |
37,070,788 |
1 |
394,463 |
0 |
0 |
Raffaele Zingone |
14 |
47,018,787 |
10 |
7,060,184 |
11 |
9,992,817 |
Large Cap Growth Fund |
|
|
|
|
|
|
Giri Devulapally |
4 |
1,150,754 |
6 |
2,792,436 |
26 |
8,839,371 |
Holly Fleiss |
3 |
811,691 |
3 |
6,025,704 |
22 |
7,311,143 |
Larry Lee |
4 |
12,900,664 |
2 |
2,844,856 |
22 |
7,311,143 |
Joseph Wilson |
3 |
811,691 |
3 |
7,119,308 |
27 |
9,712,853 |
Robert Maloney |
0 |
0 |
0 |
0 |
0 |
0 |
Large Cap Value Fund |
|
|
|
|
|
|
Scott Blasdell |
7 |
2,019,867 |
3 |
906,263 |
6 |
752,301 |
Mid Cap Equity Fund |
|
|
|
|
|
|
Jonathan Simon |
19 |
28,823,305 |
6 |
9,729,653 |
40 |
2,396,441 |
Timothy Parton |
15 |
23,617,310 |
9 |
14,824,681 |
24 |
4,195,061 |
Felise Agranoff |
9 |
27,655,994 |
4 |
4,425,635 |
13 |
2,279,322 |
Lawrence Playford |
19 |
29,694,958 |
2 |
2,084,755 |
33 |
1,789,190 |
Daniel Bloomgarden |
1 |
6,984,475 |
1 |
121,492 |
0 |
0 |
Mid Cap Growth Fund |
|
|
|
|
|
|
Timothy Parton |
15 |
19,262,830 |
9 |
14,824,681 |
24 |
4,195,061 |
Felise Agranoff |
9 |
23,301,513 |
4 |
4,425,635 |
13 |
2,279,322 |
Daniel Bloomgarden |
1 |
2,629,995 |
1 |
121,492 |
0 |
0 |
Mid Cap Value Fund |
|
|
|
|
|
|
Jonathan Simon |
19 |
17,639,193 |
6 |
9,729,653 |
40 |
2,396,441 |
Lawrence Playford |
19 |
18,510,846 |
2 |
2,084,755 |
33 |
1,789,190 |
Small Cap Blend Fund |
|
|
|
|
|
|
Eytan Shapiro |
3 |
4,629,638 |
4 |
2,972,629 |
2 |
341,670 |
Lawrence Playford |
19 |
31,273,231 |
2 |
2,084,755 |
33 |
1,789,190 |
Small Cap Equity Fund |
|
|
|
|
|
|
Don San Jose |
7 |
1,738,678 |
2 |
953,920 |
6 |
522,761 |
Daniel J. Percella |
5 |
1,548,380 |
2 |
506,066 |
6 |
522,761 |
Small Cap Growth Fund |
|
|
|
|
|
|
Eytan Shapiro |
3 |
1,758,818 |
4 |
2,972,629 |
2 |
341,670 |
Matthew Cohen |
3 |
1,179,121 |
5 |
6,088,556 |
1 |
51,347 |
Small Cap Sustainable Leaders Fund |
|
|
|
|
|
|
Phillip Hart |
15 |
5,235,766 |
2 |
799,624 |
3 |
756,922 |
Wonseok Choi |
17 |
6,594,461 |
1 |
156,955 |
3 |
756,922 |
Akash Gupta |
14 |
5,235,742 |
1 |
156,955 |
3 |
756,922 |
Robert Ippolito |
0 |
0 |
0 |
0 |
0 |
0 |
Small Cap Value Fund |
|
|
|
|
|
|
Phillip Hart |
15 |
4,078,000 |
2 |
799,624 |
3 |
756,922 |
Wonseok Choi |
17 |
5,436,695 |
1 |
156,955 |
3 |
756,922 |
Jonathan Tse |
15 |
5,105,527 |
1 |
156,955 |
3 |
756,922 |
Akash Gupta |
14 |
4,077,976 |
1 |
156,955 |
3 |
756,922 |
Robert Ippolito |
1 |
134,487 |
0 |
0 |
0 |
0 |
SMID Cap Equity Fund |
|
|
|
|
|
|
Don San Jose |
7 |
7,102,408 |
2 |
953,920 |
6 |
522,761 |
Daniel J. Percella |
5 |
6,912,109 |
2 |
506,066 |
6 |
522,761 |
|
Non-Performance Based Fee Advisory Accounts | |||||
|
Registered Investment Companies |
Other
Pooled Investment Vehicles |
Other
Accounts | |||
|
Number
of Accounts |
Total
Assets ($thousands) |
Number
of Accounts |
Total
Assets ($thousands) |
Number
of Accounts |
Total Assets ($thousands) |
U.S. Applied Data Science Value Fund |
|
|
|
|
|
|
Wonseok Choi |
17 |
$6,532,267 |
1 |
$156,955 |
3 |
$756,922 |
Eric Moreau |
1 |
101,184 |
0 |
0 |
0 |
0 |
Andrew Stern |
4 |
1,799,138 |
0 |
0 |
0 |
0 |
U.S. Equity Fund |
|
|
|
|
|
|
Scott Davis |
13 |
3,856,355 |
6 |
11,235,407 |
30 |
12,438,959 |
David Small |
15 |
9,396,253 |
7 |
12,856,806 |
22 |
4,422,251 |
Shilpee Raina |
13 |
3,856,355 |
6 |
11,235,407 |
30 |
12,438,959 |
U.S. GARP Equity Fund |
|
|
|
|
|
|
Wonseok Choi |
17 |
5,752,466 |
1 |
156,955 |
3 |
756,922 |
Jonathan Tse |
15 |
5,421,298 |
1 |
156,955 |
3 |
756,922 |
Andrew Stern |
4 |
1,019,337 |
0 |
0 |
0 |
0 |
U.S. Large Cap Core Plus Fund |
|
|
|
|
|
|
Susan Bao |
1 |
1,022,851 |
6 |
10,992,753 |
21 |
14,856,893 |
Steven Lee |
1 |
126,078 |
5 |
9,734,011 |
3 |
1,534,379 |
U.S. Research Enhanced Equity Fund |
|
|
|
|
|
|
Raffaele Zingone |
14 |
43,122,188 |
10 |
7,060,184 |
11 |
9,992,817 |
Tim Snyder |
8 |
18,138,539 |
5 |
3,111,729 |
11 |
9,397,818 |
U.S. Small Company Fund |
|
|
|
|
|
|
Phillip Hart |
15 |
4,499,890 |
2 |
799,624 |
3 |
756,922 |
Wonseok Choi |
17 |
5,858,586 |
1 |
156,955 |
3 |
756,922 |
Jonathan Tse |
15 |
5,527,417 |
1 |
156,955 |
3 |
756,922 |
Akash Gupta |
14 |
4,499,866 |
1 |
156,955 |
3 |
756,922 |
Robert Ippolito |
1 |
134,487 |
0 |
0 |
0 |
0 |
U.S. Sustainable Leaders Fund |
|
|
|
|
|
|
Andrew Stern |
4 |
1,810,264 |
0 |
0 |
0 |
0 |
Wonseok Choi |
17 |
6,543,393 |
1 |
156,955 |
3 |
756,922 |
Jonathan Tse |
15 |
6,212,224 |
1 |
156,955 |
3 |
756,922 |
U.S. Value Fund |
|
|
|
|
|
|
Clare Hart |
8 |
49,113,118 |
9 |
14,805,587 |
49 |
23,018,042 |
Andrew Brandon |
8 |
49,113,118 |
9 |
14,805,587 |
49 |
23,018,042 |
David Silberman |
8 |
49,113,118 |
9 |
14,805,587 |
49 |
23,018,042 |
Value Advantage Fund |
|
|
|
|
|
|
Jonathan Simon |
19 |
21,872,545 |
6 |
9,729,653 |
40 |
2,396,441 |
Graham Spence |
10 |
3,475,698 |
1 |
1,963,263 |
6 |
383,676 |
|
Performance Based Fee Advisory Accounts | |||||
|
Registered Investment
Companies |
Other
Pooled Investment Vehicles |
Other
Accounts | |||
|
Number
of
Accounts |
Total
Assets ($thousands) |
Number
of
Accounts |
Total
Assets ($thousands) |
Number
of
Accounts |
Total Assets
($thousands) |
Diversified Fund |
|
|
|
|
|
|
Jeffrey Geller |
0 |
$0 |
0 |
$0 |
1 |
$326,449 |
Gary Herbert |
0 |
0 |
0 |
0 |
1 |
2,361,495 |
Morgan Moriarty |
0 |
0 |
0 |
0 |
2 |
2,636,683 |
Equity Focus Fund |
|
|
|
|
|
|
Jonathan Simon |
0 |
0 |
0 |
0 |
1 |
121,406 |
Timothy Parton |
0 |
0 |
0 |
0 |
2 |
404,237 |
|
Performance Based Fee Advisory Accounts | |||||
|
Registered Investment Companies |
Other
Pooled Investment Vehicles |
Other
Accounts | |||
|
Number
of Accounts |
Total
Assets ($thousands) |
Number
of Accounts |
Total
Assets ($thousands) |
Number
of Accounts |
Total Assets ($thousands) |
Felise Agranoff |
0 |
$0 |
0 |
$0 |
1 |
$313,766 |
Daniel J. Percella |
0 |
0 |
1 |
1,196,736 |
0 |
0 |
Equity Income Fund |
|
|
|
|
|
|
Clare Hart |
0 |
0 |
0 |
0 |
0 |
0 |
David Silberman |
0 |
0 |
0 |
0 |
0 |
0 |
Andrew Brandon |
0 |
0 |
0 |
0 |
0 |
0 |
Equity Index Fund |
|
|
|
|
|
|
Michael Loeffler |
0 |
0 |
0 |
0 |
0 |
0 |
Nicholas D’Eramo |
0 |
0 |
0 |
0 |
0 |
0 |
Oliver Furby |
0 |
0 |
0 |
0 |
0 |
0 |
Alex Hamilton |
0 |
0 |
0 |
0 |
0 |
0 |
Equity Premium Income Fund |
|
|
|
|
|
|
Hamilton Reiner |
0 |
0 |
0 |
0 |
0 |
0 |
Raffaele Zingone |
0 |
0 |
0 |
0 |
5 |
1,280,469 |
Growth Advantage Fund |
|
|
|
|
|
|
Timothy Parton |
0 |
0 |
0 |
0 |
2 |
404,237 |
Felise Agranoff |
0 |
0 |
0 |
0 |
1 |
313,766 |
Larry H. Lee |
0 |
0 |
0 |
0 |
0 |
0 |
Hedged Equity Fund |
|
|
|
|
|
|
Hamilton Reiner |
0 |
0 |
0 |
0 |
0 |
0 |
Raffaele Zingone |
0 |
0 |
0 |
0 |
5 |
1,280,469 |
Hedged Equity 2 Fund |
|
|
|
|
|
|
Hamilton Reiner |
0 |
0 |
0 |
0 |
0 |
0 |
Raffaele Zingone |
0 |
0 |
0 |
0 |
5 |
1,280,469 |
Hedged Equity 3 Fund |
|
|
|
|
|
|
Hamilton Reiner |
0 |
0 |
0 |
0 |
0 |
0 |
Raffaele Zingone |
0 |
0 |
0 |
0 |
5 |
1,280,469 |
Large Cap Growth Fund |
|
|
|
|
|
|
Giri Devulapally |
0 |
0 |
0 |
0 |
0 |
0 |
Holly Fleiss |
0 |
0 |
0 |
0 |
0 |
0 |
Larry Lee |
0 |
0 |
0 |
0 |
0 |
0 |
Joseph Wilson |
0 |
0 |
0 |
0 |
0 |
0 |
Robert Maloney |
0 |
0 |
0 |
0 |
0 |
0 |
Large Cap Value Fund |
|
|
|
|
|
|
Scott Blasdell |
0 |
0 |
0 |
0 |
0 |
0 |
Mid Cap Equity Fund |
|
|
|
|
|
|
Jonathan Simon |
0 |
0 |
0 |
0 |
1 |
121,406 |
Timothy Parton |
0 |
0 |
0 |
0 |
2 |
404,237 |
Felise Agranoff |
0 |
0 |
0 |
0 |
1 |
313,766 |
Lawrence Playford |
0 |
0 |
0 |
0 |
1 |
121,406 |
Daniel Bloomgarden |
0 |
0 |
0 |
0 |
0 |
0 |
Mid Cap Growth Fund |
|
|
|
|
|
|
Timothy Parton |
0 |
0 |
0 |
0 |
2 |
404,237 |
Felise Agranoff |
0 |
0 |
0 |
0 |
1 |
313,766 |
Daniel Bloomgarden |
0 |
0 |
0 |
0 |
0 |
0 |
Mid Cap Value Fund |
|
|
|
|
|
|
Jonathan Simon |
0 |
0 |
0 |
0 |
1 |
121,406 |
Lawrence Playford |
0 |
0 |
0 |
0 |
1 |
121,406 |
Small Cap Blend Fund |
|
|
|
|
|
|
Eytan Shapiro |
0 |
0 |
0 |
0 |
0 |
0 |
Lawrence Playford |
0 |
0 |
0 |
0 |
1 |
121,406 |
Small Cap Equity Fund |
|
|
|
|
|
|
|
Performance Based Fee Advisory Accounts | |||||
|
Registered Investment Companies |
Other
Pooled Investment Vehicles |
Other
Accounts | |||
|
Number
of Accounts |
Total
Assets ($thousands) |
Number
of Accounts |
Total
Assets ($thousands) |
Number
of Accounts |
Total Assets ($thousands) |
Don San Jose |
0 |
$0 |
1 |
$1,196,736 |
0 |
$0 |
Daniel J. Percella |
0 |
0 |
1 |
1,196,736 |
0 |
0 |
Small Cap Growth Fund |
|
|
|
|
|
|
Eytan Shapiro |
0 |
0 |
0 |
0 |
0 |
0 |
Matthew Cohen |
0 |
0 |
0 |
0 |
1 |
1,633,763 |
Small Cap Sustainable Leaders Fund |
|
|
|
|
|
|
Phillip Hart |
0 |
0 |
0 |
0 |
0 |
0 |
Wonseok Choi |
0 |
0 |
0 |
0 |
0 |
0 |
Akash Gupta |
0 |
0 |
0 |
0 |
0 |
0 |
Robert Ippolito |
0 |
0 |
0 |
0 |
0 |
0 |
Small Cap Value Fund |
|
|
|
|
|
|
Phillip Hart |
0 |
0 |
0 |
0 |
0 |
0 |
Wonseok Choi |
0 |
0 |
0 |
0 |
0 |
0 |
Jonathan Tse |
0 |
0 |
0 |
0 |
0 |
0 |
Akash Gupta |
0 |
0 |
0 |
0 |
0 |
0 |
Robert Ippolito |
0 |
0 |
0 |
0 |
0 |
0 |
SMID Cap Equity Fund |
|
|
|
|
|
|
Don San Jose |
0 |
0 |
1 |
1,196,736 |
0 |
0 |
Daniel J. Percella |
0 |
0 |
1 |
1,196,736 |
0 |
0 |
U.S. Applied Data Science Value Fund |
|
|
|
|
|
|
Wonseok Choi |
0 |
0 |
0 |
0 |
0 |
0 |
Eric Moreau |
0 |
0 |
0 |
0 |
0 |
0 |
Andrew Stern |
0 |
0 |
0 |
0 |
0 |
0 |
U.S. Equity Fund |
|
|
|
|
|
|
Scott Davis |
0 |
0 |
3 |
2,668,752 |
2 |
1,131,016 |
David Small |
0 |
0 |
0 |
0 |
5 |
1,326,154 |
Shilpee Raina |
0 |
0 |
3 |
2,668,752 |
2 |
1,131,016 |
U.S. GARP Equity Fund |
|
|
|
|
|
|
Wonseok Choi |
0 |
0 |
0 |
0 |
0 |
0 |
Jonathan Tse |
0 |
0 |
0 |
0 |
0 |
0 |
Andrew Stern |
0 |
0 |
0 |
0 |
0 |
0 |
U.S. Large Cap Core Plus Fund |
|
|
|
|
|
|
Susan Bao |
0 |
0 |
0 |
0 |
0 |
0 |
Steven Lee |
0 |
0 |
1 |
426,050 |
0 |
0 |
U.S. Research Enhanced Equity Fund |
|
|
|
|
|
|
Raffaele Zingone |
0 |
0 |
0 |
0 |
5 |
1,280,469 |
Tim Snyder |
0 |
0 |
0 |
0 |
5 |
1,280,469 |
U.S. Small Company Fund |
|
|
|
|
|
|
Phillip Hart |
0 |
0 |
0 |
0 |
0 |
0 |
Wonseok Choi |
0 |
0 |
0 |
0 |
0 |
0 |
Jonathan Tse |
0 |
0 |
0 |
0 |
0 |
0 |
Akash Gupta |
0 |
0 |
0 |
0 |
0 |
0 |
Robert Ippolito |
0 |
0 |
0 |
0 |
0 |
0 |
U.S. Sustainable Leaders Fund |
|
|
|
|
|
|
Andrew Stern |
0 |
0 |
0 |
0 |
0 |
0 |
Wonseok Choi |
0 |
0 |
0 |
0 |
0 |
0 |
Jonathan Tse |
0 |
0 |
0 |
0 |
0 |
0 |
U.S. Value Fund |
|
|
|
|
|
|
Clare Hart |
0 |
0 |
0 |
0 |
0 |
0 |
Andrew Brandon |
0 |
0 |
0 |
0 |
0 |
0 |
David Silberman |
0 |
0 |
0 |
0 |
0 |
0 |
|
Performance Based Fee Advisory Accounts | |||||
|
Registered Investment Companies |
Other
Pooled Investment Vehicles |
Other
Accounts | |||
|
Number
of Accounts |
Total
Assets ($thousands) |
Number
of Accounts |
Total
Assets ($thousands) |
Number
of Accounts |
Total Assets ($thousands) |
Value Advantage Fund |
|
|
|
|
|
|
Jonathan Simon |
0 |
$0 |
0 |
$0 |
1 |
$121,406 |
Graham Spence |
0 |
0 |
0 |
0 |
1 |
121,406 |
|
Aggregate Dollar Range of Securities in the Fund | ||||||
|
None |
$1-$10,000 |
$10,001- $50,000 |
$50,001- $100,000 |
$100,001- $500,000 |
$500,001- $1,000,000 |
Over
$1,000,000 |
Diversified Fund |
|
|
|
|
|
|
|
Jeffrey Geller |
X |
|
|
|
|
|
|
Gary Herbert |
|
|
|
|
X |
|
|
Morgan Moriarty |
|
|
|
|
X |
|
|
Equity Focus Fund |
|
|
|
|
|
|
|
Jonathan Simon |
|
|
|
|
|
|
X |
Timothy Parton |
|
|
|
|
|
|
X |
Felise Agranoff* |
X |
|
|
|
|
|
|
Daniel J. Percella |
X |
|
|
|
|
|
|
Equity Income Fund |
|
|
|
|
|
|
|
Clare Hart |
|
|
|
|
|
|
X |
David Silberman |
|
|
|
|
|
|
X |
Andrew Brandon |
|
|
|
|
|
|
X |
Equity Index Fund |
|
|
|
|
|
|
|
Michael Loeffler |
|
|
X |
|
|
|
|
Nicholas D’Eramo |
|
|
X |
|
|
|
|
Oliver Furby |
X |
|
|
|
|
|
|
Alex Hamilton |
X |
|
|
|
|
|
|
Equity Premium Income Fund |
|
|
|
|
|
|
|
Hamilton Reiner |
|
|
|
|
|
X |
|
Raffaele Zingone** |
|
|
|
|
|
X |
|
Growth Advantage Fund |
|
|
|
|
|
|
|
Timothy Parton |
|
|
|
|
|
|
X |
Felise Agranoff |
|
|
|
|
|
X |
|
Larry H. Lee |
X |
|
|
|
|
|
|
Hedged Equity Fund |
|
|
|
|
|
|
|
Hamilton Reiner |
|
|
|
|
|
|
X |
Raffaele Zingone |
|
|
|
|
|
|
X |
Hedged Equity 2 Fund |
|
|
|
|
|
|
|
Hamilton Reiner |
|
|
|
|
|
|
X |
Raffaele Zingone |
|
|
|
|
X |
|
|
Hedged Equity 3 Fund |
|
|
|
|
|
|
|
Hamilton Reiner |
|
|
|
|
|
|
X |
Raffaele Zingone |
|
|
|
|
X |
|
|
Large Cap Growth Fund |
|
|
|
|
|
|
|
Giri Devulapally |
|
|
|
|
|
|
X |
|
Aggregate Dollar Range of Securities in the Fund | ||||||
|
None |
$1-$10,000 |
$10,001- $50,000 |
$50,001- $100,000 |
$100,001- $500,000 |
$500,001- $1,000,000 |
Over $1,000,000 |
Holly Fleiss |
|
|
|
|
|
X |
|
Larry Lee |
|
|
|
|
|
X |
|
Joseph Wilson |
|
|
|
|
|
|
X |
Robert Maloney |
|
|
|
|
X |
|
|
Large Cap Value Fund |
|
|
|
|
|
|
|
Scott Blasdell |
|
|
|
|
|
|
X |
Mid Cap Equity Fund |
|
|
|
|
|
|
|
Jonathan Simon |
|
|
|
|
|
X |
|
Timothy Parton |
|
|
|
|
|
|
X |
Felise Agranoff |
|
|
|
X |
|
|
|
Lawrence Playford |
X |
|
|
|
|
|
|
Daniel Bloomgarden |
|
|
|
|
X |
|
|
Mid Cap Growth Fund |
|
|
|
|
|
|
|
Timothy Parton |
|
|
|
|
|
|
X |
Felise Agranoff |
|
|
|
|
|
X |
|
Daniel Bloomgarden |
|
|
|
|
X |
|
|
Mid Cap Value Fund |
|
|
|
|
|
|
|
Jonathan Simon |
|
|
|
|
|
|
X |
Lawrence Playford |
|
|
|
|
|
|
X |
Small Cap Blend Fund |
|
|
|
|
|
|
|
Eytan Shapiro |
|
|
|
|
|
X |
|
Lawrence Playford |
|
|
|
|
|
|
X |
Small Cap Equity Fund |
|
|
|
|
|
|
|
Don San Jose |
|
|
|
|
|
|
X |
Daniel J. Percella |
|
|
|
|
|
X |
|
Small Cap Growth Fund |
|
|
|
|
|
|
|
Eytan Shapiro |
|
|
|
|
|
|
X |
Matthew Cohen |
|
|
|
|
X |
|
|
Small Cap Sustainable Leaders Fund |
|
|
|
|
|
|
|
Phillip Hart |
|
|
|
|
X |
|
|
Wonseok Choi |
|
|
|
X |
|
|
|
Akash Gupta |
|
|
X |
|
|
|
|
Robert Ippolito |
|
|
X |
|
|
|
|
Small Cap Value Fund |
|
|
|
|
|
|
|
Phillip Hart |
|
|
|
|
X |
|
|
Wonseok Choi |
|
|
X |
|
|
|
|
Jonathan Tse |
|
X |
|
|
|
|
|
Akash Gupta |
|
|
X |
|
|
|
|
Robert Ippolito |
|
|
X |
|
|
|
|
SMID Cap Equity Fund |
|
|
|
|
|
|
|
Don San Jose |
|
|
|
|
|
|
X |
Daniel J. Percella |
|
|
|
|
|
X |
|
U.S. Applied Data Science Value Fund |
|
|
|
|
|
|
|
Wonseok Choi |
|
|
X |
|
|
|
|
Eric Moreau |
|
|
|
X |
|
|
|
Andrew Stern |
|
|
|
X |
|
|
|
U.S. Equity Fund |
|
|
|
|
|
|
|
Scott Davis |
|
|
|
|
|
|
X |
David Small |
|
|
|
|
|
|
X |
Shilpee Raina |
|
|
|
|
X |
|
|
U.S. GARP Equity Fund |
|
|
|
|
|
|
|
Andrew Stern |
|
|
|
|
X |
|
|
Wonseok Choi |
|
|
|
X |
|
|
|
Jonathan Tse |
X |
|
|
|
|
|
|
U.S. Large Cap Core Plus Fund |
|
|
|
|
|
|
|
|
Aggregate Dollar Range of Securities in the Fund | ||||||
|
None |
$1-$10,000 |
$10,001- $50,000 |
$50,001- $100,000 |
$100,001- $500,000 |
$500,001- $1,000,000 |
Over $1,000,000 |
Susan Bao |
|
|
|
|
|
|
X |
Steven Lee |
|
|
|
|
|
|
X |
U.S. Research Enhanced Equity Fund |
|
|
|
|
|
|
|
Raffaele Zingone |
|
|
|
|
|
|
X |
Tim Snyder |
|
|
|
|
X |
|
|
U.S. Small Company Fund |
|
|
|
|
|
|
|
Phillip Hart |
|
|
|
|
X |
|
|
Wonseok Choi |
|
|
X |
|
|
|
|
Jonathan Tse |
|
|
X |
|
|
|
|
Akash Gupta |
|
|
X |
|
|
|
|
Robert Ippolito |
|
|
X |
|
|
|
|
U.S. Sustainable Leaders Fund |
|
|
|
|
|
|
|
Andrew Stern |
|
|
|
|
X |
|
|
Wonseok Choi |
|
|
X |
|
|
|
|
Jonathan Tse |
|
|
X |
|
|
|
|
U.S. Value Fund |
|
|
|
|
|
|
|
Clare Hart |
|
|
|
|
|
|
X |
Andrew Brandon |
|
|
|
|
|
|
X |
David Silberman |
|
|
|
|
|
X |
|
Value Advantage Fund |
|
|
|
|
|
|
|
Jonathan Simon |
|
|
|
|
|
|
X |
Graham Spence |
|
|
|
|
X |
|
|
Name of Fund |
Benchmark |
Diversified Fund |
Diversified Composite Benchmark1 |
Equity Focus Fund |
S&P 500 Index |
Equity Income Fund |
Russell 1000 Value Index |
Equity Index Fund |
S&P 500 Index |
Equity Premium Income Fund |
S&P 500 Index |
Growth Advantage Fund |
Russell 3000 Growth Index |
Hedged Equity Fund |
S&P 500 Total Return Index |
Hedged Equity 2 Fund |
S&P 500 Total Return Index |
Hedged Equity 3 Fund |
S&P 500 Total Return Index |
Large Cap Growth Fund |
Russell 1000 Growth Index |
Large Cap Value Fund |
Russell 1000 Value Index |
Mid Cap Equity Fund |
Russell MidCap Index |
Mid Cap Growth Fund |
Russell Mid Cap Growth Index |
Mid Cap Value Fund |
Russell Midcap Value Index |
Small Cap Blend Fund |
Russell 2000 Index |
Small Cap Equity Fund |
Russell 2000 Index |
Small Cap Growth Fund |
Russell 2000 Growth Index |
Small Cap Sustainable Leaders Fund |
Russell 2000 Index |
Small Cap Value Fund |
Russell 2000 Value Index |
SMID Cap Equity Fund |
Russell 2500® Index |
U.S. Applied Data Science Value Fund |
Russell 1000 Value Index |
U.S. Equity Fund |
S&P 500 Index |
U.S. GARP Equity Fund |
Russell 1000 Growth Index |
U.S. Large Cap Core Plus Fund |
S&P 500 Index |
U.S. Research Enhanced Equity Fund |
S&P 500 Total Return Index |
U.S. Small Company Fund |
Russell 2000 Index |
Name of Fund |
Benchmark |
U.S. Sustainable Leaders Fund |
S&P 500 Index |
U.S. Value Fund |
Russell 1000 Value Index |
Value Advantage Fund |
Russell 3000 Value Index |
|
Fiscal
Year Ended | |||||
|
June
30, 2020 |
June
30, 2021 |
June
30, 2022 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived
|
Diversified Fund |
$661 |
$(114) |
$268 |
$(414) |
$350 |
$(343) |
Equity Focus Fund |
— |
(72) |
26 |
(55) |
60 |
(52) |
Equity Income Fund |
14,360 |
— |
15,453 |
— |
16,182 |
— |
Equity Index Fund |
1,481 |
(2,161) |
1,964 |
(2,644) |
2,430 |
(3,367) |
Equity Premium Income Fund |
2 |
(86) |
158 |
(120) |
1,432 |
(197) |
Growth Advantage Fund |
6,643 |
(348) |
9,294 |
— |
6,710 |
(3,283) |
Hedged Equity Fund |
4,890 |
(23) |
9,826 |
— |
11,819 |
— |
Hedged Equity 2 Fund1
|
N/A |
N/A |
95 |
(57) |
2,484 |
(288) |
Hedged Equity 3 Fund1
|
N/A |
N/A |
20 |
(41) |
1,268 |
(222) |
Large Cap Growth Fund |
4,934 |
(6,561) |
6,049 |
(8,859) |
5,293 |
(9,579) |
Large Cap Value Fund |
693 |
(386) |
1,067 |
(474) |
1,761 |
(777) |
Mid Cap Equity Fund |
569 |
(886) |
654 |
(979) |
846 |
(1,366) |
Mid Cap Growth Fund |
3,492 |
(65) |
5,478 |
(97) |
5,480 |
(1,066) |
Mid Cap Value Fund |
9,956 |
(163) |
9,476 |
(594) |
7,508 |
(3,250) |
Small Cap Blend Fund |
211 |
(89) |
494 |
(84) |
771 |
(126) |
Small Cap Equity Fund |
4,894 |
(24) |
5,970 |
— |
5,621 |
— |
Small Cap Growth Fund |
2,175 |
(199) |
4,307 |
(126) |
3,984 |
(206) |
Small Cap Sustainable Leaders Fund |
217 |
(94) |
236 |
(73) |
17 |
(188) |
Small Cap Value Fund |
899 |
(38) |
928 |
— |
1,100 |
— |
SMID Cap Equity Fund |
236 |
(109) |
189 |
(117) |
207 |
(81) |
U.S. Applied Data Science Value Fund |
278 |
(285) |
42 |
(150) |
61 |
(117) |
U.S. Equity Fund |
7,599 |
(2,262) |
9,197 |
(2,421) |
10,166 |
(2,562) |
U.S. GARP Equity Fund |
519 |
(316) |
645 |
(294) |
634 |
(294) |
U.S. Large Cap Core Plus Fund |
2,303 |
(856) |
1,741 |
(443) |
1,439 |
(382) |
U.S. Research Enhanced Equity Fund |
1,816 |
(1,553) |
2,048 |
(1,676) |
2,392 |
(2,092) |
U.S. Small Company Fund |
901 |
— |
764 |
— |
798 |
— |
U.S. Sustainable Leaders Fund |
— |
(26) |
— |
(56) |
16 |
(118) |
U.S. Value Fund |
293 |
(228) |
572 |
(280) |
1,059 |
(591) |
Value Advantage Fund |
7,196 |
(396) |
7,169 |
(36) |
5,486 |
(2,350) |
|
Fiscal
Year Ended | ||
Fund |
June
30, 2020 |
June
30, 2021 |
June 30, 2022 |
Diversified Fund |
$34 |
$23 |
$23 |
Equity Focus Fund |
20 |
20 |
20 |
Equity Income Fund |
667 |
952 |
1,224 |
|
Fiscal
Year Ended | ||
Fund |
June
30, 2020 |
June
30, 2021 |
June 30, 2022 |
Equity Index Fund |
$114 |
$157
|
$194 |
Equity Premium Income Fund |
20 |
20 |
57 |
Growth Advantage Fund |
222 |
345 |
374 |
Hedged Equity Fund |
215 |
373 |
464 |
Hedged Equity 2 Fund1
|
N/A |
8 |
97 |
Hedged Equity 3 Fund1
|
N/A |
4 |
52 |
Large Cap Growth Fund |
428 |
809 |
929 |
Large Cap Value Fund |
35 |
53 |
83 |
Mid Cap Equity Fund |
44 |
56 |
73 |
Mid Cap Growth Fund |
114 |
192 |
216 |
Mid Cap Value Fund |
351 |
382 |
409 |
Small Cap Blend Fund |
20 |
22 |
30 |
Small Cap Equity Fund |
155 |
202 |
184 |
Small Cap Growth Fund |
79 |
152 |
137 |
Small Cap Sustainable Leaders Fund |
23 |
20 |
20 |
Small Cap Value Fund |
30 |
31 |
36 |
SMID Cap Equity Fund |
21 |
20 |
20 |
U.S. Applied Data Science Value Fund |
22 |
20 |
20 |
U.S. Equity Fund |
345 |
463 |
522 |
U.S. GARP Equity Fund |
27 |
32 |
31 |
U.S. Large Cap Core Plus Fund |
141 |
74 |
59 |
U.S. Research Enhanced Equity Fund |
101 |
127 |
149 |
U.S. Small Company Fund |
30 |
26 |
26 |
U.S. Sustainable Leaders Fund |
20 |
20 |
20 |
U.S. Value Fund |
23 |
30 |
56 |
Value Advantage Fund |
241 |
246 |
266 |
|
Equity Income Fund |
Equity Index Fund |
Equity Premium Income Fund |
Growth Advantage Fund |
Large Cap Growth Fund |
Gross Income from Securities Lending Activities1 |
$979 |
$282,962 |
$3,331 |
$870,312 |
$1,297,554 |
Fees and/or Compensation for Securities Lending Activities |
|
|
|
|
|
Revenue Split2 |
9 |
3,990 |
116 |
22,844 |
12,532 |
Cash Collateral Management Fees3 |
873 |
168,405 |
1,887 |
510,340 |
1,116,004 |
Administrative Fees |
— |
— |
— |
— |
— |
Indemnification Fees |
— |
— |
— |
— |
— |
Rebates to Borrowers |
— |
61,669 |
(500) |
71,360 |
24,927 |
Others Fees |
— |
— |
— |
— |
— |
Aggregate Fees/Compensation for Securities Lending Activities |
881 |
234,064 |
1,503 |
604,544 |
1,153,463 |
Net Income from the Securities Lending Activities |
98 |
48,898 |
1,828 |
265,768 |
144,091 |
|
Large
Cap Value Fund |
Mid
Cap Equity Fund |
Mid
Cap Growth Fund |
Mid
Cap Value Fund |
Small Cap Blend Fund |
Gross Income from Securities Lending Activities1 |
$79,024 |
$194,274 |
$1,036,545 |
$441,999 |
$290,840 |
|
Large
Cap Value Fund |
Mid
Cap Equity Fund |
Mid
Cap Growth Fund |
Mid
Cap Value Fund |
Small Cap Blend Fund |
Fees and/or Compensation for Securities Lending Activities |
|
|
|
|
|
Revenue Split2 |
$2,081 |
$4,989 |
$29,602 |
$3,040 |
$10,158 |
Cash Collateral Management Fees3 |
52,789 |
115,545 |
543,211 |
391,720 |
103,284 |
Administrative Fees |
— |
— |
— |
— |
— |
Indemnification Fees |
— |
— |
— |
— |
— |
Rebates to Borrowers |
(796) |
16,190 |
118,763 |
10,280 |
60,963 |
Others Fees |
— |
— |
— |
— |
— |
Aggregate Fees/Compensation for Securities Lending Activities |
54,074 |
136,724 |
691,576 |
405,040 |
174,405 |
Net Income from the Securities Lending Activities |
24,950 |
57,550 |
344,969 |
36,959 |
116,435 |
|
Small
Cap Equity Fund |
Small
Cap Growth Fund |
Small
Cap Sustainable Leaders
Fund |
Small
Cap Value Fund |
SMID Cap Equity Fund |
Gross Income from Securities Lending Activities1 |
$1,064,404 |
$2,421,888 |
$199,444 |
$472,279 |
$23,523 |
Fees and/or Compensation for Securities Lending Activities |
|
|
|
|
|
Revenue Split2 |
24,286 |
88,955 |
12,341 |
17,992 |
678 |
Cash Collateral Management Fees3 |
501,143 |
922,945 |
36,974 |
217,221 |
10,678 |
Administrative Fees |
— |
— |
— |
— |
— |
Indemnification Fees |
— |
— |
— |
— |
— |
Rebates to Borrowers |
255,194 |
399,869 |
9,199 |
32,078 |
3,376 |
Others Fees |
— |
— |
— |
— |
— |
Aggregate Fees/Compensation for Securities Lending Activities |
780,623 |
1,411,769 |
58,513 |
267,290 |
14,732 |
Net Income from the Securities Lending Activities |
283,781 |
1,010,119 |
140,930 |
204,989 |
8,791 |
|
U.S.
Applied Data Science Value Equity
Fund |
U.S.
Equity Fund |
U.S.
GARP Equity Fund |
U.S.
Small Company Fund |
U.S. Sustainable Leaders Fund |
Gross Income from Securities Lending Activities1 |
$3,064 |
$161,208 |
$69,698 |
$597,487 |
$4,388 |
Fees and/or Compensation for Securities Lending Activities |
|
|
|
|
|
Revenue Split2 |
— |
3,843 |
3,419 |
25,808 |
284 |
Cash Collateral Management Fees3 |
3,061 |
112,726 |
22,104 |
240,633 |
540 |
Administrative Fees |
— |
— |
— |
— |
— |
Indemnification Fees |
— |
— |
— |
— |
— |
Rebates to Borrowers |
— |
(1,578) |
4,349 |
36,732 |
302 |
Others Fees |
— |
— |
— |
— |
— |
Aggregate Fees/Compensation for Securities Lending Activities |
3,061 |
114,990 |
29,872 |
303,173 |
1,125 |
Net Income from the Securities Lending Activities |
3 |
46,218 |
39,826 |
294,314 |
3,262 |
|
Value Advantage Fund |
Gross Income from Securities Lending Activities1 |
$462,281 |
Fees and/or Compensation for Securities Lending Activities |
|
Revenue Split2 |
4,724 |
Cash Collateral Management Fees3 |
319,534 |
Administrative Fees |
— |
Indemnification Fees |
— |
|
Value Advantage Fund |
Rebates to Borrowers |
$82,099 |
Others Fees |
— |
Aggregate Fees/Compensation for Securities Lending Activities |
406,357 |
Net Income from the Securities Lending Activities |
55,924 |
1 Gross income includes income from the reinvestment of cash collateral, premium income (i.e.
rebates paid by borrowers to the Fund), management fees from a pooled cash collateral
reinvestment vehicle that are deducted from the vehicle's assets before income
is distributed, and any other income. |
|
2 Revenue split represents the share of revenue generated by securities lending program and paid to
Citibank N.A. |
|
3 Cash collateral is reinvested in certain JPMorgan money market funds that are advised by JPMIM
(“money market funds”). Cash collateral management fees include the fees and
expenses deducted from the money market funds. The contractual management fees
are derived using the Total Annual Fund Operating Expenses after Fee Waivers
and/or Expense Reimbursements from the money market funds’ most recently
available prospectus. Actual fees incurred by the Money Market Funds may differ
due to other expenses, fee waivers and expense reimbursements. |
|
Fund |
Total Underwriting
Discounts and Commissions |
Compensation on Redemptions and
Repurchases |
Brokerage Commissions |
Other Compensation* |
Diversified Fund |
$4,300 |
$91 |
$135 |
$391,685 |
Equity Focus Fund |
8,166 |
— |
— |
67,472 |
Equity Income Fund |
348,160 |
199,959 |
166 |
24,128,743 |
Equity Index Fund |
40,170 |
10,823 |
614 |
2,711,396 |
Equity Premium Income Fund |
668,074 |
252,986 |
2,150 |
4,775,350 |
Growth Advantage Fund |
520,723 |
163,634 |
747 |
15,994,912 |
Hedged Equity Fund |
49,273 |
68,267 |
— |
8,231,588 |
Hedged Equity 2 Fund |
191,402 |
150,356 |
— |
1,813,575 |
Hedged Equity 3 Fund |
77,112 |
59,470 |
— |
714,877 |
Large Cap Growth Fund |
539,836 |
244,012 |
148 |
18,890,932 |
Large Cap Value Fund |
56,779 |
29,639 |
3 |
1,134,868 |
Mid Cap Equity Fund |
95,552 |
15,656 |
— |
1,651,702 |
Mid Cap Growth Fund |
104,433 |
44,912 |
504 |
4,911,482 |
Mid Cap Value Fund |
74,432 |
13,117 |
1,586 |
5,115,383 |
Small Cap Blend Fund |
68,684 |
19,046 |
— |
834,345 |
Small Cap Equity Fund |
2,372 |
717 |
— |
2,456,761 |
Small Cap Growth Fund |
25,850 |
22,367 |
— |
2,127,305 |
Small Cap Sustainable Leaders Fund |
2,590 |
202 |
— |
38,637 |
Small Cap Value Fund |
11,094 |
10,740 |
— |
720,225 |
SMID Cap Equity Fund |
3,880 |
2,741 |
— |
565,447 |
U.S. Applied Data Science Value Fund |
847 |
318 |
— |
234,931 |
U.S. Equity Fund |
249,376 |
102,742 |
114 |
9,199,923 |
U.S. GARP Equity Fund |
4,592 |
2,209 |
81 |
720,709 |
U.S. Large Cap Core Plus Fund |
10,496 |
14,107 |
1,773 |
1,100,680 |
U.S. Research Enhanced Equity Fund |
287 |
— |
— |
418,872 |
U.S. Small Company Fund |
11,352 |
1,459 |
— |
742,525 |
U.S. Sustainable Leaders Fund |
11,305 |
1,007 |
— |
122,234 |
U.S. Value Fund |
179,624 |
36,609 |
8 |
1,993,405 |
Value Advantage Fund |
183,716 |
45,121 |
5 |
5,286,913 |
|
Fiscal
Year Ended | ||
Fund |
June
30, 2020 |
June
30, 2021 |
June 30, 2022 |
Diversified Fund |
$5,433 |
$4,405 |
$4,300 |
Equity Focus Fund |
2,816 |
2,308 |
8,166 |
Equity Income Fund |
835,124 |
621,908 |
348,160 |
Equity Index Fund |
36,618 |
34,345 |
40,1730 |
Equity Premium Income Fund |
9,348 |
107,978 |
668,074 |
Growth Advantage Fund |
436,982 |
598,209 |
520,723 |
Hedged Equity Fund |
238,395 |
258,837 |
49,273 |
Hedged Equity 2 Fund1
|
N/A |
43,636 |
191,402 |
Hedged Equity 3 Fund1
|
N/A |
18,599 |
77,112 |
Large Cap Growth Fund |
575,026 |
877,158 |
539,836 |
Large Cap Value Fund |
6,604 |
29,385 |
56,779 |
Mid Cap Equity Fund |
113,453 |
107,205 |
95,552 |
Mid Cap Growth Fund |
101,709 |
178,587 |
104,433 |
Mid Cap Value Fund |
61,882 |
62,867 |
74,432 |
Small Cap Blend Fund |
39,154 |
74,270 |
68,684 |
Small Cap Equity Fund |
7,892 |
5,349 |
2,372 |
Small Cap Growth Fund |
112,303 |
128,244 |
25,850 |
Small Cap Sustainable Leaders Fund |
2,022 |
2,427 |
2,590 |
Small Cap Value Fund |
3,741 |
14,223 |
11,094 |
SMID Cap Equity Fund |
3,477 |
3,618 |
3,880 |
U.S Small Company Fund |
2,716 |
9.952 |
11,352 |
U.S. Applied Data Science Value Fund |
1,173 |
3,332 |
847 |
U.S. Equity Fund |
87,845 |
208.195 |
249,376 |
U.S. GARP Equity Fund |
4,465 |
6,843 |
4,592 |
U.S. Large Cap Core Plus Fund |
10,369 |
19,776 |
10,496 |
U.S. Research Enhanced Equity Fund |
— |
657 |
287 |
U.S. Sustainable Leaders Fund |
4,209 |
8,396 |
11,305 |
U.S. Value Fund |
18,542 |
22,498 |
179,624 |
Value Advantage Fund |
131,179 |
140,769 |
183,716 |
|
|
|
|
|
Fiscal
Year Ended | |||||
|
June
30, 2020 |
June
30, 2021 |
June
30, 2022 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived
|
Diversified Fund | ||||||
Class A Shares |
$273 |
$— |
$295 |
$— |
$311 |
$— |
Class C Shares |
127 |
— |
101 |
— |
81 |
— |
Equity Focus Fund | ||||||
Class A Shares |
14 |
— |
19 |
— |
31 |
— |
Class C Shares |
24 |
— |
27 |
— |
36 |
— |
Equity Income Fund | ||||||
Class A Shares |
8,521 |
— |
9,838 |
— |
12,276 |
— |
Class C Shares |
10,928 |
— |
10,342 |
— |
10,728 |
— |
Class R2 Shares |
433 |
— |
370 |
— |
452 |
— |
Class R3 Shares |
407 |
— |
570 |
— |
673 |
— |
Equity Index Fund | ||||||
Class A Shares |
1,815 |
— |
1,662 |
— |
1,909 |
— |
Class C Shares |
761 |
— |
764 |
— |
802 |
— |
|
Fiscal
Year Ended | |||||
|
June
30, 2020 |
June
30, 2021 |
June
30, 2022 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived
|
Equity Premium Income Fund | ||||||
Class A Shares |
$15 |
$— |
$101 |
$— |
$1,328 |
$— |
Class C Shares |
17 |
— |
222 |
— |
3,447 |
— |
Growth Advantage Fund | ||||||
Class A Shares |
4,752 |
— |
6,462 |
— |
7,533 |
— |
Class C Shares |
6,118 |
— |
8,374 |
— |
8,438 |
— |
Class R2 Shares |
1 |
— |
2 |
— |
5 |
— |
Class R3 Shares |
2 |
— |
6 |
— |
19 |
— |
Hedged Equity Fund | ||||||
Class A Shares |
1,037 |
— |
2,662 |
— |
4,541 |
— |
Class C Shares |
1,468 |
— |
2,891 |
— |
3,691 |
— |
Hedged Equity 2 Fund1 | ||||||
Class A Shares |
N/A |
N/A |
17 |
— |
522 |
— |
Class C Shares |
N/A |
N/A |
60 |
— |
1,292 |
— |
Hedged Equity 3 Fund1 | ||||||
Class A Shares |
N/A |
N/A |
4 |
— |
204 |
— |
Class C Shares |
N/A |
N/A |
13 |
— |
511 |
— |
Large Cap Growth Fund | ||||||
Class A Shares |
6,695 |
— |
10,921 |
— |
12,017 |
— |
Class C Shares |
4,137 |
— |
5,437 |
— |
5,602 |
— |
Class R2 Shares |
604 |
— |
657 |
— |
622 |
— |
Class R3 Shares |
165 |
— |
442 |
— |
650 |
— |
Large Cap Value Fund | ||||||
Class A Shares |
551 |
— |
383 |
— |
556 |
— |
Class C Shares |
340 |
— |
315 |
— |
512 |
— |
Class R2 Shares |
100 |
— |
77 |
— |
59 |
— |
Class R3 Shares |
—* |
— |
—* |
— |
8 |
— |
Mid Cap Equity Fund | ||||||
Class A Shares |
1,140 |
— |
1,230 |
— |
1,511 |
— |
Class C Shares |
164 |
— |
161 |
— |
138 |
— |
Class R2 Shares |
3 |
— |
4 |
— |
3 |
— |
Mid Cap Growth Fund | ||||||
Class A Shares |
2,525 |
— |
3,618 |
— |
3,774 |
— |
Class C Shares |
605 |
— |
750 |
— |
727 |
— |
Class R2 Shares |
192 |
— |
245 |
— |
265 |
— |
Class R3 Shares |
91 |
— |
144 |
— |
145 |
— |
Mid Cap Value Fund | ||||||
Class A Shares |
3,624 |
— |
3,438 |
— |
3,996 |
— |
Class C Shares |
952 |
— |
567 |
— |
554 |
— |
Class R2 Shares |
337 |
— |
331 |
— |
355 |
— |
Class R3 Shares |
178 |
— |
190 |
— |
210 |
— |
Small Cap Blend Fund | ||||||
Class A Shares |
312 |
— |
501 |
— |
730 |
— |
Class C Shares |
237 |
— |
127 |
— |
104 |
— |
Small Cap Equity Fund | ||||||
Class A Shares |
1,885 |
— |
1,970 |
— |
1,845 |
— |
Class C Shares |
726 |
— |
657 |
— |
563 |
— |
Class R2 Shares |
42 |
— |
36 |
— |
36 |
— |
Class R3 Shares |
7 |
— |
11 |
— |
13 |
— |
Small Cap Growth Fund | ||||||
Class A Shares |
1,058 |
— |
1,750 |
— |
1,476 |
— |
Class C Shares |
429 |
— |
628 |
— |
512 |
— |
Class R2 Shares |
123 |
— |
150 |
— |
119 |
— |
Class R3 Shares |
8 |
— |
18 |
— |
20 |
— |
|
Fiscal
Year Ended | |||||
|
June
30, 2020 |
June
30, 2021 |
June
30, 2022 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived
|
Small Cap Sustainable Leaders Fund | ||||||
Class A Shares |
$12 |
$— |
$14 |
$— |
$16 |
$— |
Class C Shares |
16 |
— |
14 |
— |
11 |
— |
Class R2 Shares |
1 |
— |
1 |
— |
2 |
— |
Class R3 Shares |
11 |
— |
11 |
— |
10 |
— |
Small Cap Value Fund | ||||||
Class A Shares |
391 |
— |
398 |
— |
466 |
— |
Class C Shares |
101 |
— |
59 |
— |
54 |
— |
Class R2 Shares |
157 |
— |
156 |
— |
157 |
— |
Class R3 Shares |
35 |
— |
35 |
— |
43 |
— |
SMID Cap Equity Fund | ||||||
Class A Shares |
448 |
— |
411 |
— |
412 |
— |
Class C Shares |
263 |
— |
185 |
— |
149 |
— |
Class R3 Shares |
34 |
— |
18 |
— |
5 |
— |
U.S. Applied Data Science Value Fund | ||||||
Class A Shares |
154 |
— |
135 |
— |
146 |
— |
Class C Shares |
115 |
— |
78 |
— |
74 |
— |
Class R2 Shares |
18 |
— |
14 |
— |
15 |
— |
U.S. Equity Fund | ||||||
Class A Shares |
4,221 |
— |
3,741 |
— |
4,432 |
— |
Class C Shares |
2,074 |
— |
2,336 |
— |
2,994 |
— |
Class R2 Shares |
1,136 |
— |
1,250 |
— |
1,324 |
— |
Class R3 Shares |
283 |
— |
373 |
— |
450 |
— |
U.S. GARP Equity Fund | ||||||
Class A Shares |
249 |
— |
272 |
— |
294 |
— |
Class C Shares |
257 |
— |
217 |
— |
210 |
— |
Class R2 Shares |
212 |
— |
224 |
— |
217 |
— |
U.S. Large Cap Core Plus Fund | ||||||
Class A Shares |
1,161 |
— |
790 |
— |
803 |
— |
Class C Shares |
629 |
— |
316 |
— |
269 |
— |
Class R2 Shares |
25 |
— |
26 |
— |
29 |
— |
U.S. Research Enhanced Equity Fund | ||||||
Class A Shares |
472 |
— |
480 |
— |
419 |
— |
U.S. Small Company Fund | ||||||
Class A Shares |
287 |
— |
289 |
— |
313 |
— |
Class C Shares |
174 |
— |
154 |
— |
137 |
— |
Class R2 Shares |
180 |
— |
190 |
— |
204 |
— |
Class R3 Shares |
58 |
— |
74 |
— |
88 |
— |
U.S. Sustainable Leaders Fund | ||||||
Class A Shares |
29 |
— |
41 |
— |
86 |
— |
Class C Shares |
21 |
— |
22 |
— |
36 |
— |
U.S. Value Fund | ||||||
Class A Shares |
1,278 |
— |
1,195 |
— |
1,558 |
— |
Class C Shares |
207 |
— |
224 |
— |
402 |
— |
Class R2 Shares |
3 |
— |
8 |
— |
15 |
— |
Class R3 Shares |
—* |
— |
2 |
— |
18 |
— |
Value Advantage Fund | ||||||
Class A Shares |
2,774 |
— |
2,174 |
— |
2,797 |
— |
Class C Shares |
3,429 |
— |
2,429 |
— |
2,481 |
— |
Class R2 Shares |
1 |
— |
1 |
— |
1 |
— |
Class R3 Shares |
4 |
— |
5 |
— |
7 |
— |
Class A, Class C, Class I, Class R2, Class R3 and Class R4 |
Up to 0.25% |
Class L and Class R5 |
Up to 0.10% |
Class R6 |
None |
|
Fiscal
Year Ended | |||||
|
June
30, 2020 |
June
30, 2021 |
June
30, 2022 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived
|
Diversified Fund | ||||||
Class A Shares |
$94 |
$(179) |
$102 |
$(193) |
$120 |
$(191) |
Class C Shares |
21 |
(22) |
17 |
(17) |
13 |
(14) |
Class I Shares |
90 |
(77) |
73 |
(80) |
62 |
(66) |
Class L Shares |
121 |
(54) |
120 |
(52) |
124 |
(55) |
Equity Focus Fund | ||||||
Class A Shares |
13 |
(1) |
18 |
(1) |
30 |
(1) |
Class C Shares |
8 |
—* |
9 |
—* |
12 |
—* |
Class I Shares |
152 |
(3) |
166 |
(2) |
241 |
(2) |
Equity Income Fund | ||||||
Class A Shares |
8,521 |
— |
9,838 |
— |
12,276 |
— |
Class C Shares |
3,643 |
— |
3,447 |
— |
3,576 |
— |
Class I Shares |
25,616 |
— |
35,451 |
— |
47,301 |
— |
Class R2 Shares |
216 |
— |
185 |
— |
226 |
— |
Class R3 Shares |
407 |
— |
570 |
— |
673 |
— |
Class R4 Shares |
231 |
— |
440 |
— |
579 |
— |
Class R5 Shares |
1,423 |
— |
1,440 |
— |
1,578 |
— |
Equity Index Fund | ||||||
Class A Shares |
924 |
(891) |
822 |
(840) |
1,039 |
(870) |
Class C Shares |
254 |
— |
255 |
— |
268 |
— |
Class I Shares |
1,214 |
(779) |
1,509 |
(975) |
2,064 |
(1,330) |
Equity Premium Income Fund | ||||||
Class A Shares |
14 |
(1) |
101 |
—* |
1,323 |
(5) |
Class C Shares |
6 |
—* |
74 |
—* |
1,146 |
(3) |
Class I Shares |
270 |
(1) |
658 |
(9) |
2,748 |
(35) |
Class R5 Shares |
—* |
—* |
—* |
—* |
—* |
—* |
Growth Advantage Fund | ||||||
Class A Shares |
4,609 |
(143) |
6,449 |
(13) |
7,285 |
(248) |
Class C Shares |
1,981 |
(58) |
2,785 |
(6) |
2,717 |
(96) |
Class I Shares |
5,484 |
(51) |
9,525 |
— |
10,892 |
(305) |
Class R2 Shares |
— |
—* |
—* |
(1) |
—* |
(2) |
Class R3 Shares |
1 |
(1) |
5 |
(1) |
18 |
(1) |
Class R4 Shares |
42 |
—* |
51 |
— |
50 |
—* |
Class R5 Shares |
117 |
(1) |
140 |
— |
135 |
(1) |
Hedged Equity Fund | ||||||
Class A Shares |
1,015 |
(22) |
2,660 |
(2) |
4,541 |
— |
Class C Shares |
482 |
(7) |
964 |
— |
1,230 |
— |
Class I Shares |
13,339 |
(8) |
29,158 |
— |
36,231 |
— |
Class R5 Shares |
1 |
(1) |
3 |
(1) |
6 |
— |
Hedged Equity 2 Fund1 | ||||||
Class A Shares |
N/A |
N/A |
17 |
—* |
517 |
(5) |
Class C Shares |
N/A |
N/A |
20 |
—* |
427 |
(3) |
Class I Shares |
N/A |
N/A |
388 |
(1) |
7,289 |
(26) |
Class R5 Shares |
N/A |
N/A |
—* |
—* |
1 |
—* |
|
Fiscal
Year Ended | |||||
|
June
30, 2020 |
June
30, 2021 |
June
30, 2022 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived
|
Hedged Equity 3 Fund1 | ||||||
Class A Shares |
N/A |
N/A |
$4 |
$—* |
$202 |
$(2) |
Class C Shares |
N/A |
N/A |
4 |
—* |
169 |
(1) |
Class I Shares |
N/A |
N/A |
193 |
(1) |
3,853 |
(14) |
Class R5 Shares |
N/A |
N/A |
—* |
—* |
—* |
—* |
Large Cap Growth Fund | ||||||
Class A Shares |
$6,407 |
$(288) |
10,560 |
(361) |
11,751 |
(266) |
Class C Shares |
1,362 |
(17) |
1,792 |
(20) |
1,852 |
(15) |
Class I Shares |
12,655 |
(28) |
23,338 |
(39) |
27,133 |
(11) |
Class R2 Shares |
295 |
(7) |
321 |
(8) |
303 |
(8) |
Class R3 Shares |
164 |
(1) |
440 |
(2) |
648 |
(2) |
Class R4 Shares |
67 |
(1) |
349 |
(1) |
502 |
(1) |
Class R5 Shares |
706 |
(7) |
930 |
(6) |
858 |
(4) |
Large Cap Value Fund | ||||||
Class A Shares |
463 |
(88) |
305 |
(78) |
502 |
(54) |
Class C Shares |
110 |
(3) |
103 |
(2) |
168 |
(3) |
Class I Shares |
658 |
(4) |
1,486 |
(90) |
3,005 |
(257) |
Class R2 Shares |
47 |
(3) |
35 |
(4) |
27 |
(2) |
Class R3 Shares |
—* |
—* |
—* |
—* |
8 |
—* |
Class R4 Shares |
32 |
—* |
3 |
—* |
1 |
—* |
Class R5 Shares |
24 |
(2) |
19 |
(3) |
23 |
(2) |
Mid Cap Equity Fund | ||||||
Class A Shares |
1,114 |
(26) |
1,207 |
(23) |
1,509 |
(2) |
Class C Shares |
54 |
(1) |
53 |
(1) |
45 |
(1) |
Class I Shares |
691 |
(4) |
1,389 |
(15) |
2,336 |
(21) |
Class R2 Shares |
1 |
—* |
1 |
(1) |
1 |
(1) |
Class R5 Shares |
4 |
—* |
1 |
—* |
—* |
—* |
Mid Cap Growth Fund | ||||||
Class A Shares |
2,284 |
(241) |
3,346 |
(272) |
3,011 |
(763) |
Class C Shares |
201 |
(1) |
250 |
— |
203 |
(39) |
Class I Shares |
2,026 |
(657) |
3,196 |
(1,027) |
3,448 |
(1,105) |
Class R2 Shares |
76 |
(20) |
102 |
(21) |
113 |
(20) |
Class R3 Shares |
91 |
—* |
144 |
— |
144 |
(1) |
Class R4 Shares |
24 |
—* |
42 |
—* |
58 |
—* |
Class R5 Shares |
231 |
(241) |
323 |
(318) |
488 |
(162) |
Mid Cap Value Fund | ||||||
Class A Shares |
3,621 |
(3) |
3,438 |
— |
3,843 |
(153) |
Class C Shares |
317 |
— |
189 |
— |
178 |
(7) |
Class I Shares |
6,118 |
— |
6,876 |
— |
6,885 |
(203) |
Class L Shares |
1,105 |
(6,597) |
1,998 |
(4,874) |
5,600 |
(2,110) |
Class R2 Shares |
169 |
— |
166 |
— |
175 |
(3) |
Class R3 Shares |
177 |
— |
190 |
— |
209 |
(1) |
Class R4 Shares |
66 |
— |
84 |
— |
66 |
—* |
Class R5 Shares |
85 |
— |
80 |
— |
81 |
(1) |
Small Cap Blend Fund | ||||||
Class A Shares |
289 |
(23) |
482 |
(19) |
710 |
(20) |
Class C Shares |
78 |
(1) |
40 |
(2) |
33 |
(2) |
Class I Shares |
310 |
(5) |
615 |
(5) |
873 |
(5) |
Small Cap Equity Fund | ||||||
Class A Shares |
1,827 |
(58) |
1,970 |
— |
1,845 |
— |
Class C Shares |
240 |
(2) |
219 |
— |
188 |
— |
Class I Shares |
7,613 |
(56) |
9,810 |
(81) |
8,711 |
(32) |
Class R2 Shares |
19 |
(2) |
16 |
(2) |
17 |
(1) |
Class R3 Shares |
7 |
—* |
11 |
— |
13 |
— |
Class R4 Shares |
1 |
—* |
2 |
—* |
2 |
—* |
Class R5 Shares |
667 |
(441) |
698 |
(469) |
644 |
(424) |
|
Fiscal
Year Ended | |||||
|
June
30, 2020 |
June
30, 2021 |
June
30, 2022 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived
|
Small Cap Growth Fund | ||||||
Class A Shares |
$1,013 |
$(45) |
$1,704 |
$(46) |
$1,433 |
$(43) |
Class C Shares |
136 |
(7) |
206 |
(3) |
166 |
(5) |
Class I Shares |
827 |
(19) |
2,001 |
(13) |
2,084 |
(18) |
Class L Shares |
605 |
— |
1,021 |
— |
826 |
— |
Class R2 Shares |
59 |
(3) |
71 |
(4) |
56 |
(4) |
Class R3 Shares |
7 |
(1) |
16 |
(2) |
18 |
(2) |
Class R4 Shares |
4 |
(1) |
11 |
—* |
14 |
—* |
Class R5 Shares |
15 |
(1) |
33 |
(1) |
31 |
(1) |
Small Cap Sustainable Leaders Fund | ||||||
Class A Shares |
9 |
(3) |
12 |
(2) |
13 |
(3) |
Class C Shares |
5 |
—* |
4 |
(1) |
3 |
(1) |
Class I Shares |
38 |
(2) |
58 |
—* |
50 |
(3) |
Class R2 Shares |
—* |
—* |
1 |
—* |
1 |
—* |
Class R3 Shares |
11 |
—* |
11 |
—* |
9 |
(1) |
Class R4 Shares |
5 |
—* |
6 |
—* |
6 |
—* |
Class R5 Shares |
105 |
(82) |
89 |
(70) |
57 |
(61) |
Small Cap Value Fund | ||||||
Class A Shares |
383 |
(8) |
398 |
— |
466 |
— |
Class C Shares |
30 |
(4) |
17 |
(3) |
16 |
(2) |
Class I Shares |
494 |
(28) |
383 |
(35) |
562 |
(40) |
Class R2 Shares |
57 |
(21) |
50 |
(28) |
55 |
(24) |
Class R3 Shares |
30 |
(5) |
28 |
(7) |
37 |
(6) |
Class R4 Shares |
1 |
—* |
38 |
(2) |
64 |
(3) |
Class R5 Shares |
43 |
(2) |
43 |
— |
51 |
— |
SMID Cap Equity Fund | ||||||
Class A Shares |
407 |
(41) |
372 |
(39) |
386 |
(26) |
Class C Shares |
80 |
(8) |
60 |
(2) |
49 |
(1) |
Class I Shares |
372 |
(6) |
328 |
(9) |
346 |
(9) |
Class R3 Shares |
34 |
— |
18 |
— |
5 |
—* |
Class R4 Shares |
2 |
—* |
2 |
—* |
2 |
—* |
U.S. Applied Data Science Value Fund | ||||||
Class A Shares |
146 |
(8) |
128 |
(7) |
81 |
(65) |
Class C Shares |
34 |
(4) |
23 |
(3) |
13 |
(12) |
Class I Shares |
1,292 |
(1) |
294 |
(2) |
177 |
(123) |
Class R2 Shares |
6 |
(3) |
4 |
(3) |
3 |
(4) |
Class R5 Shares |
27 |
(2) |
4 |
—* |
4 |
—* |
U.S. Equity Fund | ||||||
Class A Shares |
4,124 |
(97) |
3,647 |
(94) |
4,345 |
(87) |
Class C Shares |
677 |
(14) |
767 |
(12) |
985 |
(13) |
Class I Shares |
2,522 |
(33) |
3,448 |
(32) |
4,852 |
(71) |
Class L Shares |
1,423 |
— |
2,162 |
— |
1,899 |
— |
Class R2 Shares |
562 |
(6) |
619 |
(6) |
655 |
(7) |
Class R3 Shares |
280 |
(3) |
369 |
(4) |
446 |
(4) |
Class R4 Shares |
55 |
—* |
77 |
—* |
145 |
(1) |
Class R5 Shares |
802 |
(10) |
943 |
(9) |
1,071 |
(10) |
U.S. GARP Equity Fund | ||||||
Class A Shares |
234 |
(15) |
264 |
(8) |
283 |
(11) |
Class C Shares |
84 |
(2) |
70 |
(2) |
68 |
(2) |
Class I Shares |
375 |
(5) |
382 |
(3) |
352 |
(3) |
Class R2 Shares |
74 |
(32) |
82 |
(30) |
87 |
(22) |
Class R5 Shares |
184 |
(1) |
203 |
—* |
143 |
—* |
U.S. Large Cap Core Plus Fund | ||||||
Class A Shares |
657 |
(504) |
440 |
(350) |
475 |
(328) |
Class C Shares |
119 |
(91) |
59 |
(46) |
51 |
(39) |
Class I Shares |
4,367 |
(2,987) |
2,889 |
(2,003) |
2,260 |
(1,573) |
Class R2 Shares |
11 |
(1) |
12 |
(1) |
13 |
(1) |
Class R5 Shares |
83 |
—* |
39 |
—* |
34 |
—* |
|
Fiscal
Year Ended | |||||
|
June
30, 2020 |
June
30, 2021 |
June
30, 2022 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived
|
U.S. Research Enhanced Equity Fund | ||||||
Class A Shares |
$167 |
$(305) |
$178 |
$(302) |
$158 |
$(261) |
Class I Shares |
204 |
(322) |
630 |
(964) |
711 |
(1,083) |
U.S. Small Company Fund | ||||||
Class A Shares |
287 |
— |
289 |
— |
313 |
— |
Class C Shares |
58 |
— |
51 |
— |
46 |
— |
Class I Shares |
584 |
— |
471 |
— |
516 |
— |
Class L Shares |
392 |
— |
302 |
— |
288 |
— |
Class R2 Shares |
89 |
(1) |
95 |
— |
102 |
— |
Class R3 Shares |
58 |
— |
74 |
— |
88 |
— |
Class R4 Shares |
19 |
— |
25 |
— |
27 |
— |
Class R5 Shares |
8 |
— |
8 |
— |
8 |
— |
U.S. Sustainable Leaders Fund | ||||||
Class A Shares |
10 |
(19) |
5 |
(36) |
14 |
(72) |
Class C Shares |
1 |
(6) |
1 |
(6) |
2 |
(10) |
Class I Shares |
20 |
(32) |
19 |
(91) |
50 |
(207) |
U.S. Value Fund | ||||||
Class A Shares |
1,103 |
(175) |
1,049 |
(146) |
1,445 |
(113) |
Class C Shares |
67 |
(2) |
73 |
(2) |
130 |
(4) |
Class I Shares |
252 |
(6) |
1,137 |
(11) |
2,765 |
(13) |
Class R2 Shares |
— |
(1) |
4 |
—* |
7 |
—* |
Class R3 Shares |
—* |
—* |
2 |
—* |
18 |
—* |
Class R4 Shares |
1 |
—* |
2 |
—* |
1 |
—* |
Class R5 Shares |
—* |
—* |
—* |
—* |
2 |
—* |
Value Advantage Fund | ||||||
Class A Shares |
2,714 |
(60) |
2,120 |
(54) |
2,687 |
(110) |
Class C Shares |
1,113 |
(30) |
788 |
(22) |
784 |
(43) |
Class I Shares |
5,677 |
(21) |
5,707 |
(20) |
5,715 |
(185) |
Class L Shares |
2,235 |
— |
1,700 |
—* |
1,870 |
— |
Class R2 Shares |
—* |
—* |
—* |
—* |
—* |
—* |
Class R3 Shares |
5 |
—* |
4 |
(1) |
6 |
(1) |
Class R4 Shares |
68 |
—* |
55 |
—* |
3 |
—* |
Class R5 Shares |
7 |
—* |
4 |
—* |
1 |
—* |
|
Fiscal
Year Ended | ||
Fund |
June
30, 2020 |
June
30, 2021 |
June 30, 2022 |
Diversified Fund | |||
Total Brokerage Commissions |
$346,587 |
$213,069 |
$193,500 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Equity Focus Fund | |||
Total Brokerage Commissions |
22,485 |
27,804 |
34,877 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Equity Income Fund | |||
Total Brokerage Commissions |
5,108,853 |
3,373,124 |
3,617,942 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Equity Index Fund | |||
Total Brokerage Commissions |
116,652 |
225,343 |
148,501 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
|
Fiscal
Year Ended | ||
Fund |
June
30, 2020 |
June
30, 2021 |
June 30, 2022 |
Equity Premium Income Fund | |||
Total Brokerage Commissions |
$108,735 |
$146,180 |
$473,464 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Growth Advantage Fund | |||
Total Brokerage Commissions |
1,676,748 |
1,774,455 |
1,792,809 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Hedged Equity Fund | |||
Total Brokerage Commissions |
4,274,764 |
6,907,084 |
5,522,944 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Hedged Equity 2 Fund1 | |||
Total Brokerage Commissions |
N/A |
228,623 |
1,871,175 |
Brokerage Commissions to Affiliated Broker/Dealers |
N/A |
— |
— |
Hedged Equity 3 Fund1 | |||
Total Brokerage Commissions |
N/A |
92,794 |
1,002,509 |
Brokerage Commissions to Affiliated Broker/Dealers |
N/A |
— |
— |
Large Cap Growth Fund | |||
Total Brokerage Commissions |
2,346,964 |
4,573,934 |
4,416,930 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Large Cap Value Fund | |||
Total Brokerage Commissions |
1,688,717 |
1,942,324 |
2,548,963 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Mid Cap Equity Fund | |||
Total Brokerage Commissions |
512,365 |
620,099 |
584,213 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Mid Cap Growth Fund | |||
Total Brokerage Commissions |
1,259,290 |
1,271,530 |
1,718,005 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Mid Cap Value Fund | |||
Total Brokerage Commissions |
3,303,051 |
3,078,860 |
2,590,278 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Small Cap Blend Fund | |||
Total Brokerage Commissions |
294,914 |
459,966 |
718,009 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Small Cap Equity Fund | |||
Total Brokerage Commissions |
1,737,021 |
1,409,785 |
1,610,696 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Small Cap Growth Fund | |||
Total Brokerage Commissions |
1,582,083 |
2,057,328 |
2,060,676 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Small Cap Sustainable Leaders Fund | |||
Total Brokerage Commissions |
729,827 |
437,203 |
390,543 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Small Cap Value Fund | |||
Total Brokerage Commissions |
1,354,222 |
1,461,469 |
1,129,527 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
SMID Cap Equity Fund | |||
Total Brokerage Commissions |
428,217 |
353,662 |
67,195 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
U.S. Applied Data Science Value Fund | |||
Total Brokerage Commissions |
493,871 |
119,173 |
59,345 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
U.S. Equity Fund | |||
Total Brokerage Commissions |
5,229,509 |
3,894,946 |
3,244,514 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
|
Fiscal
Year Ended | ||
Fund |
June
30, 2020 |
June
30, 2021 |
June 30, 2022 |
U.S. GARP Equity Fund | |||
Total Brokerage Commissions |
$503,627 |
$268,278 |
$167,313 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
U.S. Large Cap Core Plus Fund | |||
Total Brokerage Commissions |
4,531,072 |
1,859,624 |
1,238,112 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
U.S. Research Enhanced Equity Fund | |||
Total Brokerage Commissions |
1,191,776 |
630,479 |
853,597 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
U.S. Small Company Fund | |||
Total Brokerage Commissions |
1,399,063 |
1,477,766 |
912,903 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
U.S. Sustainable Leaders Fund | |||
Total Brokerage Commissions |
15,949 |
15,818 |
33,916 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
U.S. Value Fund | |||
Total Brokerage Commissions |
107,241 |
192,774 |
383,750 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Value Advantage Fund | |||
Total Brokerage Commissions |
2,609,035 |
2,363,915 |
1,629,633 |
Brokerage Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Fund |
Amount |
Diversified Fund |
$17,335 |
Equity Focus Fund |
8,516 |
Equity Income Fund |
1,129,432 |
Equity Index Fund |
0 |
Equity Premium Income Fund |
191,935 |
Growth Advantage Fund |
510,556 |
Hedged Equity Fund |
897,909 |
Hedged Equity 2 Fund |
365,348 |
Hedged Equity 3 Fund |
183,144 |
Large Cap Growth Fund |
1,498,941 |
Large Cap Value Fund |
751,049 |
Mid Cap Equity Fund |
188,119 |
Mid Cap Growth Fund |
515,253 |
Mid Cap Value Fund |
774,948 |
Small Cap Blend Fund |
215,784 |
Small Cap Equity Fund |
572,521 |
Small Cap Growth Fund |
634,622 |
Small Cap Sustainable Leaders Fund |
149,416 |
Small Cap Value Fund |
448,693 |
SMID Cap Equity Fund |
26,003 |
U.S. Applied Data Science Value Fund |
18,337 |
U.S. Equity Fund |
1,085,151 |
U.S. GARP Equity Fund |
65,494 |
U.S. Large Cap Core Plus Fund |
339,620 |
U.S. Research Enhanced Equity Fund |
337,432 |
U.S. Small Company Fund |
379,925 |
Fund |
Amount |
U.S. Sustainable Leaders Fund |
$13,023 |
U.S. Value Fund |
129,434 |
Value Advantage Fund |
552,572 |
Fund |
Name of
Broker-Dealer |
Value of
Securities Owned (000's) |
Diversified Fund |
Ameriprise Financial, Inc. |
$817 |
|
Bank of America Corp. |
6,828 |
|
Barclays plc |
724 |
|
BNP Paribas SA |
1,677 |
|
Charles Schwab Corp. (The) |
1,259 |
|
Citigroup, Inc. |
2,876 |
|
Credit Suisse Group AG |
790 |
|
Deutsche Bank AG |
422 |
|
Goldman Sachs Group, Inc. (The) |
1,588 |
|
Lincoln National Corp. |
13 |
|
LPL Financial Holdings Inc. |
401 |
|
Morgan Stanley |
2,919 |
|
UBS Group AG |
380 |
|
Wells Fargo & Co. |
4,325 |
Equity Focus Fund |
Bank of America Corp. |
6,665 |
Equity Income Fund |
Bank of America Corp. |
849,594 |
|
Charles Schwab Corp. (The) |
376,163 |
|
Morgan Stanley |
739,048 |
|
Truist Financial Corp. |
377,808 |
Equity Index Fund |
Bank of America Corp. |
49,824 |
|
Bank of New York Mellon Corp. (The) |
6,998 |
|
Charles Schwab Corp. (The) |
21,510 |
|
Citigroup, Inc. |
20,161 |
|
Goldman Sachs Group, Inc. (The) |
23,028 |
|
JPMorgan Chase & Co.* |
74,662 |
|
Morgan Stanley |
24,028 |
|
Raymond James Financial, Inc. |
3,924 |
|
Wells Fargo & Co. |
33,515 |
Equity Premium Income Fund |
Wells Fargo & Co. |
9,716 |
Hedged Equity Fund |
Bank of America Corp. |
180,285 |
|
Citigroup, Inc. |
22,248 |
|
Morgan Stanley |
70,305 |
|
Wells Fargo & Co. |
175,678 |
Hedged Equity 2 Fund |
Bank of America Corp. |
59,583 |
|
Citigroup, Inc. |
7,306 |
|
Morgan Stanley |
22,626 |
|
Wells Fargo & Co. |
57,705 |
Hedged Equity 3 Fund |
Bank of America Corp. |
29,452 |
|
Citigroup, Inc. |
3,620 |
|
Morgan Stanley |
11,278 |
|
Wells Fargo & Co. |
28,670 |
Large Cap Growth Fund |
Charles Schwab Corp. (The) |
576,569 |
|
Morgan Stanley |
342,437 |
Large Cap Value Fund |
Bank of America Corp. |
74,074 |
|
Morgan Stanley |
15,638 |
|
Wells Fargo & Co. |
107,075 |
Mid Cap Equity Fund |
Ameriprise Financial, Inc. |
24,646 |
|
LPL Financial Holdings Inc. |
15,473 |
Small Cap Blend Fund |
LPL Financial Holdings Inc. |
5,903 |
Small Cap Growth Fund |
Evercore, Inc., Class A |
19,120 |
Small Cap Value Fund |
Cowen, Inc., Class A |
1,969 |
Fund |
Name of
Broker-Dealer |
Value of
Securities Owned (000's) |
SMID Cap Equity Fund |
LPL Financial Holdings Inc. |
$4,927 |
U.S. Applied Data Science Value Fund |
Bank of America Corp. |
4,084 |
|
Citigroup, Inc. |
2,403 |
|
Morgan Stanley |
3,709 |
|
Wells Fargo & Co. |
3,981 |
U.S. Equity Fund |
Ameriprise Financial, Inc. |
192,637 |
|
Morgan Stanley |
351,798 |
|
Wells Fargo & Co. |
345,953 |
U.S. GARP Equity Fund |
Charles Schwab Corp. (The) |
3,880 |
U.S. Large Cap Core Plus Fund |
Bank of America Corp. |
30,299 |
|
Morgan Stanley |
4,220 |
|
Wells Fargo & Co. |
37,252 |
U.S. Research Enhanced Equity Fund |
Bank of America Corp. |
73,886 |
|
Citigroup, Inc. |
9,112 |
|
Morgan Stanley |
28,284 |
|
Prudential Financial, Inc. |
6,189 |
|
T. Rowe Price Group, Inc. |
24,351 |
|
Voya Financial, Inc. |
5,972 |
U.S. Small Company Fund |
Cowen, Inc., Class A |
715 |
U.S. Sustainable Leaders Fund |
Bank of America Corp. |
4,524 |
|
Citigroup, Inc. |
1,474 |
|
Morgan Stanley |
2,093 |
|
Voya Financial, Inc. |
2,829 |
U.S. Value Fund |
Bank of America Corp. |
43,255 |
|
Charles Schwab Corp. (The) |
22,962 |
|
Citigroup, Inc. |
40,145 |
|
Goldman Sachs Group, Inc. (The) |
30,380 |
|
Morgan Stanley |
45,564 |
Value Advantage Fund |
Bank of America Corp. |
289,277 |
|
Morgan Stanley |
60,242 |
|
Wells Fargo & Co. |
112,270 |
Amount of
Purchases |
Finders’ Fee |
$1,000,000 – $3,999,999* |
1.00% |
$4,000,000 – $9,999,999 |
0.75% |
$10,000,000 – $49,999,999 |
0.50% |
Amount of
Purchases |
Finders’ Fee |
$50,000,000 or more |
0.25% |
|
Capital
Loss Carryforward Character | |
Fund |
Short-Term |
Long-Term |
Equity Premium Income Fund |
$47,771* |
$— |
Hedged Equity Fund |
380,233 |
480,838 |
Hedged Equity 2 Fund |
536* |
822* |
All Funds |
|
| |
JPMorgan Chase & Co. |
Monthly |
30 days after month end | |
Morningstar Inc. |
Monthly |
30 days after month end | |
All Funds excluding JPMorgan Hedged Equity 2 Fund and JPMorgan Hedged Equity 3 Fund |
|
| |
Bloomberg LP |
Monthly |
30 days after month end | |
Lipper, Inc. |
Monthly |
30 days after month end | |
All Funds excluding JPMorgan Equity Focus Fund, JPMorgan Hedged Equity 2 Fund and JPMorgan Hedged Equity 3 Fund |
|
| |
The McGraw-Hill Companies, Inc. — Standard & Poor’s |
Monthly |
30 days after month end | |
JPMorgan U.S. Large Cap Core Plus Fund |
|
| |
Aris Corporation |
Quarterly |
30 days after quarter end | |
JPMorgan Mid Cap Value Fund |
|
| |
Callan Associates |
Monthly |
30 days after month end | |
JPMorgan Mid Cap Value Fund |
|
|
JPMorgan U.S. Research Enhanced Equity Fund |
|
| |
Concord Advisory |
Monthly |
30 days after month end | |
JPMorgan Mid Cap Growth Fund |
|
| |
JPMorgan Small Cap Blend Fund |
|
| |
Hartland & Co. |
Monthly |
30 days after month end | |
JPMorgan Mid Cap Value Fund |
|
| |
JPMorgan Small Cap Growth Fund |
|
| |
JPMorgan U.S. GARP Equity Fund |
|
| |
Informa Investment Solutions (PSN) |
Quarterly |
30 days after quarter end | |
JPMorgan Small Cap Equity Fund |
|
| |
JPMorgan Small Cap Growth Fund |
|
| |
Jeffrey Slocum & Associates, Inc. |
Quarterly |
30 days after quarter end | |
JPMorgan Equity Income Fund |
|
| |
JPMorgan Large Cap Growth Fund |
|
| |
JPMorgan U.S. Equity Fund |
|
| |
Lockwood Advisors |
Quarterly |
30 days after quarter end | |
JPMorgan Small Cap Value Fund |
|
| |
Marco Consulting |
Quarterly |
30 days after quarter end | |
JPMorgan Equity Index Fund |
|
| |
JPMorgan Small Cap Value Fund |
|
| |
Mellon Analytical Solutions |
Quarterly |
30 days after quarter end | |
JPMorgan U.S. Large Cap Core Plus Fund |
|
| |
Morgan Stanley Smith Barney |
Quarterly |
30 days after quarter end | |
JPMorgan U.S. Research Enhanced Equity Fund |
|
| |
New England Pension Consultants |
Quarterly |
30 days after quarter end | |
JPMorgan U.S. Large Cap Core Plus Fund |
|
| |
Oppenheimer |
Quarterly |
30 days after quarter end | |
JPMorgan Mid Cap Value Fund |
|
| |
JPMorgan Small Cap Growth Fund |
|
| |
PSN & Morningstar |
Quarterly |
30 days after quarter end | |
JPMorgan Equity Income Fund |
|
| |
JPMorgan Large Cap Growth Fund |
|
| |
JPMorgan Mid Cap Value Fund |
|
| |
JPMorgan U.S. Equity Fund |
|
| |
JPMorgan U.S. GARP Equity Fund |
|
| |
JPMorgan U.S. Large Cap Core Plus Fund |
|
| |
Prime, Buchholz & Associates, Inc. |
Quarterly |
30 days after quarter end | |
JPMorgan Mid Cap Value Fund |
|
| |
JPMorgan Small Cap Growth Fund |
|
| |
JPMorgan U.S. Large Cap Core Plus Fund |
|
| |
JPMorgan Value Advantage Fund |
|
| |
Raymond James |
Quarterly |
30 days after quarter end | |
JPMorgan Small Cap Equity Fund |
|
| |
Rochester Area Community Foundation |
Quarterly |
30 days after quarter end | |
JPMorgan U.S. Equity Fund |
|
| |
JPMorgan U.S. Research Enhanced Equity Fund |
|
| |
Roger Casey |
Quarterly |
30 days after quarter end | |
JPMorgan Large Cap Growth Fund |
|
| |
JPMorgan Mid Cap Value Fund |
|
| |
JPMorgan U.S. Large Cap Core Plus Fund |
|
| |
RV Kuhns |
Quarterly |
30 days after quarter end | |
JPMorgan SMID Cap Equity Fund |
|
|
Strategic Advisors, Inc. |
Quarterly |
30 days after quarter end | |
JPMorgan Diversified Fund |
|
| |
JPMorgan Equity Income Fund |
|
| |
JPMorgan Mid Cap Value Fund |
|
| |
JPMorgan Small Cap Blend Fund |
|
| |
JPMorgan Small Cap Equity Fund |
|
| |
JPMorgan Small Cap Growth Fund |
|
| |
JPMorgan SMID Cap Equity Fund |
|
| |
JPMorgan U.S. Applied Data Science Value Fund |
|
| |
JPMorgan U.S. Equity Fund |
|
| |
JPMorgan U.S. GARP Equity Fund |
|
| |
JPMorgan U.S. Research Enhanced Equity Fund |
|
| |
JPMorgan U.S. Small Company Fund |
|
| |
JPMorgan U.S. Sustainable Leaders Fund |
|
| |
Vestek |
Monthly |
30 days after month end | |
JPMorgan Mid Cap Value Fund |
|
| |
JPMorgan U.S. Equity Fund |
|
| |
Watson Wyatt Worldwide |
Quarterly |
30 days after quarter end | |
JPMorgan Equity Index Fund |
|
| |
JPMorgan Small Cap Equity Fund |
|
| |
JPMorgan U.S. GARP Equity Fund |
|
| |
Watson Wyatt Worldwide |
Monthly |
30 days after month end | |
JPMorgan Equity Income Fund |
|
| |
JPMorgan Hedged Equity Fund |
|
| |
JPMorgan Large Cap Growth Fund |
|
| |
JPMorgan Mid Cap Equity Fund |
|
| |
JPMorgan Mid Cap Growth Fund |
|
| |
JPMorgan Mid Cap Value Fund |
|
| |
JPMorgan Small Cap Equity Fund |
|
| |
JPMorgan U.S. Applied Data Science Value Fund |
|
| |
JPMorgan U.S. Equity Fund |
|
| |
JPMorgan U.S. GARP Equity Fund |
|
| |
JPMorgan U.S. Large Cap Core Plus Fund |
|
| |
Wells Fargo |
Quarterly |
30 days after quarter end | |
JPMorgan Mid Cap Value Fund |
|
| |
JPMorgan U.S. Large Cap Core Plus Fund |
|
| |
Wells Fargo |
Monthly |
30 days after month end | |
JPMorgan Equity Index Fund |
|
| |
JPMorgan U.S. Value Fund |
|
| |
Wilshire |
Quarterly |
30 days after quarter end |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
JPMORGAN DIVERSIFIED FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
46.24% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
5.75% |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
43.73% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
13.00% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
9.35% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
6.91% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
6.03% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
5.56% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS I SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
47.94% |
|
|
|
|
EMPOWER TRUST FBO MICHIGAN CORPORATE SERVICES LLC 401 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
8.50% |
|
|
|
|
SEI PRIVATE TRUST COMPANY C/O MELLON BANK ID 225 1 FREEDOM VALLEY DR OAKS PA 19456-9989 |
6.09% |
|
|
|
CLASS L SHARES |
WESTINGHOUSE ELECTRIC COMPANY ESBU SAVINGS PLAN STATE STREET BANK & TRUST 105 ROSEMONT RD WESTWOOD MA 02090 |
29.24% |
|
|
|
|
EMPOWER TRUST FBO FBO CERTAIN RETIREMENT PLANS 8515 E ORCHARD ROAD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
15.28% |
|
|
|
|
THE GRACO FOUNDATION PO BOX 1441 MINNEAPOLIS MN 55440-1441 |
14.20% |
|
|
|
|
EMPOWER TRUST FBO DISCOUNT TIRE AMERICAS TIRE RETIREM PLAN 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
12.44% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
11.15% |
|
|
|
|
RELIANCE TRUST COMPANY FBO MALVERN PO BOX 28004 ATLANTA GA 30358-0004 |
5.54% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
5.54% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS R6 SHARES |
SAXON & CO FBO 21230018277518 PO BOX 94597 CLEVELAND OH 44101-4597 |
50.90% |
|
|
|
|
JPMIM AS AGENT FOR* BAE SYSTEMS SUPPLEMENTAL RETIREMENT TRUST ATTN CLIENT SERVICES 1111 POLARIS PKWY # OH1-0084 COLUMBUS OH 43240-2031 |
13.35% |
|
|
|
|
JPMIM AS AGENT FOR* PALOMA RHEEM INVESTMENTS, INC. ATTN CLIENT SERVICES 1111 POLARIS PKWY OH1-0084 COLUMBUS OH 43240-2031 |
13.01% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
9.99% |
|
|
|
|
JPMIM AS AGENT FOR* MARTIN SPROCKET AND GEAR INC. ATTN: CLIENT SERVICES 1111 POLARIS PKWY OH1-0084 COLUMBUS OH 43240-2031 |
7.10% |
JPMORGAN EQUITY FOCUS FUND | ||
CLASS A SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
39.01% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
18.12% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
12.09% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
8.07% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
6.80% |
|
|
|
CLASS C SHARES |
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
38.20% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
17.02% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
12.95% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
12.69% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
5.38% |
|
|
|
CLASS I SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
54.19% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
17.66% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
8.68% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
8.25% |
|
|
|
CLASS R6 SHARES |
SEI PRIVATE TRUST COMPANY C/O TRUIST ID 866 ONE FREEDOM VALLEY DRIVE OAKS PA 19456-9989 |
63.16% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
31.44% |
JPMORGAN HEDGED EQUITY FUND | ||
CLASS A SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
52.73% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
13.36% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
8.21% |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
25.24% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
15.63% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
11.65% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
10.38% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
8.35% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
7.13% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
7.00% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
6.53% |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
21.02% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
18.20% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
10.60% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
8.19% |
|
|
|
|
TD AMERITRADE INC FOR THE EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
7.35% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
7.33% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
6.55% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
5.10% |
|
|
|
CLASS R5 SHARES |
MATRIX TRUST COMPANY AS AGENT FOR NEWPORT TRUST COMPANY R G JOHNSON COMPANY INC 401(K) R 35 IRON POINT CIR STE 300 FOLSOM CA 95630-8589 |
30.60% |
|
|
|
|
FIDELITY INVESTMENT INST OPERATIONS CUST FBO AMERICAN TANK & VESSEL, INC. 100 MAGELLAN WAY #KWIC COVINGTON KY 41015-1999 |
25.05% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
10.80% |
|
|
|
|
EMPOWER TRUST COMPANY LLC TTEE F EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
10.11% |
|
|
|
|
STATE STREET BANK CUSTODIAN FBO OAK MITSUI EMPLOYEES PENSION PLAN 1 LINCOLN ST BOSTON MA 02111-2901 |
9.84% |
|
|
|
CLASS R6 SHARES |
SEI PRIVATE TRUST COMPANY C/O REGIONS BANK ONE FREEDOM VALLEY DRIVE OAKS PA 19456-9989 |
16.16% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
16.05% |
|
|
|
|
MARIL & CO FBO NG C/O RELIANCE TRUST COMPANY WI MAILCODE: BD1N - ATTN: MF 4900 W BROWN DEER RD MILWAUKEE WI 53223-2422 |
15.65% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
MORI & CO 922 WALNUT ST MAILSTOP TBTS 2 KANSAS CITY MO 64106-1802 |
13.44% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
7.27% |
|
|
|
|
JOHN HANCOCK INVESTMENTS JHF II ASSET ALLOCATION 197 CLARENDON ST BOSTON MA 02116-5010 |
5.25% |
JPMORGAN MID CAP EQUITY FUND | ||
CLASS A SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
91.97% |
|
|
|
CLASS C SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
68.58% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
6.31% |
|
|
|
CLASS I SHARES |
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
64.14% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
9.74% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
5.34% |
|
|
|
|
VRSCO FBO AIGFSB CUST TTEE FBO SISTERS OF ST FRANCIS HLTH SRV 403B 2929 ALLEN PARKWAY, A6-20 HOUSTON TX 77019-7100 |
5.22% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS R2 SHARES |
FIDELITY INVESTMENTS INST OPERATIONS CO INC AS AGENT FOR FBO VEHICLE SOURCE PRODUCTS, INC. 401(K) PLAN 100 MAGELLAN WAY #KWIC COVINGTON KY 41015-1999 |
14.38% |
|
|
|
|
FIDELITY INVESTMENTS INST OP CO CUST FBO CABLE CONNECTION & SUPPLY CO INC PROFIT SHARING PLAN & TRUST 100 MAGELLAN WAY # KWIC COVINGTON KY 41015-1999 |
12.58% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
10.87% |
|
|
|
|
MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. RICK WHITAKER (TX) 403(B) CHURCH 717 17TH ST STE 1300 DENVER CO 80202-3304 |
6.78% |
|
|
|
|
MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC MOUNT PROSPECT SD #57 403(B) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 |
6.73% |
|
|
|
CLASS R5 SHARES |
MATRIX TRUST COMPANY CUST FBO GENESIS FIBER OPTIC SPLICING INC 717 17TH ST STE 1300 DENVER CO 80202-3304 |
94.26% |
|
|
|
|
MID ATLANTIC TRUST COMPANY FBO EXTENSIA FINANCIAL LLC 401(K) PROFI 1251 WATERFRONT PLACE, SUITE 525 PITTSBURGH PA 15222-4228 |
5.74% |
|
|
|
CLASS R6 SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
54.94% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
14.64% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
MAC & CO ATTN MUTUAL FUND OPS PO BOX 3198 525 WILLIAM PENN PLACE PITTSBURGH PA 15230-3198 |
10.98% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
6.11% |
JPMORGAN SMALL CAP BLEND FUND | ||
CLASS A SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
63.37% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
7.09% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FLR JACKSONVILLE FL 32246-6484 |
5.93% |
|
|
|
CLASS C SHARES |
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
21.41% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
17.18% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
16.35% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
12.68% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
10.20% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS I SHARES |
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
31.34% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
17.42% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
11.78% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
10.30% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
7.12% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
6.68% |
|
|
|
CLASS R6 SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
90.88% |
|
|
|
|
JPMIM AS AGENT FOR* UNIVERSITY HEALTH SERVICES INC LONG TERM OPERATING POOL ATTN CLIENT SERVICES 1111 POLARIS PKWY OH1-0084 COLUMBUS OH 43240-2031 |
5.07% |
JPMORGAN SMALL CAP EQUITY FUND | ||
CLASS A SHARES |
CHARLES SCHWAB & CO INC REINVEST ACCOUNT ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
23.08% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
13.53% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
7.53% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FLR JACKSONVILLE FL 32246-6484 |
5.72% |
|
|
|
CLASS C SHARES |
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
18.62% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
13.89% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
9.46% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
9.10% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
8.48% |
|
|
|
|
STIFEL NICOLAUS & CO INC EXCLUSIVE BENEFIT OF CUSTOMERS 501 N BROADWAY SAINT LOUIS MO 63102-2188 |
7.24% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
7.03% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
6.42% |
|
|
|
|
RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 250 NICOLLET MALL SUITE 1400 MINNEAPOLIS MN 55401-7554 |
5.92% |
|
|
|
CLASS I SHARES |
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
23.65% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
19.27% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
10.97% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
8.54% |
|
|
|
CLASS R2 SHARES |
MASSACHUSETTS MUTUAL LIFE INS CO ATTN RS FUND OPERATIONS 1295 STATE STREET SPRINGFIELD MA 01111-0001 |
22.21% |
|
|
|
|
DCGT TRUSTEE & OR CUSTODIAN FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
16.03% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FIIOC AS AGENT FOR QUALIFIED EMPLOYEE BENEFIT PLANS (401K) FINOPS-IC FUNDS 100 MAGELLAN WAY # KW1C COVINGTON KY 41015-1987 |
7.03% |
|
|
|
|
MATRIX TRUST COMPANY CUST FBO DOMINION CARTON CORPORATION 717 17TH ST STE 1300 DENVER CO 80202-3304 |
5.49% |
|
|
|
|
MATRIX TRUST COMPANY CUST FBO ETC COMPANIES LLC 717 17TH ST STE 1300 DENVER CO 80202-3304 |
5.01% |
|
|
|
CLASS R3 SHARES |
EMPOWER TRUST COMPANY LLC TTEE F EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
45.95% |
|
|
|
|
NATIONWIDE TRUST COMPANY FSB C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH 43218-2029 |
33.54% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
20.20% |
|
|
|
CLASS R4 SHARES |
EMPOWER TRUST COMPANY LLC TTEE F EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
68.29% |
|
|
|
|
EMPOWER TRUST FBO RTC TTEE FBO CERTAIN RETIREMENT PLANS 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
16.36% |
|
|
|
|
MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC H MININGER & SON INC PROFIT SHAR ING 401(K) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 |
15.23% |
|
|
|
CLASS R5 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
38.05% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
DCGT TRUSTEE & OR CUSTODIAN FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
13.51% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
5.93% |
|
|
|
CLASS R6 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
14.18% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
13.04% |
|
|
|
|
DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
6.88% |
|
|
|
|
MAC & CO ATTN MUTUAL FUND OPS PO BOX 3198 525 WILLIAM PENN PLACE PITTSBURGH PA 15230-3198 |
6.49% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
5.95% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
5.62% |
JPMORGAN SMALL CAP SUSTAINABLE LEADERS FUND | ||
CLASS A SHARES |
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
32.14% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
28.64% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
12.77% |
|
|
|
CLASS C SHARES |
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
37.81% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
17.82% |
|
|
|
|
STIFEL NICOLAUS & CO INC EXCLUSIVE BENEFIT OF CUSTOMERS 501 N BROADWAY SAINT LOUIS MO 63102-2188 |
10.95% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
9.37% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
6.56% |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
32.69% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
29.62% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
8.59% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
7.51% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
6.60% |
|
|
|
CLASS R2 SHARES |
MID ATLANTIC TRUST COMPANY FBO THE HELLO FOUNDATION, LLC 401(K) PR 1251 WATERFRONT PLACE, SUITE 525 PITTSBURGH PA 15222-4228 |
29.27% |
|
|
|
|
MID ATLANTIC TRUST COMPANY FBO BLUEWATER RUBBER & GASKET CO 401(K) 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
18.40% |
|
|
|
|
ASCENSUS TRUST COMPANY FBO DEEL SALES LLC 401(K) PLAN PO BOX 10758 FARGO ND 58106-0758 |
13.66% |
|
|
|
|
MID ATLANTIC TRUST COMPANY FBO SOLOMON VALLEY FUNERAL COMPANY 401( 1251 WATERFRONT PLACE, SUITE 525 PITTSBURGH PA 15222-4228 |
7.59% |
|
|
|
|
MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. FULTON CITY SD (NY) 403(B) 717 17TH ST STE 1300 DENVER CO 80202-3304 |
6.95% |
|
|
|
|
MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. ROCHESTER CITY SCHOOL DISTRICT (NY) 717 17TH ST STE 1300 DENVER CO 80202-3304 |
5.38% |
|
|
|
CLASS R3 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
97.35% |
|
|
|
CLASS R4 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
57.86% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
EMPOWER TRUST COMPANY LLC TTEE F EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
33.89% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
8.25% |
|
|
|
CLASS R5 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
26.75% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
10.98% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
7.77% |
|
|
|
|
C/O ICMA RETIREMENT CORPORATION CITY OF PLANO 777 N CAPITOL ST NE WASHINGTON DC 20002-4239 |
6.51% |
|
|
|
CLASS R6 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
52.69% |
|
|
|
|
JOHN HANCOCK TRUST COMPANY LLC 690 CANTON ST STE 100 WESTWOOD MA 02090-2324 |
15.88% |
|
|
|
|
EMPOWER TRUST COMPANY LLC TTEE F EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
5.61% |
|
|
|
|
DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
5.22% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
JPMORGAN U.S. APPLIED DATA SCIENCE VALUE FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
13.67% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
12.16% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
9.27% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
7.20% |
|
|
|
|
RELIANCE TRUST CO TTEE ADP ACCESS LARGE MARKET 401K 1100 ABERNATHY RD ATLANTA GA 30328-5620 |
6.11% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
5.25% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
5.11% |
|
|
|
CLASS C SHARES |
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
35.73% |
|
|
|
|
STIFEL NICOLAUS & CO INC EXCLUSIVE BENEFIT OF CUSTOMERS 501 N BROADWAY SAINT LOUIS MO 63102-2188 |
16.84% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
16.44% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
6.56% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
5.91% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
5.09% |
|
|
|
CLASS I SHARES |
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
18.10% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
17.35% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
12.78% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
10.00% |
|
|
|
|
EMPOWER TRUST FBO FBO CERTAIN RETIREMENT PLANS 8515 E ORCHARD ROAD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
8.20% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
6.84% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
5.87% |
|
|
|
CLASS R2 SHARES |
ASCENSUS TRUST COMPANY FBO THREE WAY CHEVROLET CO. 401(K) PLAN P.O. BOX 10758 FARGO ND 58106-0758 |
36.40% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
8.02% |
|
|
|
|
FIIOC AS AGENT FOR FBO ROBINSON GREEN BERETTA CORPORATION 100 MAGELLAN WAY #KWIC COVINGTON KY 41015-1987 |
6.57% |
|
|
|
CLASS R5 SHARES |
EMPOWER TRUST FBO RESCAR COMPANIES PSP & 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
36.03% |
|
|
|
|
NATIONWIDE TRUST COMPANY FSB C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH 43218-2029 |
23.91% |
|
|
|
|
EMPOWER TRUST FBO EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
8.68% |
|
|
|
|
MID ATLANTIC TRUST COMPANY FBO AQUA PHARMACEUTICALS LLC 401(K) PRO 1251 WATERFRONT PLACE, SUITE 525 PITTSBURGH PA 15222-4228 |
5.87% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
5.50% |
|
|
|
CLASS R6 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
26.10% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
19.73% |
|
|
|
|
EMPOWER TRUST FBO EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
11.30% |
|
|
|
|
EMPOWER TRUST COMPANY LLC PLANS OF GREAT WEST FINANCIAL 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
7.71% |
|
|
|
|
EMPOWER TRUST FBO FBO CERTAIN RETIREMENT PLANS 8515 E ORCHARD ROAD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
6.55% |
JPMORGAN U.S. EQUITY FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
21.55% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
17.89% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
6.94% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FLR JACKSONVILLE FL 32246-6484 |
6.40% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
6.32% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
35.92% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
14.97% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
8.61% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
7.99% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
7.37% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
7.19% |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
16.50% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
14.98% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
13.68% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
10.72% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
6.76% |
|
|
|
|
TD AMERITRADE INC FOR THE EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
5.27% |
|
|
|
CLASS L SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
30.78% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
11.16% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
8.77% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
8.17% |
|
|
|
|
STIFEL NICOLAUS & CO INC EXCLUSIVE BENEFIT OF CUSTOMERS 501 N BROADWAY SAINT LOUIS MO 63102-2188 |
7.67% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
5.83% |
|
|
|
CLASS R2 SHARES |
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
47.70% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT ATTN UIT OPERATIONS PO BOX 2999 HARTFORD CT 06104-2999 |
19.34% |
|
|
|
|
MASSACHUSETTS MUTUAL LIFE INS CO ATTN RS FUND OPERATIONS 1295 STATE STREET SPRINGFIELD MA 01111-0001 |
9.34% |
|
|
|
CLASS R3 SHARES |
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
50.06% |
|
|
|
|
THE HARTFORD 1 HARTFORD PLZ HARTFORD CT 06155-0001 |
11.46% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
8.83% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
6.98% |
|
|
|
CLASS R4 SHARES |
RELIANCE TRUST COMPANY FBO MASSMUTUAL REGISTERED PRODUCT PO BOX 28004 ATLANTA GA 30358-0004 |
22.08% |
|
|
|
|
MASSACHUSETTS MUTUAL LIFE INSURANCE 1295 STATE STREET SPRINGFIELD MA 01111-0001 |
18.59% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
16.90% |
|
|
|
|
MATRIX TRUST COMPANY CUST FBO YONKERS CONTRACTING COMPANY INC P PO BOX 52129 PHOENIX AZ 85072-2129 |
7.40% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
EMPOWER TRUST COMPANY LLC TTEE F EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
7.07% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
6.22% |
|
|
|
|
PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TTEE/CUST MITAC TYAN 39660 EUREKA DR NEWARK CA 94560-4805 |
5.89% |
|
|
|
|
MATRIX TRUST COMPANY AS AGENT FOR NEWPORT TRUST COMPANY KINDERCARE EDUCATION LLC NONQUALIFE 35 IRON POINT CIR STE 300 FOLSOM CA 95630-8589 |
5.05% |
|
|
|
CLASS R5 SHARES |
JOHN HANCOCK LIFE INS CO (USA) ATTN JHRPS TRADING OPS ST6 200 BERKELEY STREET BOSTON MA 02116-5022 |
50.83% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
5.95% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR EAST 2ND FL JACKSONVILLE FL 32246-6484 |
5.08% |
|
|
|
CLASS R6 SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
9.09% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
8.38% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
7.46% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2030 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
6.28% |
JPMORGAN U.S. GARP EQUITY FUND | ||
CLASS A SHARES |
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
28.55% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
14.79% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
8.88% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
6.24% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
6.18% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
5.45% |
|
|
|
CLASS C SHARES |
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
26.55% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
17.58% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
11.55% |
|
|
|
|
RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 250 NICOLLET MALL SUITE 1400 MINNEAPOLIS MN 55401-7554 |
10.15% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
9.59% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
6.14% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
5.66% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
5.37% |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
30.58% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
10.01% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
9.68% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
9.01% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
6.33% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
6.18% |
|
|
|
CLASS R2 SHARES |
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
6.64% |
|
|
|
CLASS R5 SHARES |
EMPOWER TRUST FBO PEARSON RETIREMENT PLAN 401K 8525 E ORCHARD RD GREENWOOD VLG CO 80111-5002 |
80.52% |
|
|
|
|
NATIONWIDE TRUST COMPANY FSB C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH 43218-2029 |
7.43% |
|
|
|
CLASS R6 SHARES |
JPMIM AS AGENT FOR* JPMORGAN INVESTOR GROWTH FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
28.46% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN INVESTOR BALANCED FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
26.05% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN INVESTOR GROWTH AND INCOME ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
17.07% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN INVESTOR CONSERVATIVE GROWTH FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
14.91% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
6.75% |
JPMORGAN U.S. LARGE CAP CORE PLUS FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
19.97% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
10.50% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
9.11% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
7.14% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
7.06% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
6.52% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
5.97% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
5.11% |
|
|
|
CLASS C SHARES |
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
19.87% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
18.93% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
12.96% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
9.71% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
9.59% |
|
|
|
|
UBS WM USA OMNI ACCOUNT M/F SPEC CDY A/C EBOC UBSFSI 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
5.36% |
|
|
|
CLASS I SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
22.00% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
12.59% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
9.21% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
UBS WM USA OMNI ACCOUNT M/F SPEC CDY A/C EBOC UBSFSI 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
8.78% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
8.31% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
6.58% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
6.47% |
|
|
|
CLASS R2 SHARES |
LINCOLN RETIREMENT SERVICES FBO ARMSTRONG AMBULANCE SERVICE PO BOX 7876 FORT WAYNE IN 46801-7876 |
55.67% |
|
|
|
|
MID ATLANTIC TRUST COMPANY FBO KAYAL ORTHOPAEDIC P C 401(K) PROFI 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
11.59% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
11.09% |
|
|
|
CLASS R5 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
29.58% |
|
|
|
|
EMPOWER TRUST FBO EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
27.49% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
NATIONWIDE TRUST COMPANY FSB C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH 43218-2029 |
20.33% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
8.48% |
|
|
|
CLASS R6 SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
65.35% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
18.15% |
JPMORGAN U.S. RESEARCH ENHANCED EQUITY FUND | ||
CLASS A SHARES |
EMPOWER ANNUITY INSURANCE FBO FUTURE FUNDS II 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
27.09% |
|
|
|
|
EMPOWER LIFE & ANNUITY FBO FUTURE FUNDS II 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
14.83% |
|
|
|
|
EMPOWER TRUST FBO EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
10.23% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
6.99% |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
20.71% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
PRINCIPAL TRUST CO FBO CITY OF HOUSTON DEFERRED COMPENSATION TRUST C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
9.92% |
|
|
|
|
KANSAS POSTSECONDARY EDUCATION SAVINGS PROGRAM ATTN SSB&T CUST 694 AGGRESSIVE 4500 MAIN STREET KANSAS CITY MO 64111-7709 |
6.50% |
|
|
|
|
TD AMERITRADE INC FOR THE EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
5.85% |
|
|
|
|
KANSAS POSTSECONDARY EDUCATION SAVINGS PROGRAM ATTN SSB&T CUST 695 MOD AGGRESSIVE 4500 MAIN STREET KANSAS CITY MO 64111-7709 |
5.37% |
|
|
|
CLASS R6 SHARES |
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2030 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
12.49% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
10.69% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2040 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
7.80% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2025 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
7.76% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2035 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
6.97% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2045 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
6.29% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2050 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
5.91% |
JPMORGAN U.S. SMALL COMPANY FUND | ||
CLASS A SHARES |
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
29.31% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
12.92% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
8.91% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR EAST 2ND FL JACKSONVILLE FL 32246-6484 |
8.19% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
5.67% |
|
|
|
CLASS C SHARES |
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
17.77% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
14.45% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
12.97% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
10.50% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
7.05% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
6.44% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
6.23% |
|
|
|
CLASS I SHARES |
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
29.13% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
14.21% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
6.98% |
|
|
|
|
EMPOWER TRUST FBO EMPOWER IRA ADVANTAGE C/O FASCORE LLC 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
6.42% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
5.16% |
|
|
|
CLASS L SHARES |
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
49.25% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
12.02% |
|
|
|
|
OLTRUST & CO - CASH/CASH PO BOX 966 EVANSVILLE IN 47706-0966 |
9.41% |
|
|
|
|
BAND & CO C/O US BANK NA PO BOX 1787 MILWAUKEE WI 53201-1787 |
7.76% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
5.55% |
|
|
|
CLASS R2 SHARES |
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
74.46% |
|
|
|
CLASS R3 SHARES |
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
78.56% |
|
|
|
|
UMB BANK - CUSTODIAN SECURITY FINANCIAL RESOURCES 1 SW SECURITY BENEFIT PL TOPEKA KS 66636-1000 |
12.16% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
5.76% |
|
|
|
CLASS R4 SHARES |
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 |
47.49% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
45.16% |
|
|
|
CLASS R5 SHARES |
SEI PRIVATE TRUST COMPANY C/O ID 636 ATTN MUTUAL FUNDS 1 FREEDOM VALLEY DR OAKS PA 19456-9989 |
64.86% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
25.04% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
5.66% |
|
|
|
CLASS R6 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
37.11% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
6.29% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
5.84% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
5.67% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
JPMORGAN U.S. SUSTAINABLE LEADERS FUND | ||
CLASS A SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
24.20% |
|
|
|
|
VOYA INSTITUTIONAL TRUST COMPANY CUST VOYA INSTITUTIONAL TRUST 1 ORANGE WAY # B3N WINDSOR CT 06095-4773 |
18.35% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
10.19% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
9.27% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
8.32% |
|
|
|
CLASS C SHARES |
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
29.82% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
16.06% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
13.21% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
10.66% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
6.37% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
22.98% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
19.13% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
14.47% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
8.12% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
7.18% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
6.14% |
|
|
|
CLASS R6 SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
69.34% |
|
|
|
|
NORTHERN TR CO CUST FBO ASUF SRIP PO BOX 92956 CHICAGO IL 60675-2956 |
25.88% |
JPMORGAN U.S. VALUE FUND | ||
CLASS A SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
27.29% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
14.53% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
5.58% |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
28.11% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
13.53% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
10.15% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
9.95% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR EAST 2ND FL JACKSONVILLE FL 32246-6484 |
9.02% |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
32.95% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
15.38% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
9.58% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
7.59% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS R2 SHARES |
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
48.68% |
|
|
|
|
ASCENSUS TRUST COMPANY FBO FOOD CIRCUS SUPER MARKETS INC 401 PO BOX 10758 FARGO ND 58106-0758 |
19.43% |
|
|
|
|
EMPOWER TRUST COMPANY LLC TTEE F EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
14.98% |
|
|
|
|
PAI TRUST COMPANY INC MAJOR GLOVE 401(K) P/S PLAN 1300 ENTERPRISE DR DE PERE WI 54115-4934 |
6.67% |
|
|
|
CLASS R3 SHARES |
DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS ATTN NPIO TRADE DESK OMNIBUS 711 HIGH ST DES MOINES IA 50392-0001 |
39.04% |
|
|
|
|
LINCOLN RETIREMENT SERVICES COMPANY FBO CROSSING RIVERS HEALTH 403B PLN PO BOX 7876 FORT WAYNE IN 46801-7876 |
35.38% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
15.63% |
|
|
|
|
RELIANCE TRUST CO TTEE ADP ACCESS LARGE MARKET 401K 201 17TH ST NW STE 1000 ATLANTA GA 30363-1195 |
6.65% |
|
|
|
CLASS R4 SHARES |
FIIOC INC AS AGENT FOR FBO ENGINEERING SPECIALISTS, INC. 401(K) SAVINGS PLAN 100 MAGELLAN WAY #KWIC COVINGTON KY 41015-1987 |
41.03% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
FIIOC INC CUST FBO HEART + MIND STRATEGIES LLC 401(K) PLAN 100 MAGELLAN WAY #KWIC COVINGTON KY 41015-1987 |
26.14% |
|
|
|
|
ASCENSUS TRUST COMPANY FBO KKP GROUP LLC 401K PLAN AND TRUST PO BOX 10758 FARGO ND 58106-0758 |
16.45% |
|
|
|
|
EMPOWER TRUST FBO EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
6.34% |
|
|
|
CLASS R5 SHARES |
LINCOLN RETIREMENT SERVICES COMPANY FBO DOOR COUNTY 403(B) PO BOX 7876 FORT WAYNE IN 46801-7876 |
59.05% |
|
|
|
|
MLPF&S FOR THE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
10.55% |
|
|
|
|
EMPOWER TRUST FBO EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
8.56% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FIIOC AS AGENT FOR QUALIFIED EMPLOYEE BENEFIT PLANS (401K) FINOPS-IC FUNDS 100 MAGELLAN WAY # KW1C COVINGTON KY 41015-1987 |
8.40% |
|
|
|
|
FIIOC AS AGENT FOR FBO BANYAN AIR SERVICES, INC 401(K) PLAN 100 MAGELLAN WAY #KWIC COVINGTON KY 41015-1987 |
7.49% |
|
|
|
CLASS R6 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
26.43% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
19.12% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS ATTN NPIO TRADE DESK OMNIBUS 711 HIGH ST DES MOINES IA 50392-0001 |
7.50% |
|
|
|
|
EMPOWER TRUST FBO OSHKOSH CORPORATION 8525 E ORCHARD RD GREENWOOD VLG CO 80111-5002 |
7.14% |
|
|
|
|
EMPOWER TRUST COMPANY LLC TTEE F EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
6.10% |
|
|
|
|
THE STATE OF WISCONSIN DEF COMP BRD TTEE STATE OF WISCONSIN DCP C/O FASCORE 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
5.57% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
5.19% |
JPMORGAN VALUE ADVANTAGE FUND | ||
CLASS A SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
35.00% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
14.61% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
9.84% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
6.37% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
22.31% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
15.24% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
10.99% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
8.06% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
7.27% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
7.01% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
6.37% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
5.38% |
|
|
|
CLASS I SHARES |
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
30.07% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
20.34% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
8.30% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
8.22% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
7.71% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR EAST 2ND FL JACKSONVILLE FL 32246-6484 |
7.17% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
5.77% |
|
|
|
CLASS L SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
24.01% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
18.71% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
14.22% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
10.39% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
7.48% |
|
|
|
CLASS R2 SHARES |
MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC YAKIMA SCHOOL DISTRICT (WA) 403(B) 717 17TH ST STE 1300 DENVER CO 80202-3304 |
19.26% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
18.04% |
|
|
|
|
MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. GRAND BLANC COMM SCH (MI) 403B PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 |
13.01% |
|
|
|
|
MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. UMC HEALTH SYSTEM 403(B) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 |
12.19% |
|
|
|
|
MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. MONROE-WOODBURY CENTRAL SCHOOL 403B 717 17TH ST STE 1300 DENVER CO 80202-3304 |
8.40% |
|
|
|
|
MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. KENSTON LOCAL SCHOOL DISTRICT (OH) 717 17TH ST STE 1300 DENVER CO 80202-3304 |
7.22% |
|
|
|
|
MID ATLANTIC TRUST COMPANY FBO TEXAS SOUTHMOST COLLEGE OPTIONAL RE 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
5.31% |
|
|
|
CLASS R3 SHARES |
MATRIX TRUST COMPANY CUST FBO THOMAS SAFRAN & ASSOCIATES 401(K) P PO BOX 52129 PHOENIX AZ 85072-2129 |
25.99% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
24.84% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
8.79% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
6.03% |
|
|
|
CLASS R4 SHARES |
AMERICAN UNITED LIFE INSURANCE CO GROUP RETIREMENT ACCOUNT PO BOX 368 INDIANAPOLIS IN 46206-0368 |
99.16% |
|
|
|
CLASS R5 SHARES |
NATIONWIDE TRUST COMPANY FSB FBO PARTICIPATING RETIREMENT PLANS TPA-NTC IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH 43218-2029 |
48.61% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
32.40% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
10.18% |
|
|
|
CLASS R6 SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
22.72% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2040 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
11.38% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2035 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
10.00% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2045 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
9.24% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2050 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
8.66% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
6.83% |
|
|
|
|
MAC & CO ATTN MUTUAL FUND OPS PO BOX 3198 525 WILLIAM PENN PLACE PITTSBURGH PA 15230-3198 |
5.60% |
JPMORGAN EQUITY INCOME FUND | ||
CLASS A SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
33.12% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
13.74% |
|
|
|
|
CHARLES SCHWAB & CO INC REINVEST ACCOUNT ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
7.28% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR EAST 2ND FLR JACKSONVILLE FL 32246-6484 |
7.17% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
6.43% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
5.15% |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
21.67% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
14.94% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
11.58% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR EAST 2ND FL JACKSONVILLE FL 32246-6484 |
7.51% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
7.19% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
6.36% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
5.77% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
5.51% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
13.73% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
11.12% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
10.90% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
10.18% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
8.71% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR EAST 2ND FL JACKSONVILLE FL 32246-6484 |
8.17% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
6.38% |
|
|
|
CLASS R2 SHARES |
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
49.13% |
|
|
|
|
DCGT TRUSTEE & OR CUSTODIAN FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
8.81% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
6.99% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS R3 SHARES |
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
21.98% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
19.35% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
17.10% |
|
|
|
|
NATIONWIDE TRUST COMPANY FSB C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH 43218-2029 |
9.28% |
|
|
|
|
VOYA INSTITUTIONAL TRUST CO FBO LOUISIANA HEALTH GROUP 401K PLAN 30 BRAINTREE HILL OFFICE PARK BRAINTREE MA 02184-8747 |
5.02% |
|
|
|
CLASS R4 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
18.96% |
|
|
|
|
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 |
9.67% |
|
|
|
|
NATIONWIDE TRUST COMPANY FSB FBO PARTICIPATING RETIREMENT PLANS C/O IPO PORTFOLIO ACCOUNTING NTC-PLNS PO BOX 182029 COLUMBUS OH 43218-2029 |
9.40% |
|
|
|
|
EMPOWER TRUST FBO EMPOWER BENEFIT PLANS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
8.43% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS ATTN NPIO TRADE DESK OMNIBUS 711 HIGH ST DES MOINES IA 50392-0001 |
6.22% |
|
|
|
CLASS R5 SHARES |
NATIONWIDE TRUST COMPANY FSB C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH 43218-2029 |
25.49% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
21.40% |
|
|
|
CLASS R6 SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
25.78% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
17.24% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
9.98% |
JPMORGAN EQUITY INDEX FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
38.62% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
5.92% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
5.31% |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
24.95% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
15.45% |
|
|
|
|
MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF CUSTOMERS 4800 DEER LAKE DR EAST JACKSONVILLE FL 32246-6484 |
14.37% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
10.85% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
10.67% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
7.40% |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
23.64% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
14.15% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
12.56% |
|
|
|
|
EMPOWER TRUST FBO ADVANTAGECARE PHYSICIANS P C 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
6.36% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
VRSCO FBO AIGFSB CUSTODIAN TRUSTEE FBO STATE UNIV SYSTEM OF FLORIDA 403B 2929 ALLEN PKWY STE A6-20 HOUSTON TX 77019-7100 |
5.24% |
|
|
|
CLASS R6 SHARES |
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT BLEND 2040 ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
13.44% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT BLEND 2035 ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
13.40% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT BLEND 2045 ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
11.81% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT BLEND 2030 ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
11.73% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT BLEND 2050 ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
9.18% |
|
|
|
|
MAC & CO ATTN MUTUAL FUND OPERATIONS 500 GRANT ST RM 151-1010 PITTSBURGH PA 15219-2502 |
8.11% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT BLEND 2025 ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
7.53% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT BLEND 2055 ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
5.24% |
JPMORGAN LARGE CAP GROWTH FUND | ||
CLASS A SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
28.93% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
10.53% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
7.54% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
7.45% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
5.41% |
|
|
|
|
JOHN HANCOCK LIFE INS CO (USA) ATTN JHRPS TRADING OPS ST6 200 BERKELEY STREET BOSTON MA 02116-5022 |
5.02% |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
27.95% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
15.60% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
8.22% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR EAST 2ND FL JACKSONVILLE FL 32246-6484 |
8.20% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
7.72% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
5.78% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
5.12% |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
18.36% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
13.81% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
7.66% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
7.35% |
|
|
|
|
UBS WM USA OMNI ACCOUNT M/F SPEC CDY A/C EBOC UBSFSI 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
7.11% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
6.73% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
6.11% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
5.90% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
5.02% |
|
|
|
CLASS R2 SHARES |
HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT ATTN UIT OPERATIONS PO BOX 2999 HARTFORD CT 06104-2999 |
14.59% |
|
|
|
|
DCGT TRUSTEE & OR CUSTODIAN FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
12.76% |
|
|
|
|
MASSACHUSETTS MUTUAL LIFE INS CO ATTN RS FUND OPERATIONS 1295 STATE STREET SPRINGFIELD MA 01111-0001 |
7.74% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
5.64% |
|
|
|
CLASS R3 SHARES |
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
32.61% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
EMPOWER TRUST COMPANY LLC TTEE F EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
8.71% |
|
|
|
|
UMB BANK - CUSTODIAN SECURITY FINANCIAL RESOURCES 1 SW SECURITY BENEFIT PL TOPEKA KS 66636-1000 |
7.78% |
|
|
|
|
RELIANCE TRUST COMPANY FBO MASSMUTUAL REGISTERED PRODUCT PO BOX 28004 ATLANTA GA 30358-0004 |
6.59% |
|
|
|
CLASS R4 SHARES |
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 |
14.22% |
|
|
|
|
CITY OF ARLINGTON (K) C/O ICMA RETIREMENT CORPORATION 777 N CAPITOL ST NE WASHINGTON DC 20002-4239 |
13.52% |
|
|
|
|
LINCOLN RETIREMENT SERVICES COMPANY FBO PVHM 403B PLAN PO BOX 7876 FORT WAYNE IN 46801-7876 |
10.72% |
|
|
|
|
PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TTEE/CUST CITY OF SANTA ANA DEFERRED 20 CIVIC CENTER PLZ SANTA ANA CA 92701-4058 |
6.05% |
|
|
|
|
RELIANCE TRUST COMPANY FBO MASSMUTUAL REGISTERED PRODUCT PO BOX 28004 ATLANTA GA 30358-0004 |
5.00% |
|
|
|
CLASS R5 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
20.74% |
|
|
|
|
EMPOWER TRUST FBO DISCOUNT TIRE AMERICAS TIRE RETIREM PLAN 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
12.73% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
DCGT TRUSTEE & OR CUSTODIAN FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
12.62% |
|
|
|
|
AIG RETPLAN SERVICES COMPANY FBO AIGFSB CUSTODIAN TRUSTEE FBO CENTRAL GA RETIRE SAV 2929 ALLEN PKWY STE A6-20 HOUSTON TX 77019-2155 |
5.63% |
|
|
|
|
EMPOWER TRUST FBO RECORDKEEPING FOR VARIOUS BENEFIT P 8525 E ORCHARD RD C/O MUTUAL FUND TRADING GREENWOOD VILLAGE CO 80111-5002 |
5.44% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
5.09% |
|
|
|
CLASS R6 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
19.74% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
13.19% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
8.36% |
|
|
|
|
DCGT TRUSTEE & OR CUSTODIAN FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
5.52% |
JPMORGAN LARGE CAP VALUE FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
19.33% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
14.37% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
10.96% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
6.59% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
6.46% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
6.12% |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
28.18% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
21.56% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
12.45% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
12.01% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
6.23% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
24.82% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
14.05% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
13.74% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
10.63% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
9.84% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
6.50% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR EAST 2ND FL JACKSONVILLE FL 32246-6484 |
5.80% |
|
|
|
CLASS R2 SHARES |
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
38.28% |
|
|
|
|
ASCENSUS TRUST COMPANY FBO NATIONAL SLOVAK SOCIETY 401(K) PLAN PO BOX 10758 FARGO ND 58106-0758 |
8.55% |
|
|
|
|
ASCENSUS TRUST COMPANY FBO VARI-TECH, LLC 401(K) PLAN PO BOX 10758 FARGO ND 58106-0758 |
7.22% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS R3 SHARES |
NATIONAL FINANCIAL SERVICES LLC STATE STREET BANK TRUST CO TTEE VARIOUS RETIREMENT PLANS 440 MAMARONECK AVE HARRISON NY 10528-2418 |
90.55% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
6.27% |
|
|
|
CLASS R4 SHARES |
EMPOWER TRUST FBO FBO CERTAIN RETIREMENT PLANS 8515 E ORCHARD ROAD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
56.86% |
|
|
|
|
ASCENSUS TRUST COMPANY FBO BORG EQUIPMENT & SUPPLY CO INC 4 PO BOX 10758 FARGO ND 58106-0758 |
33.86% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
6.72% |
|
|
|
CLASS R5 SHARES |
NATIONWIDE TRUST CO FSB C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH 43218-2029 |
31.80% |
|
|
|
|
JOHN HANCOCK TRUST COMPANY LLC 690 CANTON ST STE 100 WESTWOOD MA 02090-2324 |
11.02% |
|
|
|
|
FIIOC AS AGENT FOR FBO HOLLINGSWORTH MANAGEMENT SERVICES, L.LC. 401(K) PLAN 100 MAGELLAN WAY #KWIC COVINGTON KY 41015-1987 |
10.82% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
9.59% |
|
|
|
|
FIDELITY INVESTMENTS INST OPERATIONS CO INC AS AGENT FOR FBO MOLAM SAVINGS AND RETIREMENT PLAN 100 MAGELLAN WAY #KWIC COVINGTON KY 41015-1999 |
8.58% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS R6 SHARES |
JPMIM AS AGENT FOR* JPMORGAN INVESTOR GROWTH FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
24.82% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN INVESTOR GROWTH AND INCOME ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
14.38% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN INVESTOR BALANCED FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
10.20% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
8.65% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
5.22% |
JPMORGAN MID CAP GROWTH FUND | ||
CLASS A SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
23.07% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
14.89% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
6.53% |
|
|
|
CLASS C SHARES |
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
21.66% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
15.31% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
12.81% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
8.84% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
7.00% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
5.71% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
5.54% |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
24.66% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
8.43% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
7.08% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
6.63% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
6.23% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
6.04% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
5.87% |
|
|
|
CLASS R2 SHARES |
MASSACHUSETTS MUTUAL LIFE INS CO 1295 STATE STREET SPRINGFIELD MA 01111-0001 |
24.73% |
|
|
|
|
THE HARTFORD 1 HARTFORD PLZ HARTFORD CT 06155-0001 |
13.98% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
8.18% |
|
|
|
|
DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
5.58% |
|
|
|
CLASS R3 SHARES |
UMB BANK - CUSTODIAN SECURITY FINANCIAL RESOURCES 1 SW SECURITY BENEFIT PL TOPEKA KS 66636-1000 |
22.39% |
|
|
|
|
THE HARTFORD 1 HARTFORD PLZ HARTFORD CT 06155-0001 |
17.58% |
|
|
|
|
EMPOWER TRUST FBO EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
9.73% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
MASSACHUSETTS MUTUAL LIFE INSURANCE 1295 STATE STREET SPRINGFIELD MA 01111-0001 |
5.15% |
|
|
|
CLASS R4 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
20.39% |
|
|
|
|
MASSACHUSETTS MUTUAL LIFE INSURANCE 1295 STATE STREET SPRINGFIELD MA 01111-0001 |
14.38% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
10.40% |
|
|
|
|
EMPOWER TRUST FBO RECORDKEEPING FOR EMPLOYEE BENEFITS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
7.59% |
|
|
|
|
AMERICAN UNITED LIFE INSURANCE CO GROUP RETIREMENT ACCOUNT PO BOX 368 INDIANAPOLIS IN 46206-0368 |
6.69% |
|
|
|
|
VOYA INSTITUTIONAL TRUST COMPANY CUST VOYA INSTITUTIONAL TRUST 1 ORANGE WAY # B3N WINDSOR CT 06095-4773 |
6.06% |
|
|
|
|
AMERICAN UNITED LIFE INSURANCE CO UNIT INVESTMENT TRUST PO BOX 368 INDIANAPOLIS IN 46206-0368 |
5.92% |
|
|
|
|
EMPOWER TRUST FBO EMPOWER BENEFIT PLANS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
5.82% |
|
|
|
|
ASCENSUS TRUST COMPANY FBO THE AAGARD GROUP LLC 401(K) PS PL PO BOX 10758 FARGO ND 58106-0758 |
5.24% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS R5 SHARES |
WELLS FARGO BANK NA TRUSTEE C/O FASCORE LLC FBO NEW JERSEY TRANSIT PLANS 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
25.11% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
17.47% |
|
|
|
|
STANDARD INSURANCE COMPANY SEPARATE ACCOUNT A P11D 1100 SW 6TH AVE PORTLAND OR 97204-1093 |
12.72% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
6.71% |
|
|
|
CLASS R6 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
19.53% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
13.62% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
9.57% |
|
|
|
|
DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
6.29% |
JPMORGAN SMALL CAP GROWTH FUND | ||
CLASS A SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
35.19% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
8.95% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
6.86% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
6.45% |
|
|
|
CLASS C SHARES |
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
27.45% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
17.52% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
9.32% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
8.96% |
|
|
|
|
MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF CUSTOMERS 9EHT9 4800 DEER LAKE DR EAST JACKSONVILLE FL 32246-6484 |
7.38% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
5.72% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
5.04% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS I SHARES |
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
49.49% |
|
|
|
|
UBS WM USA OMNI ACCOUNT M/F SPEC CDY A/C EBOC UBSFSI 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
10.72% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
5.52% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
5.37% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
5.10% |
|
|
|
CLASS L SHARES |
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
26.15% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
21.67% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
11.30% |
|
|
|
|
RELIANCE TRUST COMPANY FBO MASSMUTUAL REGISTERED PRODUCT PO BOX 28004 ATLANTA GA 30358-0004 |
10.28% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
8.69% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
7.87% |
|
|
|
CLASS R2 SHARES |
HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT ATTN UIT OPERATIONS PO BOX 2999 HARTFORD CT 06104-2999 |
59.99% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
14.42% |
|
|
|
CLASS R3 SHARES |
EMPOWER TRUST FBO EMPOWER BENEFIT GRAND FATHERED PLAN 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
34.36% |
|
|
|
|
MATRIX TRUST COMPANY TRUSTEE FBO TED BRITT FORD SALES, INC. 717 17TH ST STE 1300 DENVER CO 80202-3304 |
13.49% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
10.28% |
|
|
|
|
LINCOLN RETIREMENT SERVICES COMPANY FBO LOGIX COMM LP 401K PLAN PO BOX 7876 FORT WAYNE IN 46801-7876 |
9.81% |
|
|
|
|
EMPOWER TRUST FBO RECORDKEEPING FOR VARIOUS BENEFIT P 8525 E ORCHARD RD C/O MUTUAL FUND TRADING GREENWOOD VILLAGE CO 80111-5002 |
7.60% |
|
|
|
CLASS R4 SHARES |
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
57.90% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
LINCOLN RETIREMENT SERVICES COMPANY FBO DIOCESE OF PALM BEACH INC 403B PO BOX 7876 FORT WAYNE IN 46801-7876 |
20.88% |
|
|
|
|
MATRIX TRUST COMPANY TRUSTEE FBO WOL 717 17TH ST STE 1300 DENVER CO 80202-3304 |
6.60% |
|
|
|
CLASS R5 SHARES |
RELIANCE TRUST CO TTEE ADP ACCESS LARGE MARKET 401K 201 17TH ST NW STE 1000 ATLANTA GA 30363-1195 |
20.41% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FIIOC AS AGENT FOR QUALIFIED EMPLOYEE BENEFIT PLANS (401K) FINOPS-IC FUNDS 100 MAGELLAN WAY # KW1C COVINGTON KY 41015-1987 |
13.47% |
|
|
|
|
PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TTEE/CUST METAL LATHERS LOCAL 46 ANNUITY 6102 32ND AVE WOODSIDE NY 11377-2021 |
13.41% |
|
|
|
|
VOYA INSTITUTIONAL TRUST CO FBO VIPS II 30 BRAINTREE HILL OFFICE PARK BRAINTREE MA 02184-8747 |
11.99% |
|
|
|
|
MATRIX TRUST COMPANY CUST FBO VANIR GROUP OF COMPANIES INC 717 17TH ST STE 1300 DENVER CO 80202-3304 |
7.88% |
|
|
|
|
PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TTEE/CUST IUJAT 401(K) RETIREMENT PLAN 93 LAKE AVE STE 103 DANBURY CT 06810-6384 |
5.52% |
|
|
|
CLASS R6 SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
19.19% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
8.41% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
8.30% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
6.76% |
JPMORGAN SMALL CAP VALUE FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
29.23% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
6.84% |
|
|
|
|
CHARLES SCHWAB TRUST BANK CUST KNOX COUNTY ASSET ACCUMULATION 401(A) PLAN 2423 E LINCOLN DR PHOENIX AZ 85016-1215 |
6.05% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
5.88% |
|
|
|
CLASS C SHARES |
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
16.90% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
16.02% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
10.77% |
|
|
|
|
STIFEL NICOLAUS & CO INC EXCLUSIVE BENEFIT OF CUSTOMERS 501 N BROADWAY SAINT LOUIS MO 63102-2188 |
9.84% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
9.62% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
9.58% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
6.81% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
6.18% |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
26.11% |
|
|
|
|
C/O ICMA RETIREMENT CORPORATION VANTAGETRUST - UNITIZED 777 N CAPITOL ST NE WASHINGTON DC 20002-4239 |
17.18% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY A/C FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN STREET SAN FRANCISCO CA 94105-1901 |
7.76% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
5.77% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
5.09% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS R2 SHARES |
HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT ATTN UIT OPERATIONS PO BOX 2999 HARTFORD CT 06104-2999 |
21.30% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
14.28% |
|
|
|
|
DCGT TRUSTEE & OR CUSTODIAN FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
11.18% |
|
|
|
|
MASSACHUSETTS MUTUAL LIFE INS CO ATTN RS FUND OPERATIONS 1295 STATE STREET SPRINGFIELD MA 01111-0001 |
5.88% |
|
|
|
CLASS R3 SHARES |
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
51.66% |
|
|
|
|
NATIONWIDE TRUST COMPANY FSB C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH 43218-2029 |
17.29% |
|
|
|
|
UMB BANK - CUSTODIAN SECURITY FINANCIAL RESOURCES 1 SW SECURITY BENEFIT PL TOPEKA KS 66636-1000 |
7.20% |
|
|
|
|
RELIANCE TRUST COMPANY FBO MASSMUTUAL REGISTERED PRODUCT PO BOX 28004 ATLANTA GA 30358-0004 |
7.08% |
|
|
|
CLASS R4 SHARES |
PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TTEE/CUST KONICA MINOLTA 401(K) PLAN 100 WILLIAMS DR RAMSEY NJ 07446-2907 |
84.79% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
12.81% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS R5 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
36.69% |
|
|
|
|
EMPOWER TRUST FBO RECORDKEEPING FOR VARIOUS BENEFIT P 8525 E ORCHARD RD C/O MUTUAL FUND TRADING GREENWOOD VILLAGE CO 80111-5002 |
23.12% |
|
|
|
|
VANGUARD FIDUCIARY TRUST CO JP MORGAN FUNDS 100 VANGUARD BLVD MALVERN PA 19355-2331 |
13.00% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FMTC AS TRUSTEE FBO PLASTIC OMNIUM AUTO NRG PEN PL FMTC-UNITIZED 1 SPARTAN WAY # TS2O MERRIMACK NH 03054-4300 |
7.19% |
|
|
|
CLASS R6 SHARES |
JPMIM AS AGENT FOR* JPMORGAN INVESTOR GROWTH FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
10.87% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
7.62% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN INVESTOR GROWTH AND INCOME ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
7.31% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN INVESTOR BALANCED FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
6.06% |
|
|
|
|
DCGT TRUSTEE & OR CUSTODIAN FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
5.32% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
JPMORGAN SMID CAP EQUITY FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
51.73% |
|
|
|
CLASS C SHARES |
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
32.48% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
14.36% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
11.83% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
10.15% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
5.68% |
|
|
|
CLASS I SHARES |
JOHN HANCOCK LIFE INS CO (USA) ATTN JHRPS TRADING OPS ST6 200 BERKELEY STREET BOSTON MA 02116-5022 |
21.38% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
14.44% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
9.09% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR EAST 2ND FL JACKSONVILLE FL 32246-6484 |
8.71% |
|
|
|
|
EMPOWER TRUST FBO EMPOWER IRA ADVANTAGE C/O FASCORE LLC 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
7.61% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
6.60% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
5.22% |
|
|
|
CLASS R3 SHARES |
RELIANCE TRUST CO TTEE ADP ACCESS LARGE MARKET 401K 201 17TH ST NW STE 1000 ATLANTA GA 30363-1195 |
41.07% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
19.50% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
14.22% |
|
|
|
|
NFS LLC FEBO FIIOC AS AGENT FOR QUALIFIED EMPLOYEE BENEFIT PLANS (401K) FINOPS-IC FUNDS 100 MAGELLAN WAY # KW1C COVINGTON KY 41015-1987 |
9.06% |
|
|
|
|
NATIONWIDE TRUST COMPANY FSB C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH 43218-2029 |
7.13% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS R4 SHARES |
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
87.08% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FIIOC AS AGENT FOR QUALIFIED EMPLOYEE BENEFIT PLANS (401K) FINOPS-IC FUNDS 100 MAGELLAN WAY # KW1C COVINGTON KY 41015-1987 |
12.92% |
|
|
|
CLASS R6 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
31.76% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
19.14% |
|
|
|
|
JPMIM AS AGENT FOR* THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK ATTN CLIENT SERVICES 1111 POLARIS PKWY OHI-0084 COLUMBUS OH 43240-2031 |
10.77% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
6.00% |
JPMORGAN EQUITY PREMIUM INCOME FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
79.44% |
|
|
|
CLASS C SHARES |
J.P. MORGAN SECURITIES LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
81.70% |
|
|
|
CLASS I SHARES |
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
24.73% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
18.10% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
16.72% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
12.72% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
7.28% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
5.54% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
5.33% |
|
|
|
CLASS R5 SHARES |
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
78.15% |
|
|
|
|
MATRIX TRUST COMPANY CUST FBO M3 INVESTMENT SERVICES 717 17TH ST STE 1300 DENVER CO 80202-3304 |
16.90% |
|
|
|
CLASS R6 SHARES |
FIFTH THIRD BANK FBO ORT & CO. 38 FOUNTAIN SQUARE PLZ CINCINNATI OH 45202-3102 |
41.39% |
|
|
|
|
C/O HEARTLAND WEALTH ADVISORY SERVI SEI PRIVATE TRUST COMPANY 1 FREEDOM VALLEY DR OAKS PA 19456-9989 |
21.88% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
MARIL & CO FBO 47 C/O RELIANCE TRUST COMPANY WI MAILCODE BD1N - ATTN MF 4900 W BROWN DEER RD MILWAUKEE WI 53223-2422 |
15.84% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
11.14% |
JPMORGAN HEDGED EQUITY 2 FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
32.38% |
|
|
|
|
TD AMERITRADE INC FOR THE EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
22.56% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
8.13% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
8.04% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
7.47% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
5.89% |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
50.46% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
9.53% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
7.53% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
6.29% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
6.28% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
5.57% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
5.19% |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
16.00% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
15.49% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
12.05% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
11.88% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
11.76% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
8.72% |
|
|
|
CLASS R5 SHARES |
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
43.42% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
26.78% |
|
|
|
|
D A DAVIDSON & CO SUSAN LYON TTEE 8 3RD ST N GREAT FALLS MT 59401-3155 |
22.79% |
|
|
|
CLASS R6 SHARES |
J.P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
92.15% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
5.55% |
JPMORGAN HEDGED EQUITY 3 FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
36.24% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
10.63% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
9.33% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
7.96% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
6.68% |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
43.60% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
12.69% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
9.80% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
9.76% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
7.77% |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
15.85% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
13.02% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
11.97% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
11.95% |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
10.59% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
9.64% |
|
|
|
|
TD AMERITRADE INC FOR THE EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
7.45% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
6.31% |
|
|
|
CLASS R5 SHARES |
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
95.96% |
|
|
|
CLASS R6 SHARES |
C/O GWP US ADVISORS SEI PRIVATE TRUST COMPANY 1 FREEDOM VALLEY DR OAKS PA 19456-9989 |
82.73% |
|
|
|
|
J.P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
9.01% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
5.61% |
JPMORGAN GROWTH ADVANTAGE FUND | ||
CLASS A SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
37.58% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
17.91% |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
29.73% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
15.64% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
7.61% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
7.49% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
5.70% |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
14.58% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
12.77% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
12.50% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
9.06% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
7.67% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
6.80% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
5.93% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
5.80% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR EAST 2ND FL JACKSONVILLE FL 32246-6484 |
5.01% |
|
|
|
CLASS R2 SHARES |
MEETA SHAH & SUBHASH SHAH TTEE FBO NEUROLOGY CENTER OF WICHITA 401K PS C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
20.47% |
|
|
|
|
CAPITAL BANK & TRUST CO TRUSTEE FBO VESTIL MANUFACTURING CORP RETIREMNT C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
12.32% |
|
|
|
|
MAU SHERWOOD SUPPLY CO TTEE FBO MAU SHERWOOD SUPPLY 401K PLAN C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
8.02% |
|
|
|
|
CAPITAL BANK & TRUST COMPANY TTEE F GUFP 401K SAVINGS & RETIREMENT PLAN 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
6.95% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS R3 SHARES |
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
29.88% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
18.15% |
|
|
|
|
ASCENSUS TRUST COMPANY FBO ASSOCIATES FOR DENTAL CARE 401(K) P PO BOX 10758 FARGO ND 58106-0758 |
6.10% |
|
|
|
|
ASCENSUS TRUST COMPANY FBO UTILITY TRAILER SALES OF COLORADO PO BOX 10758 FARGO ND 58106-0758 |
6.01% |
|
|
|
CLASS R4 SHARES |
DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS ATTN NPIO TRADE DESK OMNIBUS 711 HIGH ST DES MOINES IA 50392-0001 |
70.65% |
|
|
|
|
EMPOWER TRUST COMPANY LLC TTEE F EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
22.67% |
|
|
|
CLASS R5 SHARES |
NATIONWIDE TRUST COMPANY FSB C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH 43218-2029 |
36.29% |
|
|
|
|
EMPOWER TRUST COMPANY LLC TTEE F RECORDKEEPING FOR LARGE BENEFIT PL 8525 E ORCHARD RD GREENWOOD VLG CO 80111-5002 |
9.48% |
|
|
|
|
FIDELITY INVESTMENTS INST OP CO CUST FBO SELECT ENERGY SERVICES LLC 401(K) PLAN 100 MAGELLAN WAY # KW1C COVINGTON KY 41015-1999 |
6.98% |
|
|
|
CLASS R6 SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
35.50% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
10.76% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2040 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
8.14% |
|
|
|
|
MAC & CO ATTN MUTUAL FUND OPS PO BOX 3198 525 WILLIAM PENN PLACE PITTSBURGH PA 15230-3198 |
7.92% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2035 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
7.26% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2045 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
6.73% |
|
|
|
|
JPMIM AS AGENT FOR* JPMORGAN SMARTRETIREMENT 2050 FUND ATTN CLIENT SERVICES 500 STANTON CHRISTIANA RD DE3-3650 NEWARK DE 19713-2105 |
6.21% |
JPMORGAN MID CAP VALUE FUND | ||
CLASS A SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
15.22% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
11.01% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
8.45% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
7.14% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
6.59% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
6.10% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
5.41% |
|
|
|
CLASS C SHARES |
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
19.60% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
17.45% |
|
|
|
|
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ 07303-2052 |
16.33% |
|
|
|
|
UBS WM USA OMNI ACCOUNT M/F SPEC CDY A/C EBOC UBSFSI 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
13.87% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
5.94% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPT 4TH FLOOR JERSEY CITY NJ 07310-1995 |
5.12% |
|
|
|
CLASS I SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
25.68% |
|
|
|
|
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENE OF ITS CUST 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 |
21.75% |
|
|
|
|
UBS WM USA OMNI ACCOUNT M/F SPEC CDY A/C EBOC UBSFSI 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
17.04% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
5.55% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR EAST 2ND FL JACKSONVILLE FL 32246-6484 |
5.42% |
|
|
|
CLASS L SHARES |
NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
32.90% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
15.13% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
5.73% |
|
|
|
|
DCGT TRUSTEE & OR CUSTODIAN FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
5.27% |
|
|
|
CLASS R2 SHARES |
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
64.94% |
|
|
|
|
PIMS/PRUDENTIAL RETPLAN NOMINEE TRUSTEE CUSTODIAN 767 ASSOCIATED FOOD STORES INC 1850 W 2100 S SALT LAKE CTY UT 84119-1304 |
8.60% |
|
|
|
|
DCGT TRUSTEE & OR CUSTODIAN FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
5.50% |
|
|
|
CLASS R3 SHARES |
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
63.27% |
|
|
|
|
EMPOWER TRUST COMPANY LLC TTEE F EMBLEMHEALTH SERVICES COMPANY LLC 4 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
19.47% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
6.10% |
|
|
|
CLASS R4 SHARES |
JOHN HANCOCK TRUST COMPANY LLC 690 CANTON ST STE 100 WESTWOOD MA 02090-2324 |
34.81% |
|
|
|
|
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 |
11.91% |
|
|
|
|
VOYA INSTITUTIONAL TRUST COMPANY CUST VOYA INSTITUTIONAL TRUST 1 ORANGE WAY # B3N WINDSOR CT 06095-4773 |
8.65% |
|
|
|
|
MATRIX TRUST COMPANY CUST. FBO DOUGLAS COUNTY MEMORIAL 717 17TH ST STE 1300 DENVER CO 80202-3304 |
5.54% |
|
|
|
|
WELLS FARGO BANK NA TRUSTEE C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
5.48% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
5.37% |
|
|
|
CLASS R5 SHARES |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
52.83% |
|
|
|
|
JOHN HANCOCK TRUST COMPANY LLC 690 CANTON ST STE 100 WESTWOOD MA 02090-2324 |
18.66% |
|
|
|
|
MATRIX TRUST COMPANY CUST FBO CONFEDERATED TRIBES OF THE COLVILLE PO BOX 52129 PHOENIX AZ 85072-2129 |
9.67% |
|
|
|
CLASS R6 SHARES |
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
33.75% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
10.28% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
5.55% |
1 | |
1 | |
1 | |
1 | |
2 | |
3 | |
3 | |
3 | |
7 | |
10 | |
10 | |
11 | |
11 | |
11 | |
12 | |
13 | |
13 | |
14 | |
14 | |
15 | |
16 | |
16 | |
16 | |
16 | |
16 | |
16 | |
17 | |
17 | |
17 | |
17 | |
17 | |
18 | |
18 | |
18 | |
18 | |
18 | |
18 | |
18 | |
19 | |
19 | |
19 | |
19 | |
19 | |
19 | |
19 | |
19 | |
20
|
Former Fund Name |
Current Fund Name |
One Group Investor Conservative Growth Fund |
JPMorgan Investor Conservative Growth Fund |
One Group Investor Balanced Fund |
JPMorgan Investor Balanced Fund |
One Group Investor Growth & Income Fund |
JPMorgan Investor Growth & Income Fund |
One Group Investor Growth Fund |
JPMorgan Investor Growth Fund |
Fund |
Class
A |
Class
C |
Class
I |
Class
R2* |
Class
R3* |
Class
R4* |
Class
R5* |
Class R6 | |
JPMorgan Investor Conservative Growth Fund |
X |
X |
X |
X |
X |
X |
X |
X | |
JPMorgan Investor Balanced Fund |
X |
X |
X |
X |
X |
X |
X |
X | |
JPMorgan Investor Growth & Income Fund |
X |
X |
X |
X |
X |
X |
X |
X | |
JPMorgan Investor Growth Fund |
X |
X |
X |
X |
X |
X |
X |
X |
Instrument |
Part II Section Reference |
Adjustable Rate Mortgage Loans (“ARMs”):
Loans in a mortgage pool which provide for a fixed initial mortgage interest rate for a specified period
of time, after which the rate may be subject to periodic
adjustments. |
Mortgage-Related
Securities |
Asset-Backed Securities: Securities secured by company receivables, home equity loans, truck and auto loans, leases, and credit card receivables or other
securities backed by other types of receivables or other
assets. |
Asset-Backed
Securities |
Auction Rate Securities: Auction rate municipal securities and auction rate preferred securities issued by closed-end investment companies. |
Auction Rate
Securities |
Bank Obligations: Bankers’ acceptances, certificates of deposit and time deposits. Bankers’ acceptances are bills of exchange or time drafts drawn on
and accepted by a commercial bank. Maturities are generally six months or
less. Certificates of deposit are negotiable certificates
issued by a bank for a specified period of time and earning
a specified return. Time deposits are non-negotiable
receipts issued by a bank in exchange for the deposit of
funds. |
Bank
Obligations |
Instrument |
Part II
Section Reference |
Borrowings: A Fund may borrow for temporary purposes and/or for investment purposes. Such a practice will result in leveraging of a Fund’s
assets and may cause a Fund to liquidate portfolio positions when it would
not be advantageous to do so. A Fund must maintain
continuous asset coverage of 300% of the amount borrowed,
with the exception for borrowings not in excess of 5% of the
Fund’s total assets made for temporary administrative
purposes. |
Miscellaneous
Investment
Strategies and Risks |
Brady Bonds: Securities created through the exchange of existing commercial bank loans to public and private entities in certain emerging
markets for new bonds in connection with debt restructurings.
|
Foreign Investments
(including Foreign
Currencies) |
Call and Put Options: A call option gives the buyer the right to buy, and obligates the seller of the option to sell, a security at a specified price at a
future date. A put option gives the buyer the right to sell, and obligates
the seller of the option to buy a security at a specified
price at a future date. |
Options and Futures
Transactions |
Commercial Paper: Secured and unsecured short-term promissory notes issued by corporations and other entities. Maturities generally vary from a
few days to nine months. |
Commercial Paper |
Commodity-Linked Derivatives: Instruments whose value derives from the price of a commodity, including commodity futures and commodity options. |
Miscellaneous
Investment
Strategies and Risks |
Common Stock: Shares of ownership of a company. |
Equity Securities,
Warrants and Rights |
Common Stock Warrants and Rights: Securities, typically issued with preferred stock or bonds, that give the holder the right to buy a proportionate
amount of common stock at a specified price. |
Equity Securities,
Warrants and Rights |
Convertible Securities: Bonds or preferred stock that can convert to common stock including contingent convertible securities. |
Convertible
Securities |
Corporate Debt Securities: May include bonds and other debt securities of domestic and foreign issuers, including obligations of industrial, utility,
banking and other corporate issuers. |
Debt
Instruments |
Credit Default Swaps (“CDSs”): A swap agreement between two parties pursuant to which one party pays the other a fixed periodic coupon for the
specified life of the agreement. The other party makes no payment unless a
credit event, relating to a predetermined reference asset,
occurs. If such an event occurs, the party will then make a
payment to the first party, and the swap will
terminate. |
Swaps and Related
Swap Products |
Custodial Receipts: A Fund may acquire securities in the form of custodial receipts that evidence ownership of future interest payments, principal
payments or both on certain U.S. Treasury notes or bonds in connection
with programs sponsored by banks and brokerage firms. These
are not considered to be U.S. government securities. These
notes and bonds are held in custody by a bank on behalf of
the owners of the receipts. |
Custodial
Receipts |
Demand Features: Securities that are subject to puts and standby commitments to purchase the securities at a fixed price (usually with accrued
interest) within a fixed period of time following demand by a
Fund. |
Demand
Features |
Emerging Market Securities: Securities issued by issuers or governments in countries with emerging economies or securities markets which may be
undergoing significant evolution and rapid development.
|
Foreign Investments
(including Foreign
Currencies) |
Exchange Traded Funds (“ETFs”): Ownership interest in unit investment trusts, depositary receipts, and other pooled investment vehicles that hold a
portfolio of securities or stocks designed to track the price performance
and dividend yield of a particular broad-based, sector or
international index. ETFs include a wide range of
investments. |
Investment
Company Securities
and
Exchange Traded
Funds |
Instrument |
Part II
Section Reference |
Foreign Currency Transactions: Strategies used to hedge against currency risks, for other risk management purposes or to increase income or gain to a
Fund. These strategies may consist of use of any of the following: options
on currencies, currency futures, options on such futures,
forward foreign currency transactions (including
non-deliverable forwards (“NDFs”)), forward rate
agreements and currency swaps, caps and floors. |
Foreign Investments
(including Foreign
Currencies) |
Foreign Investments: Equity and debt securities (e.g., bonds and commercial paper) of foreign entities and obligations of foreign branches of U.S. banks
and foreign banks. Foreign securities may also include American Depositary
Receipts (“ADRs”), Global Depositary Receipts
(“GDRs”), European Depositary Receipts
(“EDRs”) and American Depositary Securities. |
Foreign Investments
(including Foreign
Currencies) |
High Yield/High Risk Securities/Junk Bonds: Securities that are generally rated below investment grade by the primary rating agencies or are unrated
but deemed by a Fund’s adviser to be of comparable
quality. |
Debt
Instruments |
Inflation-Linked Debt Securities: Includes fixed and floating rate debt securities of varying maturities issued by the U.S. government as well as
securities issued by other entities such as corporations, foreign
governments and foreign issuers. |
Debt
Instruments |
Initial Public Offerings (“IPOs”): A transaction in which a previously private company makes its first sale of stock to the public. |
Equity Securities,
Warrants and Rights |
Interfund Lending: Involves lending money and borrowing money for temporary purposes through a credit facility. |
Miscellaneous
Investment
Strategies and Risks |
Inverse Floating Rate Instruments: Leveraged variable debt instruments with interest rates that reset in the opposite direction from the market rate of
interest to which the inverse floater is indexed. |
Inverse Floaters and
Interest Rate Caps |
Investment Company Securities: Shares of other investment companies, including money market funds for which the adviser and/or its affiliates
serve as investment adviser or administrator. The adviser will waive
certain fees when investing in funds for which it serves as
investment adviser, to the extent required by law or by
contract. |
Investment
Company Securities
and Exchange
Traded Funds |
Loan Assignments and Participations: Assignments of, or participations in, all or a portion of loans to corporations or to governments, including
governments in less developed countries. |
Loans |
Master Limited Partnerships: Limited partnerships that are publicly traded on a securities exchange. |
Master Limited
Partnerships |
Mortgages (Directly Held): Debt instruments secured by real property. |
Mortgage-Related
Securities |
Mortgage-Backed Securities: Debt obligations secured by real estate loans and pools of loans, including collateralized mortgage obligations (“CMOs”),
commercial mortgage-backed securities (“CMBSs”) and other
asset-backed structures. |
Mortgage-Related
Securities |
Mortgage Dollar Rolls: A transaction in which a Fund sells securities for delivery in a current month and simultaneously contracts with the same party
to repurchase similar but not identical securities on a specified future
date. |
Mortgage-Related
Securities |
Municipal Securities: Securities issued by a state or political subdivision to obtain funds for various public purposes. Municipal securities include,
among others, private activity bonds and industrial development bonds, as
well as general obligation notes, tax anticipation notes,
bond anticipation notes, revenue anticipation notes, other
short-term tax-exempt obligations, municipal leases,
obligations of municipal housing authorities and single
family revenue bonds. |
Municipal
Securities |
New Financial Products: New options and futures contracts and other financial products continue to be developed and a Fund may invest in such
options, contracts and products. |
Miscellaneous Investment
Strategies and Risks |
Instrument |
Part II
Section Reference |
Obligations of Supranational Agencies: Obligations which are chartered to promote economic development and are supported by various governments
and governmental agencies. |
Foreign Investments
(including Foreign
Currencies) |
Options and Futures Transactions: A Fund may purchase and sell (a) exchange traded and over-the-counter put and call options on securities,
indexes of securities and futures contracts on securities and (b) futures
contracts on securities and indexes of
securities. |
Options and Futures
Transactions |
Preferred Stock: A class of stock that generally pays a dividend at a specified rate and has preference over common stock in the payment of dividends and
in liquidation. |
Equity Securities,
Warrants and Rights |
Private Placements, Restricted Securities and Other
Unregistered Securities: Securities not registered under the Securities Act of 1933, such as privately
placed commercial paper and Rule 144A securities. |
Miscellaneous
Investment
Strategies and Risks |
Real Estate Investment Trusts (“REITs”):
Pooled investment vehicles which invest primarily in income producing real estate or real estate related loans or
interest. |
Real Estate
Investment Trusts |
Repurchase Agreements: The purchase of a security and the simultaneous commitment to return the security to the seller at an agreed upon price on an
agreed upon date. This is treated as a loan. |
Repurchase
Agreements |
Reverse Repurchase Agreements: The sale of a security and the simultaneous commitment to buy the security back at an agreed upon price on an agreed
upon date. This is treated as a borrowing by a Fund. |
Reverse Repurchase
Agreements |
Securities Issued in Connection with Reorganizations and
Corporate Restructurings: In connection with reorganizing or
restructuring of an issuer, an issuer may issue common stock
or other securities to holders of its debt
securities. |
Miscellaneous
Investment
Strategies and Risks |
Securities Lending: The lending of up to 33 1∕3% of a Fund’s total assets. In return, the Fund will receive cash, other securities, and/or letters of credit as
collateral. |
Securities Lending |
Short Selling: A Fund sells a security it does not own in anticipation of a decline in the market value of the security. To complete the transaction, a
Fund must borrow the security to make delivery to the buyer. A Fund is
obligated to replace the security borrowed by purchasing it
subsequently at the market price at the time of
replacement. |
Short Selling |
Short-Term Funding Agreements: Agreements issued by banks and highly rated U.S. insurance companies such as Guaranteed Investment Contracts
(“GICs”) and Bank Investment Contracts
(“BICs”). |
Short-Term Funding
Agreements |
Sovereign Obligations: Investments in debt obligations issued or guaranteed by a foreign sovereign government or its agencies, authorities or political
subdivisions. |
Foreign Investments
(including Foreign
Currencies) |
Stripped Mortgage-Backed Securities: Derivative multi-class mortgage securities which are usually structured with two classes of shares that receive
different proportions of the interest and principal from a pool of
mortgage assets. These include Interest-Only
(“IOs”) and Principal-Only (“POs”)
securities issued outside a Real Estate Mortgage Investment Conduit
(“REMIC”) or CMO structure. |
Mortgage-Related
Securities |
Structured Investments: A security having a return tied to an underlying index or other security or asset class. Structured investments generally are
individually negotiated agreements and may be traded over-the-counter.
Structured investments are organized and operated to
restructure the investment characteristics of the underlying
index, commodity, currency or financial
instrument. |
Structured
Investments |
Instrument |
Part II
Section Reference |
Swaps and Related Swap Products: Swaps involve an exchange of obligations by two parties. Caps and floors entitle a purchaser to a principal
amount from the seller of the cap or floor to the extent that a specified
index exceeds or falls below a predetermined interest rate
or amount. A Fund may enter into these transactions to
manage its exposure to changing interest rates and other
factors. |
Swaps and Related
Swap Products |
Synthetic Variable Rate Instruments: Instruments that generally involve the deposit of a long-term tax exempt bond in a custody or trust arrangement
and the creation of a mechanism to adjust the long-term interest rate on
the bond to a variable short- term rate and a right (subject
to certain conditions) on the part of the purchaser to
tender it periodically to a third party at par. |
Swaps and Related
Swap Products |
Temporary Defensive Positions: To respond to unusual circumstances, a Fund may invest a portion of its total assets in cash and cash equivalents for
temporary defensive purposes. |
Miscellaneous
Investment
Strategies and Risks |
Treasury Receipts: A Fund may purchase interests in separately traded interest and principal component parts of U.S. Treasury obligations that are
issued by banks or brokerage firms and that are created by depositing U.S.
Treasury notes and U.S. Treasury bonds into a special
account at a custodian bank. Receipts include Treasury
Receipts (“TRs”), Treasury Investment Growth
Receipts (“TIGRs”), and Certificates of Accrual on Treasury Securities (“CATS”). |
Treasury Receipts |
Trust Preferreds: Securities with characteristics of both subordinated debt and preferred stock. Trust preferreds are generally long-term securities that
make periodic fixed or variable interest payments. |
Trust Preferred
Securities |
U.S. Government Agency Securities: Securities issued by agencies and instrumentalities of the U.S. government. These include all types of
securities issued by Ginnie Mae, Fannie Mae and Freddie Mac, including
funding notes, subordinated benchmark notes, CMOs and
REMICs. |
Mortgage-Related
Securities |
U.S. Government Obligations: May include direct obligations of the U.S. Treasury, including Treasury bills, notes and bonds, all of which are backed
as to principal and interest payments by the full faith and credit of the
U.S., and separately traded principal and interest component
parts of such obligations that are transferable through the
Federal book-entry system known as Separate Trading of
Registered Interest and Principal of Securities
(“STRIPS”) and Coupons Under Book Entry Safekeeping
(“CUBES”). |
U.S. Government
Obligations |
Variable and Floating Rate Instruments: Obligations with interest rates which are reset daily, weekly, quarterly or some other period and which may
be payable to the Fund on demand or at the expiration of a specified
term. |
Debt Instruments |
When-Issued Securities, Delayed Delivery Securities and
Forward Commitments: Purchase or contract to purchase securities at a fixed price for delivery at a future date. |
When-Issued
Securities, Delayed
Delivery Securities
and Forward
Commitments |
Zero-Coupon, Pay-in-Kind and Deferred Payment
Securities: Zero-coupon securities are securities that are sold at a discount to par value and on which
interest payments are not made during the life of the security.
Pay-in-kind securities are securities that have interest
payable by delivery of additional securities. Deferred
payment securities are zero-coupon debt securities which
convert on a specified date to interest bearing debt securities. |
Debt Instruments |
|
Fiscal
Year Ended June 30, | |
Fund |
2021 |
2022 |
JPMorgan Investor Conservative Growth Fund |
3% |
8% |
JPMorgan Investor Balanced Fund |
6% |
8% |
JPMorgan Investor Growth & Income Fund |
4% |
4% |
JPMorgan Investor Growth Fund |
2% |
1% |
Committee |
Fiscal Year Ended
June 30, 2022 |
Audit and Valuation Committee |
4 |
Compliance Committee |
5 |
Governance Committee |
7 |
Equity Committee |
5 |
ETF Committee*
|
2 |
Fixed Income Committee |
5 |
Money Market and Alternative Products Committee |
6 |
Name of Trustee |
Dollar Range of Equity
Securities in JPMorgan
Investor Conservative
Growth Fund |
Dollar Range of Equity
Securities in JPMorgan
Investor Balanced
Fund |
Dollar Range of Equity
Securities in JPMorgan
Investor Growth &
Income Fund |
Dollar Range of Equity
Securities in JPMorgan
Investor Growth
Fund |
Aggregate Dollar Range of
Equity Securities in All
Registered Investment
Companies Overseen by the
Trustee in Family of
Investment Companies1,2
|
Independent Trustees |
|
|
|
|
|
John F. Finn |
None |
None |
None |
None |
Over $100,000
|
Stephen P. Fisher |
None |
None |
None |
None |
Over $100,000
|
Gary L. French3
|
None |
None |
None |
None |
Over $100,000
|
Kathleen M. Gallagher |
None |
None |
None |
None |
Over $100,000
|
Robert J. Grassi3
|
None |
None |
None |
None |
Over $100,000
|
Frankie D. Hughes |
None |
None |
None |
None |
Over $100,000
|
Raymond Kanner |
None |
None |
None |
None |
Over $100,000 |
Name of Trustee |
Dollar Range of Equity
Securities in JPMorgan
Investor Conservative
Growth Fund |
Dollar Range of Equity
Securities in JPMorgan
Investor Balanced
Fund |
Dollar Range of Equity
Securities in JPMorgan
Investor Growth &
Income Fund |
Dollar Range of Equity
Securities in JPMorgan
Investor Growth
Fund |
Aggregate Dollar Range of
Equity Securities in All
Registered Investment
Companies Overseen by the
Trustee in Family of
Investment Companies1,2 |
Thomas P. Lemke3
|
None |
None |
None |
None |
Over $100,000
|
Lawrence R. Maffia3
|
None |
None |
None |
None |
Over $100,000
|
Mary E. Martinez |
None |
None |
None |
None |
Over $100,000
|
Marilyn McCoy |
None |
None |
None |
None |
Over $100,000
|
Dr. Robert A. Oden, Jr. |
None |
None |
None |
None |
Over $100,000
|
Marian U. Pardo |
None |
None |
None |
None |
Over $100,000
|
Emily A. Youssouf3
|
None |
None |
None |
None |
$10,001–
$50,000 |
Interested Trustees |
|
|
|
|
|
Robert Deutsch3
|
None |
None |
None |
None |
Over $100,000
|
Nina O. Shenker3
|
None |
None |
None |
None |
None |
Name of Trustee |
JPMorgan Investor Conservative
Growth Fund |
JPMorgan Investor Balanced Fund |
JPMorgan Investor Growth
& Income Fund |
JPMorgan Investor Growth Fund |
Total
Compensation Paid From
Fund Complex1 |
Independent Trustees |
|
|
|
|
|
John F. Finn |
$3,949 |
$4,306 |
$3,694 |
$3,726 |
$620,000 |
Stephen P. Fisher |
3,079 |
3,248 |
2,958 |
2,973 |
445,0002
|
Gary L. French3
|
0 |
0 |
0 |
0 |
157,500 |
Kathleen M. Gallagher |
3,016 |
3,173 |
2,906 |
2,921 |
432,5004
|
Robert J. Grassi3
|
0 |
0 |
0 |
0 |
156,000 |
Dennis P. Harrington5
|
2,892 |
3,021 |
2,798 |
2,808 |
407,500 |
Frankie D. Hughes |
2,830 |
2,946 |
2,747 |
2,757 |
395,000 |
Raymond Kanner |
3,079 |
3,248 |
2,958 |
2,973 |
445,0002
|
Thomas P. Lemke3
|
0 |
0 |
0 |
0 |
158,000 |
Lawrence R. Maffia3
|
0 |
0 |
0 |
0 |
156,000 |
Mary E. Martinez |
3,452 |
3,703 |
3,275 |
3,300 |
520,000 |
Marilyn McCoy |
2,830 |
2,946 |
2,747 |
2,757 |
395,0006
|
Mitchell M. Merin7
|
2,830 |
2,946 |
2,747 |
2,757 |
395,000 |
Dr. Robert A. Oden, Jr. |
3,079 |
3,248 |
2,958 |
2,973 |
445,000 |
Marian U. Pardo |
3,079 |
3,248 |
2,958 |
2,973 |
445,000 |
Emily A. Youssouf3
|
0 |
0 |
0 |
0 |
156,000 |
Interested Trustees |
|
|
|
|
|
Robert Deutsch3
|
0 |
0 |
0 |
0 |
150,000 |
Nina O. Shenker3
|
0 |
0 |
0 |
0 |
0 |
|
Fiscal
Year Ended | |||||
|
June
30, 2020 |
June
30, 2021 |
June
30, 2022 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived
|
JPMorgan Investor Conservative Growth Fund |
$1,661 |
$(81) |
$2,046 |
$(95) |
$2,369 |
$(51) |
JPMorgan Investor Balanced Fund |
2,225 |
(106) |
2,563 |
(84) |
2,882 |
(63) |
|
Fiscal
Year Ended | |||||
|
June
30, 2020 |
June
30, 2021 |
June
30, 2022 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived
|
JPMorgan Investor Growth & Income Fund |
$1,398 |
$(75) |
$1,734 |
$(61) |
$2,053 |
$(49) |
JPMorgan Investor Growth Fund |
1,315 |
(78) |
1,738 |
(50) |
2,138 |
(49) |
|
Non-Performance Based Fee Advisory Accounts | |||||
Registered Investment
Companies |
Other
Pooled Investment Vehicles |
Other
Accounts | ||||
Number of
Accounts |
Total
Assets ($thousands) |
Number of
Accounts |
Total
Assets ($thousands) |
Number of
Accounts |
Total Assets ($thousands) | |
JPMorgan Investor Conservative Growth Fund |
|
|
|
|
| |
Ove Fladberg |
24 |
$54,755,992 |
39 |
$49,469,068 |
0 |
$0 |
Michael Loeffler |
18 |
48,331,212 |
8 |
23,381,688 |
3 |
345,470 |
Nicholas D’Eramo |
18 |
48,331,212 |
8 |
23,381,688 |
3 |
345,470 |
Anshul Mohan |
3 |
12,762,975 |
0 |
0 |
0 |
0 |
Luying Wei |
0 |
0 |
0 |
0 |
0 |
0 |
JPMorgan Investor Balanced Fund |
|
|
|
|
| |
Ove Fladberg |
24 |
53,893,264 |
39 |
49,469,068 |
0 |
0 |
Michael Loeffler |
18 |
47,468,484 |
8 |
23,381,688 |
3 |
345,470 |
Nicholas D’Eramo |
18 |
47,468,484 |
8 |
23,381,688 |
3 |
345,470 |
Anshul Mohan |
3 |
11,900,247 |
0 |
0 |
0 |
0 |
Luying Wei |
0 |
0 |
0 |
0 |
0 |
0 |
JPMorgan Investor Growth & Income Fund |
|
|
|
|
| |
Ove Fladberg |
24 |
55,295,778 |
39 |
49,469,068 |
0 |
0 |
Michael Loeffler |
18 |
48,870,999 |
8 |
23,381,688 |
3 |
345,470 |
Nicholas D’Eramo |
18 |
48,870,999 |
8 |
23,381,688 |
3 |
345,470 |
Anshul Mohan |
3 |
13,302,762 |
0 |
0 |
0 |
0 |
Luying Wei |
0 |
0 |
0 |
0 |
0 |
0 |
JPMorgan Investor Growth Fund |
|
|
|
|
| |
Ove Fladberg |
24 |
55,168,171 |
39 |
49,469,068 |
0 |
0 |
Michael Loeffler |
18 |
48,743,391 |
8 |
23,381,688 |
3 |
345,470 |
Nicholas D’Eramo |
18 |
48,743,391 |
8 |
23,381,688 |
3 |
345,470 |
Anshul Mohan |
3 |
13,175,155 |
0 |
0 |
0 |
0 |
Luying Wei |
0 |
0 |
0 |
0 |
0 |
0 |
|
Performance Based Fee Advisory Accounts | ||||||
Registered Investment Companies |
Other
Pooled Investment Vehicles |
Other
Accounts | |||||
Number of
Accounts |
Total
Assets ($thousands) |
Number
of Accounts |
Total
Assets ($thousands) |
Number of
Accounts |
Total Assets ($thousands) | ||
JPMorgan Investor Conservative Growth Fund | |||||||
Ove Fladberg |
0 |
$0
|
0 |
$0 |
0 |
$0 | |
Michael Loeffler |
0 |
0 |
0 |
0 |
0 |
0 | |
Nicholas D’Eramo |
0 |
0 |
0 |
0 |
0 |
0 | |
Anshul Mohan |
0 |
0 |
0 |
0 |
0 |
0 | |
Luying Wei |
0 |
0 |
0 |
0 |
0 |
0 |
|
Performance Based Fee Advisory Accounts | ||||||
Registered Investment Companies |
Other
Pooled Investment Vehicles |
Other
Accounts | |||||
Number of
Accounts |
Total
Assets ($thousands) |
Number
of Accounts |
Total
Assets ($thousands) |
Number of
Accounts |
Total Assets ($thousands) | ||
JPMorgan Investor Balanced Fund | |||||||
Ove Fladberg |
0 |
$0
|
0 |
$0 |
0 |
$0 | |
Michael Loeffler |
0 |
0 |
0 |
0 |
0 |
0 | |
Nicholas D’Eramo |
0 |
0 |
0 |
0 |
0 |
0 | |
Anshul Mohan |
0 |
0 |
0 |
0 |
0 |
0 | |
Luying Wei |
0 |
0 |
0 |
0 |
0 |
0 | |
JPMorgan Investor Growth & Income Fund | |||||||
Ove Fladberg |
0 |
0 |
0 |
0 |
0 |
0 | |
Michael Loeffler |
0 |
0 |
0 |
0 |
0 |
0 | |
Nicholas D’Eramo |
0 |
0 |
0 |
0 |
0 |
0 | |
Anshul Mohan |
0 |
0 |
0 |
0 |
0 |
0 | |
Luying Wei |
0 |
0 |
0 |
0 |
0 |
0 | |
JPMorgan Investor Growth Fund | |||||||
Ove Fladberg |
0 |
0 |
0 |
0 |
0 |
0 | |
Michael Loeffler |
0 |
0 |
0 |
0 |
0 |
0 | |
Nicholas D’Eramo |
0 |
0 |
0 |
0 |
0 |
0 | |
Anshul Mohan |
0 |
0 |
0 |
0 |
0 |
0 | |
Luying Wei |
0 |
0 |
0 |
0 |
0 |
0 |
Fund |
Aggregate Dollar Range of
Securities in the Fund | ||||||
None |
$1-$10,000 |
$10,001- $50,000 |
$50,001- $100,000 |
$100,001- $500,000 |
$500,001- $1,000,000 |
Over $1,000,000 | |
JPMorgan Investor Conservative Growth Fund |
| ||||||
Ove Fladberg |
X |
|
|
|
|
|
|
Michael Loeffler |
X |
|
|
|
|
|
|
Nicholas D’Eramo |
X |
|
|
|
|
|
|
Anshul Mohan |
X |
|
|
|
|
|
|
Luying Wei |
X |
|
|
|
|
|
|
JPMorgan Investor Balanced Fund |
| ||||||
Ove Fladberg |
|
|
|
X |
|
|
|
Michael Loeffler |
|
|
X |
|
|
|
|
Nicholas D’Eramo |
|
|
X |
|
|
|
|
Anshul Mohan |
X |
|
|
|
|
|
|
Luying Wei |
X |
|
|
|
|
|
|
JPMorgan Investor Growth & Income Fund |
|
|
|
|
|
| |
Ove Fladberg |
|
|
|
|
|
X |
|
Michael Loeffler |
|
|
X |
|
|
|
|
Nicholas D’Eramo |
|
|
X |
|
|
|
|
Anshul Mohan |
|
|
|
X |
|
|
|
Luying Wei |
|
|
X |
|
|
|
|
JPMorgan Investor Growth Fund |
| ||||||
Ove Fladberg |
X |
|
|
|
|
|
|
Fund |
Aggregate Dollar Range of
Securities in the Fund | ||||||
None |
$1-$10,000 |
$10,001- $50,000 |
$50,001- $100,000 |
$100,001- $500,000 |
$500,001- $1,000,000 |
Over $1,000,000 | |
Michael Loeffler |
X |
|
|
|
|
|
|
Nicholas D’Eramo |
X |
|
|
|
|
|
|
Anshul Mohan |
X |
|
|
|
|
|
|
Luying Wei |
X |
|
|
|
|
|
|
Name of Fund |
Benchmark |
JPMorgan Investor Conservative Growth Fund |
Lipper Mixed-Asset Target Allocation Conservative Funds Index |
JPMorgan Investor Balanced Fund |
Lipper Mixed Asset-Target Allocation Moderate Funds Index |
JPMorgan Investor Growth & Income Fund |
Lipper Mixed-Asset Target Allocation Growth Funds Index |
JPMorgan Investor Growth Fund |
Lipper Mixed-Asset Target Allocation Aggressive Growth
Funds |
|
Fiscal
Year Ended | ||
Fund |
June
30, 2020 |
June
30, 2021 |
June 30, 2022 |
JPMorgan Investor Conservative Growth Fund |
$61
|
$110
|
$120 |
JPMorgan Investor Balanced Fund |
79 |
135 |
146 |
JPMorgan Investor Growth & Income Fund |
53 |
92 |
104 |
JPMorgan Investor Growth Fund |
50 |
91 |
109 |
Fund |
Total Underwriting
Discounts and Commissions |
Compensation on Redemptions and
Repurchases |
Brokerage Commissions |
Other Compensation* |
JPMorgan Investor Balanced Fund |
$355,706 |
$396,128 |
$193 |
$16,399,639 |
JPMorgan Investor Conservative Growth Fund |
245,596 |
576,926 |
— |
14,229,697 |
JPMorgan Investor Growth Fund |
430,396 |
277,579 |
— |
10,400,955 |
JPMorgan Investor Growth & Income Fund |
296,159 |
241,642 |
— |
10,552,178 |
|
Fiscal
Year Ended | ||
6/30/20 |
6/30/21 |
6/30/22 | |
JPMorgan Investor Conservative Growth Fund |
$284,820 |
$322,437 |
$245,596 |
JPMorgan Investor Balanced Fund |
416,723 |
429,923 |
355,706 |
JPMorgan Investor Growth & Income Fund |
313,531 |
335,966 |
296,159 |
JPMorgan Investor Growth Fund |
302,281 |
414,329 |
430,396 |
|
Fiscal
Year Ended | |||||
|
June
30, 2020 |
June
30, 2021 |
June
30, 2022 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived
|
JPMorgan Investor Conservative Growth Fund | ||||||
Class A Shares |
$5,749 |
$— |
$7,304 |
$— |
$8,396 |
$— |
Class C Shares |
7,834 |
— |
6,485 |
— |
5,834 |
— |
JPMorgan Investor Balanced Fund | ||||||
Class A Shares |
8,866 |
— |
10,619 |
— |
12,060 |
— |
Class C Shares |
5,286 |
— |
4,588 |
— |
4,340 |
— |
JPMorgan Investor Growth & Income Fund | ||||||
Class A Shares |
6,239 |
— |
7,767 |
— |
9,186 |
— |
Class C Shares |
1,637 |
— |
1,474 |
— |
1,366 |
— |
JPMorgan Investor Growth Fund | ||||||
Class A Shares |
5,507 |
— |
7,300 |
— |
8,994 |
— |
Class C Shares |
1,342 |
— |
1,340 |
— |
1,407 |
— |
Class A, Class C, Class I, Class R2, Class R3 and Class R4 |
up to 0.25% |
Class R5 |
up to 0.10% |
Class R6 |
None |
|
Fiscal
Year Ended | |||||
|
June
30, 2020 |
June
30, 2021 |
June
30, 2022 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived
|
JPMorgan Investor Conservative Growth Fund | ||||||
Class A Shares |
$5,026 |
$(723) |
$7,087 |
$(217) |
$8,396 |
$— |
Class C Shares |
5,611 |
— |
2,162 |
— |
1,944 |
— |
Class I Shares |
290 |
(56) |
1,136 |
(22) |
1,658 |
— |
JPMorgan Investor Balanced Fund | ||||||
Class A Shares |
7,721 |
(1,145) |
10,282 |
(337) |
12,060 |
— |
Class C Shares |
1,762 |
— |
1,529 |
— |
1,447 |
— |
Class I Shares |
737 |
(114) |
813 |
(26) |
912 |
— |
JPMorgan Investor Growth & Income Fund | ||||||
Class A Shares |
5,260 |
(979) |
6,815 |
(952) |
8,304 |
(882) |
Class C Shares |
546 |
— |
491 |
— |
455 |
— |
Class I Shares |
466 |
(78) |
618 |
(22) |
778 |
— |
JPMorgan Investor Growth Fund | ||||||
Class A Shares |
4,482 |
(1,025) |
6,226 |
(1,074) |
7,934 |
(1,060) |
Class C Shares |
447 |
— |
447 |
— |
469 |
— |
Class I Shares |
833 |
(147) |
1,101 |
(41) |
1,403 |
— |
Amount of Purchases |
Finders’ Fees |
$250,000 – $3,999,999* |
1.00% |
$4,000,000 – $9,999,999 |
0.75% |
$10,000,000 – $49,999,999 |
0.50% |
Amount of Purchases |
Finders’ Fees |
$50,000,000 or more |
0.25% |
The McGraw-Hill Companies, Inc. — Standard & Poor’s |
Monthly |
30 days after month end |
MorningStar Inc. |
Monthly |
30 days after month end |
Lipper, Inc. |
Monthly |
30 days after month end |
Bloomberg LP |
Monthly |
30 days after month end |
Vickers Stock Research |
Monthly |
30 days after month end |
JPMorgan Chase & Co. |
Monthly |
30 days after month end |
Casey Quirk & Associates |
Monthly |
10 days after month end |
Factset |
Monthly |
5 days after month end |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
JPMORGAN INVESTOR CONSERVATIVE GROWTH FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
70.25% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
20.18% |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
91.24% |
|
|
|
CLASS I SHARES |
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 |
79.15% |
|
|
|
|
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
9.84% |
|
|
|
CLASS R6 SHARES |
RELIANCE TRUST COMPANY FBO EPI DEFINED BENE 201 17TH ST NW STE 1000 ATLANTA GA 30363-1195 |
45.12% |
|
|
|
|
EMPOWER TRUST FBO RTC TTEE FBO CERTAIN RETIREMENT PLANS 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
39.29% |
|
|
|
|
THE NORTHERN TRUST CORPORATION TRUS FBO BAKER HUGHES SRP - DV PO BOX 92994 CHICAGO IL 60675-2994 |
7.73% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
JPMORGAN INVESTOR BALANCED FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
65.34% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
22.57% |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
86.46% |
|
|
|
CLASS I SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
69.66% |
|
|
|
CLASS R6 SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
69.40% |
|
|
|
|
EMPOWER TRUST FBO RTC TTEE FBO CERTAIN RETIREMENT PLANS 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
12.33% |
|
|
|
|
THE NORTHERN TRUST CORPORATION TRUS FBO BAKER HUGHES SRP - DV PO BOX 92994 CHICAGO IL 60675-2994 |
6.08% |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
5.41% |
JPMORGAN INVESTOR GROWTH & INCOME FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
52.65% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
31.78% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
67.29% |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
5.36% |
|
|
|
CLASS I SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
62.62% |
|
|
|
|
MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR EAST 2ND FL JACKSONVILLE FL 32246-6484 |
5.13% |
|
|
|
CLASS R6 SHARES |
WALLER NON-PROTOTYPE/CORPORATE TRUST DTD 01/01/2011 LANSDEN DORTCH & DAVIS VARIABLE ANNUITY PLAN 511 UNION ST STE 2700 NASHVILLE TN 37219-1791 |
49.11% |
|
|
|
|
EMPOWER TRUST FBO RTC TTEE FBO CERTAIN RETIREMENT PLANS 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
22.03% |
|
|
|
|
MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC DM COMPANIES PS & 401(K) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 |
9.64% |
JPMORGAN INVESTOR GROWTH FUND | ||
CLASS A SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
47.56% |
|
|
|
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
31.78% |
|
|
|
CLASS C SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
41.65% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
18.23% |
|
|
|
|
RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
7.52% |
|
|
|
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET STREET ST LOUIS MO 63103-2523 |
5.51% |
|
|
|
|
LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 |
5.02% |
|
|
|
CLASS I SHARES |
J. P. MORGAN SECURITIES LLC* FOR EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CTR BROOKLYN NY 11245-0003 |
65.86% |
|
|
|
|
SEI PRIVATE TRUST CO C/O GWP US ADVISORS 1 FREEDOM VALLEY DR OAKS PA 19456-9989 |
5.96% |
|
|
|
CLASS R6 SHARES |
EMPOWER TRUST COMPANY LLC TTEE F EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
21.14% |
|
|
|
|
MATRIX TRUST COMPANY COTRUSTEE FBO U.A. LOCAL 393 DEFINED CONTRIBUTION PO BOX 52129 PHOENIX AZ 85072-2129 |
9.96% |
|
|
|
|
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 |
8.67% |
|
|
|
|
EQUITABLE LIFE FOR SEPARATE ACCT 65 ON BEHALF OF VARIOUS 401 K PLANS EQUITABLE LIFE 525 WASHINGTON BLVD JERSEY CITY NJ 07310-1606 |
5.64% |
Name of Fund |
Name and Address of Shareholder |
Percentage Held |
|
|
|
|
STATE STREET BANK & TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST FL 1 BOSTON MA 02111-2900 |
5.56% |
5 | |
5 | |
7 | |
7 | |
8 | |
8 | |
9 | |
9 | |
9 | |
9 | |
9 | |
10 | |
11 | |
13 | |
13 | |
13 | |
14 | |
14 | |
14 | |
14 | |
15 | |
15 | |
15 | |
15 | |
17 | |
17 | |
17 | |
17 | |
18 | |
19 | |
19 | |
23 | |
24 | |
25 | |
25 | |
25 | |
26 | |
26 | |
31 | |
31 | |
31 | |
32 | |
32 | |
33 | |
33 | |
33 | |
34 | |
34 | |
34 | |
35 |
35 | |
36 | |
36 | |
36 | |
37 | |
37 | |
37 | |
37 | |
38 | |
38 | |
38 | |
38 | |
39 | |
41 | |
41 | |
42 | |
42 | |
42 | |
43 | |
44 | |
46 | |
47 | |
49 | |
50 | |
50 | |
51 | |
51 | |
52 | |
52 | |
53 | |
53 | |
54 | |
54 | |
54 | |
54 | |
54 | |
55 | |
55 | |
55 | |
55 | |
56 | |
57 | |
58 | |
58 | |
59 | |
60 | |
60 | |
61 | |
62 | |
62 | |
63 | |
63 |
65 | |
66 | |
66 | |
66 | |
67 | |
67 | |
68 | |
68 | |
69 | |
69 | |
69 | |
70 | |
79 | |
80 | |
81 | |
83 | |
84 | |
85 | |
86 | |
86 | |
86 | |
86 | |
87 | |
87 | |
88 | |
89 | |
91 | |
91 | |
95 | |
96 | |
96 | |
98 | |
98 | |
99 | |
99 | |
99 | |
99 | |
105 | |
109 | |
109 | |
112 | |
112 | |
113 | |
114 | |
115 | |
116 | |
116 | |
122 | |
123 | |
123 | |
123 | |
124 |
127 | |
127 | |
128 | |
129 | |
131 | |
131 | |
131 | |
132 | |
133 | |
134 | |
134 | |
135 | |
136 | |
136 | |
137 | |
141 | |
141 | |
141 | |
141 | |
143 | |
144 | |
144 | |
145 | |
145 | |
146 | |
147 | |
148 | |
150 | |
158 | |
A-1 | |
B-1 |
Name (Year of Birth; Term of Office,
and Length of Time Served)(1) |
Principal Occupation(s) During Past 5 Years |
Number of Funds in Fund Complex Overseen by Trustee(2)
|
Other Trusteeships/ Directorships Held During the Past 5 Years(3) |
Independent Trustees |
|
|
|
John F. Finn (1947); Chair since 2020; Trustee, since 1998. |
Chairman, Gardner, Inc. (supply chain management company serving industrial and consumer markets) (serving in various roles 1974–present). |
166 |
Director, Greif, Inc. (GEF) (industrial package products and services) (2007–present); Trustee, Columbus Association for the Performing Arts (1988- present). |
Stephen P. Fisher (1959); Trustee, since 2018. |
Retired; Chairman and Chief Executive Officer, NYLIFE Distributors LLC (registered broker- dealer) (serving in various roles 2008- 2013); Chairman, NYLIM Service Company LLC (transfer agent) (2008- 2017); New York Life Investment Management LLC (registered investment adviser) (serving in various roles 2005- 2017); Chairman, IndexIQ Advisors LLC (registered investment adviser for ETFs) (2014-2017); President, MainStay VP Funds Trust (2007-2017), MainStay DefinedTerm Municipal Opportunities Fund (2011-2017) and Main- Stay Funds Trust (2007-2017) (registered investment companies). |
166 |
Honors Program Advisory Board Member, The Zicklin School of Business, Baruch College, The City University of New York (2017-present). |
Gary L. French
(1951); Trustee, since 2014. |
Real Estate Investor (2011-2020); Investment management industry Consultant and Expert Witness (2011-present); Senior Consultant for The Regulatory Fundamentals Group LLC (2011-2017). |
166 |
Independent Trustee, The China Fund, Inc. (2013- 2019); Exchange Traded Concepts Trust II (2012- 2014); Exchange Traded Concepts Trust I (2011- 2014). |
Name (Year of Birth; Term of Office,
and Length of Time Served)(1) |
Principal Occupation(s) During Past 5 Years |
Number of Funds in Fund Complex Overseen by Trustee(2)
|
Other Trusteeships/ Directorships Held During the Past 5 Years(3) |
Kathleen M. Gallagher (1958); Trustee, since 2018. |
Retired; Chief Investment Officer – Benefit Plans, Ford Motor Company (serving in various roles 1985-2016). |
166 |
Non-Executive Director, Legal & General Investment Management (Holdings) (2018- present); Non-Executive Director, Legal & General Investment Management America (U.S. Holdings) (financial services and insurance) (2017- present); Advisory Board Member, State Street Global Advisors Total Portfolio Solutions (2017-present); Member, Client Advisory Council, Financial Engines, LLC (registered investment adviser) (2011-2016); Director, Ford Pension Funds Investment Management Ltd. (2007- 2016). |
Robert J. Grassi
(1957); Trustee, since 2014. |
Sole Proprietor, Academy Hills Advisors LLC (2012- present); Pension Director, Corning Incorporated (2002- 2012). |
166 |
None. |
Frankie D. Hughes (1952); Trustee, since 2008. |
President, Ashland Hughes Properties (property management) (2014–present); President and Chief Investment Officer, Hughes Capital Management, Inc. (fixed income asset management) (1993– 2014). |
166 |
None. |
Name (Year of Birth; Term of Office,
and Length of Time Served)(1) |
Principal Occupation(s) During Past 5 Years |
Number of Funds in Fund Complex Overseen by Trustee(2)
|
Other Trusteeships/ Directorships Held During the Past 5 Years(3) |
Raymond Kanner (1953); Trustee, since 2017. |
Retired; Managing Director and Chief Investment Officer, IBM Retirement Funds (2007–2016). |
166 |
Advisory Board Member, Penso Advisors, LLC (2020- present); Advisory Board Member, Los Angeles Capital (2018-present); Advisory Board Member, State Street Global Advisors Total Portfolio Solutions (2017-present); Acting Executive Director, Committee on Investment of Employee Benefit Assets (CIEBA) (2016-2017); Advisory Board Member, Betterment for Business (robo advisor) (2016– 2017); Advisory Board Member, BlueStar Indexes (index creator) (2013–2017); Director, Emerging Markets Growth Fund (registered investment company) (1997-2016); Member, Russell Index Client Advisory Board (2001- 2015). |
Thomas P. Lemke
(1954); Trustee, since 2014. |
Retired since 2013. |
166 |
(1) Independent Trustee of Advisors’ Inner Circle III fund platform, consisting of the following: (i) the Advisors’ Inner Circle Fund III, (ii) the Gallery Trust, (iii) the Schroder Series Trust, (iv) the Delaware Wilshire Private Markets Fund (since 2020), (v) Chiron Capital Allocation Fund Ltd., and (vi) formerly the Winton Diversified Opportunities Fund (2014-2018); and (2) Independent Trustee of the Symmetry Panoramic Trust (since 2018). |
Lawrence R. Maffia (1950); Trustee, since 2014. |
Retired; Director and President, ICI Mutual Insurance Company (2006-2013). |
166 |
Director, ICI Mutual Insurance Company (1999-2013). |
Name (Year of Birth; Term of Office,
and Length of Time Served)(1) |
Principal Occupation(s) During Past 5 Years |
Number of Funds in Fund Complex Overseen by Trustee(2)
|
Other Trusteeships/ Directorships Held During the Past 5 Years(3) |
Mary E. Martinez (1960); Vice Chair since 2021; Trustee, since 2013. |
Associate, Special Properties, a Christie’s International Real Estate Affiliate (2010– present); Managing Director, Bank of America (asset management) (2007– 2008); Chief Operating Officer, U.S. Trust Asset Management, U.S. Trust Company (asset management) (2003–2007); President, Excelsior Funds (registered investment companies) (2004–2005). |
166 |
None. |
Marilyn McCoy (1948); Trustee, since 1999. |
Vice President of Administration and Planning, Northwestern University (1985– present). |
166 |
None. |
Dr. Robert A. Oden, Jr.
(1946); Trustee, since 1997. |
Retired; President, Carleton College (2002–2010); President, Kenyon College (1995–2002). |
166 |
Trustee, The Coldwater Conservation Fund; Trustee, American Museum of Fly Fishing (2013–present); Trustee and Vice Chair, Trout Unlimited (2017-2021); Trustee, Dartmouth- Hitchcock Medical Center (2011–2020). |
Marian U. Pardo (1946); Trustee, since 2013. |
Managing Director and Founder, Virtual Capital Management LLC (investment consulting) (2007– present); Managing Director, Credit Suisse Asset Management (portfolio manager) (2003–2006). |
166 |
Board Chair and Member, Board of Governors, Columbus Citizens Foundation (not-for-profit supporting philanthropic and cultural programs) (2006–present). |
Name (Year of Birth; Term of Office,
and Length of Time Served)(1) |
Principal Occupation(s) During Past 5 Years |
Number of Funds in Fund Complex Overseen by Trustee(2)
|
Other Trusteeships/ Directorships Held During the Past 5 Years(3) |
Emily A. Youssouf (1951); Trustee, since 2014. |
Adjunct Professor (2011-present) and Clinical Professor (2009-2011), NYU Schack Institute of Real Estate; Board Member and Member of the Audit Committee (2013-present), Chair of Finance Committee (2019-present), Member of Related Parties Committee (2013-2018) and Member of the Enterprise Risk Committee (2015- 2018), PennyMac Financial Services, Inc.; Board Member (2005-2018), Chair of Capital Committee (2006-2016), Chair of Audit Committee (2005-2018), Member of Finance Committee (2005-2018) and Chair of IT Committee (2016-2018), NYC Health and Hospitals Corporation. |
166 |
Trustee, NYC School Construction Authority (2009-present); Board Member, NYS Job Development Authority (2008-present); Trustee and Chair of the Audit Committee of the Transit Center Foundation (2015-2019). |
Interested Trustees |
|
|
|
Robert F.
Deutsch(4)
(1957); Trustee, since 2014. |
Retired; Head of ETF Business for JPMorgan Asset Management (2013-2017); Head of Global Liquidity Business for JPMorgan Asset Management (2003-2013). |
166 |
Treasurer and Director of the JUST Capital Foundation (2017- present). |
Nina O.
Shenker(4)
(1957); Trustee, since 2022. |
Vice Chair (2017- 2021), General Counsel and Managing Director (2008-2016), Associate General Counsel and Managing Director (2004-2008), J.P. Morgan Asset & Wealth Management. |
166 |
Director and Member of Legal and Human Resources Subcommittees, American Jewish Joint Distribution Committee (2018-present). |
Name of Committee |
Members |
Committee Chair |
Audit and Valuation Committee |
Ms. Gallagher Mr. Finn Mr. French Mr. Kanner |
Ms. Gallagher |
Compliance Committee |
Ms. Pardo Mr. Fisher Ms. Hughes Mr. Lemke |
Ms. Pardo |
Governance Committee |
Mr. Finn Ms. Martinez Ms. McCoy Dr. Oden |
Mr. Finn |
ETF Committee |
Mr. Deutsch Mr. Finn Mr. Grassi Mr. Maffia Ms. Martinez Ms. Shenker Ms. Youssouf |
Mr. Deutsch |
Equity Committee |
Mr. Kanner Mr. French Mr. Maffia Ms. Pardo |
Mr. Kanner |
Fixed Income Committee |
Dr. Oden Mr. Grassi Ms. Hughes Ms. Martinez Ms. Shenker Ms. Youssouf |
Dr. Oden |
Money Market and Alternative Products Committee |
Mr. Fisher Mr. Deutsch Ms. Gallagher Mr. Lemke Ms. McCoy |
Mr. Fisher |
Name (Year of Birth), Positions Held with the Trusts (Since) |
Principal Occupations During Past 5 Years |
Brian S. Shlissel (1964), President and Principal Executive Officer (2016)* |
Managing Director and Chief Administrative Officer for J.P. Morgan pooled vehicles, J.P. Morgan Investment Management Inc. since 2014. |
Timothy J. Clemens (1975), Treasurer and Principal Financial Officer (2018) |
Executive Director, J.P. Morgan Investment Management Inc. since February 2016. Mr. Clemens has been with J.P. Morgan Investment Management Inc. since 2013. |
Gregory S. Samuels (1980), Secretary (2019)** (formerly Assistant Secretary 2010-2019) |
Managing Director and Assistant General Counsel, JPMorgan Chase. Mr. Samuels has been with JPMorgan Chase since 2010. |
Stephen M. Ungerman (1953), Chief Compliance Officer (2005) |
Managing Director, JPMorgan Chase & Co.; Mr. Ungerman has been with JPMorgan Chase & Co. since 2000. |
Kiesha Astwood-Smith (1973), Assistant Secretary (2021)** |
Vice President and Assistant General Counsel, JPMorgan Chase since June 2021; Senior Director and Counsel, Equitable Financial Life Insurance Company (formerly, AXA Equitable Life Insurance Company) from September 2015 through June 2021.
|
Matthew Beck (1988), Assistant Secretary (2021)*** |
Vice President and Assistant General Counsel, JPMorgan Chase since May 2021; Senior Legal Counsel, Ultimus Fund Solutions from May 2018 through May 2021; General Counsel, The Nottingham Company from April 2014 through May 2018. |
Name (Year of Birth), Positions Held with the Trusts (Since) |
Principal Occupations During Past 5 Years |
Elizabeth A. Davin (1964), Assistant Secretary (2005)*** |
Executive Director and Assistant General Counsel, JPMorgan Chase. Ms. Davin has been with JPMorgan Chase (formerly Bank One Corporation) since 2004. |
Jessica K. Ditullio (1962), Assistant Secretary (2005)*** |
Executive Director and Assistant General Counsel, JPMorgan Chase. Ms. Ditullio has been with JPMorgan Chase (formerly Bank One Corporation) since 1990. |
Anthony Geron (1971), Assistant Secretary (2018)** |
Vice President and Assistant General Counsel, JPMorgan Chase since September 2018; Lead Director and Counsel, AXA Equitable Life Insurance Company from 2015 to 2018 and Senior Director and Counsel, AXA Equitable Life Insurance Company from 2014 to 2015. |
Carmine Lekstutis (1980), Assistant Secretary (2011)** |
Executive Director and Assistant General Counsel, JPMorgan Chase. Mr. Lekstutis has been with JPMorgan Chase since 2011. |
Max Vogel (1990),
Assistant Secretary (2021)** |
Vice President and Assistant General Counsel, JPMorgan Chase since June 2021; Associate, Proskauer Rose LLP (law firm) from March 2017 to June 2021; Associate, Stroock & Stroock & Lavan LLP (law firm) from October 2015 to March 2017. |
Zachary E. Vonnegut-Gabovitch (1986), Assistant Secretary (2017)** |
Vice President and Assistant General Counsel, JPMorgan Chase since September 2016. |
Michael M. D’Ambrosio (1969), Assistant Treasurer (2012) |
Managing Director, J.P. Morgan Investment Management Inc. Mr. D’Ambrosio has been with J.P. Morgan Investment Management Inc. since 2012. |
Aleksandr Fleytekh (1972), Assistant Treasurer (2019) |
Vice President, J.P. Morgan Investment Management Inc. since February 2012. |
Shannon Gaines (1977), Assistant Treasurer (2018)*** |
Vice President, J.P. Morgan Investment Management Inc. since January 2014. |
Jeffrey D. House (1972), Assistant Treasurer (2017)*** |
Vice President, J.P. Morgan Investment Management Inc. since July 2006. |
Michael Mannarino (1985), Assistant Treasurer (2020) |
Vice President, J.P. Morgan Investment Management Inc. since 2014. |
Joseph Parascondola (1963), Assistant Treasurer (2011)* |
Executive Director, J.P. Morgan Investment Management Inc. Mr. Parascondola has been with J.P. Morgan Investment Management Inc. since 2006. |
Gillian I. Sands (1969), Assistant Treasurer (2012) |
Executive Director, J.P. Morgan Investment Management Inc. since September 2012. |
Money Market Funds: |
|
|
Tier One |
First $250 billion |
0.0013% |
Tier Two |
Over $250 billion |
0.0010% |
Complex
Assets1
Funds: |
|
|
Tier One |
First $75 billion |
0.00425% |
Tier Two |
Next $25 billion |
0.0040% |
Tier Three |
Over $100 billion |
0.0035% |
Non-Complex Assets Funds: |
|
|
Tier One |
First $75 billion |
0.0025% |
Tier Two |
Next $25 billion |
0.0020% |
Tier Three |
Over $100 billion |
0.0015% |
Other Fees: |
|
|
Fund of Funds (for a Fund of Funds that invests in J.P. Morgan Funds only) |
|
$17,5002 |
Additional Share Classes (this additional class expense applies after the fifth class) |
|
$2,000 |
Daily Market-based Net Asset Value Calculation for Money Market Funds |
|
$15,000 per Fund |
Hourly Net Asset Value Calculation for Money Market Funds |
|
$5,000 per Fund |
Floating NAV Support for Money Market Funds |
|
$100,000 per Fund |
Annual Minimums: (except for certain Funds of Funds which are subject to the fee described
above) |
|
Money Market Funds |
$15,000 per Fund |
All Other Funds |
$20,000 per Fund |
Money Market
Funds1:
|
|
|
Tier One |
First $250 billion |
0.0013% |
Tier Two |
Over $250 billion |
0.0010% |
All Funds except Money Market Funds: |
|
|
Tier One |
Up to $100 billion |
0.00375% |
Tier Two |
$100 billion to $175 billion |
0.0030% |
Tier Three |
Over $175 billion |
0.0020% |
Other Fees: |
|
|
Additional Share Classes (this additional class expense applies after the tenth class) |
|
$2,000 per Class |
Daily Market-based Net Asset Value Calculation for Money Market Funds |
|
$15,000 per Fund |
Hourly Net Asset Value Calculation for Money Market Funds |
|
$5,000 per Fund |
Floating NAV Support for Money Market Funds |
|
$85,000 per Fund |
Annual Minimums: |
|
Money Market Funds |
$15,000 per Fund |
All Other Funds |
$20,000 per Fund |
Money Market
Funds1:
|
|
|
Tier One |
First $250 billion |
0.0013% |
Tier Two |
Over $250 billion |
0.0010% |
All Funds except Money Market Funds: |
|
|
Tier One |
Up to $100 billion |
0.00375% |
Tier Two |
$100 billion to $175 billion |
0.0030% |
Tier Three |
$175 billion to $600 billion |
0.0020% |
Tier Four |
Over $600 billion |
0.0015% |
Other Fees: |
|
|
Additional Share Classes (this additional class expense applies after the tenth class) |
|
$2,000 per Class |
Daily Market-based Net Asset Value Calculation for Money Market Funds |
|
$15,000 per Fund |
Hourly Net Asset Value Calculation for Money Market Funds |
|
$5,000 per Fund |
Floating NAV Support for Money Market Funds |
|
$100,000 per Fund |
Annual Minimums: |
|
Money Market Funds |
$15,000 per Fund |
All Other Funds |
$20,000 per Fund |
A-1 |
A short-term obligation rated ‘A-1’ is rated in the highest category by S&P Global
Ratings. The obligor’s capacity to meet its financial commitments on the obligation is
strong. Within this category, certain obligations are designated with a plus
sign (+). This indicates that the obligor’s capacity to meet its financial
commitments on these obligations is extremely strong. |
A-2 |
A short-term obligation rated ‘A-2’ is somewhat more susceptible to the adverse effects
of changes in circumstances and economic conditions than obligations in higher rating
categories. However, the obligor’s capacity to meet its financial
commitments on the obligation is satisfactory. |
A-3 |
A short-term obligation rated ‘A-3’ exhibits adequate protection parameters. However,
adverse economic conditions or changing circumstances are more likely to weaken an
obligor’s capacity to meet its financial commitments on the
obligation. |
B |
A short-term obligation rated ‘B' is regarded as vulnerable and has significant speculative characteristics. The obligor currently has the capacity to meet its financial
commitments; however, it faces major ongoing uncertainties that could lead to the
obligor's inadequate capacity to meet its financial commitments.
|
C |
A short-term obligation rated ‘C’ is currently vulnerable to nonpayment and is
dependent upon favorable business, financial, and economic conditions for the obligor
to meet its financial commitments on the obligation. |
D |
A short-term obligation rated ‘D’ is in default or in breach of an imputed promise. For
non-hybrid capital instruments, the ‘D’ rating category is used when payments on
an obligation are not made on the date due, unless S&P Global Ratings
believes that such payments will be made within any stated grace period.
However, any stated grace period longer than five business days will be treated
as five business days. The ‘D’ rating also will be used upon the
filing of a bankruptcy petition or the taking of a similar action and where
default on an obligation is a virtual certainty, for example due to automatic stay
provisions. A rating on an obligation is lowered to ‘D’ if it is subject to a
distressed debt restructuring. |
F1 |
HIGHEST SHORT-TERM CREDIT QUALITY. Indicates the strongest intrinsic capacity for timely payment of financial commitments; may have an added “+” to
denote any exceptionally strong credit feature. |
F2 |
GOOD SHORT-TERM CREDIT QUALITY. Good intrinsic capacity for timely payment of financial commitments. |
F3 |
FAIR SHORT-TERM CREDIT QUALITY. The intrinsic capacity for timely payment of financial commitments is adequate. |
B |
SPECULATIVE SHORT-TERM CREDIT QUALITY. Minimal capacity for timely payment of financial commitments, plus heightened vulnerability to near term adverse changes in financial and economic conditions. |
C |
HIGH SHORT-TERM DEFAULT RISK. Default is a real possibility. |
RD |
RESTRICTED DEFAULT. Indicates an entity that has defaulted on one or more of its financial commitments, although it continues to meet other financial obligations. Typically applicable to entity ratings only. |
D |
DEFAULT. Indicates a broad-based default event for an entity, or the default of a short-
term obligation. |
P-1 |
Ratings of Prime-1 reflect a superior ability to repay short-term debt obligations. |
P-2 |
Ratings of Prime-2 reflect a strong ability to repay short-term debt obligations. |
P-3 |
Ratings of Prime-3 reflect an acceptable ability to repay short-term obligations. |
NP |
Issuers (or supporting institutions) rated Not Prime do not fall within any of the Prime
rating categories. |
R-1 (high) |
Highest credit quality. The capacity for the payment of short-term financial obligations
as they fall due is exceptionally high. Unlikely to be adversely affected by future
events. |
R-1 (middle) |
Superior credit quality. The capacity for the payment of short-term financial obligations
as they fall due is very high. Differs from R-1 (high) by a relatively modest degree.
Unlikely to be significantly vulnerable to future events. |
R-1 (low) |
Good credit quality. The capacity for the payment of short-term financial obligations as
they fall due is substantial. Overall strength is not as favorable as higher rating
categories. May be vulnerable to future events, but qualifying negative factors
are considered manageable. |
R-2 (high) |
Upper end of adequate credit quality. The capacity for the payment of short-term financial obligations as they fall due is acceptable. May be vulnerable to future events. |
R-2 (middle) |
Adequate credit quality. The capacity for the payment of short-term financial obligations as they fall due is acceptable. May be vulnerable to future events or may be
exposed to other factors that could reduce credit quality. |
R-2 (low) |
Lower end of adequate credit quality. The capacity for the payment of short-term financial obligations as they fall due is acceptable. May be vulnerable to future events.
A number of challenges are present that could affect the issuer’s ability to meet such
obligations. |
R-3 |
Lowest end of adequate credit quality. There is a capacity for the payment of short-term
financial obligations as they fall due. May be vulnerable to future events and the
certainty of meeting such obligations could be impacted by a variety of
developments. |
R-4 |
Speculative credit quality. The capacity for the payment of short-term financial obligations as they fall due is uncertain. |
R-5 |
Highly speculative credit quality. There is a high level of uncertainty as to the capacity
to meet short-term financial obligations as they fall due. |
D |
When the issuer has filed under any applicable bankruptcy, insolvency or winding up statute or there is a failure to satisfy an obligation after the exhaustion of grace periods,
a downgrade to D may occur. DBRS Morningstar may also use SD (Selective Default)
in cases where only some securities are impacted, such as the case of a “distressed
exchange.” |
AAA |
An obligation rated ‘AAA’ has the highest rating assigned by S&P Global Ratings. The
obligor’s capacity to meet its financial commitments on the obligation is extremely
strong. |
AA |
An obligation rated ‘AA’ differs from the highest-rated obligations only to a small
degree. The obligor’s capacity to meet its financial commitments on the obligation is
very strong. |
A |
An obligation rated ‘A’ is somewhat more susceptible to the adverse effects of changes
in circumstances and economic conditions than obligations in higher-rated categories.
However, the obligor’s capacity to meet its financial commitments on the
obligation is still strong. |
BBB |
An obligation rated ‘BBB’ exhibits adequate protection parameters. However, adverse
economic conditions or changing circumstances are more likely to weaken the obligor’s
capacity to meet its financial commitments on the obligation.
|
BB,B,CCC,CC and C |
Obligations rated ‘BB’, ‘B’, ‘CCC’, ‘CC’, and ‘C’ are regarded as having significant
speculative characteristics. ‘BB’ indicates the least degree of speculation and
‘C’ the highest. While such obligations will likely have some
quality and protective characteristics, these may be outweighed by large
uncertainties or major exposure to adverse conditions. |
BB |
An obligation rated ‘BB’ is less vulnerable to nonpayment than other speculative issues.
However, it faces major ongoing uncertainties or exposure to adverse business,
financial, or economic conditions that could lead to the obligor’s inadequate capacity
to meet its financial commitments on the obligation. |
B |
An obligation rated ‘B’ is more vulnerable to nonpayment than obligations rated ‘BB’,
but the obligor currently has the capacity to meet its financial commitments on the
obligation. Adverse business, financial, or economic conditions will likely
impair the obligor’s capacity or willingness to meet its financial
commitments on the obligation. |
CCC |
An obligation rated ‘CCC’ is currently vulnerable to nonpayment, and is dependent
upon favorable business, financial, and economic conditions for the obligor to meet its
financial commitments on the obligation. In the event of adverse business,
financial, or economic conditions, the obligor is not likely to have the
capacity to meet its financial commitments on the obligation.
|
CC |
An obligation rated ‘CC’ is currently highly vulnerable to nonpayment. The ‘CC’ rating
is used when a default has not yet occurred but S&P Global Ratings expects default to
be a virtual certainty, regardless of the anticipated time to
default. |
C |
An obligation rated ‘C’ is currently highly vulnerable to nonpayment, and the obligation
is expected to have lower relative seniority or lower ultimate recovery compared with
obligations that are rated higher. |
D |
An obligation rated ‘D’ is in default or in breach of an imputed promise. For non-hybrid
capital instruments, the ‘D’ rating category is used when payments on an
obligation are not made on the date due, unless S&P Global Ratings believes
that such payments will be made within five business days in the absence of a
stated grace period or within the earlier of the stated grace period or 30
calendar days. The ‘D’ rating also will be used upon the filing of a
bankruptcy petition or the taking of similar action and where default on an
obligation is a virtual certainty, for example due to automatic stay provisions. A
rating on an obligation is lowered to ‘D’ if it is subject to a distressed debt
restructuring. |
AAA |
HIGHEST CREDIT QUALITY. ‘AAA’ ratings denote the lowest expectation of default
risk. They are assigned only in cases of exceptionally strong capacity for payment of
financial commitments. This capacity is highly unlikely to be adversely affected
by foreseeable events. |
AA |
VERY HIGH CREDIT QUALITY. ‘AA’ ratings denote expectations of very low default
risk. They indicate very strong capacity for payment of financial commitments. This
capacity is not significantly vulnerable to foreseeable events.
|
A |
HIGH CREDIT QUALITY. ‘A’ ratings denote expectations of low default risk. The
capacity for payment of financial commitments is considered strong. This capacity may,
nevertheless, be more vulnerable to adverse business or economic conditions than
is the case for higher ratings. |
BBB |
GOOD CREDIT QUALITY. ‘BBB’ ratings indicate that expectations of default risk are
currently low. The capacity for payment of financial commitments is considered
adequate, but adverse business or economic conditions are more likely to impair this
capacity. |
BB |
SPECULATIVE. ‘BB’ ratings indicate an elevated vulnerability to default risk,
particularly in the event of adverse changes in business or economic conditions over
time; however, business or financial flexibility exists that supports the
servicing of financial commitments. |
B |
HIGHLY SPECULATIVE. ‘B’ ratings indicate that material default risk is present, but a
limited margin of safety remains. Financial commitments are currently being met;
however, capacity for continued payment is vulnerable to deterioration in the business
and economic environment. |
CCC |
SUBSTANTIAL CREDIT RISK. Default is a real possibility. |
CC |
VERY HIGH LEVELS OF CREDIT RISK. Default of some kind appears probable. |
C |
NEAR DEFAULT. A default or default-like process has begun, or the issuer is in standstill, or for a closed funding vehicle, payment capacity is irrevocably impaired.
Conditions that are indicative of a ‘C’ category rating for an issuer
include: |
|
•the issuer has entered into a grace or cure period following
non-payment of a material financial obligation;
•the issuer has entered into a temporary negotiated waiver or standstill agreement following a payment default on a material financial obligation; •the formal announcement by the issuer or their agent of a
distressed debt exchange; •a closed financing vehicle where payment capacity is irrevocably impaired such that it is not expected to pay interest and/or principal in full during the life of the transaction, but where no payment default is imminent. |
RD |
RESTRICTED DEFAULT. ‘RD’ ratings indicate an issuer that in Fitch’s opinion has
experienced: |
|
•an uncured payment default or distressed debt exchange on a
bond, loan or other material financial obligation, but
•has not entered into bankruptcy filings, administration, receivership, liquidation or
other formal winding-up procedure, and
•has not otherwise ceased operating. This would include: •the selective payment default on a specific class or currency
of debt; •the uncured expiry of any applicable grace period, cure period or default forbearance
period following a payment default on a bank loan, capital markets security or other
material financial obligation;
•the extension of multiple waivers or forbearance periods upon a payment default on one or more material financial obligations, either in series or in parallel; ordinary execution of a distressed debt exchange on one or more material financial obligations. |
D |
DEFAULT. ‘D’ ratings indicate an issuer that in Fitch Ratings’ opinion has entered
into bankruptcy filings, administration, receivership, liquidation or other formal
winding-up procedure or that has otherwise ceased business. |
Aaa |
Obligations rated Aaa are judged to be of the highest quality, with minimal risk. |
Aa |
Obligations rated Aa are judged to be of high quality and are subject to very low credit
risk. |
A |
Obligations rated A are judged to be upper-medium-grade and are subject to low credit risk. |
Baa |
Obligations rated Baa are subject to moderate credit risk. They are considered medium- grade and as such may possess certain speculative characteristics. |
Ba |
Obligations rated Ba are judged to have speculative elements and are subject to substantial credit risk. |
B |
Obligations rated B are considered speculative and are subject to high credit risk. |
Caa |
Obligations rated Caa are judged to be of poor standing and are subject to very high credit risk. |
Ca |
Obligations rated Ca are highly speculative and are likely in, or very near, default, with
some prospect of recovery in principal and interest. |
C |
Obligations rated C are the lowest-rated class of bonds and are typically in default, with
little prospect for recovery of principal or interest. |
AAA |
Highest credit quality. The capacity for the payment of financial obligations is exceptionally high and unlikely to be adversely affected by future events. |
AA |
Superior credit quality. The capacity for the payment of financial obligations is considered high. Credit quality differs from AAA only to a small degree. Unlikely to be
significantly vulnerable to future events. |
A |
Good credit quality. The capacity for the payment of financial obligations is substantial,
but of lesser credit quality than AA. May be vulnerable to future events, but qualifying
negative factors are considered manageable. |
BBB |
Adequate credit quality. The capacity for the payment of financial obligations is considered acceptable. May be vulnerable to future events. |
BB |
Speculative, non-investment grade credit quality. The capacity for the payment of financial obligations is uncertain. Vulnerable to future events. |
B |
Highly speculative credit quality. There is a high level of uncertainty as to the capacity
to meet financial obligations. |
CCC/CC/C |
Very highly speculative credit quality. In danger of defaulting on financial obligations.
There is little difference between these three categories, although CC and C ratings are
normally applied to obligations that are seen as highly likely to default, or
subordinated to obligations rated in the CCC to B range. Obligations in respect
of which default has not technically taken place but is considered inevitable
may be rated in the C category. |
D |
When the issuer has filed under any applicable bankruptcy, insolvency or winding up statute or there is a failure to satisfy an obligation after the exhaustion of grace periods,
a downgrade to D may occur. DBRS Morningstar may also use SD (Selective Default)
in cases where only some securities are impacted, such as the case of a “distressed
exchange.” |
AAA |
An insurer rated ‘AAA’ has extremely strong financial security characteristics. ‘AAA’ is
the highest insurer financial strength rating assigned by S&P Global Ratings.
|
AA |
An insurer rated ‘AA’ has very strong financial security characteristics, differing only
slightly from those rated higher. |
A |
An insurer rated ‘A’ has strong financial security characteristics, but is somewhat more
likely to be affected by adverse business conditions than are insurers with higher
ratings. |
BBB |
An insurer rated ‘BBB’ has good financial security characteristics, but is more likely to
be affected by adverse business conditions than are higher-rated insurers. |
BB, B, CCC, and CC |
An insurer rated ‘BB’ or lower is regarded as having vulnerable characteristics that may
outweigh its strengths, ‘BB’ indicates the least degree of vulnerability within
the range and ‘CC’ the highest. |
BB |
An insurer rated ‘BB’ has marginal financial security characteristics. Positive attributes
exist, but adverse business conditions could lead to insufficient ability to meet financial
commitments. |
B |
An insurer rated ‘B’ has weak financial security characteristics. Adverse business
conditions will likely impair its ability to meet financial commitments. |
CCC |
An insurer rated ‘CCC’ has very weak financial security characteristics, and is
dependent on favorable business conditions to meet financial commitments. |
CC |
An insurer rated ‘CC’ has extremely weak financial security characteristics and is likely
not to meet some of its financial commitments. |
SD and D |
An insurer rated ‘SD’ (selective default) or ‘D’ is in default on one or more of its
insurance policy obligations.
The ‘D’ rating also will be used upon the filing of a bankruptcy petition or the
taking of similar action if payments on a policy obligation are at risk. A
‘D’ rating is assigned when S&P Global Ratings believes that the
default will be a general default and that the obligor will fail to pay
substantially all of its obligations in full in accordance with the policy
terms. An ‘SD’ rating is assigned when S&P Global Ratings
believes that the insurer has selectively defaulted on a specific class of
policies but it will continue to meet its payment obligations on other classes
of obligations. An ‘SD’ includes the completion of a distressed debt
restructuring. Claim denials due to lack of coverage or other legally permitted
defenses are not considered defaults. |
AAA |
EXCEPTIONALLY STRONG. ‘AAA’ IFS Ratings denote the lowest expectation of ceased or interrupted payments. They are assigned only in the case of exceptionally strong capacity to meet policyholder and contract obligations. This capacity is highly
unlikely to be adversely affected by foreseeable events. |
AA |
VERY STRONG. ‘AA’ IFS Ratings denote a very low expectation of ceased or interrupted payments. They indicate very strong capacity to meet policyholder and contract obligations. This capacity is not significantly vulnerable to foreseeable events. |
A |
STRONG. ‘A’ IFS Ratings denote a low expectation of ceased or interrupted payments.
They indicate strong capacity to meet policyholder and contract obligations. This
capacity may, nonetheless, be more vulnerable to changes in circumstances or in
economic conditions than is the case for higher ratings. |
BBB |
GOOD. ‘BBB’ IFS Ratings indicate that there is currently a low expectation of ceased
or interrupted payments. The capacity to meet policyholder and contract obligations on
a timely basis is considered adequate, but adverse changes in circumstances and
economic conditions are more likely to impact this capacity. |
BB |
MODERATELY WEAK. ‘BB’ IFS Ratings indicate that there is an elevated vulnerability to ceased or interrupted payments, particularly as the result of adverse
economic or market changes over time. However, business or financial alternatives may
be available to allow for policyholder and contract obligations to be met in a
timely manner. |
B |
WEAK. ‘B’ IFS Ratings indicate two possible conditions. If obligations are still being
met on a timely basis, there is significant risk that ceased or interrupted payments could
occur in the future, but a limited margin of safety remains. Capacity for
continued timely payments is contingent upon a sustained, favorable business and
economic environment, and favorable market conditions. Alternatively, a
‘B’ IFS Rating is assigned to obligations that have experienced
ceased or interrupted payments, but with the potential for extremely high
recoveries. Such obligations would possess a recovery assessment of
‘RR1’ (Outstanding). |
CCC |
VERY WEAK. ‘CCC’ IFS Ratings indicate two possible conditions. If obligations are
still being met on a timely basis, there is a real possibility that ceased or interrupted
payments could occur in the future. Capacity for continued timely payments is
solely reliant upon a sustained, favorable business and economic environment,
and favorable market conditions. Alternatively, a ‘CCC’ IFS Rating
is assigned to obligations that have experienced ceased or interrupted payments,
and with the potential for average to superior recoveries. Such obligations
would possess a recovery assessment of ‘RR2’ (Superior),
‘RR3’ (Good), and ‘RR4’ (Average). |
CC |
EXTREMELY WEAK. ‘CC’ IFS Ratings indicate two possible conditions. If obligations are still being met on a timely basis, it is probable that ceased or interrupted
payments will occur in the future. Alternatively, a ‘CC’ IFS Rating is assigned to
obligations that have experienced ceased or interrupted payments, with the
potential for average to below-average recoveries. Such obligations would
possess a recovery assessment of ‘RR4’ (Average) or
‘RR5’ (Below Average). |
C |
DISTRESSED. ‘C’ IFS Ratings indicate two possible conditions. If obligations are still
being met on a timely basis, ceased or interrupted payments are imminent. Alternatively,
a ‘C’ IFS Rating is assigned to obligations that have experienced
ceased or interrupted payments, and with the potential for below average to poor
recoveries. Such obligations would possess a recovery assessment of
‘RR5’ (Below Average) or ‘RR6’ (Poor). |
F1 |
Insurers are viewed as having a strong capacity to meet their near-term obligations. When an insurer rated in this rating category is designated with a (+) sign, it is viewed
as having a very strong capacity to meet near-term obligations. |
F2 |
Insurers are viewed as having a good capacity to meet their near-term obligations. |
F3 |
Insurers are viewed as having an adequate capacity to meet their near-term obligations. |
B |
Insurers are viewed as having a weak capacity to meet their near-term obligations. |
C |
Insurers are viewed as having a very weak capacity to meet their near-term obligations. |
RR1 |
OUTSTANDING RECOVERY PROSPECTS GIVEN DEFAULT. ‘RR1’ rated securities have characteristics consistent with securities historically recovering 91%–100% of
current principal and related interest. |
RR2 |
SUPERIOR RECOVERY PROSPECTS GIVEN DEFAULT. ‘RR2’ rated securities have characteristics consistent with securities historically recovering 71%–90% of current
principal and related interest. |
RR3 |
GOOD RECOVERY PROSPECTS GIVEN DEFAULT. ‘RR3’ rated securities have characteristics consistent with securities historically recovering 51%–70% of current
principal and related interest. |
RR4 |
AVERAGE RECOVERY PROSPECTS GIVEN DEFAULT. ‘RR4’ rated securities have characteristics consistent with securities historically recovering 31%–50% of current
principal and related interest. |
RR5 |
BELOW AVERAGE RECOVERY PROSPECTS GIVEN DEFAULT. ‘RR5’ rated securities have characteristics consistent with securities historically recovering 11%–
30% of current principal and related interest. |
RR6 |
POOR RECOVERY PROSPECTS GIVEN DEFAULT. ‘RR6’ rated securities have characteristics consistent with securities historically recovering 0%–10% of current
principal and related interest. |
Aaa |
Insurance companies rated Aaa are judged to be of the highest quality, subject to the
lowest level of credit risk. |
Aa |
Insurance companies rated Aa are judged to be of high quality and are subject to very low credit risk. |
A |
Insurance companies rated A are judged to be upper-medium grade and are subject to low credit risk. |
Baa |
Insurance companies rated Baa are judged to be medium-grade and subject to moderate credit risk and as such may possess certain speculative characteristics. |
Ba |
Insurance companies rated Ba are judged to be speculative and are subject to substantial
credit risk. |
B |
Insurance companies rated B are considered speculative and are subject to high credit risk. |
Caa |
Insurance companies rated Caa are judged to be speculative of poor standing and are subject to very high credit risk. |
Ca |
Insurance companies rated Ca are highly speculative and are likely in, or very near, default, with some prospect of recovery of principal and interest. |
C |
Insurance companies rated C are the lowest rated and are typically in default, with little
prospect for recovery of principal or interest. |
P-1 |
Ratings of Prime-1 reflect a superior ability to repay short-term debt obligations. |
P-2 |
Ratings of Prime-2 reflect a strong ability to repay short-term debt obligations. |
P-3 |
Ratings of Prime-3 reflect an acceptable ability to repay short-term obligations. |
P-4 |
Issuers (or supporting institutions) rated Not Prime do not fall within any of the Prime
rating categories. |
SP-1 |
Strong capacity to pay principal and interest. An issue determined to possess a very strong capacity to pay debt service is given a plus (+) designation. |
SP-2 |
Satisfactory capacity to pay principal and interest, with some vulnerability to adverse
financial and economic changes over the term of the notes. |
SP-3 |
Speculative capacity to pay principal and interest. |
D |
‘D’ is assigned upon failure to pay the note when due, completion of a distressed
debt restructuring, or the filing of a bankruptcy petition or the taking of
similar action and where default on an obligation is a virtual certainty, for
example, due to automatic stay provisions. |
MIG 1 |
This designation denotes superior credit quality. Excellent protection is afforded by established cash flows, highly reliable liquidity support or demonstrated broad-based access to the market for refinancing. |
MIG 2 |
This designation denotes strong credit quality. Margins of protection are ample, although not as large as in the preceding group. |
MIG 3 |
This designation denotes acceptable credit quality. Liquidity and cash-flow protection
may be narrow, and market access for refinancing is likely to be less
well-established. |
SG |
This designation denotes speculative-grade credit quality. Debt instruments in this category may lack sufficient margins of protection. |
VMIG 1 |
This designation denotes superior credit quality. Excellent protection is afforded by the
superior short-term credit strength of the liquidity provider and structural and legal
protections that ensure the timely payment of purchase price upon
demand. |
VMIG 2 |
This designation denotes strong credit quality. Good protection is afforded by the strong
short-term credit strength of the liquidity provider and structural and legal protections
that ensure the timely payment of purchase price upon demand.
|
VMIG 3 |
This designation denotes acceptable credit quality. Adequate protection is afforded by
the satisfactory short-term credit strength of the liquidity provider and structural and
legal protections that ensure the timely payment of purchase price upon
demand. |
SG |
This designation denotes speculative-grade credit quality. Demand features rated in this
category may be supported by a liquidity provider that does not have a sufficiently
strong short-term rating or may lack the structural or legal protections
necessary to ensure the timely payment of purchase price upon
demand. |
Pfd-1 |
Preferred shares rated Pfd-1 are generally of superior credit quality, and are supported
by entities with strong earnings and balance sheet characteristics. Pfd-1 ratings
generally correspond with issuers with a AAA or AA category reference
point1.
|
Pfd-2 |
Preferred shares rated Pfd-2 are generally of good credit quality. Protection of dividends
and principal is still substantial, but earnings, the balance sheet and coverage ratios are
not as strong as Pfd-1 rated companies. Generally, Pfd-2 ratings correspond with
issuers with an A category or higher reference point. |
Pfd-3 |
Preferred shares rated Pfd-3 are generally of adequate credit quality. While protection of
dividends and principal is still considered acceptable, the issuing entity is more
susceptible to adverse changes in financial and economic conditions, and there
may be other adverse conditions present which detract from debt protection.
Pfd-3 ratings generally correspond with issuers with a BBB category or higher
reference point. |
Pfd-4 |
Preferred shares rated Pfd-4 are generally speculative, where the degree of protection
afforded to dividends and principal is uncertain, particularly during periods of economic
adversity. Issuers with preferred shares rated Pfd-4 generally correspond with
issuers with a BB category or higher reference point. |
Pfd-5 |
Preferred shares rated Pfd-5 are generally highly speculative and the ability of the entity
to maintain timely dividend and principal payments in the future is highly uncertain.
Entities with a Pfd-5 rating generally correspond with issuers with a B category
or higher reference point. Preferred shares rated Pfd-5 often have
characteristics that, if not remedied, may lead to default. |
D |
When the issuer has filed under any applicable bankruptcy, insolvency or winding up or
the issuer is in default per the legal documents, a downgrade to D may occur. Because
preferred share dividends are only payable when approved, the non-payment of a
preferred share dividend does not necessarily result in a D. DBRS Morningstar
may also use SD (Selective Default) in cases where only some securities are
impacted, such as the case of a “distressed exchange”. See the
Default Definition document posted on the website for more
information. |