FORM |
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REGISTRATION STATEMENT |
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UNDER THE SECURITIES ACT OF 1933 |
☒ |
PRE-EFFECTIVE AMENDMENT NO. |
☐ |
POST-EFFECTIVE AMENDMENT NO. 25 |
☒ |
And |
|
REGISTRATION STATEMENT |
|
UNDER THE INVESTMENT COMPANY ACT OF 1940 |
☒ |
AMENDMENT NO. 27 |
☒ |
☒ |
immediately upon filing pursuant to paragraph (b) |
☐ |
on(date) pursuant to paragraph (b) |
☐ |
60 days after filing pursuant to paragraph (a)(1) |
☐ |
on (date) pursuant to paragraph (a)(1) |
☐ |
75 days after filing pursuant to paragraph (a)(2) |
☐ |
on (date) pursuant to paragraph (a)(2) of rule 485 |
☐ |
this post-effective amendment designates a new effective date for a previously filed post-effective amendment. |
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Page |
Summary Section |
1 |
Investment Objective |
1 |
Fund Fees and Expenses |
1 |
Principal Investment Strategies |
3 |
Principal Risks of Investing in the Fund |
4 |
Fund Performance |
13 |
Investment Management |
16 |
Purchase and Sale of Fund Shares |
16 |
Tax Information |
17 |
Payments to Broker-Dealers and Other Financial Intermediaries |
17 |
Investment Objective, Principal Investment Strategies and Related Risks |
17 |
Objective |
17 |
Principal Investment Strategies |
17 |
Principal Risks of Investing in the Fund |
24 |
Additional Investment Information |
45 |
Management of the Fund |
46 |
The Advisor and Subadvisors |
46 |
Portfolio Managers |
47 |
Pricing of Fund Shares |
47 |
How to Purchase, Exchange and Sell Fund Shares |
50 |
Purchase Minimums |
50 |
Purchasing the Class of Fund Shares that is Best for You |
50 |
How to Purchase Fund Shares |
60 |
Additional Information on Purchase of Fund Shares |
62 |
Exchange Privilege |
63 |
How to Sell Fund Shares |
64 |
Frequent Purchases and Redemptions of Fund Shares |
67 |
Additional Information |
68 |
Distribution Plan |
68 |
Shareholder Services Plan |
69 |
Networking and Sub-Transfer Agency Fees |
69 |
Other Compensation |
69 |
Dividends and Distributions |
69 |
Tax Considerations |
70 |
Financial Highlights |
73 |
APPENDIX: SALES CHARGE REDUCTIONS AND WAIVERS AVAILABLE THROUGH CERTAIN INTERMEDIARIES |
78 |
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Class A |
Class C |
Class F(1) |
Class I |
Class R |
Class Z |
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Maximum Sales Charge (Load) Imposed On Purchases (as % of offering price) |
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Maximum Deferred Sales Charge (Load) (as % of the net asset value at the time of purchase or redemption, whichever is lower) |
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Class A |
Class C |
Class F(1) |
Class I |
Class R |
Class Z |
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Management Fee |
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Distribution (12b-1) Fees |
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Other Expenses: |
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Class A |
Class C |
Class F(1) |
Class I |
Class R |
Class Z |
Shareholder Service Fee |
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Other Expenses |
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Total Other Expenses |
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Total Annual Fund Operating Expenses(5) |
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Fee Waiver/Expense Reimbursement(5) |
( |
( |
( |
( |
( |
( |
Total Annual Fund Operating Expenses (after fee waiver/expense reimbursement)(5) |
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1 Year |
3 Years |
5 Years |
10 Years |
Class A Shares |
$ |
$ |
$ |
$ |
Class F Shares |
$ |
$ |
$ |
$ |
Class I Shares |
$ |
$ |
$ |
$ |
Class R Shares |
$ |
$ |
$ |
$ |
Class Z Shares |
$ |
$ |
$ |
$ |
Class C Shares |
$ |
$ |
$ |
$ |
Class C Shares |
$ |
$ |
$ |
$ |
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quarter ended |
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- |
quarter ended |
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as of |
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1 Year |
5 Years |
10 Years |
Class A Shares |
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Return Before Taxes |
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Return After Taxes on Distributions |
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Return After Taxes on Distributions and Sale of Fund Shares |
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Class C Shares |
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Return Before Taxes |
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Class I Shares |
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Return Before Taxes |
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Class R Shares |
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Return Before Taxes |
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(1) |
Class Z Shares |
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Return Before Taxes |
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Linked Blended Benchmark (reflects no deduction for fees, expenses or taxes) |
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1 Year |
5 Years |
10 Years |
S&P 500® Index (reflects no deduction for fees, expenses or taxes) |
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MSCI World Index-net (reflects no deduction for fees, expenses or taxes) |
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Class A and C Shares |
Class I Shares |
Class F, R and Z Shares |
Minimum Initial Investment |
• No minimum |
• $100,000 (aggregate for registered advisors) |
• No minimum |
Minimum Subsequent Investment |
• No minimum • $100 for Automatic Investment Plans |
• No minimum • $500 for Automatic Investment Plans |
• No minimum • $50 for Automatic Investment Plans |
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Class A and C Shares |
Class I Shares |
Class F, R and Z Shares |
Minimum Initial Investment |
• No minimum |
• $100,000 (aggregate for registered advisors) |
• No minimum |
Minimum Subsequent Investment |
• No minimum • $100 for Automatic Investment Plans |
• No minimum • $500 for Automatic Investment Plans |
• No minimum • $50 for Automatic Investment Plans |
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Class A Shares |
Class C Shares |
Class F Shares |
Class I Shares |
Class R Shares |
Class Z Shares |
Eligibility |
Generally available through financial intermediaries |
Generally available through financial intermediaries |
Available through financial intermediaries with a selling agreement with the Distributor |
Limited to: • Current Institutional shareholders that meet certain requirements • Certain employer- sponsored retirement and benefit plans • Participants in certain programs sponsored by the Advisor or its affiliates or other financial intermediaries • Clients of financial intermediaries who have an agreement with the Fund’s Distributor to offer the Fund’s shares on a brokerage platform when such financial intermediary is acting as an |
Available through certain group retirement and benefit plans Generally not available for purchase by traditional and Roth individual retirement accounts known as “IRAs” |
Available through certain group retirement and benefit plans with a selling agreement with the Distributor Generally not available for purchase by traditional and Roth individual retirement accounts known as “IRAs” |
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Class A Shares |
Class C Shares |
Class F Shares |
Class I Shares |
Class R Shares |
Class Z Shares |
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agent for the client • Certain employees of the Advisor or its affiliates |
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Minimum Investment1 |
Initial investment: • No minimum Subsequent investment: • No minimum • $100 for Automatic Investment Plans |
Initial investment: • No minimum Subsequent investment: • No minimum • $100 for Automatic Investment Plans |
Initial investment: • No minimum Subsequent investment: • No minimum • $50 for Automatic Investment Plans |
Initial investment: • $100,000 (aggregate for registered advisors) Subsequent investment: • No minimum • $500 for Automatic Investment Plans |
Initial investment: • No minimum Subsequent investment: • No minimum • $50 for Automatic Investment Plans |
Initial Investment: • No minimum Subsequent investment: • No minimum • $50 for Automatic Investment Plans |
Initial Sales Charge2 |
Yes. Paid at the time you purchase your investment. Larger purchases may receive a lower sales charge |
No. Full purchase price is invested in the Fund |
No. Full purchase price is invested in the Fund |
No. Full purchase price is invested in the Fund |
No. Full purchase price is invested in the Fund |
No. Full purchase price is invested in the Fund |
Contingent Deferred Sales Charge (“CDSC”)3 |
No. (You may pay a deferred sales charge for purchases of $1 million or more that are redeemed within 1 year of purchase) |
Yes. If you redeem your shares within 1 year of purchase you will be charged a 1% CDSC |
No |
No |
No |
No |
Distribution (12b-1) Fees4 |
0.25% |
0.75% |
None |
None |
0.50% |
None |
Shareholder Service Fees5 |
Up to 0.10% |
Up to 0.25% |
None |
Up to 0.10% |
None |
None |
Redemption Fee |
No |
No |
No |
No |
No |
No |
Advantages |
• You may qualify for a reduced initial sales charge due to the size of your investment |
• No initial sales charge, so all of your assets are initially invested • If you hold your shares for at least one year from the date of purchase, you will not pay a sales charge • Class C shares may appeal to investors who have a shorter investment horizon relative to Class A share |
• No initial sales charge, so all of your assets are initially invested • No distribution or shareholder service fees |
• No initial sales charge, so all of your assets are initially invested • No distribution fees |
• No initial sales charge, so all of your assets are initially invested • No shareholder service fees |
• No initial sales charge, so all of your assets are initially invested • No distribution or shareholder service fees |
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Class A Shares |
Class C Shares |
Class F Shares |
Class I Shares |
Class R Shares |
Class Z Shares |
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investors |
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Disadvantages |
• You pay a sales charge up front and therefore own fewer shares initially • You will pay on-going distribution expenses, which may result in lower total performance than share classes that do not pay these fees |
• You may pay a contingent deferred sales charge if shares are sold within one year of purchase • You will pay on-going distribution expenses, which may result in lower total performance than share classes that do not pay these fees |
• Limited Availability |
• Limited Availability |
• Limited Availability • You will pay on-going distribution expenses, which may result in lower total performance than share classes that do not pay these fees |
• Limited Availability |
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SALES CHARGE AS A PERCENTAGE OF | |
INVESTMENT AMOUNT |
OFFERING PRICE* |
NET AMOUNT INVESTED |
Less than $100,000 |
4.50 % |
4.71 % |
$100,000 but less than $250,000 |
3.75 % |
3.90 % |
$250,000 but less than $500,000 |
2.75 % |
2.83 % |
$500,000 but less than $1 million |
2.00 % |
2.04 % |
$1 million or more |
None |
None |
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Class A | ||||
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For the Year Ended November 30, | ||||
Per Share Operating Data: |
2023 |
2022 |
2021 |
2020 |
2019 |
Net asset value, beginning of year |
$8.34 |
$6.58 |
$4.91 |
$6.78 |
$7.80 |
Income (loss) from investment operations: |
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Net investment income (loss)(a) |
0.12 |
0.09 |
0.06 |
0.03 |
0.11 |
Net realized and unrealized gain (loss) |
0.16 |
1.93 |
1.85 |
(1.55 ) |
(0.81 ) |
Total from investment operations |
0.28 |
2.02 |
1.91 |
(1.52 ) |
(0.70 ) |
Less dividends and distributions to shareholders from: |
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Net investment income |
(0.29 ) |
(0.13 ) |
(0.08 ) |
(0.02 ) |
(0.09 ) |
Tax return of capital |
— |
(0.13 ) |
(0.16 ) |
(0.33 ) |
(0.23 ) |
Total dividends and distributions to shareholders |
(0.29 ) |
(0.26 ) |
(0.24 ) |
(0.35 ) |
(0.32 ) |
Net increase (decrease) in net asset value |
(0.01 ) |
1.76 |
1.67 |
(1.87 ) |
(1.02 ) |
Net asset value, end of year |
$8.33 |
$8.34 |
$6.58 |
$4.91 |
$6.78 |
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Total return(b),(c) |
3.68 % |
31.26 % |
39.44 % |
-21.88 % |
-9.42 % |
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Ratios/Supplemental Data: |
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Net assets, end of year (in millions) |
$14.1 |
$17.7 |
$12.7 |
$9.9 |
$15.0 |
Ratios to average daily net assets: |
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Expenses (before expense reduction) |
1.51 % |
1.55 % |
1.68 % |
1.59 % |
1.44 % |
Expenses (net of expense reduction) |
1.25 % |
1.25 % |
1.25 % |
1.26 % |
1.25 % |
Net investment income (loss) (before expense reduction) |
1.28 % |
0.86 % |
0.51 % |
0.28 % |
1.23 % |
Net investment income (loss) (net of expense reduction) |
1.54 % |
1.16 % |
0.94 % |
0.61 % |
1.42 % |
Portfolio turnover rate |
74 % |
58 % |
94 % |
105 % |
90 % |
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Class C | ||||
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For the Year Ended November 30, | ||||
Per Share Operating Data: |
2023 |
2022 |
2021 |
2020 |
2019 |
Net asset value, beginning of year |
$8.31 |
$6.56 |
$4.89 |
$6.74 |
$7.76 |
Income (loss) from investment operations: |
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Net investment income (loss)(a) |
0.07 |
0.04 |
0.02 |
(0.00 )(b) |
0.06 |
Net realized and unrealized gain (loss) |
0.17 |
1.91 |
1.85 |
(1.54 ) |
(0.81 ) |
Total from investment operations |
0.24 |
1.95 |
1.87 |
(1.54 ) |
(0.75 ) |
Less dividends and distributions to shareholders from: |
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Net investment income |
(0.24 ) |
(0.07 ) |
(0.04 ) |
— |
(0.04 ) |
Tax return of capital |
— |
(0.13 ) |
(0.16 ) |
(0.31 ) |
(0.23 ) |
Total dividends and distributions to shareholders |
(0.24 ) |
(0.20 ) |
(0.20 ) |
(0.31 ) |
(0.27 ) |
Net increase (decrease) in net asset value |
0.00 |
1.75 |
1.67 |
(1.85 ) |
(1.02 ) |
Net asset value, end of year |
$8.31 |
$8.31 |
$6.56 |
$4.89 |
$6.74 |
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Total return(c),(d) |
3.09 % |
30.26 % |
38.69 % |
-22.32 % |
-10.07 % |
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Ratios/Supplemental Data: |
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Net assets, end of year (in millions) |
$4.8 |
$6.0 |
$5.8 |
$5.9 |
$8.7 |
Ratios to average daily net assets: |
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Expenses (before expense reduction) |
2.16 % |
2.20 % |
2.33 % |
2.24 % |
2.09 % |
Expenses (net of expense reduction) |
1.90 % |
1.90 % |
1.90 % |
1.91 % |
1.90 % |
Net investment income (loss) (before expense reduction) |
0.62 % |
0.20 % |
(0.12 )% |
(0.43 )% |
0.53 % |
Net investment income (loss) (net of expense reduction) |
0.88 % |
0.50 % |
0.31 % |
(0.10 )% |
0.72 % |
Portfolio turnover rate |
74 % |
58 % |
94 % |
105 % |
90 % |
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Class I | ||||
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For the Year Ended November 30, | ||||
Per Share Operating Data: |
2023 |
2022 |
2021 |
2020 |
2019 |
Net asset value, beginning of year |
$8.35 |
$6.59 |
$4.92 |
$6.79 |
$7.82 |
Income (loss) from investment operations: |
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Net investment income (loss)(a) |
0.15 |
0.12 |
0.08 |
0.05 |
0.13 |
Net realized and unrealized gain (loss) |
0.16 |
1.92 |
1.85 |
(1.55 ) |
(0.81 ) |
Total from investment operations |
0.31 |
2.04 |
1.93 |
(1.50 ) |
(0.68 ) |
Less dividends and distributions to shareholders from: |
|
|
|
|
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Net investment income |
(0.32 ) |
(0.15 ) |
(0.10 ) |
(0.04 ) |
(0.12 ) |
Tax return of capital |
— |
(0.13 ) |
(0.16 ) |
(0.33 ) |
(0.23 ) |
Total dividends and distributions to shareholders |
(0.32 ) |
(0.28 ) |
(0.26 ) |
(0.37 ) |
(0.35 ) |
Net increase (decrease) in net asset value |
(0.01 ) |
1.76 |
1.67 |
(1.87 ) |
(1.03 ) |
Net asset value, end of year |
$8.34 |
$8.35 |
$6.59 |
$4.92 |
$6.79 |
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Total return(b) |
4.04 % |
31.66 % |
39.81 % |
-21.45 % |
-9.22 % |
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Ratios/Supplemental Data: |
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Net assets, end of year (in millions) |
$95.0 |
$119.9 |
$83.8 |
$73.1 |
$160.3 |
Ratios to average daily net assets: |
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Expenses (before expense reduction) |
1.24 % |
1.28 % |
1.40 % |
1.30 % |
1.14 % |
Expenses (net of expense reduction) |
0.90 % |
0.90 % |
0.90 % |
0.91 % |
0.90 % |
Net investment income (loss) (before expense reduction) |
1.53 % |
1.14 % |
0.77 % |
0.61 % |
1.50 % |
Net investment income (loss) (net of expense reduction) |
1.87 % |
1.52 % |
1.27 % |
1.00 % |
1.74 % |
Portfolio turnover rate |
74 % |
58 % |
94 % |
105 % |
90 % |
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Class R | ||||
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For the Year Ended November 30, | ||||
Per Share Operating Data: |
2023 |
2022 |
2021 |
2020 |
2019 |
Net asset value, beginning of year |
$8.36 |
$6.60 |
$4.92 |
$6.78 |
$7.80 |
Income (loss) from investment operations: |
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|
|
|
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Net investment income (loss)(a) |
0.11 |
0.08 |
0.05 |
0.03 |
0.09 |
Net realized and unrealized gain (loss) |
0.17 |
1.92 |
1.86 |
(1.56 ) |
(0.80 ) |
Total from investment operations |
0.28 |
2.00 |
1.91 |
(1.53 ) |
(0.71 ) |
Less dividends and distributions to shareholders from: |
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|
|
|
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Net investment income |
(0.28 ) |
(0.11 ) |
(0.07 ) |
(0.00 )(b) |
(0.08 ) |
Tax return of capital |
— |
(0.13 ) |
(0.16 ) |
(0.33 ) |
(0.23 ) |
Total dividends and distributions to shareholders |
(0.28 ) |
(0.24 ) |
(0.23 ) |
(0.33 ) |
(0.31 ) |
Net increase (decrease) in net asset value |
0.00 |
1.76 |
1.68 |
(1.86 ) |
(1.02 ) |
Net asset value, end of year |
$8.36 |
$8.36 |
$6.60 |
$4.92 |
$6.78 |
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Total return(c) |
3.62 % |
30.94 % |
39.33 % |
-21.98 % |
-9.59 % |
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Ratios/Supplemental Data: |
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Net assets, end of year (in 000’s) |
$287.0 |
$300.5 |
$204.4 |
$150.5 |
$888.4 |
Ratios to average daily net assets: |
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|
|
Expenses (before expense reduction) |
1.65 % |
1.70 % |
1.83 % |
1.74 % |
1.59 % |
Expenses (net of expense reduction) |
1.40 % |
1.40 % |
1.40 % |
1.41 % |
1.40 % |
Net investment income (loss) (before expense reduction) |
1.13 % |
0.70 % |
0.36 % |
0.23 % |
0.98 % |
Net investment income (loss) (net of expense reduction) |
1.38 % |
1.00 % |
0.79 % |
0.56 % |
1.17 % |
Portfolio turnover rate |
74 % |
58 % |
94 % |
105 % |
90 % |
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Class Z | ||||
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For the Year Ended November 30, | ||||
Per Share Operating Data: |
2023 |
2022 |
2021 |
2020 |
2019 |
Net asset value, beginning of year |
$8.36 |
$6.60 |
$4.92 |
$6.80 |
$7.82 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)(a) |
0.15 |
0.06 |
0.07 |
0.05 |
0.13 |
Net realized and unrealized gain (loss) |
0.16 |
1.98 |
1.87 |
(1.56 ) |
(0.80 ) |
Total from investment operations |
0.31 |
2.04 |
1.94 |
(1.51 ) |
(0.67 ) |
Less dividends and distributions to shareholders from: |
|
|
|
|
|
Net investment income |
(0.32 ) |
(0.15 ) |
(0.10 ) |
(0.04 ) |
(0.12 ) |
Tax return of capital |
— |
(0.13 ) |
(0.16 ) |
(0.33 ) |
(0.23 ) |
Total dividends and distributions to shareholders |
(0.32 ) |
(0.28 ) |
(0.26 ) |
(0.37 ) |
(0.35 ) |
Net increase (decrease) in net asset value |
(0.01 ) |
1.76 |
1.68 |
(1.88 ) |
(1.02 ) |
Net asset value, end of year |
$8.35 |
$8.36 |
$6.60 |
$4.92 |
$6.80 |
|
|
|
|
|
|
Total return(b) |
4.04 % |
31.62 % |
40.02 % |
-21.57 % |
-9.08 % |
|
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|
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|
|
Ratios/Supplemental Data: |
|
|
|
|
|
Net assets, end of year (in 000’s) |
$45.3 |
$59.0 |
$719.5 |
$483.8 |
$420.5 |
Ratios to average daily net assets: |
|
|
|
|
|
Expenses (before expense reduction) |
1.16 % |
1.20 % |
1.33 % |
1.24 % |
1.09 % |
Expenses (net of expense reduction) |
0.90 % |
0.90 % |
0.90 % |
0.91 % |
0.90 % |
Net investment income (loss) (before expense reduction) |
1.62 % |
0.57 % |
0.73 % |
0.68 % |
1.51 % |
Net investment income (loss) (net of expense reduction) |
1.88 % |
0.87 % |
1.16 % |
1.01 % |
1.70 % |
Portfolio turnover rate |
74 % |
58 % |
94 % |
105 % |
90 % |
|
⎢ |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢ |
⎢ |
| |||
Name |
Social Security Number** |
Date of Birth | |||||||||||||
|
⎢ |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢ |
⎢ |
| |||
Name of Joint Owner, if any |
Social Security Number** |
Date of Birth | |||||||||||||
Citizenship: |
☐ U.S. Citizen |
☐ Resident Alien |
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Country of Citizenship |
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⎢ |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢ |
⎢ |
| |||
Custodian’s name (only one permitted) |
Social Security Number** |
Date of Birth | |||||||||||||
|
⎢ |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢ |
⎢ |
| |||
Minor’s name (only one permitted) |
Social Security Number** |
Date of Birth | |||||||||||||
under the |
|
Uniform Gifts/Transfers to Minors Act | |||||||||||||
(state residence of minor) |
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Citizenship of custodian: |
☐ U.S. Citizen |
☐ Resident Alien |
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Country of Citizenship | ||||||
Citizenship of minor: |
☐ U.S. Citizen |
☐ Resident Alien |
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Country of Citizenship |
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Name of Trust, Corporation or Other Entity |
Tax Identification Number** |
Date of Trust Agreement |
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⎢ |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢ |
⎢ |
| |||
Authorized Individual/Trustee |
Social Security Number* |
Date of Birth | |||||||||||||
|
⎢ |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢ |
⎢ |
| |||
Authorized Individual/Trustee |
Social Security Number* |
Date of Birth | |||||||||||||
Citizenship: |
☐ U.S. Citizen |
☐ Resident Alien |
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Country of Citizenship |
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( ) | ||||||
Street |
Home Telephone Number | ||||||
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( ) | ||||||
City and State |
Zip Code |
Business Telephone Number | |||||
Mailing Address |
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City |
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State |
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Zip |
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| |||||||
Joint Registrant Street Address (required if different than Registrant Address above) | |||||||
Address |
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City |
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State |
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Zip |
|
Please debit $ from my checking account beginning on |
*. |
|
(Month) |
Account Name |
Social Security Number | ||||||||||
1. |
⎢ |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢ |
⎢ |
2. |
⎢ |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢ |
⎢ |
3. |
⎢ |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢- |
⎢ |
⎢ |
⎢ |
⎢ |
Dividends |
☐ Reinvest. |
☐ Pay in cash. |
Capital Gains |
☐ Reinvest. |
☐ Pay in cash. |
|
| |
Bank Name |
Bank ABA Number | |
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| |
Street or P.O. Box |
Bank Account Number | |
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| |
City and State |
Zip Code |
Account Name |
X |
|
x |
|
Signature* (Owner, Trustee, Etc.) |
Date |
Signature* (Joint Owner, Co-Trustee) |
Date |
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Name and Title |
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Dealer’s Name |
Dealer Number |
|
|
Main Office Address |
Branch Number |
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|
Representative’s Name |
Rep. Number |
|
( ) |
Branch Address |
Telephone Number |
|
|
Authorized Signature of Dealer |
Date |
Fund |
Abbreviation |
Share Class/Ticker |
Fiscal Year End |
Prospectus Date |
Cohen & Steers Low Duration Preferred and Income Fund, Inc. |
Low Duration Preferred and Income Fund |
Class A/LPXAX Class C/LPXCX Class F/LPXFX Class I/LPXIX Class R/LPXRX Class Z/LPXZX |
April 30 |
September 1, 2023; supplemented on December 13, 2023, January 17, 2024 and March 1, 2024 |
Cohen & Steers Preferred Securities and Income SMA Shares, Inc. |
Preferred Securities and Income SMA Shares |
PISHX |
October 31 |
March 1, 2024; supplemented on March 1, 2024 |
Cohen & Steers Future of Energy Fund, Inc. (Prior to March 28, 2024, Cohen & Steers MLP & Energy Opportunity Fund, Inc.) |
Future of Energy Fund |
Class A/MLOAX Class C/MLOCX Class F/MLOFX Class I/MLOIX Class R/MLORX Class Z/MLOZX |
November 30 |
March 28, 2024 |
Cohen & Steers Global Infrastructure Fund, Inc. |
Global Infrastructure Fund |
Class A/CSUAX Class C/CSUCX Class F/CSUFX Class I/CSUIX Class R/CSURX Class Z/CSUZX |
December 31 |
May 1, 2023; supplemented on December 13, 2023 |
Cohen & Steers Global Realty Shares, Inc. |
Global Realty Shares |
Class A/CSFAX Class C/CSFCX Class F/GRSFX Class I/CSSPX Class R/GRSRX Class Z/CSFZX |
December 31 |
May 1, 2023; supplemented on September 18, 2023 and December 13, 2023 |
Cohen & Steers Institutional Realty Shares, Inc. |
Institutional Realty Shares |
CSRIX |
December 31 |
May 1, 2023; supplemented on September 18, 2023 and December 13, 2023 |
Cohen & Steers International Realty Fund, Inc. |
International Realty Fund |
Class A/IRFAX Class C/IRFCX Class F/IRFFX Class I/IRFIX Class R/IRFRX Class Z/IRFZX |
December 31 |
May 1, 2023; supplemented on September 18, 2023 and December 13, 2023 |
Cohen & Steers Preferred Securities and Income Fund, Inc. |
Preferred Securities and Income Fund |
Class A/CPXAX Class C/CPXCX Class F/CPXFX Class I/CPXIX Class R/CPRRX Class Z/CPXZX |
December 31 |
May 1, 2023; supplemented on December 13, 2023 January 17, 2024 and March 1, 2024 |
Cohen & Steers Real Assets Fund, Inc. |
Real Assets Fund |
Class A/RAPAX Class C/RAPCX Class F/RAPFX Class I/RAPIX Class R/RAPRX Class Z/RAPZX |
December 31 |
May 1, 2023; supplemented on September 18, 2023, December 13, 2023, January 17, 2024 and March 1, 2024 |
Fund |
Abbreviation |
Share Class/Ticker |
Fiscal Year End |
Prospectus Date |
Cohen & Steers Real Estate Securities Fund, Inc. |
Real Estate Securities Fund |
Class A/CSEIX Class C/CSCIX Class F/CREFX Class I/CSDIX Class R/CIRRX Class Z/CSZIX |
December 31 |
May 1, 2023; supplemented on September 18, 2023 and December 13, 2023 |
Cohen & Steers Realty Shares, Inc. |
Realty Shares |
Class A/CSJAX Class C/CSJCX Class F/CSJFX Class I/CSJIX Class L/CSRSX Class R/CSJRX Class Z/CSJZX |
December 31 |
May 1, 2023; supplemented on September 18, 2023 and December 13, 2023 |
|
Page |
Investment Strategies and Policies |
|
Disclosure of Portfolio Holdings |
|
Investment Restrictions |
|
Management of the Funds |
|
Compensation of Directors and Certain Officers |
|
Principal Holders of Securities |
|
Investment Advisory and Other Services |
|
Portfolio Transactions and Brokerage |
|
Organization and Description of Capital Stock |
|
Dealer Reallowances |
|
Distribution Plan |
|
Shareholder Services Plan |
|
Other Information |
|
Reducing the Initial Sales Charge on Class A Shares |
|
Contingent Deferred Sales Charges |
|
Signature Guarantees |
|
Purchases and Redemptions in-Kind |
|
Taxation |
|
Counsel and Independent Registered Public Accounting Firm |
|
Financial Statements |
|
Appendix A |
|
Appendix B |
155 |
Fund |
Diversification Status |
|
Date of Incorporation |
Low Duration Preferred and Income Fund |
Diversified |
|
September 2, 2015 |
Preferred Securities and Income SMA Shares |
Diversified |
|
November 16, 2018 |
Future of Energy Fund |
Non-diversified |
|
July 8, 2013 |
Global Infrastructure Fund |
Diversified |
|
January 13, 2004 |
Global Realty Shares |
Diversified |
|
February 14, 1997 |
Institutional Realty Shares |
Non-diversified |
|
October 13, 1999 |
International Realty Fund |
Diversified |
|
November 23, 2004 |
Preferred Securities and Income Fund |
Diversified |
|
February 22, 2010 |
Real Assets Fund |
Diversified |
|
October 25, 2011 |
Real Estate Securities Fund |
Non-diversified |
|
July 3, 1997 |
Realty Shares |
Non-diversified |
|
April 26, 1991 |
Types of Investments |
Low Duration Preferred and Income Fund |
Preferred Securities and Income SMA Shares |
Future of Energy Fund |
Realty Shares |
Institutional Realty Shares |
Real Estate Securities Fund |
Global Realty Shares |
International Realty Fund |
Global Infrastructure Fund |
Preferred Securities and Income Fund |
Real Assets Fund |
Below Investment Grade Securities |
✓ |
✓ |
✓ |
|
|
✓ |
✓ |
|
|
✓ |
✓ |
Borrowing for Investment Purposes |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Types of Investments |
Low Duration Preferred and Income Fund |
Preferred Securities and Income SMA Shares |
Future of Energy Fund |
Realty Shares |
Institutional Realty Shares |
Real Estate Securities Fund |
Global Realty Shares |
International Realty Fund |
Global Infrastructure Fund |
Preferred Securities and Income Fund |
Real Assets Fund |
Canadian Royalty Trusts |
|
|
✓ |
|
|
|
|
|
✓ |
|
✓ |
Cayman Subsidiary |
|
|
|
|
|
|
|
|
|
|
✓ |
Cash Reserves |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Commodities |
|
|
✓ |
|
|
|
|
|
|
|
✓ |
Companies in the Financials Sector |
✓ |
✓ |
✓ |
|
|
|
|
|
|
✓ |
✓ |
Convertible Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Credit Derivatives |
✓ |
✓ |
✓ |
|
|
|
|
|
|
✓ |
✓ |
Debt Securities |
✓ |
✓ |
✓ |
|
|
✓ |
|
|
✓ |
✓ |
✓ |
Energy Companies |
✓ |
✓ |
✓ |
|
|
|
|
|
✓ |
✓ |
✓ |
Exchange-Traded Notes |
|
|
✓ |
|
|
|
|
|
|
|
✓ |
Foreign Currency and Currency Hedging Transactions |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Futures Contracts and Options on Futures Contracts |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Foreign Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Gold and Other Precious Metals |
|
|
|
|
|
|
|
|
|
|
✓ |
Healthcare Companies |
✓ |
✓ |
|
|
|
|
|
|
|
✓ |
|
Illiquid Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Industrial Companies |
✓ |
✓ |
✓ |
|
|
|
|
|
✓ |
✓ |
✓ |
Master Limited Partnerships |
|
|
✓ |
|
|
|
|
|
✓ |
|
✓ |
Natural Resource Companies |
|
|
✓ |
|
|
|
|
|
|
|
✓ |
Other Investment Companies |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Preferred Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Real Estate Companies and Real Estate Investment Trusts |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Repurchase Agreements |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Securities Lending |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Short Sales |
✓ |
✓ |
✓ |
✓ |
|
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Swap Transactions |
✓1 |
✓1 |
✓1 |
|
|
|
|
|
|
✓1 |
✓ |
Telecommunications and Media Companies |
✓ |
✓ |
✓ |
|
|
|
|
|
✓ |
✓ |
✓ |
Utility Companies |
✓ |
✓ |
✓ |
|
|
|
|
|
✓ |
✓ |
✓ |
Warrants and Rights |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Name, Address(1) and Year of Birth |
Position(s) Held with Funds |
Term of Office(2) |
Principal Occupation During At Least The Past Five Years (Including Other Directorships Held) |
Number of Funds Within Fund Complex Overseen by Director (Including the Funds) |
Length of Time Served(3) |
Interested Directors(4) |
|
|
|
|
|
Joseph M. Harvey |
Director and Chair |
Until Next Election of Directors |
Chief Executive Officer since 2022 and President since 2003 of Cohen & Steers Capital Management, Inc. (“CSCM”), and Chief Executive Officer since 2022 and President since 2004 of Cohen & Steers, Inc. (“CNS”). Chief Investment Officer of CSCM from 2003 to 2019. Prior to that, Senior Vice President and Director of Investment Research of CSCM. |
20 |
Since 2014 |
1963 | |||||
Adam M. Derechin |
Director |
Until Next Election of Directors |
Chief Operating Officer of CSCM since 2003 and CNS since 2004. President and Chief Executive Officer of the Funds from 2005 to 2021. |
20 |
Since 2021 |
1964 | |||||
Independent Directors |
|
|
|
|
|
Michael G. Clark |
Director |
Until Next Election of Directors |
CFA, President and Chief Executive Officer of DWS Funds and Managing Director of Deutsche Asset Management from 2006 to 2011. |
20 |
Since 2011 |
1965 | |||||
George Grossman |
Director |
Until Next Election of Directors |
Attorney-at-law. |
20 |
Since 1993 |
1953 |
Name, Address(1) and Year of Birth |
Position(s) Held with Funds |
Term of Office(2) |
Principal Occupation During At Least The Past Five Years (Including Other Directorships Held) |
Number of Funds Within Fund Complex Overseen by Director (Including the Funds) |
Length of Time Served(3) |
Dean A. Junkans |
Director |
Until Next Election of Directors |
CFA; Advisor to SigFig (a registered investment advisor) from July 2018 to July 2022; Chief Investment Officer at Wells Fargo Private Bank from 2004 to 2014 and Chief Investment Officer of the Wealth, Brokerage and Retirement group at Wells Fargo & Company from 2011 to 2014; former member and Chair, Claritas Advisory Committee at the CFA Institute from 2013 to 2015; former Adjunct Professor and Executive-In-Residence, Bethel University, 2015 to 2022; former Board Member and Investment Committee member, Bethel University Foundation, 2010 to 2022; former Corporate Executive Board Member of the National Chief Investment Officers Circle, 2010 to 2015; former Member of the Board of Governors of the University of Wisconsin Foundation, River Falls, 1996 to 2004; U.S. Army Veteran, Gulf War. |
20 |
Since 2015 |
1959 |
Name, Address(1) and Year of Birth |
Position(s) Held with Funds |
Term of Office(2) |
Principal Occupation During At Least The Past Five Years (Including Other Directorships Held) |
Number of Funds Within Fund Complex Overseen by Director (Including the Funds) |
Length of Time Served(3) |
Gerald J. Maginnis |
Director |
Until Next Election of Directors |
Philadelphia Office Managing Partner, KPMG LLP from 2006 to 2015; Partner in Charge, KPMG Pennsylvania Audit Practice from 2002 to 2008; President, Pennsylvania Institute of Certified Public Accountants (PICPA) from 2014 to 2015; Member, PICPA Board of Directors from 2012 to 2016; Member, Council of the American Institute of Certified Public Accountants (AICPA) from 2013 to 2017; Member, Board of Trustees of AICPA Foundation from 2015 to 2020; Board member and Audit Committee Chairman of inTEST Corporation since 2020; Chairman of the Advisory Board of Centri Consulting LLC since 2022. |
20 |
Since 2015 |
1955 | |||||
Jane F. Magpiong |
Director |
Until Next Election of Directors |
President, Untap Potential since 2013; Senior Managing Director, TIAA-CREF, from 2011 to 2013; National Head of Wealth Management, TIAA-CREF, from 2008 to 2011; President, Bank of America Private Bank from 2005 to 2008; Executive Vice President, Fleet Private Clients Group from 2003-2004. |
20 |
Since 2015 |
1960 |
Name, Address(1) and Year of Birth |
Position(s) Held with Funds |
Term of Office(2) |
Principal Occupation During At Least The Past Five Years (Including Other Directorships Held) |
Number of Funds Within Fund Complex Overseen by Director (Including the Funds) |
Length of Time Served(3) |
Daphne L. Richards |
Director |
Until Next Election of Directors |
President and CIO of Ledge Harbor Management since 2016; Investment Committee Member of the Berkshire Taconic Community Foundation since 2015 and Member of the Advisory Board of Northeast Dutchess Fund since 2016; former Independent Director of Cartica Management, LLC, 2015 to 2022; formerly worked at Bessemer Trust Company from 1999 to 2014; Frank Russell Company from 1996 to 1999, Union Bank of Switzerland from 1993 to 1996, Credit Suisse from 1990 to 1993 and Hambros International Venture Capital Fund from 1988 to 1989. |
20 |
Since 2017 |
1966 | |||||
Ramona Rogers-Windsor |
Director |
Until Next Election of Directors |
CFA; Member, Capital Southwest Board of Directors since 2021; Member, Thomas Jefferson University Board of Trustees since 2020 and its insurance subsidiary board, Partners Insurance Company, Inc., since 2023; Managing Director, Public Investments Department, Northwestern Mutual Investment Management Company, LLC from 2012 to 2019; former Member, Milwaukee Film, LLC Board of Directors from 2016 to 2019. |
20 |
Since 2021 |
1960 |
Name, Address(1) and Year of Birth |
Position(s) Held with the Funds(2) |
Principal Occupation During at Least the Past Five Years |
Length of Time Served(3) |
James Giallanza |
President and Chief Executive Officer |
Executive Vice President of CSCM since 2014. Prior to that, Senior Vice President of CSCM since 2006. |
2006 |
1966 | |||
Albert Laskaj |
Treasurer and Chief Financial Officer |
Senior Vice President of CSCM since 2019. Prior to that, Vice President of CSCM since 2015. |
2015 |
1977 | |||
Dana A. DeVivo |
Secretary and Chief Legal Officer |
Senior Vice President of CSCM since 2019. Prior to that, Vice President of CSCM since 2013. |
2015 |
1981 |
Name, Address(1) and Year of Birth |
Position(s) Held with the Funds(2) |
Principal Occupation During at Least the Past Five Years |
Length of Time Served(3) |
Stephen Murphy |
Chief Compliance Officer and Vice President |
Senior Vice President of the Advisor since 2019. Prior to that, Managing Director at Mirae Asset Securities (USA) Inc. since 2017. Prior to that, Vice President and Chief Compliance Officer of Weiss Multi-Strategy Advisers LLC since 2011. |
2019 |
1966 |
Name, Address(1) and Year of Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Elaine Zaharis-Nikas |
Vice President |
Senior Vice President of the Advisor since 2014. Prior to that, Vice President of the Advisor since 2003. |
2015 |
1973 |
Name, Address(1) and Year of Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Benjamin Morton |
Vice President |
Executive Vice President of the Advisor since 2019. Prior to that, Senior Vice President of the Advisor since 2010 and Vice President of the Advisor since 2005. |
2013 |
1974 | |||
Tyler S. Rosenlicht |
Vice President |
Senior Vice President of the Advisor since 2018. Prior to that, Vice President of the Advisor since 2015 and an Analyst of the Advisor since 2012. |
2015 |
1985 |
Name, Address(1) and Year of Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Benjamin Morton |
Vice President |
Executive Vice President of the Advisor since 2019. Prior to that, Senior Vice President of the Advisor since 2010 and Vice President of the Advisor since 2005. |
2013 |
1974 | |||
Tyler S. Rosenlicht |
Vice President |
Senior Vice President of the Advisor since 2018. Prior to that, Vice President of the Advisor since 2015 and an Analyst of the Advisor since 2012. |
2015 |
1985 | |||
Thuy Quynh Dang |
Vice President |
Vice President of CSCM since 2011. |
2022 |
1979 |
Name, Address(1) and Year of Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Jon Cheigh |
Vice President |
Chief Investment Officer of the Advisor since 2019 and Executive Vice President of the Advisor since 2012. Prior to that, Senior Vice President of the Advisor since 2007. |
2007 |
1972 |
Name, Address(1) and Year of Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Vincent L. Childers |
Vice President |
Senior Vice President of the Advisor since 2013. Prior to that, portfolio manager for real asset strategies at AllianceBernstein. |
2013 |
1976 | |||
Yigal D. Jhirad |
Vice President |
Senior Vice President of the Advisor since 2007. |
2007 |
1964 |
Name, Address(1) and Year of Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Jon Cheigh |
Vice President |
Chief Investment Officer of the Advisor since 2019 and Executive Vice President of the Advisor since 2012. Prior to that, Senior Vice President of the Advisor since 2007. |
2007 |
1972 | |||
Benjamin Ross |
Vice President |
Senior Vice President of the Advisor since 2013. Prior to that, co-portfolio manager of the Active Commodities strategy at GE Asset Management since its 2006 inception. |
2013 |
1971 | |||
Jason Yablon |
Vice President |
Senior Vice President of the Advisor since 2014. Prior to that, Vice President of the Advisor since 2008. |
2012 |
1979 |
Name, Address(1) and Year of Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Jon Cheigh |
Vice President |
Chief Investment Officer of the Advisor since 2019, and Executive Vice President of the Advisor since 2012. Prior to that, Senior Vice President of the Advisor since 2007. |
2007 |
1972 | |||
Jason Yablon |
Vice President |
Executive Vice President of the Advisor since 2022. Prior to that, Senior Vice President of the Advisor since 2014. |
2012 |
1979 | |||
Mathew Kirschner |
Vice President |
Senior Vice President of the Advisor since 2019. Prior to that, Vice President of the Advisor since 2010. |
2020 |
1979 |
Name, Address(1) and Year of Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Yigal D. Jhirad |
Vice President |
Senior Vice President of the Advisor since 2007. |
2007 |
1964 | |||
Jason Yablon |
Vice President |
Executive Vice President of the Advisor since 2022. Prior to that, Senior Vice President of the Advisor since 2014. |
2012 |
1979 | |||
Mathew Kirschner |
Vice President |
Senior Vice President of the Advisor since 2019. Prior to that, Vice President of the Advisor since 2010. |
2020 |
1979 |
|
Low Duration Preferred and Income Fund |
Preferred Securities and Income SMA Shares |
Future of Energy Fund |
Global Infrastructure Fund |
Global Realty Shares |
Institutional Realty Shares |
International Realty Fund |
Preferred Securities and Income Fund |
Real Assets Fund |
Real Estate Securities Fund |
Realty Shares |
Aggregate Dollar Range of Equity Securities in the Cohen & Steers Fund Complex(1) |
Joseph M. Harvey |
A |
A |
A |
A |
A |
E |
A |
A |
E |
A |
A |
E |
Adam M. Derechin |
A |
A |
A |
A |
A |
E |
A |
A |
E |
A |
A |
E |
Michael G. Clark |
C |
A |
C |
C |
C |
A |
C |
C |
C |
C |
A |
E |
George Grossman |
A |
A |
A |
A |
C |
A |
A |
A |
A |
D |
D |
E |
Dean A. Junkans |
E |
A |
E |
A |
A |
A |
A |
E |
A |
A |
D |
E |
Gerald J. Maginnis |
C |
A |
C |
C |
C |
C |
C |
C |
C |
C |
C |
E |
Jane F. Magpiong |
C |
A |
C |
C |
C |
A |
A |
E |
C |
A |
E |
E |
Daphne L. Richards |
A |
A |
A |
A |
A |
A |
A |
E |
A |
A |
E |
E |
Ramona Rogers-Windsor |
B |
A |
A |
B |
B |
A |
B |
B |
B |
B |
B |
E |
|
Contract Review Committee |
Governance Committee |
Nominating Committee |
Audit Committee |
Dividend Committee |
Low Duration Preferred and Income Fund |
2 |
5 |
0 |
5 |
2 |
Preferred Securities and Income SMA Shares |
2 |
5 |
0 |
5 |
0 |
Future of Energy Fund |
2 |
5 |
0 |
5 |
0 |
Global Infrastructure Fund |
2 |
5 |
0 |
5 |
0 |
Global Realty Shares |
2 |
5 |
0 |
5 |
0 |
Institutional Realty Shares |
2 |
5 |
0 |
5 |
0 |
|
Contract Review Committee |
Governance Committee |
Nominating Committee |
Audit Committee |
Dividend Committee |
International Realty Fund |
2 |
5 |
0 |
5 |
0 |
Preferred Securities and Income Fund |
2 |
5 |
0 |
5 |
1 |
Real Assets Fund |
2 |
5 |
0 |
5 |
0 |
Real Estate Securities Fund |
2 |
5 |
0 |
5 |
0 |
Realty Shares |
2 |
5 |
0 |
5 |
0 |
Name of Person, Position |
Low Duration Preferred and Income Fund |
Preferred Securities and Income SMA Shares(2) |
Future of Energy Fund |
Global Infrastructure Fund |
Global Realty Shares |
Institutional Realty Shares |
International Realty Fund |
Preferred Securities and Income Fund |
Real Assets Fund |
Real Estate Securities Fund |
Realty Shares |
Total Compensation Paid to Director or Officer by Fund Complex(1) |
Michael G. Clark, Director and Lead Independent Director |
$13,951 |
$2,607 |
$861 |
$6,354 |
$12,899 |
$42,715 |
$3,390 |
$56,545 |
$6,409 |
$50,761 |
$38,309 |
$290,000 |
Adam M. Derechin, Director(2) |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
George Grossman, Director |
$10,824 |
$2,023 |
$668 |
$4,930 |
$10,008 |
$33,141 |
$2,630 |
$43,871 |
$4,972 |
$39,384 |
$29,722 |
$225,000 |
Joseph M. Harvey, Chair and Director(2) |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
Dean A. Junkans, Director and Contract Review Committee Chair |
$11,786 |
$2,203 |
$727 |
$5,368 |
$10,897 |
$36,087 |
$2,864 |
$47,771 |
$5,414 |
$42,885 |
$32,364 |
$245,000 |
Gerald J. Maginnis, Director and Audit Committee Chair |
$12,267 |
$2,293 |
$757 |
$5,588 |
$11,342 |
$37,560 |
$2,981 |
$49,720 |
$5,635 |
$44,635 |
$33,685 |
$255,000 |
Jane F. Magpiong, Director, Governance Committee Chair and Nominating Committee Chair |
$11,786 |
$2,203 |
$727 |
$5,368 |
$10,897 |
$36,087 |
$2,864 |
$47,771 |
$5,414 |
$42,885 |
$32,364 |
$245,000 |
Name of Person, Position |
Low Duration Preferred and Income Fund |
Preferred Securities and Income SMA Shares(2) |
Future of Energy Fund |
Global Infrastructure Fund |
Global Realty Shares |
Institutional Realty Shares |
International Realty Fund |
Preferred Securities and Income Fund |
Real Assets Fund |
Real Estate Securities Fund |
Realty Shares |
Total Compensation Paid to Director or Officer by Fund Complex(1) |
Daphne L. Richards, Director and Dividend Committee Chair |
$11,305 |
$2,113 |
$697 |
$5,149 |
$10,452 |
$34,614 |
$2,747 |
$45,821 |
$5,193 |
$41,134 |
$31,043 |
$235,000 |
Ramona Rogers-Windsor, Director |
$10,824 |
$2,023 |
$668 |
$4,930 |
$10,008 |
$33,141 |
$2,630 |
$43,871 |
$4,972 |
$39,384 |
$29,722 |
$225,000 |
Chief Compliance Officer |
$13,178 |
$2,470 |
$840 |
$6,148 |
$12,633 |
$42,457 |
$3,335 |
$54,339 |
$6,238 |
$50,148 |
$34,884 |
$307,500 |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit to its Customers 1 New York Plaza Floor 12 New York, NY 10004-1965 |
A C I R |
31.62% 14.89% 18.11% 96.30% |
|
|
|
Wells Fargo Clearing Services For Exclusive Benefit of Our Customers 2801 Market Street St. Louis, MO 63103 |
A C I |
13.52% 21.16% 10.97% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
A C I |
7.12% 10.12% 11.74% |
|
|
|
UBS WM USA OMNI ACCOUNT M/F 1000 Harbor Blvd., Fl 5 Weehawken, NJ 07086-6761 |
A C I |
5.64% 6.57% 8.18% |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
A |
5.82% |
|
|
|
Merrill Lynch For Exclusive Benefit of Our Customers 4800 Deer Lake Drive East Jacksonville, FL 32246-6484 |
A C I |
23.44% 26.17% 21.28% |
|
|
|
Raymond James Omnibus for Mutual Funds 880 Carillon Pkwy St. Petersburg, FL 33716-1100 |
C |
7.38% |
|
|
|
JP Morgan Securities LLC Omnibus Account for the Exclusive Benefits of Customers 4 Chase Metrotech CTR, FL 3rd Brooklyn, NY 11245-0003 |
F |
33.61% |
|
|
|
Wells Fargo Bank NA FBO Omnibus P.O. Box 1533 Minneapolis, MN 55480-1533 |
F |
64.93% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
National Financial Services LLC FBO Exclusive Customers Attn: Mutual Funds Dept 499 Washington Blvd. Jersey City, NJ 07310-1995 |
I |
9.98% |
|
|
|
Ascensus Trust Company FBO Prescryptive Health 401(K) Plan P.O. Box 10758 Fargo, ND 58106-0758 |
Z |
31.44% |
|
|
|
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94104-4151 |
Z |
63.98% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney LLC For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1901 |
N/A |
33.42% |
|
|
|
Wells Fargo Clearing Services LLC Special Custody Account For the Exclusive Benefit of the Customer 2801 Market Street Saint Louis, MO 63103-2523 |
N/A |
21.66% |
|
|
|
Merrill Lynch For the Exclusive Benefit of Our Customers 4800 Deer Lake Drive East Jacksonville, FL 32246-6484 |
N/A |
25.21% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
UBS WM USA Omni Account M/F 1000 Harbor Blvd. Weehawken, NJ 07086-6761 |
N/A |
10.33% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1965 |
A C I |
50.20% 35.09% 26.25% |
|
|
|
Merrill Lynch For the Exclusive Benefit of Our Customers 4800 Deer Lake Drive East Jacksonville, FL 32246-6484 |
A C I |
5.06% 12.59% 12.72% |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
A I |
8.46% 19.43% |
|
|
|
UBS WM USA OMNI ACCOUNT M/F 1000 Harbor BLVD Fl 5 Weehawken, NJ 07086-6761 |
C I R |
5.20% 9.44% 25.36% |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
C |
40.98% |
|
|
|
Raymond James Omnibus for Mutual Funds House Account 880 Carillon Parkway St. Petersburg, FL 33716-1100 |
I |
12.74% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
I |
5.89% |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
I R Z |
7.80% 13.15% 64.24% |
|
|
|
Ascensus Trust Co FBO Interior Glass Inc. 401(K) Plan P.O. Box 10758 Fargo, ND 58106-0758 |
R |
20.27% |
|
|
|
Ascensus Trust Co FBO Inglewood Physical Therapy, P.S. 401 P.O. Box 10758 Fargo, ND 58106-0758 |
R |
6.35% |
|
|
|
Matrix Trust Company Cust. FBO Current Media Partners LLC 401K 717 17th Street, Suite 1300 Denver, CO 80202-3304 |
R |
12.18% |
|
|
|
TD Ameritrade Inc. For the Exclusive Benefit of Our Clients P.O. Box 2226 Omaha, NE 68103-2226 |
Z |
28.77% |
|
|
|
Charles Schwab & Co., Inc. Special Custody Acct FBO Customers Attn Mutual Funds 101 Montgomery Street San Francisco, CA 94104-4151 |
Z |
5.26% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney LLC For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1901 |
A C L |
8.98% 33.64% 13.87% |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
A I L |
8.74% 15.52% 29.68% |
|
|
|
Wells Fargo Clearing Services For Exclusive Benefit of Our Customers 2801 Market Street St. Louis, MO 63103 |
A C |
6.05% 17.19% |
|
|
|
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
I Z |
6.67% 8.33% |
|
|
|
Raymond James Omnibus for Mutual Funds House Account 880 Carillon Parkway St. Petersburg, FL 33716-1100 |
A C I |
14.74% 12.29% 9.73% |
|
|
|
MMATCO LLP Nominee for MMA Trust Company P.O. Box 483 1110 N Main Street Goshen, IN 46527-0483 |
A |
18.09% |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
C I |
7.22% 15.98% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Merrill Lynch For the Exclusive Benefit of Our Customers 4800 Deer Lake Drive East 2nd Floor Jacksonville, FL 32246-6484 |
C I |
9.97% 6.85% |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
I L Z |
27.56% 20.07% 40.46% |
|
|
|
VantageTrust - Unitized C/O ICMA Retirement Corporation 777 North Capitol Street, NE Washington, DC 20002-4239 |
L |
6.44% |
|
|
|
07ND7Q97 P.O. Box 1090 Paris, TN 38242-1090 |
R |
22.26% |
|
|
|
07ND84PC P.O. Box 1090 Paris, TN 38242-1090 |
R |
54.01% |
|
|
|
Principal Bank FBO City of Houston Deferred Compensation Trust 8515 E Orchard RD 2T2 Greenwood Village, CO 80111-5002 |
Z |
12.64% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
N/A |
6.66% |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
N/A |
21.44% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
N/A |
33.73% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1965 |
A C |
5.63% 7.88% |
|
|
|
John Hancock Life Insurance Co USA 200 Berkeley Street Boston, MA 02116-5023 |
A R |
6.31% 5.84% |
|
|
|
Minnesota Life Insurance Company 400 Robert Street North Saint Paul, MN 55101-2099 |
A |
7.12% |
|
|
|
Nationwide Life Insurance Company DCVA C/O IPO Portfolio Accounting P.O. Box 182029 Columbus, OH 43218-2029 |
A |
8.36% |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
A I Z |
8.57% 19.15% 5.82% |
|
|
|
Nationwide Life Insurance Company NACO C/O IPO Portfolio Accounting P.O. Box 182029 Columbus, OH 43218-2029 |
A |
5.97% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Merrill Lynch For Exclusive Benefit of Our Customers 4800 Deer Lake Drive East 2nd Floor Jacksonville, FL 32246-6484 |
A C Z |
7.51% 8.42% 9.56% |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
A F I Z |
11.03% 5.77% 11.47% 18.18% |
|
|
|
Wells Fargo Clearing Services For Exclusive Benefit of Our Customers 2801 Market Street St. Louis, MO 63103 |
C |
32.71% |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
C I |
8.23% 41.84% |
|
|
|
LPL Financial Omnibus Customer Account Attn: Mutual Fund Trading 4707 Executive Drive San Diego, CA 92121-3091 |
C |
8.14% |
|
|
|
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
C |
6.40% |
|
|
|
UBS WM USA Omni Account M/F 1000 Harbor Blvd., Fl. 5 Weehawken, NJ 07086-6761 |
C |
6.55% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Raymond James Omnibus for Mutual Funds 880 Carillon Pkwy St. Petersburg, FL 33716-1100 |
C |
6.17% |
|
|
|
JP Morgan Securities LLC Omnibus for the Exclusives Benefits of Customers Mutual Fund Department 4 Chase Metrotech Center, Floor 3 Brooklyn, NY 11245-0003 |
F |
88.96% |
|
|
|
State Street Bank & Trust As Trustee and/or Custodian FBO ADP Access Product 1 Congress Street, Suite 1 Boston, MA 02114-2016 |
R |
9.29% |
|
|
|
DCGT as TTEE and/or Custodian FBO PLIC Various Retirement Plans Omnibus Attn: NPIO Trade Desk 711 High Street Des Moines, IA 50392-0001 |
R |
10.46% |
|
|
|
Empower Trust FBO Recordkeeping for Various Benefit 8525 E Orchard Road Greenwood Village, CO 80111-5002 |
R Z |
15.81% 6.36% |
|
|
|
Lincoln Retirement Services Company FBO Door County 403(B) P.O. Box 7876 Fort Wayne, IN 46801-7876 |
R |
6.56% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1965 |
A C I |
20.88% 53.61% 28.86% |
|
|
|
Wells Fargo Clearing Services For Exclusive Benefit of Our Customers 2801 Market Street St. Louis, MO 63103 |
A C |
6.17% 10.71% |
|
|
|
Empower Trust FBO Recordkeeping for Large Benefit Plan 8525 E. Orchard Road Greenwood Village, CO 80111-5002 |
A |
15.56% |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
A I |
11.69% 23.05% |
|
|
|
Merrill Lynch For Exclusive Benefit of Our Customers 4800 Deer Lake Drive East 2nd Floor Jacksonville, FL 32246-6484 |
A C Z |
15.81% 6.46% 17.73% |
|
|
|
LPL Financial Omnibus Customer Account Attn: Mutual Fund Trading 4707 Executive Drive San Diego, CA 92121-3091 |
C |
11.88% |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
I |
10.07% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
I Z |
9.71% 21.38% |
|
|
|
Matrix Trust Company Custodian FBO Kuerth’s Disposal, Inc. 401(k) Plan 717 17th Street, Suite 1300 Denver, CO 80202-3304 |
R |
5.85% |
|
|
|
SEI Private Trust Company FBO Clinton Utilities Board 1 Freedom Valley Drive Oaks, PA 19456-9989 |
R |
60.57% |
|
|
|
Ascensus Trust Company FBO Christos Medical Group 401K Plan P.O. Box 10758 Fargo, ND 58106-0758 |
R |
15.00% |
|
|
|
TIAA Trust, N.A. As Cust/TTEE or retirement Plans Attn: Fund Operations 8500 Andrew Carnegie Blvd. Charlotte, NC 28262-8500 |
Z |
30.54% |
|
|
|
Reliance Trust Company FBO City of Livonia P.O. Box 78446 Atlanta, GA 30357 |
Z |
5.62% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1965 |
A |
19.92% |
|
|
|
Wells Fargo Clearing Services For Exclusive Benefit of our Customers 2801 Market Street St. Louis, MO 63103 |
A C |
8.72% 7.67% |
|
|
|
UBS WM USA Omni Account M/F 1000 Harbor Blvd. Weehawken, NJ 07086-6761 |
A R |
7.58% 28.37% |
|
|
|
Merrill Lynch For Exclusive Benefit of Our Customers 4800 Deer Lake Drive East 2nd Floor Jacksonville, FL 32246-6484 |
A |
14.90% |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
A I |
14.63% 88.39% |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
A C |
5.06% 6.17% |
|
|
|
JP Morgan Securities LLC Omnibus Account for the Exclusive Benefits of Customers Mutual Fund Department 4 Chase Metrotech CTR FL 3rd Brooklyn, NY 11245-0003 |
C |
14.36% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
LPL Financial Omnibus Customer Account Attn: Mutual Fund Trading 4707 Executive Drive San Diego, CA 92121-3091 |
C |
19.71% |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
C |
20.58% |
|
|
|
Raymond James Omnibus for Mutual Funds House Account 880 Carillon Parkway St. Petersburg, FL 33716-1100 |
C |
12.64% |
|
|
|
Cohen & Steers Capital Management Inc. 1166 Avenue of the Americas, 30th Floor New York, NY 10036 |
R Z |
11.69% 13.62% |
|
|
|
Ascensus Trust Company FBO LSE Contractors, LLC 401(K) P.O. Box 10758 Fargo, ND 58106-0758 |
R |
59.93% |
|
|
|
The Trust Co of Knoxville, Trustee Webnet Memphis, Inc. 401(K) PSP 4823 Old Kingston Pike Suite 100 Knoxville, TN 37919-6499 |
Z |
84.16% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1965 |
A C |
11.69% 18.19% |
|
|
|
Wells Fargo Clearing Services For Exclusive Benefit of Our Customers 2801 Market Street St. Louis, MO 63103-2523 |
A C |
9.00% 17.60% |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
A I |
22.43% 23.64% |
|
|
|
Merrill Lynch For Exclusive Benefit of Our Customers 4800 Deer Lake Drive East 2nd Floor Jacksonville, FL 32246-6484 |
A C I |
24.92% 15.82% 5.62% |
|
|
|
American Enterprise Investment SVCS FBO 41999970 707 2nd Ave. S Minneapolis, MN 55402-2405 |
C |
16.14% |
|
|
|
UBS WM USA Omni Account M/F 1000 Harbor Blvd. Weehawken, NJ 07086-6761 |
C |
5.81% |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
C |
6.04% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
I Z |
20.40% 11.69% |
|
|
|
Global Trust Company FBO KPMG Pension Plan 12 Gil St. STE 2600 Woburn, MA 01801-1729 |
I |
8.26% |
|
|
|
Cohen & Steers Capital Management Inc. 1166 Avenue of the Americas, 30th Floor New York, NY 10036 |
R |
16.74% |
|
|
|
Ascensus Trust Company FBO BFG Software LLC 401(K) P/S Plan P.O. Box 10758 Fargo, ND 58106-0758 |
R |
82.50% |
|
|
|
Charles Schwab & Co., Inc. Special Custody Acct FBO Customers Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
Z |
16.92% |
|
|
|
Matrix Trust Company Cust FBO Teamsters Local No. 134 Pension P.O. Box 52129 Phoenix, AZ 85072-2129 |
Z |
10.04% |
|
|
|
Matrix Trust Company Cust FBO French Paper Company Pension Plan P.O. Box 52129 Phoenix, AZ 85072-2129 |
Z |
8.42% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Matrix Trust Company Cust FBO Salaried Retirement Plan of Finch P.O. Box 52129 Phoenix, AZ 85072-2129 |
Z |
32.80% |
|
|
|
Matrix Trust Company Jeff Bank Pension Plan P.O. Box 52129 Phoenix, AZ 85072-2129 |
Z |
11.16% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1965 |
A C I |
17.57% 16.96% 14.60% |
|
|
|
Wells Fargo Clearing Services For Exclusive Benefit of Our Customers 2801 Market Street St. Louis, MO 63103 |
A C I |
11.46% 21.70% 7.07% |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
A I Z |
9.47% 11.67% 18.42% |
|
|
|
Merrill Lynch For Exclusive Benefit of Our Customers 4800 Deer Lake Drive East 2nd Floor Jacksonville, FL 32246-6484 |
A C I |
24.12% 18.72% 16.41% |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
C I Z |
5.69% 5.02% 8.87% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Fund 211 Main Street San Francisco, CA 94105-1905 |
C |
7.74% |
|
|
|
UBS WM USA Omni Account M/F 1000 Harbor Blvd., Fl. 5 Weehawken, NJ 07086-6761 |
C I R |
6.69% 10.36% 43.83% |
|
|
|
Raymond James Omnibus for Mutual Funds House Account 880 Carillon Parkway St. Petersburg, FL 33716-1100 |
C |
6.62% |
|
|
|
JP Morgan Securities LLC Omnibus for the Exclusives Benefits of Customers Mutual Fund Department 4 Chase Metrotech Center, Floor 3 Brooklyn, NY 11245-0003 |
F |
75.45% |
|
|
|
Wells Fargo Bank NA FBO OMNIBUS CASH P.O. Box 1533 Minneapolis, MN 55480-1533 |
F |
13.24% |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
I F Z |
13.20% 7.10% 26.50% |
|
|
|
John Hancock Trust Company LLC 200 Berkley St. STE 7 Boston, MA 02116-5038 |
R |
19.60% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers 101 Montgomery Street San Francisco, CA 94104-4151 |
R |
31.14% |
|
|
|
Capinco - C/O US Bank NA Sole and Separate Property 1555 N. Rivercenter Drive STE 302 Milwaukee, WI 53212-3958 |
Z |
9.99% |
|
|
|
AXOS Clearing LLC FBO #817 P.O. Box 6503 Englewood, CO 80155-6503 |
Z |
19.06% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
A |
9.63% |
|
|
|
Charles Schwab & Co., Inc Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
A I |
9.37% 12.43% |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery St San Francisco, CA 94104-4151 |
A I |
7.64% 15.62% |
|
|
|
Merrill Lynch For Exclusive Benefit of Our Customers 4800 Deer Lake Dr. East 2nd Floor Jacksonville, FL 32246-6484 |
A C I |
41.19% 60.17% 13.11% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
UBS WM USA SPEC CDY A/C EBOC UBSFSI OMNI ACCOUNT M/F 1000 Harbor BLVD Weehawken, NJ 07086-6761 |
C R |
23.54% 42.74% |
|
|
|
Raymond James Omnibus for Mutual Funds House Account 880 Carillon Parkway St. Petersburg, FL 33716-1100 |
C |
5.07% |
|
|
|
JP Morgan Securities LLC Omnibus Account for the Exclusive Benefit of Customers Mutual Fund Department 4 Chase Metrotech CTR FL 3rd Brooklyn, NY 11245-0003 |
I |
6.15% |
|
|
|
Capinco - C/O US Bank NA Sole and Separate Property 1555 N. Rivercenter Drive STE 302 Milwaukee, WI 53212-3958 |
I |
7.52% |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
I Z |
25.760% 19.35% |
|
|
|
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1932 |
R |
57.26% |
|
|
|
Reliance Trust Company FBO Prime Buch P.O. Box 78446 Atlanta, GA 30357-2446 |
Z |
12.20% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Bancmont FBO MFPAE P.O. Box 2309 Great Falls, MT 59403-2309 |
Z |
8.09% |
|
|
|
Bancmont FBO MFPBA P.O. Box 2309 Great Falls, MT 59403-2309 |
Z |
9.04% |
|
|
|
Empower Trust FBO Employee Benefit Clients 401K 8515 E Orchard Rd. 2T2 Greenwood Village, CO 80111-5002 |
Z |
34.65% |
|
|
|
FIIOC FBO SMC Corporation Retirement Savings Plan 100 Magellan Way #KW1C Covington, KY 41015-1987 |
Z |
5.63% |
Name and Address |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1932 |
29.44% |
Name and Address |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1932 |
25.88% |
Name and Address |
Percentage of Total Shares Held |
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
26.45% |
Name and Address |
Percentage of Total Shares Held |
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
34.15% |
Name and Address |
Percentage of Total Shares Held |
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
27.40% |
Name and Address |
Percentage of Total Shares Held |
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
84.48% |
Name and Address |
Percentage of Total Shares Held |
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
25.37% |
Name and Address |
Percentage of Total Shares Held |
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
27.05% |
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
25.20% |
Fund |
Advisory/Management Fee |
Waiver/ Reimbursement Arrangement |
Low Duration Preferred and Income Fund* |
0.65% |
Through June 30, 2025, the Advisor has contractually agreed to waive its fee and/or reimburse the Fund so that the Fund’s total annual operating expenses do not exceed 0.95% for Class A shares, 1.60% for Class C shares, 0.60% for Class F shares, 0.60% for Class I shares, 1.10% for Class R shares and 0.60% for Class Z shares. |
Preferred Securities and Income SMA Shares |
0.00% |
The Advisor has contractually agreed to reimburse the Fund so that the total annual Fund operating expenses (excluding acquired fund fees and expenses, interest, taxes, extraordinary expenses, and other expenses approved by the Board of Directors) do not exceed 0.00%, subject to exclusions described in the Fund’s Prospectus. |
Future of Energy Fund* |
0.80% |
Through June 30, 2025, the Advisor has contractually agreed to waive its fee and/or reimburse the Fund so that the Fund’s total annual operating expenses do not exceed 1.25% for Class A shares, 1.90% for Class C shares, 0.90% for Class F shares, 0.90% for Class I shares, 1.40% for Class R shares and 0.90% for Class Z, subject to exclusions described in the Fund Prospectus. Class F shares are not currently available for purchase. |
Global Infrastructure Fund* |
0.75% for assets up to and including $1.5 billion; 0.65% for assets above $1.5 billion |
Through June 30, 2025, the Advisor has contractually agreed to waive and/or reimburse the Fund’s Class I shareholder service fee up to the maximum shareholder service fee of 0.10%. |
Global Realty Shares* |
0.75% |
Through June 30, 2025, the Advisor has contractually agreed to waive its fee and/or reimburse the Fund so that |
Fund |
Advisory/Management Fee |
Waiver/ Reimbursement Arrangement |
|
|
the Fund’s total annual operating expenses do not exceed 1.25% for Class A shares, 1.90% for Class C shares, 0.90% for Class F shares, 0.90% for Class I shares, 1.40% for Class R shares and 0.90% for Class Z shares, subject to the exclusions described in the Fund Prospectus. Class F shares are not currently available for purchase. |
Institutional Realty Shares |
0.75% |
The Advisor contractually agreed to waive its fee and/or reimburse the Fund so that its total annual operating expenses never exceed 0.75% of average daily net assets, subject to the exclusions described in the Fund Prospectus. This commitment will remain in place for the life of the Fund. |
International Realty Fund* |
0.95% for assets up to and including $1.5 billion; 0.85% for assets above $1.5 billion |
Through June 30, 2025, the Advisor has contractually agreed to waive its fee and/or reimburse the Fund so that the Fund’s total annual operating expenses do not exceed 1.35% for Class A shares, 2.00% for Class C shares, 1.00% for Class F shares, 1.00% for Class I shares, 1.50% for Class R shares and 1.00% for Class Z shares, subject to exclusions described in the Fund Prospectus. Class F shares are not currently available for purchase. |
Preferred Securities and Income Fund* |
0.70% for assets up to and including $8.5 billion; 0.65% for assets above $8.5 billion |
Through June 30, 2025, the Advisor has contractually agreed to waive its fee and/or reimburse the Fund so that the Fund’s total annual operating expenses do not exceed 1.20% for Class A shares, 1.85% for Class C shares, 0.85% for Class F shares, 0.85% for Class I shares, 1.35% for Class R shares and 0.85% for Class Z shares, subject to exclusions described in the Fund Prospectus. |
Real Assets Fund* |
0.75% |
Through June 30, 2025, the Advisor has contractually agreed to waive its fee and/or reimburse the Fund so that the Fund’s total annual operating expenses, which include the expenses |
Fund |
Advisory/Management Fee |
Waiver/ Reimbursement Arrangement |
|
|
of the subsidiary, do not exceed 1.15% for Class A shares, 1.80% for Class C shares, 0.80% for Class F shares, 0.80% for Class I shares, 1.30% for Class R shares and 0.80% for Class Z shares, subject to exclusions described in the Fund Prospectus. Class F shares are not currently available for purchase. |
Real Estate Securities Fund* |
0.75% for assets up to and including $1.5 billion; 0.65% for assets above $1.5 billion |
N/A |
Realty Shares |
0.75% for assets up to $8.5 billion and 0.70% of such assets in excess of $8.5 billion |
Through June 30, 2025, the Advisor has contractually agreed to waive its fee and/or reimburse the Fund so that the Fund’s total annual operating expenses, do not exceed 1.15% for Class A shares, 1.80% for Class C shares, 0.80% for Class F shares, 0.88% for Class I shares, 0.88% for Class L shares, 1.30% for Class R shares and 0.80% for Class Z shares, subject to exclusions described in the Fund Prospectus. Class F shares are not currently available for purchase. |
|
2023 |
2022 |
2021 |
2020 |
Low Duration Preferred and Income Fund |
$16,065,376 |
$18,571,560 |
$12,699,862 |
$10,753,350 |
Preferred Securities and Income SMA Shares(1) |
N/A |
N/A |
N/A |
N/A |
Future of Energy Fund |
$964,490 |
$1,062,307 |
$774,501 |
$961,339 |
Realty Shares |
N/A |
$53,124,829 |
$55,787,387 |
$36,310,343 |
Institutional Realty Shares |
N/A |
$49,670,659 |
$42,732,843 |
$26,916,150 |
Real Estate Securities Fund |
N/A |
$51,873,098 |
$50,250,405 |
$36,788,708 |
Global Realty Shares |
N/A |
$15,099,919 |
$13,532,726 |
$9,566,771 |
International Realty Fund |
N/A |
$5,129,494 |
$6,161,250 |
$5,354,308 |
Global Infrastructure Fund |
N/A |
$6,838,392 |
$5,022,582 |
$2,720,047 |
Preferred Securities and Income Fund |
N/A |
$69,651,763 |
$82,672,840 |
$64,552,567 |
Real Assets Fund |
N/A |
$5,605,955 |
$1,764,024 |
$812,429 |
|
2023 |
2022 |
2021 |
2020 |
Low Duration Preferred and Income Fund |
$5,086,447 |
$5,615,981 |
$4,042,005 |
$3,688,599 |
Preferred Securities and Income SMA Shares |
$402,971 |
$346,740 |
$353,651 |
$297,328 |
Future of Energy Fund |
$393,664 |
$478,774 |
$473,752 |
$457,574 |
Realty Shares |
N/A |
$3,460,440 |
$3,361,299 |
$4,056,717 |
Institutional Realty Shares |
N/A |
$487,297 |
$803,754 |
$396,101 |
Global Realty Shares |
N/A |
$339,853 |
$404,107 |
$355,829 |
International Realty Fund |
N/A |
$895,321 |
$1,048,952 |
$899,103 |
Global Infrastructure Fund |
N/A |
$604,859 |
$383,989 |
$216,194 |
Preferred Securities and Income Fund |
N/A |
$0 |
$0 |
$0 |
Real Assets Fund |
N/A |
$1,880,927 |
$886,735 |
$661,183 |
|
2023 |
2022 |
2021 |
2020 |
Low Duration Preferred and Income Fund |
$10,978,929 |
$12,955,579 |
$8,657,857 |
$7,064,751 |
Preferred Securities and Income SMA Shares |
$(402,971 ) |
$(346,740 ) |
$(353,651 ) |
$(297,328 ) |
Future of Energy Fund |
$570,826 |
$583,533 |
$300,749 |
$503,765 |
Realty Shares |
N/A |
$49,664,389 |
$52,426,088 |
$32,253,626 |
Institutional Realty Shares |
N/A |
$49,183,362 |
$41,929,089 |
$26,520,049 |
Real Estate Securities Fund |
N/A |
$51,873,098 |
$50,250,405 |
$36,788,708 |
Global Realty Shares |
N/A |
$14,760,066 |
$13,128,619 |
$9,210,942 |
International Realty Fund |
N/A |
$4,234,173 |
$5,112,298 |
$4,455,205 |
Global Infrastructure Fund |
N/A |
$6,233,533 |
$4,638,593 |
$2,503,853 |
Preferred Securities and Income Fund |
N/A |
$69,651,763 |
$82,672,840 |
$64,552,567 |
Real Assets Fund |
N/A |
$3,725,028 |
$877,289 |
$151,246 |
Fiscal Year Ended |
Global Infrastructure Fund |
Global Realty Shares |
International Realty Fund |
Real Assets Fund |
Future of Energy Fund |
2023 |
N/A |
N/A |
N/A |
N/A |
$0 |
2022 |
$641,477 |
$1,749,026 |
$1,493,077 |
$287,298 |
$0 |
2021 |
$443,893 |
$1,579,588 |
$1,637,424 |
$88,520 |
$0 |
2020 |
$223,804 |
$1,248,759 |
$1,468,792 |
$49,615 |
$0 |
Fiscal Year Ended |
Global Infrastructure Fund |
Global Realty Shares |
International Realty Fund |
Real Assets Fund |
Future of Energy Fund |
2023 |
N/A |
N/A |
N/A |
N/A |
$0 |
2022 |
$316,390 |
$1,107,224 |
$937,620 |
$380,865 |
$0 |
2021 |
$272,339 |
$1,268,704 |
$1,298,711 |
$143,295 |
$1,678 |
2020 |
$177,521 |
$895,956 |
$1,065,370 |
$68,103 |
$4,835 |
|
Number of Other Accounts Managed and Assets ($mm) by Account Type | |||||
Registered Investment Companies |
Other Pooled Vehicles |
Other Accounts | ||||
Number of Accounts |
Total Assets |
Number of Accounts |
Total Assets |
Number of Accounts |
Total Assets | |
Low Duration Preferred and Income Fund |
|
|
|
|
|
|
Elaine Zaharis-Nikas |
11 |
$15,911 |
15 |
$3,205 |
20 |
$2,469 |
Jerry Dorost |
9 |
$12,579 |
15 |
$3,205 |
20 |
$2,469 |
Robert Kastoff(1) |
3 |
$4,394 |
6 |
$765 |
4 |
$849 |
Preferred Securities and Income SMA Shares |
|
|
|
|
|
|
Elaine Zaharis-Nikas |
11 |
$16,040 |
15 |
$2,834 |
20 |
$2,365 |
Jerry Dorost |
9 |
$13,110 |
15 |
$2,834 |
20 |
$2,365 |
Future of Energy Fund |
|
|
|
|
|
|
Benjamin Morton |
4 |
$4,751 |
15 |
$1,504 |
21 |
$3,246 |
Tyler S. Rosenlicht |
3 |
$4,699 |
14 |
$1,388 |
19 |
$3,013 |
Realty Shares |
|
|
|
|
|
|
Jon Cheigh |
6 |
$9,121 |
32 |
$4,253 |
23 |
$6,278 (3) |
Jason Yablon |
12 |
$19,720 |
15 |
$8,062 |
33 |
$5,192 (2) |
Mathew Kirschner |
11 |
$17,933 |
19 |
$9,624 |
29 |
$4,952 (2) |
Institutional Realty Shares |
|
|
|
|
|
|
Jon Cheigh |
6 |
$8,496 |
32 |
$4,253 |
23 |
$6,278 (3) |
Jason Yablon |
12 |
$19,096 |
15 |
$8,062 |
33 |
$5,192 (2) |
Mathew Kirschner |
11 |
$17,309 |
19 |
$9,624 |
29 |
$4,952 (2) |
Real Estate Securities Fund |
|
|
|
|
|
|
Jason Yablon |
12 |
$17,988 |
15 |
$8,062 |
33 |
$5,192 (2) |
Mathew Kirschner |
11 |
$16,201 |
19 |
$9,624 |
29 |
$4,952 (2) |
Global Realty Shares |
|
|
|
|
|
|
Jon Cheigh |
6 |
$16,237 |
32 |
$4,253 |
23 |
$6,278 (3) |
William Leung |
2 |
$550 |
33 |
$5,576 |
18 |
$5,892 (3) |
Rogier Quirijns |
2 |
$550 |
34 |
$5,685 |
21 |
$6,282 (3) |
Jason Yablon |
12 |
$23,089 |
15 |
$8,062 |
33 |
$5,192 (2) |
Ji Zhang |
2 |
$550 |
31 |
$4,145 |
24 |
$6,482 |
International Realty Fund |
|
|
|
|
|
|
Jon Cheigh |
6 |
$13,791 |
32 |
$4,253 |
23 |
$6,278 (3) |
William Leung |
2 |
$1,852 |
33 |
$5,576 |
18 |
$5,892 (3) |
Rogier Quirijns |
2 |
$1,852 |
34 |
$5,685 |
21 |
$6,282 (3) |
Ji Zhang |
2 |
$1,852 |
31 |
$4,145 |
24 |
$6,482 |
Global Infrastructure Fund |
|
|
|
|
|
|
Benjamin Morton |
5 |
$4,829 |
15 |
$1,395 |
21 |
$3,382 |
Tyler S. Rosenlicht |
2 |
$3,419 |
14 |
$1274 |
18 |
$3,132 |
Thuy Quynh Dang |
1 |
$3,284 |
14 |
$1,274 |
17 |
$3,069 |
Preferred Securities and Income Fund |
|
|
|
|
|
|
Elaine Zaharis-Nikas |
11 |
$10,925 |
16 |
$3,012 |
20 |
$2,500 |
Jerry Dorost |
9 |
$7,571 |
16 |
$3,012 |
20 |
$2,500 |
Real Assets Fund |
|
|
|
|
|
|
Jon Cheigh |
6 |
$17,964 |
32 |
$4,253 |
23 |
$6,278 (3) |
Vincent L. Childers |
1 |
$69 |
1 |
$173 |
2 |
$411 |
Benjamin Ross |
0 |
$–0– |
1 |
$173 |
2 |
$411 |
|
Number of Other Accounts Managed and Assets ($mm) by Account Type | |||||
Registered Investment Companies |
Other Pooled Vehicles |
Other Accounts | ||||
Number of Accounts |
Total Assets |
Number of Accounts |
Total Assets |
Number of Accounts |
Total Assets | |
Nicholas Koutsoftas |
0 |
$–0– |
1 |
$173 |
2 |
$411 |
Benjamin Morton |
5 |
$4,818 |
15 |
$1,395 |
21 |
$3,382 |
Jeffrey Palma |
2 |
$361 |
1 |
$173 |
2 |
$411 |
Tyler S. Rosenlicht |
2 |
$3,408 |
14 |
$1,274 |
18 |
$3,132 |
Portfolio Manager |
Low Duration Preferred and Income Fund |
Preferred Securities and Income SMA Shares |
Future of Energy Fund |
Realty Shares |
Institutional Realty Shares |
Real Estate Securities Fund |
Global Realty Shares |
International Realty Fund |
Global Infrastructure Fund |
Preferred Securities and Income Fund |
Real Assets Fund |
Elaine Zaharis-Nikas |
F |
A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
E |
N/A |
Jon Cheigh |
N/A |
N/A |
N/A |
A |
A |
N/A |
G |
A |
N/A |
N/A |
G |
Benjamin Morton |
N/A |
N/A |
A |
N/A |
N/A |
N/A |
N/A |
N/A |
F |
N/A |
A |
Jason Yablon |
N/A |
N/A |
N/A |
F |
E |
D |
A |
N/A |
N/A |
N/A |
N/A |
Roger Quirijns |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
A |
A |
N/A |
N/A |
N/A |
William Leung |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
A |
A |
N/A |
N/A |
N/A |
Vincent Childers |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
E |
Nicholas Koutsoftas |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
A |
Benjamin Ross |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
A |
Mathew Kirschner |
N/A |
N/A |
N/A |
A |
E |
A |
N/A |
N/A |
N/A |
N/A |
N/A |
Jerry Dorost |
A |
A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
B |
N/A |
Tyler S.Rosenlicht |
N/A |
N/A |
E |
N/A |
N/A |
N/A |
N/A |
N/A |
A |
N/A |
E |
Ji Zhang |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
A |
A |
N/A |
N/A |
N/A |
Thuy Quynh Dang |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
A |
N/A |
N/A |
Jeffrey Palma |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
E |
Robert Kastoff(1) |
A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
|
2023 |
2022 |
2021 |
2020 |
Low Duration Preferred and Income Fund |
$1,235,798 |
$1,428,581 |
$976,912 |
$827,181 |
Preferred Securities and Income SMA Shares |
N/A |
N/A |
N/A |
N/A |
Future of Energy Fund |
$60,281 |
$66,394 |
$48,406 |
$60,084 |
Realty Shares |
N/A |
$2,834,355 |
$2,975,768 |
$1,936,551 |
Institutional Realty Shares |
N/A |
N/A |
N/A |
N/A |
Real Estate Securities Fund |
N/A |
$3,099,883 |
$3,000,025 |
$2,171,613 |
Global Realty Shares |
N/A |
$805,329 |
$721,745 |
$510,228 |
International Realty Fund |
N/A |
$215,979 |
$259,421 |
$225,445 |
|
2023 |
2022 |
2021 |
2020 |
Global Infrastructure Fund |
N/A |
$364,714 |
$267,871 |
$145,069 |
Preferred Securities and Income Fund |
N/A |
$5,030,967 |
$6,032,526 |
$4,644,045 |
Real Assets Fund |
N/A |
$597,969 |
$188,163 |
$86,659 |
|
2023 |
2022 |
2021 |
2020 |
Low Duration Preferred and Income Fund |
$66,837 |
$187,942 |
$49,799 |
$140,408 |
Future of Energy Fund |
$2,636 |
$7,517 |
$6,451 |
$20,369 |
Realty Shares |
N/A |
$28,508 |
$36,968 |
$24,242 |
Real Estate Securities Fund |
N/A |
$3,356 |
$7,825 |
$33,441 |
Global Realty Shares |
N/A |
$7,153 |
$10,989 |
$10,300 |
International Realty Fund |
N/A |
$408 |
$307 |
$2,418 |
Global Infrastructure Fund |
N/A |
$12,625 |
$27,821 |
$9,454 |
Preferred Securities and Income Fund |
N/A |
$131,866 |
$261,459 |
$387,235 |
Real Assets Fund |
N/A |
$13,837 |
$1,649 |
$1,430 |
|
2023 |
2022 |
2021 |
2020 |
Low Duration Preferred and Income Fund |
$43,249 |
$17,278 |
$50,842 |
$54,910 |
Preferred Securities and Income SMA Shares |
$46,895 |
$35,691 |
$22,746 |
$54,641 |
Future of Energy Fund |
$168,283 |
$105,795 |
$160,931 |
$458,674 |
Realty Shares |
N/A |
$1,876,977 |
$1,958,401 |
$3,103,380 |
Real Estate Securities Fund |
N/A |
$2,300,063 |
$3,558,040 |
$6,044,680 |
Institutional Realty Shares |
N/A |
$1,491,100 |
$1,690,213 |
$2,213,830 |
Global Realty Shares |
N/A |
$1,479,652 |
$1,532,862 |
$1,716,261 |
International Realty Fund |
N/A |
$723,486 |
$874,760 |
$951,441 |
Global Infrastructure Fund |
N/A |
$942,352 |
$640,427 |
$440,421 |
Preferred Securities and Income Fund |
N/A |
$604,146 |
$661,519 |
$648,374 |
Real Assets Fund |
N/A |
$634,472 |
$181,369 |
$144,679 |
|
2023 |
2022 |
2021 |
2020 |
Low Duration Preferred and Income Fund |
$26,701 |
$11,518 |
$14,329 |
$8,578 |
Preferred Securities and Income SMA Shares |
$32,794 |
$23,576 |
N/A |
N/A |
Future of Energy Fund |
$81,715 |
$41,526 |
$100,329 |
$36,318 |
Realty Shares |
N/A |
$779,252 |
$1,276,016 |
$1,745,120 |
Institutional Realty Shares |
N/A |
$604,454 |
$851,190 |
$946,105 |
Real Estate Securities Fund |
N/A |
$698,670 |
$1,709,470 |
$1,553,066 |
Global Realty Shares |
N/A |
$578,520 |
$597,387 |
$264,279 |
International Realty Fund |
N/A |
$278,236 |
$418,487 |
$353,218 |
Global Infrastructure Fund |
N/A |
$355,969 |
$96,496 |
$123,495 |
Preferred Securities and Income Fund |
N/A |
$373,722 |
$443,434 |
$208,307 |
Real Assets Fund |
N/A |
$296,553 |
$71,075 |
$94,629 |
|
Dollar Value of Securities Owned |
Bank of America |
$97,855,789 |
CITIGROUP Inc. |
$71,151,210 |
Wells Fargo & Co. |
$57,326,539 |
Barclays Capital Inc. |
$51,431,232 |
BNP Paribas SA |
$47,486,789 |
Societe Generale SA |
$35,178,042 |
J.P. Morgan Chase & Co. |
$30,382,520 |
UBS Group AG |
$26,410,291 |
Scotia Capital Inc. |
$20,845,647 |
Toronto Dominion Inc. |
$12,864,978 |
HSBC |
$8,756,000 |
Goldman, Sachs |
$7,534,891 |
|
Dollar Value of Securities Owned | |
Preferred Securities and Income SMA Shares |
|
|
BNP Paribas |
$15,186,541 | |
Wells Fargo Securities LLC |
$14,356,502 | |
Citibank, N.A. |
$11,183,573 | |
HSBC Bank PLC |
$10,176,277 | |
Barclays Bank PLC |
$10,098,197 | |
UBS AG |
$8,339,268 | |
BofA Securities, Inc. / Fixed Income |
$7,934,110 | |
Credit Agricole Securities (USA) Inc. |
$6,919,407 | |
Societe Generale London Branch |
$6,797,274 | |
Deutsche Bank AG |
$5,322,096 |
|
Dollar Value of Securities Owned |
Preferred Securities and Income Fund |
|
Bank of America Corp. |
$350,650,978 |
Barclays PLC |
$308,904,972 |
Wells Fargo Securities LLC |
$290,721,001 |
BNP Paribas SA |
$272,073,671 |
Societe Generale SA |
$264,773,204 |
Citigroup |
$250,134,091 |
Credit Suisse Group AG |
$190,228,272 |
J.P. Morgan Chase & Co. |
$174,115,658 |
UBS Group Funding Switzerland AG |
$231,104,007 |
J.P. Morgan Chase & Co. |
$120,266,736 |
Deutsche Bank AG |
$102,813,594 |
|
|
Real Assets Fund |
|
Morgan Stanley |
$2,260,978 |
Bank of America Corp. |
$1,241,283 |
Citigroup |
$1,017,384 |
Goldman Sachs & Co LLC |
$813,927 |
Barclays PLC |
$779,284 |
J.P. Morgan Chase & Co. |
$498,383 |
UBS AG |
$394,529 |
|
2023 |
2022 |
2021 |
2020 |
Low Duration Preferred and Income Fund |
31 % |
44 % |
44 % |
53 % |
Preferred Securities and Income SMA Shares |
58 % |
72 % |
71 % |
99 % |
Future of Energy Fund |
74 % |
58 % |
94 % |
105 % |
Realty Shares |
N/A |
32 % |
41 % |
62 % |
Institutional Realty Shares |
N/A |
34 % |
34 % |
66 % |
Real Estate Securities Fund |
N/A |
34 % |
55 % |
108 % |
Global Realty Shares |
N/A |
52 % |
46 % |
93 % |
International Realty Fund |
N/A |
74 % |
74 % |
92 % |
Global Infrastructure Fund |
N/A |
83 % |
64 % |
89 % |
Preferred Securities and Income Fund |
N/A |
42 % |
45 % |
49 % |
Real Assets Fund |
N/A |
83 % |
71 % |
139 % |
Fund |
Authorized Shares |
Low Duration Preferred and Income Fund |
1,400,000,000 shares |
Class A Shares |
200,000,000 |
Class C Shares |
200,000,000 |
Class F Shares |
200,000,000 |
Class I Shares |
400,000,000 |
Class R Shares |
200,000,000 |
Class Z Shares |
200,000,000 |
Preferred Securities and Income SMA Shares |
100,000,000 shares |
Future of Energy Fund |
1,400,000,000 shares |
Class A Shares |
200,000,000 |
Class C Shares |
200,000,000 |
Class F Shares |
200,000,000 |
Class I Shares |
400,000,000 |
Class R Shares |
200,000,000 |
Class Z Shares |
200,000,000 |
Global Infrastructure Fund |
400,000,000 shares |
Class A Shares |
50,000,000 |
Class C Shares |
50,000,000 |
Class F Shares |
50,000,000 |
Class I Shares |
150,000,000 |
Class R Shares |
50,000,000 |
Class Z Shares |
50,000,000 |
Global Realty Shares |
400,000,000 shares |
Class A Shares |
50,000,000 |
Class C Shares |
50,000,000 |
Class F Shares |
50,000,000 |
Class I Shares |
150,000,000 |
Class R Shares |
50,000,000 |
Class Z Shares |
50,000,000 |
Institutional Realty Shares |
250,000,000 shares |
International Realty Fund |
1,800,000,000 shares |
Class A Shares |
250,000,000 |
Class C Shares |
250,000,000 |
Class F Shares |
250,000,000 |
Class I Shares |
550,000,000 |
Class R Shares |
250,000,000 |
Class Z Shares |
250,000,000 |
Preferred Securities and Income Fund |
2,200,000,000 shares |
Class A Shares |
200,000,000 |
Class C Shares |
200,000,000 |
Class F Shares |
200,000,000 |
Class I Shares |
1,200,000,000 |
Class R Shares |
200,000,000 |
Class Z Shares |
200,000,000 |
Real Assets Fund |
1,400,000,000 shares |
Fund |
Authorized Shares |
Class A Shares |
200,000,000 |
Class C Shares |
200,000,000 |
Class F Shares |
200,000,000 |
Class I Shares |
400,000,000 |
Class R Shares |
200,000,000 |
Class Z Shares |
200,000,000 |
Real Estate Securities Fund |
1,000,000,000 shares |
Class A Shares |
100,000,000 |
Class C Shares |
50,000,000 |
Class F Shares |
100,000,000 |
Class I Shares |
550,000,000 |
Class R Shares |
50,000,000 |
Class Z Shares |
150,000,000 |
Realty Shares |
700,000,000 shares |
Class A Shares |
100,000,000 |
Class C Shares |
50,000,000 |
Class F Shares |
50,000,000 |
Class I Shares |
200,000,000 |
Class L Shares |
200,000,000 |
Class R Shares |
50,000,000 |
Class Z Shares |
50,000,000 |
Investment Amount |
Sales Charge as a % of Offering Price(1) |
Sales Charge as a % of Net Amount Invested |
Regular Dealer Reallowance as a % of Offering Price |
Less than $100,000 |
4.50 % |
4.71 % |
4.00 % |
$100,000 but less than $250,000 |
3.75 % |
3.90 % |
3.25 % |
$250,000 but less than $500,000 |
2.75 % |
2.83 % |
2.25 % |
$500,000 but less than $1 million |
2.00 % |
2.04 % |
1.75 % |
$1 million or more |
None |
None |
1.00 † |
Investment Amount |
Sales Charge as a % of Offering Price(1) |
Sales Charge as a % of Net Amount Invested |
Regular Dealer Reallowance as a % of Offering Price |
Less than $100,000 |
3.75 % |
3.90 % |
3.25 % |
$100,000 but less than $250,000 |
2.75 % |
2.83 % |
2.25 % |
$250,000 but less than $500,000 |
2.00 % |
2.04 % |
1.50 % |
$500,000 but less than $1 million |
1.00 % |
1.01 % |
1.00 % |
$1 million or more |
None |
None |
1.00 † |
Investment Amount |
Sales Charge as a % of Offering Price(1) |
Sales Charge as a % of Net Amount Invested |
Regular Dealer Reallowance as a % of Offering Price |
Less than $100,000 |
2.00 % |
2.04 % |
1.75 % |
$100,000 but less than $250,000 |
1.75 % |
1.78 % |
1.50 % |
$250,000 but less than $500,000 |
1.25 % |
1.27 % |
1.00 % |
$500,000 or more |
None |
None |
1.00 † |
|
Class A Shares |
Class C Shares |
Class R Shares |
Low Duration Preferred and Income Fund |
$675,876 |
$655,028 |
$1,467 |
Future of Energy Fund |
$36,730 |
$37,658 |
$1,412 |
Realty Shares |
$229,690 |
$179,321 |
$28,784 |
Real Estate Securities Fund |
$2,148,813 |
$660,472 |
$117,866 |
Global Realty Shares |
$201,315 |
$78,016 |
$6,490 |
International Realty Fund |
$99,087 |
$12,771 |
$211 |
Global Infrastructure Fund |
$187,284 |
$58,136 |
$258 |
Preferred Securities and Income Fund |
$2,595,060 |
$3,075,024 |
$8,177 |
Real Assets Fund |
$42,575 |
$51,794 |
$255 |
|
Class A Shares |
Class C Shares |
Class I Shares |
Low Duration Preferred and Income Fund |
$0 |
$0 |
$1,391,833 |
Future of Energy Fund |
$14,692 |
$12,553 |
$84,528 |
Realty Shares(1) |
$91,876 |
$59,774 |
$1,249,509 |
Real Estate Securities Fund |
$859,525 |
$220,157 |
$4,565,634 |
Global Realty Shares |
$80,526 |
$26,006 |
$1,377,536 |
International Realty Fund |
$39,635 |
$4,257 |
$382,534 |
Global Infrastructure Fund |
$74,913 |
$19,379 |
$604,859 |
Preferred Securities and Income Fund |
$1,038,024 |
$1,025,008 |
$5,091,446 |
Real Assets Fund |
$17,030 |
$17,265 |
$523,916 |
(a) |
|
|
|
|
|
|
|
|
|
|
|
(b) |
|
(c) |
The rights of security holders are defined in the Registrant’s Articles of Incorporation (Article FIFTH and Article SEVENTH), filed as Exhibit (a)(i) to this Registration Statement and the Registrant’s By-Laws (Article II, Article VII and Article IX) filed as Exhibit (b) to this Registration Statement. |
(d) |
|
|
|
|
|
|
|
(e) |
|
(f) |
Not applicable |
(g) |
|
(h) |
|
|
|
|
|
|
|
|
|
(i) |
|
(j) |
|
(k) |
Not applicable |
(l) |
|
(m) |
|
(n) |
|
(p) |
Name |
Title |
Other Business/Position Held/Dates |
Joseph M. Harvey |
President, Chief Executive Officer and Director |
* |
Adam M. Derechin |
Executive Vice President, Chief Operating Officer and Director |
* |
Francis C. Poli |
Executive Vice President, General Counsel and Secretary |
* |
Jon Cheigh |
Executive Vice President and Chief Investment Officer |
* |
Matthew S. Stadler |
Executive Vice President and Chief Financial Officer |
* |
Brandon Brown |
Executive Vice president, Chief Human Resources Officer |
* |
Douglas R. Bond |
Executive Vice President |
* |
Daniel Charles |
Executive Vice President |
* |
Emily Conte |
Executive Vice President |
* |
James S. Corl |
Executive Vice President |
* |
Brandon Brown |
Executive Vice president, Chief Human Resources Officer |
* |
Name |
Title |
Other Business/Position Held/Dates |
James Giallanza |
Executive Vice President |
* |
Daniel Longmuir |
Executive Vice President |
* |
Benjamin Morton |
Executive Vice President |
* |
Matthew Pace |
Executive Vice President |
* |
Christopher Parliman |
Executive Vice President |
* |
William Scapell |
Executive Vice President |
* |
Jeffrey Sharon |
Executive Vice President |
* |
Jason Yablon |
Executive Vice President |
* |
Paul Zettl |
Executive Vice President |
* |
William Alstrin |
Senior Vice President |
* |
Christopher Barrett |
Senior Vice President |
* |
Neil Bloom |
Senior Vice President |
* |
Richard Borden |
Senior Vice President |
* |
Michelle Butler |
Senior Vice President |
* |
Brian Carlisle |
Senior Vice President |
* |
Brian Casey |
Senior Vice President |
* |
Keith Caswell |
Senior Vice President |
* |
Wai Ming Chan |
Senior Vice President |
* |
Vince Childers |
Senior Vice President |
* |
Kristen Choi |
Senior Vice President |
* |
Colleen Cleary |
Senior Vice President |
* |
Adam Collins |
Senior Vice President |
* |
David Conway |
Senior Vice President |
* |
Brian Cordes |
Senior Vice President |
* |
Anthony Corriggio |
Senior Vice President |
* |
Gavin Daly |
Senior Vice President |
* |
Thuy Quynh Dang |
Senior Vice President |
* |
Matthew Darwin |
Senior Vice President |
* |
Edward Delk |
Senior Vice President, Global Chief Compliance Officer |
* |
Dana A. DeVivo |
Senior Vice President |
* |
Michael Donohue |
Senior Vice President and Controller |
* |
Jerome Dorost |
Senior Vice President |
* |
David Driscoll |
Senior Vice President |
* |
Elena Dulik |
Senior Vice President and Chief Accounting Officer |
* |
Amy Duling |
Senior Vice President |
* |
Austin Fagan |
Senior Vice President |
* |
Jessen Fahey |
Senior Vice President |
* |
Dane Garrood |
Senior Vice President |
* |
Leonard Geiger |
Senior Vice President |
* |
Marcia Glass |
Senior Vice President |
* |
Michael Graveline |
Senior Vice President |
* |
Khushbu Gupta |
Senior Vice President |
* |
Daniel Hafford |
Senior Vice President |
* |
Name |
Title |
Other Business/Position Held/Dates |
Marc Haynes |
Senior Vice President |
* |
Natalie Hedlund |
Senior Vice President |
* |
Brian Heller |
Senior Vice President |
* |
Daniel Hemberger |
Senior Vice President |
* |
Joseph Hill |
Senior Vice President |
* |
Andrew Humble |
Senior Vice President |
* |
Khalid Husain |
Senior Vice President |
* |
Melissa Iorio |
Senior Vice President |
* |
Yigal Jhirad |
Senior Vice President |
* |
Jason Johnson |
Senior Vice President |
* |
Matthew Karcic |
Senior Vice President |
* |
Damon Karras |
Senior Vice President |
* |
Mathew Kirschner |
Senior Vice President |
* |
Nicholas Koutsoftas |
Senior Vice President |
* |
Albert Laskaj |
Senior Vice President |
* |
Wai Lim Leung |
Senior Vice President |
* |
Kevin Li |
Senior Vice President |
* |
Mary Liftin |
Senior Vice President |
* |
Michael Loftus |
Senior Vice President |
* |
Kevin Lotti |
Senior Vice President |
* |
Arjun Mahalingam |
Senior Vice President |
* |
Kristine Manzi |
Senior Vice President |
* |
Brian Meta |
Senior Vice President |
* |
Sharanya Mitchell |
Senior Vice President |
* |
John Moore |
Senior Vice President |
* |
Stephen Murphy |
Senior Vice President and Deputy Chief Compliance Officer |
* |
Christopher Nelson |
Senior Vice President |
* |
Mary Ruth Newman |
Senior Vice President |
* |
Michael Nolan |
Senior Vice President |
* |
Pretash Nuculaj |
Senior Vice President |
* |
Jeffrey Palma |
Senior Vice President |
* |
Jimmy Parsard |
Senior Vice President |
* |
Susannah Pitura |
Senior Vice President |
* |
Ronald Pucillo |
Senior Vice President |
* |
Anthony Puma |
Senior Vice President |
* |
Rogier Quirijns |
Senior Vice President |
* |
Kevin Rochefort |
Senior Vice President |
* |
Tyler Rosenlicht |
Senior Vice President |
* |
Benjamin Ross |
Senior Vice President |
* |
Christian Rusu |
Senior Vice President |
* |
Michael Schell |
Senior Vice President |
* |
Evan Serton |
Senior Vice President |
* |
Janine Seto-Moy |
Senior Vice President |
* |
Alexander Shafran |
Senior Vice President |
* |
Name |
Title |
Other Business/Position Held/Dates |
James Shields |
Senior Vice President |
* |
Abhijit Shroff |
Senior Vice President |
* |
Rodrigo Soto |
Senior Vice President |
* |
Hamid Tabib |
Senior Vice President |
* |
Steven Tix |
Senior Vice President |
* |
Daniel Tyshovnytsky |
Senior Vice President |
* |
Regina Vaitzman |
Senior Vice President |
* |
Ted Valenti |
Senior Vice President |
* |
Jason Vinikoor |
Senior Vice President |
* |
Charles Wenzel |
Senior Vice President |
* |
Mirchiru Wisely |
Senior Vice President |
* |
Kazuya Yuasa |
Senior Vice President |
* |
Elaine Zaharis-Nikas |
Senior Vice President |
* |
Jiyang Zhang |
Senior Vice President |
* |
Anthony Angotti |
Vice President |
* |
Juliana Annis |
Vice President |
* |
Marie Shayne Arcilla |
Vice President |
* |
Christopher Balisky |
Vice President |
* |
Jonathan Beshel |
Vice President |
* |
Stefano Bezzato |
Vice President |
* |
Christopher Boland |
Vice President |
* |
Ryan Bolton |
Vice President |
* |
Jillian Boyer |
Vice President |
* |
Jonathan Brailey |
Vice President |
* |
Gabriel Buerkle |
Vice President |
* |
Andrew Burd |
Vice President |
* |
Peter Burnside |
Vice President |
* |
Dara Byrne |
Vice President |
* |
Joao Paulo Cardoso Monteclaro Cesar |
Vice President |
* |
Thomas Cassidy |
Vice President |
* |
Catherine Cheng |
Vice President |
* |
William Cheng |
Vice President |
* |
Sean Cooney |
Vice President |
* |
Alan Cooper |
Vice President |
* |
Alexander Deluccia |
Vice President |
* |
Christopher DeNunzio |
Vice President |
* |
Ankita Dhupar |
Vice President |
* |
Michael DiFlora |
Vice President |
* |
Yan Lin Ding |
Vice President |
* |
Siyu Dong |
Vice President |
* |
William Formosa |
Vice President |
* |
Steven Frank |
Vice President |
* |
Celine Fung |
Vice President |
* |
Christopher Gasta |
Vice President |
* |
Name |
Title |
Other Business/Position Held/Dates |
John Geoghan |
Vice President |
* |
Craig Guttenplan |
Vice President |
* |
Joseph Handelman |
Vice President |
* |
Michael Hart |
Vice President |
* |
Richard Heddy |
Vice President |
* |
Elizabeth Heisler |
Vice President |
* |
Joshua Hilbert |
Vice President |
* |
Andrew Hourigan |
Vice President |
* |
Christopher Jerejian |
Vice President |
* |
Ryan Johann |
Vice President |
* |
Sergey Kalinskiy |
Vice President |
* |
Robert Kastoff |
Vice President |
* |
Colin Keane |
Vice President |
* |
Charlotte Keenan |
Vice President |
* |
Robert Kennedy |
Vice President |
* |
Diptanshu Khattry |
Vice President |
* |
Michael King |
Vice President |
* |
Stefanny Kisiel |
Vice President |
* |
Beth Klavir |
Vice President |
* |
Harrison Klein |
Vice President |
* |
Robert Klemens |
Vice President |
* |
Chi Yeung Ko |
Vice President |
* |
Eric Kristenson |
Vice President |
* |
Shirley Lam |
Vice President |
* |
Kelly Lam |
Vice President |
* |
Hin Fai Lam |
Vice President |
* |
Alexander Laskey |
Vice President |
* |
Joseph Lee |
Vice President |
* |
Wincheng Lin |
Vice President |
* |
Priyanku Lochawala |
Vice Predident |
* |
Sean Magrath |
Vice President |
* |
Michael McGarry |
Vice President |
* |
Raquel McLean |
Vice President |
* |
Kristin McShea |
Vice President |
* |
Humberto Medina |
Vice President |
* |
Ryan Medlock |
Vice President |
* |
Myra Mercado |
Vice President |
* |
Michele Meyer |
Vice President |
* |
Taylor Mizzi |
Vice President |
* |
Margaret Mo |
Vice President |
* |
David Moonasar |
Vice President |
* |
Timothy Murphy |
Vice President |
* |
John Muth |
Vice President |
* |
Natalie Okorie |
Vice President |
* |
Barbara Olander |
Vice President |
* |
Name |
Title |
Other Business/Position Held/Dates |
Alex Overby |
Vice President |
* |
Shruti Patel |
Vice President |
* |
Christopher Pietretti |
Vice President |
* |
Jeffrey Pike |
Vice President |
* |
Damien Porras |
Vice President |
* |
Allie Quine |
Vice President |
* |
Brian Quinn |
Vice President |
* |
Snehasis Rath |
Vice President |
* |
Steven Reilly |
Vice President |
* |
Charles Renfro |
Vice President |
* |
Danielle Rizzaro |
Vice President |
* |
Bobbi Lynn Roberts |
Vice President |
* |
Peter Rossi |
Vice President |
* |
Boris Royzen |
Vice President |
* |
Hideya Sakai |
Vice President |
* |
Zarna Sanghvi |
Vice President |
* |
Arun Sharma |
Vice President |
* |
Joshua Silverman |
Vice President |
* |
Dany Smith |
Vice President |
* |
Kevin Sutcliffe |
Vice President |
* |
Faezeh Taghvaee |
Vice President |
* |
Oleksandr Trotsenko |
Vice President |
* |
Lorraine Tutovic |
Vice President |
* |
Edward Valente |
Vice President |
* |
Jan Willem Van Kranenburg |
Vice President |
* |
Matthew Virag |
Vice President |
* |
Brendan Walters |
Vice President |
* |
Kryshna Wright |
Vice President |
* |
Lu Xie |
Vice President |
* |
Yue Zhang |
Vice President |
* |
Michael Ziselman |
Vice President |
* |
Name |
Position and Offices with Distributor |
Position and Offices with Registrant |
Francis C. Poli |
President and Director |
Executive Vice President, and Assistant Secretary |
Matthew S. Stadler |
Chief Financial Officer, Treasurer and Director |
Executive Vice President |
Stephen Murphy |
Chief Compliance Officer |
Chief Compliance Officer and Vice President |
Dana A. DeVivo |
Secretary |
Senior Vice President and Chief Legal Officer |
Adam M. Derechin |
Vice President |
Director |
Brian Heller |
Assistant Secretary and Chief Legal Officer |
N/A |
Cohen & Steers Future of Energy Fund, Inc. (formerly known as Cohen & Steers MLP & Energy Opportunity Fund, Inc.) | |
By: |
/s/ JAMES GIALLANZA |
|
JAMES GIALLANZA |
|
President and CEO |
SIGNATURE |
TITLE |
DATE |
By: /s/ JAMES GIALLANZA |
President and Chief Executive Officer (Principal Executive Officer) |
March 28, 2024 |
(JAMES GIALLANZA) | ||
By: /s/ ALBERT LASKAJ |
Treasurer and Chief Financial Officer (Principal Financial Officer) |
March 28, 2024 |
(ALBERT LASKAJ) | ||
* |
Chair and Director |
March 28, 2024 |
(JOSEPH M. HARVEY) | ||
* |
Director |
March 28, 2024 |
(ADAM M. DERECHIN) | ||
* |
Director |
March 28, 2024 |
(MICHAEL G. CLARK) | ||
* |
Director |
March 28, 2024 |
(DEAN A. JUNKANS) | ||
* |
Director |
March 28, 2024 |
(GEORGE GROSSMAN) | ||
* |
Director |
March 28, 2024 |
(GERALD J. MAGINNIS) | ||
* |
Director |
March 28, 2024 |
(JANE F. MAGPIONG) | ||
* |
Director |
March 28, 2024 |
(DAPHNE L. RICHARDS) | ||
* |
Director |
March 28, 2024 |
(RAMONA ROGERS-WINDSOR) | ||
*By: /s/ DANA A. DEVIVO |
|
March 28, 2024 |
Dana A. DeVivo ATTORNEY-IN-FACT |