Filed pursuant to Rule 497(e);
File nos. 333-89661, 2-99356 and 333-131683
Columbia California Intermediate Municipal Bond Fund | ||
Class A: NACMX |
Class Adv: CCMRX |
Class Inst: NCMAX |
Class Inst2: CNBRX |
Class Inst3: CCBYX |
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Columbia Capital Allocation Moderate Aggressive Portfolio | ||
Class A: NBIAX |
Class Adv: CGBRX |
Class C: NBICX |
Class Inst: NBGPX |
Class Inst3: CPHNX |
Class R: CLBRX |
Columbia Capital Allocation Moderate Conservative Portfolio | ||
Class A: NLGAX |
Class Adv: CHWRX |
Class C: NIICX |
Class Inst: NIPAX |
Class R: CLIRX |
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Columbia Convertible Securities Fund | ||
Class A: PACIX |
Class Adv: COVRX |
Class C: PHIKX |
Class Inst: NCIAX |
Class Inst2: COCRX |
Class Inst3: CSFYX |
Columbia Large Cap Enhanced Core Fund | ||
Class A: NMIAX |
Class Adv: CECFX |
Class Inst: NMIMX |
Class Inst3: CECYX |
Class R: CCERX |
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Columbia Large Cap Growth Opportunity Fund | ||
Class A: NFEAX |
Class Adv: CSFRX |
Class Inst: NFEPX |
Class Inst2: CADRX |
Class Inst3: CLRYX |
Class R: CLGPX |
Columbia Large Cap Index Fund | ||
Class A: NEIAX |
Class Inst: NINDX |
Class Inst2: CLXRX |
Class Inst3: CLPYX |
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Columbia Mid Cap Index Fund | ||
Class A: NTIAX |
Class Inst: NMPAX |
Class Inst2: CPXRX |
Class Inst3: CMDYX |
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Columbia Overseas Value Fund | ||
Class A: COAVX |
Class Adv: COSVX |
Class C: COCVX |
Class Inst: COSZX |
Class Inst2: COSSX |
Class Inst3: COSYX |
Class R: COVUX |
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Columbia Select Large Cap Equity Fund | ||
Class A: NSGAX |
Class Adv: CLSRX |
Class C: NSGCX |
Class Inst: NSEPX |
Class Inst2: CLCRX |
Class Inst3: CLEYX |
Class R§: — |
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Columbia Select Mid Cap Value Fund | ||
Class A: CMUAX |
Class Adv: CFDRX |
Class C: CMUCX |
Class Inst: NAMAX |
Class Inst2: CVERX |
Class Inst3: CMVYX |
Class R: CMVRX |
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Columbia Short Duration Municipal Bond Fund | ||
Class A: NSMMX |
Class Adv: CSMTX |
Class Inst: NSMIX |
Class Inst2: CNNRX |
Class Inst3: CSMYX |
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Columbia Short Term Bond Fund | ||
Class A: NSTRX |
Class Adv: CMDRX |
Class C: NSTIX |
Class Inst: NSTMX |
Class Inst2: CCBRX |
Class Inst3: CSBYX |
Columbia Small Cap Index Fund | ||
Class A: NMSAX |
Class Inst: NMSCX |
Class Inst2: CXXRX |
Class Inst3: CSPYX |
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Columbia Small Cap Value Fund II | ||
Class A: COVAX |
Class Adv: CLURX |
Class Inst: NSVAX |
Class Inst2: CRRRX |
Class Inst3: CRRYX |
Class R: CCTRX |
Columbia Adaptive Risk Allocation Fund | ||
Class A: CRAAX |
Class Adv: CARRX |
Class C: CRACX |
Class Inst: CRAZX |
Class Inst2: CRDRX |
Class Inst3: CARYX |
Columbia Balanced Fund | ||
Class A: CBLAX |
Class Adv: CBDRX |
Class C: CBLCX |
Class Inst: CBALX |
Class Inst2: CLREX |
Class Inst3: CBDYX |
Class R: CBLRX |
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Columbia Bond Fund | ||
Class A: CNDAX |
Class Adv: CNDRX |
Class Inst: UMMGX |
Class Inst2: CNFRX |
Class Inst3: CBFYX |
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Columbia Contrarian Core Fund | ||
Class A: LCCAX |
Class Adv: CORRX |
Class C: LCCCX |
Class Inst: SMGIX |
Class Inst2: COFRX |
Class Inst3: COFYX |
Class R: CCCRX |
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Columbia Corporate Income Fund | ||
Class A: LIIAX |
Class Adv: CIFRX |
Class Inst: SRINX |
Class Inst2: CPIRX |
Class Inst3: CRIYX |
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Columbia Dividend Income Fund | ||
Class A: LBSAX |
Class Adv: CVIRX |
Class C: LBSCX |
Class Inst: GSFTX |
Class Inst2: CDDRX |
Class Inst3: CDDYX |
Class R: CDIRX |
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Columbia Emerging Markets Fund | ||
Class A: EEMAX |
Class Adv: CEMHX |
Class C: EEMCX |
Class Inst: UMEMX |
Class Inst2: CEKRX |
Class Inst3: CEKYX |
Columbia Global Technology Growth Fund | ||
Class A: CTCAX |
Class Adv: CTYRX |
Class C: CTHCX |
Class Inst: CMTFX |
Class Inst2: CTHRX |
Class Inst3: CGTUX |
Columbia Greater China Fund | ||
Class A: NGCAX |
Class Adv: CGCHX |
Class Inst: LNGZX |
Class Inst3: CGCYX |
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Columbia High Yield Municipal Fund | ||
Class A: LHIAX |
Class Adv: CHIYX |
Class C: CHMCX |
Class Inst: SRHMX |
Class Inst2: CHMYX |
Class Inst3: CHHYX |
Columbia Intermediate Duration Municipal Bond Fund | ||
Class A: LITAX |
Class Adv: CIMRX |
Class C: LITCX |
Class Inst: SETMX |
Class Inst2: CTMRX |
Class Inst3: CIMYX |
Columbia International Dividend Income Fund | ||
Class A: CSVAX |
Class Adv: CGOLX |
Class Inst: CSVFX |
Class Inst2: CADPX |
Class Inst3: CLSYX |
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Columbia Large Cap Growth Fund | ||
Class A: LEGAX |
Class Adv: CCGRX |
Class C: LEGCX |
Class E: CLGEX |
Class Inst: GEGTX |
Class Inst2: CLWFX |
Class Inst3: CGFYX |
Class R: CGWRX |
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Columbia Massachusetts Intermediate Municipal Bond Fund | ||
Class A: LMIAX |
Class Adv: CMANX |
Class Inst: SEMAX |
Class Inst3: CMMYX |
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Columbia Multi Strategy Alternatives Fund | ||
Class A: CLAAX |
Class Adv: CLFUX |
Class C: CLABX |
Class Inst: CLAZX |
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Columbia New York Intermediate Municipal Bond Fund
| ||
Class A: LNYAX |
Class Adv: CNYIX |
Class Inst: GNYTX |
Class Inst2: CNYUX |
Class Inst3: CNYYX |
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Columbia Oregon Intermediate Municipal Bond Fund
| ||
Class A: COEAX |
Class Adv: CORMX |
Class Inst: CMBFX |
Class Inst2: CODRX |
Class Inst3: CORYX |
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Columbia Real Estate Equity Fund | ||
Class A: CREAX |
Class Adv: CRERX |
Class Inst: CREEX |
Class Inst2: CRRVX |
Class Inst3: CREYX |
Class S§: — |
Columbia Select Large Cap Growth Fund | ||
Class A: ELGAX |
Class Adv: CSRRX |
Class Inst: UMLGX |
Class Inst2: CGTRX |
Class Inst3: CCWRX |
Class R: URLGX |
Columbia Select Mid Cap Growth Fund | ||
Class A: CBSAX |
Class Adv: CPGRX |
Class C: CMCCX |
Class Inst: CLSPX |
Class Inst2: CMGVX |
Class Inst3: CMGYX |
Columbia Small Cap Growth Fund | ||
Class A: CGOAX |
Class Adv: CHHRX |
Class C: CGOCX |
Class Inst: CMSCX |
Class Inst2: CSCRX |
Class Inst3: CSGYX |
Class R: CCRIX |
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Columbia Small Cap Value Fund I | ||
Class A: CSMIX |
Class Adv: CVVRX |
Class C: CSSCX |
Class Inst: CSCZX |
Class Inst2: CUURX |
Class Inst3: CSVYX |
Class R: CSVRX |
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Columbia Strategic California Municipal Income Fund | ||
Class A: CLMPX |
Class Adv: CCARX |
Class C: CCAOX |
Class Inst: CCAZX |
Class Inst2: CCAUX |
Class Inst3: CCXYX |
Columbia Strategic Income Fund | ||
Class A: COSIX |
Class Adv: CMNRX |
Class C: CLSCX |
Class Inst: LSIZX |
Class Inst2: CTIVX |
Class Inst3: CPHUX |
Class R: CSNRX |
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Columbia Strategic New York Municipal Income Fund | ||
Class A: COLNX |
Class Adv: CNYEX |
Class C: CNYCX |
Class Inst: CNYZX |
Class Inst2: CNYRX |
Class Inst3: CNTYX |
Columbia Tax-Exempt Fund | ||
Class A: COLTX |
Class Adv: CTERX |
Class C: COLCX |
Class Inst: CTEZX |
Class Inst2: CADMX |
Class Inst3: CTEYX |
Columbia Total Return Bond Fund | ||
Class A: LIBAX |
Class Adv: CBNRX |
Class C: LIBCX |
Class Inst: SRBFX |
Class Inst2: CTBRX |
Class Inst3: CTBYX |
Class R: CIBRX |
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Columbia U.S. Treasury Index Fund | ||
Class A: LUTAX |
Class Inst: IUTIX |
Class Inst2: CUTRX |
Class Inst3: CUTYX |
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Columbia Ultra Short Term Bond Fund | ||
Class A: CUSOX |
Class Adv: CUSHX |
Class Inst: CUSBX |
Class Inst3: CMGUX |
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Multi-Manager Alternative Strategies Fund | ||
Class Inst: CZAMX |
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Multi-Manager Directional Alternative Strategies Fund | ||
Class Inst: CDAZX |
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Multi-Manager Growth Strategies Fund | ||
Class Inst: CZMGX |
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Multi-Manager International Equity Strategies Fund | ||
Class Inst: CMIEX |
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Multi-Manager Small Cap Equity Strategies Fund | ||
Class Inst: CZMSX |
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Multi-Manager Total Return Bond Strategies Fund | ||
Class Inst: CTRZX |
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Multisector Bond SMA Completion Portfolio | ||
MBSAX |
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Overseas SMA Completion Portfolio | ||
OSCBX |
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Columbia Capital Allocation Aggressive Portfolio | ||
Class A: AXBAX |
Class Adv: CPDAX |
Class C: RBGCX |
Class Inst: CPAZX |
Class Inst3: CPDIX |
Class R: CPARX |
Columbia Capital Allocation Conservative Portfolio | ||
Class A: ABDAX |
Class Adv: CPCYX |
Class C: RPCCX |
Class Inst: CBVZX |
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Columbia Capital Allocation Moderate Portfolio | ||
Class A: ABUAX |
Class Adv: CPCZX |
Class C: AMTCX |
Class Inst: CBMZX |
Class Inst3: CPDMX |
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Columbia Commodity Strategy Fund | ||
Class A: CCSAX |
Class Adv: CCOMX |
Class Inst: CCSZX |
Class Inst2: CADLX |
Class Inst3: CCFYX |
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Columbia Disciplined Core Fund | ||
Class A: AQEAX |
Class Adv: CLCQX |
Class C: RDCEX |
Class Inst: CCRZX |
Class Inst2: RSIPX |
Class Inst3: CCQYX |
Columbia Disciplined Growth Fund | ||
Class A: RDLAX |
Class Adv: CGQFX |
Class C: RDLCX |
Class Inst: CLQZX |
Class Inst3: CGQYX |
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Columbia Disciplined Value Fund | ||
Class A: RLCAX |
Class Adv: COLEX |
Class C: RDCCX |
Class Inst: CVQZX |
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Columbia Dividend Opportunity Fund | ||
Class A: INUTX |
Class Adv: CDORX |
Class C: ACUIX |
Class Inst: CDOZX |
Class Inst2: RSDFX |
Class Inst3: CDOYX |
Class R: RSOOX |
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Columbia Emerging Markets Bond Fund | ||
Class A: REBAX |
Class Adv: CEBSX |
Class Inst: CMBZX |
Class Inst2: CEBRX |
Class Inst3: CEBYX |
Class R: CMBRX |
Columbia Flexible Capital Income Fund | ||
Class A: CFIAX |
Class Adv: CFCRX |
Class C: CFIGX |
Class Inst: CFIZX |
Class Inst2: CFXRX |
Class Inst3: CFCYX |
Columbia Floating Rate Fund | ||
Class A: RFRAX |
Class Adv: CFLRX |
Class C: RFRCX |
Class Inst: CFRZX |
Class Inst2: RFRFX |
Class Inst3: CFRYX |
Columbia Global Opportunities Fund | ||
Class A: IMRFX |
Class Adv: CSDRX |
Class Inst: CSAZX |
Columbia Global Value Fund | ||
Class A: IEVAX |
Class Adv: RSEVX |
Class C: REVCX |
Class Inst: CEVZX |
Class Inst2: RSEYX |
Class Inst3: CEVYX |
Class R: REVRX |
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Columbia Government Money Market Fund | ||
Class A: IDSXX |
Class Inst: IDYXX |
Class Inst2: CMRXX |
Class Inst3: CGMXX |
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Columbia High Yield Bond Fund | ||
Class A: INEAX |
Class Adv: CYLRX |
Class C: APECX |
Class Inst: CHYZX |
Class Inst2: RSHRX |
Class Inst3: CHYYX |
Class R: CHBRX |
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Columbia Income Builder Fund | ||
Class A: RBBAX |
Class Adv: CNMRX |
Class C: RBBCX |
Class Inst: CBUZX |
Class Inst2: CKKRX |
Class Inst3: CIBYX |
Class R: CBURX |
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Columbia Income Opportunities Fund | ||
Class A: AIOAX |
Class Adv: CPPRX |
Class C: RIOCX |
Class Inst: CIOZX |
Class Inst2: CEPRX |
Class Inst3: CIOYX |
Columbia Large Cap Value Fund | ||
Class A: INDZX |
Class Adv: RDERX |
Class C: ADECX |
Class Inst: CDVZX |
Class Inst2: RSEDX |
Class Inst3: CDEYX |
Columbia Limited Duration Credit Fund | ||
Class A: ALDAX |
Class Adv: CDLRX |
Class C: RDCLX |
Class Inst: CLDZX |
Class Inst2: CTLRX |
Class Inst3: CLDYX |
Columbia Minnesota Tax-Exempt Fund | ||
Class A: IMNTX |
Class Adv: CLONX |
Class C: RMTCX |
Class Inst: CMNZX |
Class Inst2: CADOX |
Class Inst3: CMNYX |
Columbia Mortgage Opportunities Fund | ||
Class A: CLMAX |
Class Adv: CLMFX |
Class C: CLMCX |
Class Inst: CLMZX |
Class Inst2: CLMVX |
Class Inst3: CMOYX |
Columbia Overseas Core Fund | ||
Class A: COSAX |
Class Adv: COSDX |
Class Inst: COSNX |
Class Inst2: COSTX |
Class Inst3: COSOX |
Class R: COSRX |
Columbia Quality Income Fund | ||
Class A: AUGAX |
Class Adv: CUVRX |
Class C: AUGCX |
Class Inst: CUGZX |
Class Inst2: CGVRX |
Class Inst3: CUGYX |
Columbia Select Global Equity Fund | ||
Class A: IGLGX |
Class Adv: CSGVX |
Class C: RGCEX |
Class Inst: CGEZX |
Class Inst2: RGERX |
Class Inst3: CSEYX |
Columbia Select Large Cap Value Fund | ||
Class A: SLVAX |
Class Adv: CSERX |
Class C: SVLCX |
Class Inst: CSVZX |
Class Inst2: SLVIX |
Class Inst3: CSRYX |
Class R: SLVRX |
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Columbia Select Small Cap Value Fund | ||
Class A: SSCVX |
Class Adv: CSPRX |
Class Inst: CSSZX |
Class Inst2: SSVIX |
Class Inst3: CSSYX |
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Columbia Seligman Global Technology Fund | ||
Class A: SHGTX |
Class Adv: CCHRX |
Class C: SHTCX |
Class Inst: CSGZX |
Class Inst2: SGTTX |
Class Inst3: CGTYX |
Class R: SGTRX |
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Columbia Seligman Technology and Information Fund | ||
Class A: SLMCX |
Class Adv: SCIOX |
Class C: SCICX |
Class Inst: CCIZX |
Class Inst2: SCMIX |
Class Inst3: CCOYX |
Class R: SCIRX |
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Columbia Strategic Municipal Income Fund | ||
Class A: INTAX |
Class Adv: CATRX |
Class C: RTCEX |
Class Inst: CATZX |
Class Inst2: CADNX |
Class Inst3: CATYX |
Multi-Manager Value Strategies Fund | ||
Class Inst: CZMVX |
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Trust, Fund Name and Fiscal Year End: |
Shareholder Report: |
January 31 |
|
Columbia Funds Series Trust Columbia Capital Allocation Moderate Aggressive Portfolio Columbia Capital Allocation Moderate Conservative Portfolio |
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Columbia Funds Series Trust II
Columbia Capital Allocation Aggressive Portfolio
Columbia Capital Allocation Conservative Portfolio
Columbia Capital Allocation Moderate Portfolio
Columbia Income Builder Fund |
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February 28/29 |
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Columbia Funds Series Trust
Columbia Convertible Securities Fund
Columbia Large Cap Enhanced Core Fund
Columbia Large Cap Growth Opportunity Fund
Columbia Large Cap Index Fund
Columbia Mid Cap Index Fund
Columbia Overseas Value Fund
Columbia Select Large Cap Equity Fund
Columbia Select Mid Cap Value Fund
Columbia Small Cap Index Fund
Columbia Small Cap Value Fund II |
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Columbia Funds Series Trust II Columbia Global Value Fund Columbia Overseas Core Fund |
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March 31 |
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Columbia Funds Series Trust Columbia Short Term Bond Fund |
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Columbia Funds Series Trust I
Columbia Select Large Cap Growth Fund
Multi-Manager Growth Strategies Fund |
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April 30 |
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Columbia Funds Series Trust
Columbia California Intermediate Municipal Bond Fund
Columbia Short Duration Municipal Bond Fund |
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Columbia Funds Series Trust I Columbia Bond Fund Columbia Corporate Income Fund Columbia Small Cap Value Fund I Columbia Total Return Bond Fund Columbia U.S. Treasury Index Fund Multi-Manager Directional Alternative Strategies Fund |
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May 31 |
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Columbia Funds Series Trust I Columbia Adaptive Risk Allocation Fund Columbia Dividend Income Fund Columbia High Yield Municipal Fund Columbia Multi Strategy Alternatives Fund |
Trust, Fund Name and Fiscal Year End: |
Shareholder Report: |
Columbia Funds Series Trust II
Columbia Commodity Strategy Fund
Columbia Dividend Opportunity Fund
Columbia Flexible Capital Income Fund
Columbia High Yield Bond Fund
Columbia Large Cap Value Fund
Columbia Mortgage Opportunities Fund
Columbia Quality Income Fund
Columbia Select Large Cap Value Fund
Columbia Select Small Cap Value Fund
Columbia Seligman Technology and Information Fund
Multi-Manager Value Strategies Fund |
|
July 31 |
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Columbia Funds Series Trust I
Columbia Large Cap Growth Fund
Columbia Oregon Intermediate Municipal Bond Fund
Columbia Tax-Exempt Fund
Columbia Ultra Short Term Bond Fund |
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Columbia Funds Series Trust II Columbia Disciplined Core Fund Columbia Disciplined Growth Fund Columbia Disciplined Value Fund Columbia Floating Rate Fund Columbia Global Opportunities Fund Columbia Government Money Market Fund Columbia Income Opportunities Fund Columbia Limited Duration Credit Fund Columbia Minnesota Tax-Exempt Fund Columbia Strategic Municipal Fund |
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August 31 |
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Columbia Funds Series Trust I Columbia Balanced Fund Columbia Contrarian Core Fund Columbia Emerging Markets Fund Columbia Global Technology Growth Fund Columbia Greater China Fund Columbia International Dividend Income Fund Columbia Select Mid Cap Growth Fund Columbia Small Cap Growth Fund Columbia Strategic Income Fund Multi-Manager Alternative Strategies Fund Multi-Manager International Equity Strategies Fund Multi-Manager Small Cap Equity Strategies Fund Multi-Manager Total Return Bond Fund Multisector Bond SMA Completion Portfolio Overseas SMA Completion Portfolio |
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Columbia Funds Series Trust II
Columbia Emerging Markets Bond Fund |
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October 31 |
|
Columbia Funds Series Trust I
Columbia Intermediate Duration Municipal Bond Fund
Columbia Massachusetts Intermediate Municipal Bond Fund
Columbia New York Intermediate Municipal Bond Fund
Columbia Strategic California Municipal Income Fund
Columbia Strategic New York Municipal Income Fund |
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Columbia Funds Series Trust II Columbia Select Global Equity Fund Columbia Seligman Global Technology Fund |
Trust, Fund Name and Fiscal Year End: |
Shareholder Report: |
December 31 |
|
Columbia Funds Series Trust I Columbia Real Estate Equity Fund |
2 | |
8 | |
12 | |
25 | |
25 | |
62 | |
99 | |
99 | |
100 | |
101 | |
101 | |
137 | |
164 | |
175 | |
175 | |
179 | |
184 | |
186 | |
190 | |
194 | |
195 | |
196 | |
199 | |
199 | |
219 | |
228 | |
228 | |
231 | |
236 | |
238 | |
246 | |
246 | |
246 | |
247 | |
255 | |
256 | |
259 | |
259 | |
260 | |
262 | |
262 | |
263 | |
266 | |
285 | |
361 | |
A-1 | |
B-1 |
|
C-1 | |
S-1 |
1933 Act |
Securities Act of 1933, as amended |
1934 Act |
Securities Exchange Act of 1934, as amended |
1940 Act |
Investment Company Act of 1940, as amended |
Allspring |
Allspring Global Investments, LLC |
AlphaSimplex |
AlphaSimplex Group, LLC |
Ameriprise Financial |
Ameriprise Financial, Inc. |
AQR |
AQR Capital Management, LLC |
Arrowstreet |
Arrowstreet Capital, Limited Partnership |
Baillie Gifford |
Baillie Gifford Overseas Limited |
Bank of America |
Bank of America Corporation |
Board |
A Trust’s Board of Trustees |
Boston Partners |
Boston Partners Global Investors, Inc. |
Business Day |
Any day on which the NYSE is open for business. A business day typically ends at the close of regular trading on the NYSE, usually at 4:00 p.m. Eastern time. If the NYSE is scheduled to close early, the business day will be considered to end as of the time of the NYSE’s scheduled close.
The Fund will not treat an intraday unscheduled disruption in NYSE
trading or an intraday unscheduled closing as a close of regular trading
on the NYSE for these purposes and will price its shares as of the
regularly scheduled closing time for that day (typically, 4:00 p.m.
Eastern time). Notwithstanding the foregoing, the NAV of Fund
shares may be determined at such other time or times (in addition
to or in lieu of the time set forth above) as the Fund’s
Board may approve or ratify. On holidays and other days when the
NYSE is closed, the Fund's NAV is not calculated and the Fund does
not accept buy or sell orders. However, the value of the Fund's
assets may still be affected on such days to the extent that the
Fund holds foreign securities that trade on days that foreign
securities markets are open. |
Capital Allocation Portfolios |
Collectively, Columbia Capital Allocation Aggressive Portfolio, Columbia Capital Allocation Conservative Portfolio, Columbia Capital Allocation Moderate Aggressive Portfolio, Columbia Capital Allocation Moderate Conservative Portfolio and Columbia Capital Allocation Moderate Portfolio |
Causeway |
Causeway Capital Management LLC |
CEA |
Commodity Exchange Act |
CFST |
Columbia Funds Series Trust |
CFST I |
Columbia Funds Series Trust I |
CFST II |
Columbia Funds Series Trust II |
CFTC |
The United States Commodity Futures Trading Commission |
Code |
Internal Revenue Code of 1986, as amended |
Codes of Ethics |
The codes of ethics adopted by the Funds, Columbia Management Investment Advisers, LLC (the Investment Manager), Columbia Management Investment Distributors, Inc. and/or any sub-adviser, as applicable, pursuant to Rule 17j-1 under the 1940 Act |
Columbia Funds or Columbia Funds Complex |
The fund complex, including the Funds, that is comprised of the registered investment companies, including traditional mutual funds, closed-end funds, and ETFs, advised by the Investment Manager or its affiliates |
Columbia Management |
Columbia Management Investment Advisers, LLC |
Columbia Threadneedle Investments |
The global brand name of the Columbia and Threadneedle group of companies |
Conestoga |
Conestoga Capital Advisors, LLC |
Crabel |
Crabel Capital Management, LLC |
Custodian |
JPMorgan Chase Bank, N.A. |
DBRS |
Morningstar DBRS |
DFA |
Dimensional Fund Advisors LP |
Diamond Hill |
Diamond Hill Capital Management, Inc. |
Distribution Agreement |
The Distribution Agreement between a Trust, on behalf of its Funds, and the Distributor |
Distribution Plan(s) |
One or more of the plans adopted by the Board pursuant to Rule 12b-1 under the 1940 Act for the distribution of the Funds’ shares |
Distributor |
Columbia Management Investment Distributors, Inc. |
FDIC |
Federal Deposit Insurance Corporation |
FHLMC |
The Federal Home Loan Mortgage Corporation |
Fitch |
Fitch Ratings, Inc. |
FNMA |
Federal National Mortgage Association |
The Fund(s) or a Fund |
One or more of the open-end management investment companies listed on the front cover of this SAI |
GICS |
The Global Industry Classification Standard
(GICS®). GICS was developed
by and/or is the exclusive property of MSCI, Inc. (MSCI®) and S&P Global
Market Intelligence Inc. (S&P Global Market Intelligence). GICS is a
service mark of MSCI and S&P Global Market Intelligence and has
been licensed for use by the Investment Manager. Neither GICS,
MSCI, nor S&P Global Market Intelligence are affiliated with
the Funds, the Investment Manager or any Columbia
entity. |
GNMA |
Government National Mortgage Association |
Hotchkis & Wiley |
Hotchkis & Wiley Capital Management, LLC |
Independent Trustees |
The Trustees of the Board who are not “interested persons” (as defined
in the 1940 Act) of the Funds |
Interested Trustee |
A Trustee of the Board who is currently deemed to be an “interested
person” (as defined in the 1940 Act) of the Funds |
Investment Manager |
Columbia Management Investment Advisers, LLC |
IRS |
United States Internal Revenue Service |
Jacobs Levy |
Jacobs Levy Equity Management, Inc. |
JPMIM |
J.P. Morgan Investment Management Inc. |
JPMorgan |
JPMorgan Chase Bank, N.A., the Funds’ custodian |
KBRA |
Kroll Bond Rating Agency |
LIBOR |
London Inter-bank Offered Rate* |
Loomis Sayles |
Loomis, Sayles & Company, L.P. |
Los Angeles Capital |
Los Angeles Capital Management LLC |
Management Agreement |
The Management Agreements, as amended, if applicable, between a Trust, on behalf of the Funds, and the Investment Manager |
Manulife |
Manulife Investment Management (US) LLC |
Moody’s |
Moody’s Investors Service, Inc. |
Multi-Manager Strategies Funds |
Multi-Manager Alternative Strategies Fund, Multi-Manager Directional Alternative Strategies Fund, Multi-Manager Growth Strategies Fund, Multi- Manager International Equity Strategies Fund, Multi-Manager Small Cap Equity Strategies Fund, Multi-Manager Total Return Bond Strategies Fund and Multi-Manager Value Strategies Fund. Shares of the Multi-Manager Strategies Funds are offered only through certain wrap fee programs sponsored and/or managed by Ameriprise Financial, Inc. or its affiliates. |
NASDAQ |
National Association of Securities Dealers Automated Quotations system |
NAV |
Net asset value per share of a Fund |
NRSRO |
Nationally recognized statistical ratings organization (such as, for example, Moody’s, Fitch or S&P) |
NSCC |
National Securities Clearing Corporation |
NYSE |
New York Stock Exchange |
PGIM |
PGIM, Inc., the asset management arm of Prudential Financial,
Inc. |
PGIM Quantitative Solutions |
PGIM Quantitative Solutions LLC (formerly, QMA LLC) |
PwC |
PricewaterhouseCoopers LLP |
REIT |
Real estate investment trust |
REMIC |
Real estate mortgage investment conduit |
RIC |
A “regulated investment company,” as such term is used in the Code |
S&P |
S&P Global Ratings, a division of S&P Global Inc. (“Standard & Poor’s”
and “S&P” are trademarks of S&P Global Inc. and have been
licensed for use by the Investment Manager. The Columbia Funds are
not sponsored, endorsed, sold or promoted by S&P Global
Ratings, and S&P Global Ratings makes no representation
regarding the advisability of investing in the Columbia
Funds.) |
SAI |
This Statement of Additional Information, as amended and supplemented from time-to-time |
SEC |
United States Securities and Exchange Commission |
Shares |
Shares of a Fund |
SOFR |
Secured Overnight Financing Rate |
Solution Series Funds |
Multisector Bond SMA Completion Portfolio and Overseas SMA Completion Portfolio |
Subadvisory Agreement |
The Subadvisory Agreement among a Trust on behalf of the Fund(s), the Investment Manager and a Fund’s investment subadviser(s), as the context may require |
Subsidiary |
One or more wholly-owned subsidiaries of a Fund |
TCW |
TCW Investment Management Company LLC |
Thames River Capital |
Thames River Capital LLP |
Threadneedle |
Threadneedle International Limited |
Transfer Agency Agreement |
The Transfer and Dividend Disbursing Agent Agreement between a Trust, on behalf of its Funds, and the Transfer Agent |
Transfer Agent |
Columbia Management Investment Services Corp. |
Trustee(s) |
One or more members of the Board |
Trusts |
CFST, CFST I and CFST II, which are the registered investment companies in the Columbia Funds Complex to which this SAI relates |
Voya |
Voya Investment Management Co. LLC |
Fund Name: |
Referred to as: |
Columbia Adaptive Risk Allocation Fund |
Adaptive Risk Allocation Fund |
Columbia Balanced Fund |
Balanced Fund |
Columbia Bond Fund |
Bond Fund |
Columbia California Intermediate Municipal Bond Fund |
CA Intermediate Municipal Bond Fund |
Columbia Capital Allocation Aggressive Portfolio |
Capital Allocation Aggressive Portfolio |
Columbia Capital Allocation Conservative Portfolio |
Capital Allocation Conservative Portfolio |
Columbia Capital Allocation Moderate Aggressive Portfolio |
Capital Allocation Moderate Aggressive Portfolio |
Columbia Capital Allocation Moderate Conservative Portfolio |
Capital Allocation Moderate Conservative Portfolio |
Columbia Capital Allocation Moderate Portfolio |
Capital Allocation Moderate Portfolio |
Columbia Contrarian Core Fund |
Contrarian Core Fund |
Columbia Commodity Strategy Fund |
Commodity Strategy Fund |
Columbia Convertible Securities Fund |
Convertible Securities Fund |
Columbia Corporate Income Fund |
Corporate Income Fund |
Columbia Disciplined Core Fund |
Disciplined Core Fund |
Columbia Disciplined Growth Fund |
Disciplined Growth Fund |
Columbia Disciplined Value Fund |
Disciplined Value Fund |
Columbia Dividend Income Fund |
Dividend Income Fund |
Columbia Dividend Opportunity Fund |
Dividend Opportunity Fund |
Columbia Emerging Markets Fund |
Emerging Markets Fund |
Columbia Emerging Markets Bond Fund |
Emerging Markets Bond Fund |
Columbia Flexible Capital Income Fund |
Flexible Capital Income Fund |
Columbia Floating Rate Fund |
Floating Rate Fund |
Columbia Global Opportunities Fund |
Global Opportunities Fund |
Columbia Global Technology Growth Fund |
Global Technology Growth Fund |
Fund Name: |
Referred to as: |
Columbia Global Value Fund |
Global Value Fund |
Columbia Government Money Market Fund |
Government Money Market Fund |
Columbia Greater China Fund |
Greater China Fund |
Columbia High Yield Bond Fund |
High Yield Bond Fund |
Columbia High Yield Municipal Fund |
High Yield Municipal Fund |
Columbia Income Builder Fund |
Income Builder Fund |
Columbia Income Opportunities Fund |
Income Opportunities Fund |
Columbia Intermediate Duration Municipal Bond Fund |
Intermediate Duration Municipal Bond Fund |
Columbia International Dividend Income Fund |
International Dividend Income Fund |
Columbia Large Cap Enhanced Core Fund |
Large Cap Enhanced Core Fund |
Columbia Large Cap Growth Fund |
Large Cap Growth Fund |
Columbia Large Cap Growth Opportunity Fund |
Large Cap Growth Opportunity Fund |
Columbia Large Cap Index Fund |
Large Cap Index Fund |
Columbia Large Cap Value Fund |
Large Cap Value Fund |
Columbia Limited Duration Credit Fund |
Limited Duration Credit Fund |
Columbia Massachusetts Intermediate Municipal Bond Fund |
MA Intermediate Municipal Bond Fund
|
Columbia Mid Cap Index Fund |
Mid Cap Index Fund |
Columbia Minnesota Tax-Exempt Fund |
MN Tax-Exempt Fund |
Columbia Mortgage Opportunities Fund |
Mortgage Opportunities Fund |
Columbia Multi Strategy Alternatives Fund |
Multi Strategy Alternatives Fund |
Columbia New York Intermediate Municipal Bond Fund |
NY Intermediate Municipal Bond Fund
|
Columbia Oregon Intermediate Municipal Bond Fund |
OR Intermediate Municipal Bond Fund
|
Columbia Overseas Core Fund |
Overseas Core Fund |
Columbia Overseas Value Fund |
Overseas Value Fund |
Columbia Quality Income Fund |
Quality Income Fund |
Columbia Real Estate Equity Fund |
Real Estate Equity Fund |
Columbia Select Global Equity Fund |
Select Global Equity Fund |
Columbia Select Large Cap Equity Fund |
Select Large Cap Equity Fund |
Columbia Select Large Cap Growth Fund |
Select Large Cap Growth Fund |
Columbia Select Large Cap Value Fund |
Select Large Cap Value Fund |
Columbia Select Mid Cap Growth Fund |
Select Mid Cap Growth Fund |
Columbia Select Mid Cap Value Fund |
Select Mid Cap Value Fund |
Columbia Select Small Cap Value Fund |
Select Small Cap Value Fund |
Columbia Seligman Global Technology Fund |
Seligman Global Technology Fund |
Columbia Seligman Technology and Information Fund |
Seligman Technology and Information Fund |
Columbia Short Duration Municipal Bond Fund |
Short Duration Municipal Bond Fund |
Columbia Short Term Bond Fund |
Short Term Bond Fund |
Columbia Small Cap Growth Fund |
Small Cap Growth Fund |
Columbia Small Cap Index Fund |
Small Cap Index Fund |
Columbia Small Cap Value Fund I |
Small Cap Value Fund I |
Columbia Small Cap Value Fund II |
Small Cap Value Fund II |
Columbia Strategic California Municipal Income Fund |
Strategic CA Municipal Income Fund |
Columbia Strategic Income Fund |
Strategic Income Fund |
Columbia Strategic Municipal Income Fund |
Strategic Municipal Income Fund |
Fund Name: |
Referred to as: |
Columbia Strategic New York Municipal Income Fund |
Strategic NY Municipal Income Fund |
Columbia Tax-Exempt Fund |
Tax-Exempt Fund |
Columbia Total Return Bond Fund |
Total Return Bond Fund |
Columbia U.S. Treasury Index Fund |
U.S. Treasury Index Fund |
Columbia Ultra Short Term Bond Fund |
Ultra Short Term Bond Fund |
Multi-Manager Alternative Strategies Fund |
MM Alternative Strategies Fund |
Multi-Manager Directional Alternative Strategies Fund |
MM Directional Alternative Strategies Fund |
Multi-Manager Growth Strategies Fund |
MM Growth Strategies Fund |
Multi-Manager International Equity Strategies Fund |
MM International Equity Strategies Fund |
Multi-Manager Small Cap Equity Strategies Fund |
MM Small Cap Equity Strategies Fund |
Multi-Manager Total Return Bond Fund |
MM Total Return Bond Strategies Fund |
Multi-Manager Value Strategies Fund |
MM Value Strategies Fund |
Multisector Bond SMA Completion Portfolio |
Multisector Bond SMA Completion Portfolio |
Overseas SMA Completion Portfolio |
Overseas SMA Completion Portfolio |
Fund |
Fiscal Year End |
Prospectus Date |
Date Began
Operations* |
Diversified** |
Fund Investment Category*** |
Adaptive Risk Allocation Fund |
May 31 |
10/1/2023 |
6/19/2012 |
Yes |
Alternative |
Balanced Fund |
August 31 |
1/1/2024 |
10/1/1991 |
Yes |
Equity/Taxable fixed income |
Bond Fund |
April 30 |
9/1/2023 |
1/9/1986 |
Yes |
Taxable fixed income |
CA Intermediate Municipal Bond Fund |
April 30 |
9/1/2023 |
8/19/2002 |
Yes |
Tax-exempt fixed income |
Capital Allocation Aggressive
Portfolio |
January 31 |
6/1/2023 |
3/4/2004 |
Yes |
Fund-of-funds – equity |
Capital Allocation Conservative Portfolio |
January 31 |
6/1/2023 |
3/4/2004 |
Yes |
Fund-of-funds – fixed income |
Capital Allocation Moderate
Aggressive Portfolio |
January 31 |
6/1/2023 |
10/15/1996 |
Yes |
Fund-of-funds – equity |
Capital Allocation Moderate Conservative Portfolio |
January 31 |
6/1/2023 |
10/15/1996 |
Yes |
Fund-of-funds – fixed income |
Capital Allocation Moderate
Portfolio |
January 31 |
6/1/2023 |
3/4/2004 |
Yes |
Fund-of-funds – equity |
Commodity Strategy Fund |
May 31 |
10/1/2023 |
7/28/2011 |
Yes |
Equity |
Contrarian Core Fund |
August 31 |
1/1/2024 |
12/14/1992 |
Yes |
Equity |
Convertible Securities Fund |
February 28/29 |
7/1/2023 |
9/25/1987 |
Yes |
Equity |
Corporate Income Fund |
April 30 |
9/1/2023 |
3/5/1986 |
Yes |
Taxable fixed income |
Disciplined Core Fund |
July 31 |
12/1/2023 |
4/24/2003 |
Yes |
Equity |
Disciplined Growth Fund |
July 31 |
12/1/2023 |
5/17/2007 |
Yes |
Equity |
Disciplined Value Fund |
July 31 |
12/1/2023 |
8/1/2008 |
Yes |
Equity |
Dividend Income Fund |
May 31 |
10/1/2023 |
3/4/1998 |
Yes |
Equity |
Dividend Opportunity Fund |
May 31 |
10/1/2023 |
8/1/1988 |
Yes |
Equity |
Emerging Markets Fund |
August 31 |
1/1/2024 |
1/2/1998 |
Yes |
Equity |
Emerging Markets Bond Fund |
August 31 |
1/1/2024 |
2/16/2006 |
No |
Taxable fixed income |
Flexible Capital Income Fund |
May 31 |
10/1/2023 |
7/28/2011 |
Yes |
Flexible |
Floating Rate Fund |
July 31 |
12/1/2023 |
2/16/2006 |
Yes |
Taxable fixed income |
Global Opportunities Fund |
July 31 |
12/1/2023 |
1/28/1985 |
Yes |
Flexible |
Global Technology Growth Fund |
August 31 |
1/1/2024 |
11/9/2000 |
Yes |
Equity |
Global Value Fund |
February 28/29 |
7/1/2023 |
5/14/1984 |
Yes |
Equity |
Government Money Market Fund |
July 31 |
12/1/2023 |
10/6/1975 |
Yes |
Taxable money market |
Greater China Fund |
August 31 |
1/1/2024 |
5/16/1997 |
No |
Equity |
High Yield Bond Fund |
May 31 |
10/1/2023 |
12/8/1983 |
Yes |
Taxable fixed income |
High Yield Municipal Fund |
May 31 |
10/1/2023 |
3/5/1984 |
Yes |
Tax-exempt fixed income |
Fund |
Fiscal Year End |
Prospectus Date |
Date Began
Operations* |
Diversified** |
Fund Investment Category*** |
Income Builder Fund |
January 31 |
6/1/2023 |
2/16/2006 |
Yes |
Fund-of-funds – fixed
income |
Income Opportunities Fund |
July 31 |
12/1/2023 |
6/19/2003 |
Yes |
Taxable fixed income |
Intermediate Duration Municipal
Bond Fund |
October 31 |
3/1/2024 |
6/14/1993 |
Yes |
Tax-exempt fixed income |
International Dividend Income Fund |
August 31 |
1/1/2024 |
11/9/2000 |
Yes |
Equity |
Large Cap Enhanced Core Fund |
February 28/29 |
7/1/2023 |
7/31/1996 |
Yes |
Equity |
Large Cap Growth Fund |
July 31 |
12/1/2023 |
12/14/1990 |
Yes |
Equity |
Large Cap Growth Opportunity
Fund |
February 28/29 |
7/1/2023 |
12/31/1997 |
Yes |
Equity |
Large Cap Index Fund |
February 28/29 |
7/1/2023 |
12/15/1993 |
Yes |
Equity |
Large Cap Value Fund |
May 31 |
10/1/2023 |
10/15/1990 |
Yes |
Equity |
Limited Duration Credit Fund |
July 31 |
12/1/2023 |
6/19/2003 |
Yes |
Taxable fixed income |
MA Intermediate Municipal
Bond Fund |
October 31 |
3/1/2024 |
6/14/1993 |
No |
Tax-exempt fixed income |
Mid Cap Index Fund |
February 28/29 |
7/1/2023 |
3/31/2000 |
Yes |
Equity |
MM Alternative Strategies Fund |
August 31 |
1/1/2024 |
4/23/2012 |
Yes |
Alternative |
MM Directional Alternative Strategies Fund |
April 30 |
9/1/2023 |
10/17/2016 |
Yes |
Alternative |
MM Growth Strategies Fund |
March 31 |
8/1/2023 |
4/20/2012 |
Yes |
Equity |
MM International Equity Strategies Fund |
August 31 |
1/1/2024 |
5/17/2018 |
Yes |
Equity |
MM Small Cap Equity Strategies Fund |
August 31 |
1/1/2024 |
4/20/2012 |
Yes |
Equity |
MM Total Return Bond Strategies Fund |
August 31 |
1/1/2024 |
4/20/2012 |
Yes |
Taxable fixed income |
MM Value Strategies Fund |
May 31 |
10/1/2023 |
4/20/2012 |
Yes |
Equity |
MN Tax-Exempt Fund |
July 31 |
12/1/2023 |
8/18/1986 |
No |
Tax-exempt fixed income |
Mortgage Opportunities Fund |
May 31 |
10/1/2023 |
4/30/2014 |
Yes |
Taxable fixed income |
Multisector Bond SMA Completion Portfolio |
August 31 |
1/1/2024 |
10/29/2019 |
No |
Taxable fixed income |
Multi Strategy Alternatives Fund |
May 31 |
10/1/2023 |
1/28/2015 |
Yes |
Alternative |
NY Intermediate Municipal Bond Fund |
October 31 |
3/1/2024 |
12/31/1991 |
No |
Tax-exempt fixed income |
OR Intermediate Municipal
Bond Fund |
July 31 |
12/1/2023 |
7/2/1984 |
Yes |
Tax-exempt fixed income |
Overseas Core Fund |
February 28/29 |
7/1/2023 |
3/5/2018 |
Yes |
Equity |
Overseas SMA Completion Portfolio |
August 31 |
1/1/2024 |
9/12/2019 |
No |
Equity |
Overseas Value Fund |
February 28/29 |
7/1/2023 |
3/31/2008 |
Yes |
Equity |
Quality Income Fund |
May 31 |
10/1/2023 |
2/14/2002 |
Yes |
Taxable fixed income |
Real Estate Equity Fund |
December 31 |
5/1/2024 |
4/1/1994 |
No |
Equity |
Select Global Equity Fund |
October 31 |
3/1/2024 |
5/29/1990 |
Yes |
Equity |
Select Large Cap Equity Fund |
February 28/29 |
7/1/2023 |
10/2/1998 |
Yes |
Equity |
Select Large Cap Growth Fund |
March 31 |
8/1/2023 |
10/1/1997 |
Yes |
Equity |
Select Large Cap Value Fund |
May 31 |
10/1/2023 |
4/25/1997 |
Yes |
Equity |
Select Mid Cap Growth Fund |
August 31 |
1/1/2024 |
11/20/1985 |
Yes |
Equity |
Fund |
Fiscal Year End |
Prospectus Date |
Date Began
Operations* |
Diversified** |
Fund Investment Category*** |
Select Mid Cap Value Fund |
February 28/29 |
7/1/2023 |
11/20/2001 |
Yes |
Equity |
Select Small Cap Value Fund |
May 31 |
10/1/2023 |
4/25/1997 |
Yes |
Equity |
Seligman Global Technology
Fund |
October 31 |
3/1/2024 |
5/23/1994 |
No |
Equity |
Seligman Technology and Information Fund |
May 31 |
10/1/2023 |
6/23/1983 |
No |
Equity |
Short Duration Municipal Bond
Fund |
April 30 |
9/1/2023 |
10/7/1993 |
Yes |
Tax-exempt fixed income |
Short Term Bond Fund |
March 31 |
8/1/2023 |
9/30/1992 |
Yes |
Taxable fixed income |
Small Cap Growth Fund |
August 31 |
1/1/2024 |
10/1/1996 |
Yes |
Equity |
Small Cap Index Fund |
February 28/29 |
7/1/2023 |
10/15/1996 |
Yes |
Equity |
Small Cap Value Fund I |
April 30 |
9/1/2023 |
7/25/1986 |
Yes |
Equity |
Small Cap Value Fund II |
February 28/29 |
7/1/2023 |
5/1/2002 |
Yes |
Equity |
Strategic CA Municipal
Income Fund |
October 31 |
3/1/2024 |
6/16/1986 |
Yes |
Tax-exempt fixed income |
Strategic Income Fund |
August 31 |
1/1/2024 |
4/21/1977 |
Yes |
Taxable fixed income |
Strategic Municipal Income
Fund |
July 31 |
12/1/2023 |
11/24/1976 |
Yes |
Tax-exempt fixed income |
Strategic NY Municipal Income Fund |
October 31 |
3/1/2024 |
9/26/1986 |
No |
Tax-exempt fixed income |
Tax-Exempt Fund |
July 31 |
12/1/2023 |
11/21/1978 |
Yes |
Tax-exempt fixed income |
Total Return Bond Fund |
April 30 |
9/1/2023 |
12/5/1978 |
Yes |
Taxable fixed income |
U.S. Treasury Index Fund |
April 30 |
9/1/2023 |
6/4/1991 |
Yes |
Taxable fixed income |
Ultra Short Term Bond Fund |
July 31 |
12/1/2023 |
3/8/2004 |
Yes |
Taxable fixed income |
Fund |
Effective Date of Name
Change |
Previous Fund Name |
CA Intermediate Municipal
Bond Fund |
May 14, 2019 |
Columbia AMT-Free California Intermediate Muni Bond Fund |
Global Value Fund |
June 9, 2021 |
Columbia Global Equity Value Fund |
Intermediate Duration
Municipal Bond Fund |
September 1, 2022
May 14, 2019 |
Columbia Intermediate Municipal Bond Fund
Columbia AMT-Free Intermediate Muni Bond Fund |
International Dividend Income Fund |
September 2, 2020 |
Columbia Global Dividend Opportunity Fund |
Large Cap Growth Opportunity Fund |
January 10, 2020 |
Columbia Large Cap Growth Fund III |
MA Intermediate Municipal Bond Fund |
May 14, 2019 |
Columbia AMT-Free Massachusetts Intermediate Muni Bond Fund |
Multi Strategy Alternatives
Fund |
August 1, 2019 |
Columbia Alternative Beta Fund |
NY Intermediate Municipal Bond Fund |
May 14, 2019 |
Columbia AMT-Free New York Intermediate Muni Bond Fund |
OR Intermediate Municipal
Bond Fund |
May 14, 2019 |
Columbia AMT-Free Oregon Intermediate Muni Bond Fund |
Select Mid Cap Growth Fund |
March 1, 2022 |
Columbia Mid Cap Growth Fund |
Seligman Technology and
Information Fund |
June 9, 2021 |
Columbia Seligman Communications and Information Fund |
Short Duration Municipal Bond Fund |
September 1, 2022 |
Columbia Short Term Municipal Bond Fund |
Small Cap Growth Fund |
June 9, 2021 |
Columbia Small Cap Growth Fund I |
Fund |
A
Buy or
sell real
estate |
B
Buy or sell
commodities |
C
Issuer
Diversification |
D
Concentrate
in any one
industry |
E
Invest
80% |
F
Act as an
underwriter |
G
Lending |
H
Borrow
money |
I
Issue
senior
securities |
J Buy
on margin/
sell short |
Adaptive Risk Allocation Fund |
A7 |
B10 |
C6 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Balanced Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Bond Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
CA Intermediate Municipal Bond Fund |
A4 |
B5 |
C2 |
D6 |
E3 |
F3 |
G3 |
H2 |
I3 |
— |
Capital Allocation Aggressive Portfolio |
A1 |
B1 |
C5 |
D2 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Capital Allocation Conservative Portfolio |
A1 |
B1 |
C5 |
D2 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Capital Allocation Moderate Aggressive Portfolio |
A4 |
B5 |
C2 |
D6 |
— |
F3 |
G3 |
H2 |
I3 |
— |
Capital Allocation Moderate Conservative Portfolio |
A4 |
B5 |
C2 |
D6 |
— |
F3 |
G3 |
H2 |
I3 |
— |
Capital Allocation Moderate Portfolio |
A1 |
B1 |
C5 |
D2 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Commodity Strategy Fund |
A1 |
B8 |
C5 |
D5 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Contrarian Core Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Convertible Securities Fund |
A4 |
B5 |
C2 |
D6 |
— |
F3 |
G3 |
H2 |
I3 |
— |
Corporate Income Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Disciplined Core Fund |
A1 |
B1 |
C1 |
D1 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Disciplined Growth Fund |
A1 |
B2 |
C1 |
D1 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Disciplined Value Fund |
A1 |
B2 |
C5 |
D1 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Dividend Income Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Dividend Opportunity Fund |
A1 |
B1 |
C1 |
D1 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Emerging Markets Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Emerging Markets Bond Fund |
A1 |
B3 |
— |
D3 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Fund |
A
Buy or
sell real
estate |
B
Buy or sell
commodities |
C
Issuer
Diversification |
D
Concentrate
in any one
industry |
E
Invest
80% |
F
Act as an
underwriter |
G
Lending |
H
Borrow
money |
I
Issue
senior
securities |
J Buy
on margin/
sell short |
Flexible Capital Income Fund |
A1 |
B8 |
C5 |
D5 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Floating Rate Fund |
A1 |
B3 |
C1 |
D4 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Global Opportunities Fund |
A1 |
B1 |
C1 |
D1 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Global Technology Growth Fund |
A7 |
B10 |
C6 |
D8 |
E12 |
F6 |
G4 |
H3 |
I6 |
— |
Global Value Fund |
A1 |
B1 |
C1 |
D1 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Government Money Market Fund |
A2 |
A2 |
C1 |
D13 |
— |
F1 |
G1 |
H1 |
I1 |
J1 |
Greater China Fund |
A7 |
B10 |
C8 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
High Yield Bond Fund |
A1 |
B1 |
C1 |
D1 |
— |
F1 |
G1 |
H1 |
I1 |
— |
High Yield Municipal Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Income Builder Fund |
A1 |
B3 |
C5 |
D2 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Income Opportunities Fund |
A1 |
B1 |
C1 |
D1 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Intermediate Duration Municipal Bond Fund |
A7 |
B10 |
C7 |
D15 |
E6 |
F6 |
G4 |
H3 |
I6 |
— |
International Dividend Income Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Large Cap Enhanced Core Fund |
A4 |
B5 |
C2 |
D6 |
— |
F3 |
G3 |
H2 |
I3 |
— |
Large Cap Growth Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Large Cap Growth Opportunity Fund |
A4 |
B5 |
C2 |
D6 |
— |
F3 |
G3 |
H2 |
I3 |
— |
Large Cap Index Fund |
A4 |
B5 |
C2 |
D6 |
— |
F3 |
G3 |
H2 |
I3 |
— |
Large Cap Value Fund |
A1 |
B1 |
C1 |
D1 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Limited Duration Credit Fund |
A1 |
B1 |
C1 |
D1 |
— |
F1 |
G1 |
H1 |
I1 |
— |
MA Intermediate Municipal Bond Fund |
A7 |
B10 |
— |
D15 |
E7 |
F6 |
G4 |
H3 |
I6 |
— |
Mid Cap Index Fund |
A4 |
B5 |
C2 |
D6 |
— |
F3 |
G3 |
H2 |
I3 |
— |
MM Alternative Strategies Fund |
A7 |
B11 |
C6 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
MM Directional Alternative Strategies Fund |
A6 |
B9 |
C6 |
D14 |
— |
F5 |
G5 |
H4 |
I1 |
— |
MM Growth Strategies Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
MM International Equity Strategies Fund |
A6 |
B9 |
C5 |
D14 |
— |
F5 |
G5 |
H4 |
I1 |
— |
MM Small Cap Equity Strategies Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
MM Total Return Bond Strategies Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
MM Value Strategies Fund |
A1 |
B7 |
C5 |
D12 |
— |
F1 |
G1 |
H1 |
I1 |
— |
MN Tax-Exempt Fund |
A1 |
B1 |
— |
D7 |
E1 |
F1 |
G1 |
H1 |
I1 |
— |
Mortgage Opportunities Fund |
A1 |
B1 |
C6 |
D11 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Multisector Bond SMA Completion Portfolio |
A6 |
B9 |
— |
D14 |
— |
F5 |
G5 |
H4 |
I1 |
— |
Multi Strategy Alternatives Fund |
A6 |
B9 |
C6 |
D17 |
— |
F5 |
G6 |
H5 |
I5 |
— |
NY Intermediate Municipal Bond Fund |
A7 |
B10 |
— |
D15 |
E8 |
F6 |
G4 |
H3 |
I6 |
— |
OR Intermediate Municipal Bond Fund |
A7 |
B10 |
C3 |
D15 |
E9 |
F6 |
G4 |
H3 |
I6 |
— |
Overseas Core Fund |
A6 |
B9 |
C5 |
D14 |
— |
F5 |
G5 |
H4 |
I1 |
— |
Overseas SMA Completion Portfolio |
A6 |
B9 |
— |
D14 |
— |
F5 |
G5 |
H4 |
I1 |
— |
Overseas Value Fund |
A5 |
B6 |
C4 |
D12 |
— |
F4 |
G4 |
H3 |
I4 |
— |
Quality Income Fund |
A1 |
B1 |
C1 |
D1 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Real Estate Equity Fund |
A7 |
B10 |
— |
D16 |
E10 |
F6 |
G4 |
H3 |
I6 |
— |
Select Global Equity Fund |
A1 |
B1 |
C1 |
D1 |
— |
F1 |
G1 |
H1 |
I1 |
— |
Select Large Cap Equity Fund |
A4 |
B5 |
C2 |
D6 |
— |
F3 |
G3 |
H2 |
I3 |
— |
Select Large Cap Growth Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Fund |
A
Buy or
sell real
estate |
B
Buy or sell
commodities |
C
Issuer
Diversification |
D
Concentrate
in any one
industry |
E
Invest
80% |
F
Act as an
underwriter |
G
Lending |
H
Borrow
money |
I
Issue
senior
securities |
J Buy
on margin/
sell short |
Select Large Cap Value Fund |
A3 |
B4 |
C3 |
D10 |
— |
F2 |
G2 |
I2 |
I2 |
J2 |
Select Mid Cap Growth Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Select Mid Cap Value Fund |
A4 |
B5 |
C2 |
D6 |
— |
F3 |
G3 |
H2 |
I3 |
— |
Select Small Cap Value Fund |
A3 |
B4 |
C3 |
D10 |
— |
F2 |
G2 |
I2 |
I2 |
J2 |
Seligman Global Technology Fund |
A3 |
B4 |
— |
D8 |
— |
F2 |
G2 |
I2 |
I2 |
J2 |
Seligman Technology and Information Fund |
A3 |
B4 |
— |
D9 |
— |
F2 |
G2 |
I2 |
I2 |
J2 |
Short Duration Municipal Bond Fund |
A4 |
B5 |
C2 |
D6 |
E4 |
F3 |
G3 |
H2 |
I3 |
— |
Short Term Bond Fund |
A4 |
B5 |
C2 |
D6 |
— |
F3 |
G3 |
H2 |
I3 |
— |
Small Cap Growth Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Small Cap Index Fund |
A4 |
B5 |
C2 |
D6 |
— |
F3 |
G3 |
H2 |
I3 |
— |
Small Cap Value Fund I |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Small Cap Value Fund II |
A4 |
B5 |
C2 |
D6 |
— |
F3 |
G3 |
H2 |
I3 |
— |
Strategic CA Municipal Income Fund |
A7 |
B10 |
C6 |
D15 |
E5 |
F6 |
G4 |
H3 |
I6 |
— |
Strategic Income Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Strategic Municipal Income Fund |
A1 |
B1 |
C1 |
D7 |
E2 |
F1 |
G1 |
H1 |
I1 |
— |
Strategic NY Municipal Income Fund |
A7 |
B10 |
— |
D15 |
E5 |
F6 |
G4 |
H3 |
I6 |
— |
Tax-Exempt Fund |
A7 |
B10 |
C7 |
D15 |
E11 |
F6 |
G4 |
H3 |
I6 |
— |
Total Return Bond Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
U.S. Treasury Index Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Ultra Short Term Bond Fund |
A7 |
B10 |
C7 |
D15 |
— |
F6 |
G4 |
H3 |
I6 |
— |
Type of Investment |
Alternative and Fund-
of-Funds – Alternative |
Equity
and
Flexible |
Funds-of-Funds
– Equity and
Fixed Income |
Taxable
Fixed
Income(i) |
Taxable
Money Market |
Tax-Exempt
Fixed Income |
Asset-Backed Securities |
• |
• |
• |
• |
• |
• |
Bank Obligations (Domestic and Foreign) |
• |
• |
• |
• |
• |
• |
Collateralized Bond Obligations |
• |
• |
• |
• |
• |
• |
Commercial Paper |
• |
• |
• |
• |
• |
• |
Common Stock |
• |
• |
• |
•A |
— |
— |
Type of Investment |
Alternative and Fund-
of-Funds – Alternative |
Equity
and
Flexible |
Funds-of-Funds
– Equity and
Fixed Income |
Taxable
Fixed
Income(i) |
Taxable
Money Market |
Tax-Exempt
Fixed Income |
Convertible Securities |
• |
•B |
• |
•C |
— |
• |
Corporate Debt Securities |
• |
• |
• |
• |
•D |
• |
Custody Receipts and Trust Certificates |
• |
•E |
• |
•E |
• |
•E |
Debt Obligations |
• |
• |
• |
• |
• |
• |
Depositary Receipts |
• |
• |
• |
• |
— |
— |
Derivatives |
• |
• |
• |
• |
— |
• |
Dollar Rolls |
• |
•F |
• |
• |
— |
• |
Exchange-Traded Notes |
• |
• |
• |
• |
— |
• |
Foreign Currency Transactions |
• |
• |
• |
• |
— |
•G |
Foreign Securities |
• |
• |
• |
• |
• |
• |
Guaranteed Investment Contracts
(Funding Agreements) |
• |
• |
• |
• |
• |
• |
High-Yield Securities |
• |
• |
• |
• |
— |
• |
Illiquid Investments |
• |
• |
• |
• |
• |
• |
Inflation Protected Securities |
• |
• |
• |
• |
— |
• |
Initial Public Offerings |
• |
• |
• |
• |
• |
• |
Inverse Floaters |
• |
•H |
• |
• |
— |
• |
Investments in Other Investment
Companies (Including ETFs) |
• |
• |
• |
• |
• |
• |
Listed Private Equity Funds |
• |
• |
• |
• |
— |
• |
Money Market Instruments |
• |
• |
• |
• |
• |
• |
Mortgage-Backed Securities |
• |
• |
• |
• |
• |
• |
Municipal Securities |
• |
• |
• |
• |
• |
•K |
Participation Interests |
• |
• |
• |
• |
— |
• |
Partnership Securities |
• |
• |
• |
• |
— |
• |
Preferred Stock |
• |
• |
• |
•I |
— |
•I |
Private Placement and Other Restricted
Securities |
• |
• |
• |
• |
• |
• |
Real Estate Investment Trusts |
• |
• |
• |
• |
— |
• |
Repurchase Agreements |
• |
• |
• |
• |
• |
• |
Reverse Repurchase Agreements |
• |
• |
• |
• |
• |
• |
Short Sales(ii) |
• |
• |
• |
• |
— |
• |
Sovereign Debt |
• |
• |
• |
• |
• |
• |
Standby Commitments |
• |
• |
• |
• |
• |
• |
U.S. Government and Related Obligations |
• |
• |
• |
• |
• |
• |
Variable- and Floating-Rate Obligations |
• |
•J |
• |
• |
•J |
•J |
Warrants and Rights |
• |
• |
• |
• |
— |
• |
Fund |
Assets
(millions) |
Annual rate at each asset level |
Balanced Fund(a) |
$0 - $500 |
0.7200% |
|
˃$500 - $1,000 |
0.6700% |
|
˃$1,000 - $1,500 |
0.6200% |
|
˃$1,500 - $3,000 |
0.5700% |
|
˃$3,000 - $6,000 |
0.5500% |
|
˃$6,000 - $12,000 |
0.5300% |
|
˃$12,000 - $15,600 |
0.5200% |
|
˃$15,600 - $20,300 |
0.5175% |
|
˃$20,300 - $26,400 |
0.5150% |
|
˃$26,400 - $34,300 |
0.5125% |
|
˃$34,300 - $44,600 |
0.5100% |
|
˃$44,600 |
0.5075% |
Bond Fund |
$0 - $500 |
0.500% |
Corporate Income Fund |
˃$500 - $1,000 |
0.495% |
MM Total Return Bond Strategies Fund |
˃$1,000 - $2,000 |
0.480% |
Quality Income Fund |
˃$2,000 - $3,000 |
0.460% |
Total Return Bond Fund |
˃$3,000 - $6,000 |
0.450% |
|
˃$6,000 - $7,500 |
0.430% |
|
˃$7,500 - $9,000 |
0.415% |
|
˃$9,000 - $12,000 |
0.410% |
|
˃$12,000 - $20,000 |
0.390% |
|
˃$20,000 - $24,000 |
0.380% |
|
˃$24,000 - $50,000 |
0.360% |
|
˃$50,000 |
0.340% |
CA Intermediate Municipal Bond Fund |
$0 - $250 |
0.470% |
|
˃$250 - $500 |
0.465% |
|
˃$500 - $1,000 |
0.415% |
|
˃$1,000 - $1,500 |
0.380% |
|
˃$1,500 - $3,000 |
0.350% |
|
˃$3,000 - $6,000 |
0.330% |
|
˃$6,000 - $12,000 |
0.320% |
|
˃$12,000 |
0.310% |
Commodity Strategy Fund(b)
|
$0 - $500 |
0.630% |
|
˃$500 - $1,000 |
0.580% |
|
˃$1,000 - $3,000 |
0.550% |
|
˃$3,000 - $6,000 |
0.520% |
|
˃$6,000 - $12,000 |
0.500% |
|
˃$12,000 |
0.490% |
Contrarian Core Fund(f)
|
$0 - $500 |
0.7700% |
|
˃$500 - $1,000 |
0.7200% |
|
˃$1,000 - $1,500 |
0.6700% |
|
˃$1,500 - $3,000 |
0.6200% |
|
˃$3,000 - $6,000 |
0.6000% |
|
˃$6,000 - $12,000 |
0.5800% |
|
˃$12,000 - $15,600 |
0.5700% |
|
˃$15,600 - $20,300 |
0.5675% |
|
˃$20,300 - $26,400 |
0.5650% |
|
˃$26,400 - $34,300 |
0.5625% |
|
˃$34,300 - $44,600 |
0.5600% |
|
˃$44,600 - $58,000 |
0.5575% |
|
˃$58,000 |
0.5550% |
Convertible Securities Fund(f)
|
$0 - $500 |
0.820% |
Select Mid Cap Growth Fund |
˃$500 - $1,000 |
0.770% |
Select Mid Cap Value Fund |
˃$1,000 - $1,500 |
0.720% |
|
˃$1,500 - $3,000 |
0.670% |
|
˃$3,000 - $12,000 |
0.660% |
|
˃$12,000 |
0.650% |
Fund |
Assets
(millions) |
Annual rate at each asset level |
MA Intermediate Municipal Bond Fund |
$0 - $250 |
0.470% |
MN Tax-Exempt Fund |
˃$250 - $500 |
0.465% |
NY Intermediate Municipal Bond Fund |
˃$500 - $1,000 |
0.415% |
OR Intermediate Municipal Bond Fund |
˃$1,000 - $3,000 |
0.380% |
Strategic CA Municipal Income Fund |
˃$3,000 - $6,000 |
0.340% |
Strategic NY Municipal Income Fund |
˃$6,000 - $7,500 |
0.330% |
|
˃$7,500 - $12,000 |
0.320% |
|
˃$12,000 |
0.310% |
Disciplined Core Fund |
$0 - $500 |
0.750% |
Disciplined Growth Fund |
˃$500 - $1,000 |
0.700% |
Disciplined Value Fund |
˃$1,000 - $1,500 |
0.650% |
Large Cap Enhanced Core Fund |
˃$1,500 - $3,000 |
0.600% |
|
˃$3,000 - $6,000 |
0.580% |
|
˃$6,000 - $12,000 |
0.560% |
|
˃$12,000 |
0.550% |
Dividend Income Fund(a)
|
$0 - $500 |
0.7200% |
|
˃$500 - $1,000 |
0.6700% |
|
˃$1,000 - $1,500 |
0.6200% |
|
˃$1,500 - $3,000 |
0.5700% |
|
˃$3,000 - $6,000 |
0.5500% |
|
˃$6,000 - $12,000 |
0.5300% |
|
˃$12,000 - $15,600 |
0.5200% |
|
˃$15,600 - $20,300 |
0.5175% |
|
˃$20,300 - $26,400 |
0.5150% |
|
˃$26,400 - $34,300 |
0.5125% |
|
˃$34,300 - $44,600 |
0.5100% |
|
˃$44,600 - $58,000 |
0.5075% |
|
˃$58,000 - $75,400 |
0.5050% |
|
˃$75,400 |
0.5025% |
Dividend Opportunity Fund |
$0 - $500 |
0.720% |
Global Opportunities Fund(c)
|
˃$500 - $1,000 |
0.670% |
Global Value Fund |
˃$1,000 - $1,500 |
0.620% |
Large Cap Value Fund |
˃$1,500 - $3,000 |
0.570% |
MM Value Strategies Fund |
˃$3,000 - $6,000 |
0.550% |
|
˃$6,000 - $12,000 |
0.530% |
|
˃$12,000 |
0.520% |
Emerging Markets Bond Fund |
$0 - $500 |
0.600% |
Strategic Income Fund |
˃$500 - $1,000 |
0.590% |
|
˃$1,000 - $2,000 |
0.575% |
|
˃$2,000 - $3,000 |
0.555% |
|
˃$3,000 - $6,000 |
0.530% |
|
˃$6,000 - $7,500 |
0.505% |
|
˃$7,500 - $9,000 |
0.490% |
|
˃$9,000 - $10,000 |
0.481% |
|
˃$10,000 - $12,000 |
0.469% |
|
˃$12,000 - $15,000 |
0.459% |
|
˃$15,000 - $20,000 |
0.449% |
|
˃$20,000 - $24,000 |
0.433% |
|
˃$24,000 - $50,000 |
0.414% |
|
˃$50,000 |
0.393% |
Emerging Markets Fund |
$0 - $500 |
1.100% |
|
˃$500 - $1,000 |
1.060% |
|
˃$1,000 - $1,500 |
0.870% |
|
˃$1,500 - $3,000 |
0.820% |
|
˃$3,000 - $6,000 |
0.770% |
|
˃$6,000 - $12,000 |
0.720% |
|
˃$12,000 |
0.700% |
Flexible Capital Income Fund |
$0 - $500 |
0.650% |
|
˃$500 - $1,000 |
0.630% |
|
˃$1,000 - $3,000 |
0.610% |
|
˃$3,000 - $6,000 |
0.570% |
|
˃$6,000 |
0.540% |
Fund |
Assets
(millions) |
Annual rate at each asset level |
Floating Rate Fund |
$0 - $250 |
0.660% |
High Yield Bond Fund |
˃$250 - $500 |
0.645% |
Income Opportunities Fund |
˃$500 - $750 |
0.635% |
|
˃$750 - $1,000 |
0.625% |
|
˃$1,000 - $2,000 |
0.610% |
|
˃$2,000 - $3,000 |
0.600% |
|
˃$3,000 - $6,000 |
0.565% |
|
˃$6,000 - $7,500 |
0.540% |
|
˃$7,500 - $9,000 |
0.525% |
|
˃$9,000 - $10,000 |
0.500% |
|
˃$10,000 - $12,000 |
0.485% |
|
˃$12,000 - $15,000 |
0.475% |
|
˃$15,000 - $20,000 |
0.465% |
|
˃$20,000 - $24,000 |
0.440% |
|
˃$24,000 - $50,000 |
0.425% |
|
˃$50,000 |
0.400% |
Global Technology Growth Fund(f)
|
$0 - $500 |
0.870% |
MM Small Cap Equity Strategies Fund |
˃$500 - $1,000 |
0.820% |
Select Small Cap Value Fund |
˃$1,000 - $3,000 |
0.770% |
Small Cap Growth Fund |
˃$3,000 - $12,000 |
0.760% |
Small Cap Value Fund II |
˃$12,000 |
0.750% |
Government Money Market Fund(h)
|
$0 - $500 |
0.330% |
|
˃$500 - $1,000 |
0.325% |
|
˃$1,000 - $1,500 |
0.303% |
|
˃$1,500 - $2,000 |
0.285% |
|
˃$2,000 - $2,500 |
0.268% |
|
˃$2,500 - $3,000 |
0.250% |
|
˃$3,000 - $5,000 |
0.240% |
|
˃$5,000 - $6,000 |
0.220% |
|
˃$6,000 - $7,500 |
0.200% |
|
˃$7,500 - $9,000 |
0.195% |
|
˃$9,000 - $10,000 |
0.170% |
|
˃$10,000 - $12,000 |
0.160% |
|
˃$12,000 - $15,000 |
0.150% |
|
˃$15,000 - $20,000 |
0.140% |
|
˃$20,000 - $24,000 |
0.130% |
|
˃$24,000 |
0.120% |
Greater China Fund |
$0 - $1,000 |
0.950% |
|
˃$1,000 - $1,500 |
0.870% |
|
˃$1,500 - $3,000 |
0.820% |
|
˃$3,000 - $6,000 |
0.770% |
|
˃$6,000 |
0.720% |
High Yield Municipal Fund |
$0 - $500 |
0.540% |
|
˃$500 - $1,000 |
0.535% |
|
˃$1,000 - $2,000 |
0.505% |
|
˃$2,000 - $3,000 |
0.480% |
|
˃$3,000 - $6,000 |
0.445% |
|
˃$6,000 - $7,500 |
0.420% |
|
˃$7,500 - $10,000 |
0.410% |
|
˃$10,000 - $12,000 |
0.400% |
|
˃$12,000 - $15,000 |
0.390% |
|
˃$15,000 - $24,000 |
0.380% |
|
˃$24,000 - $50,000 |
0.360% |
|
˃$50,000 |
0.340% |
Fund |
Assets
(millions) |
Annual rate at each asset level |
Intermediate Duration Municipal Bond Fund |
$0 - $500 |
0.480% |
Tax-Exempt Fund |
˃$500 - $1,000 |
0.475% |
|
˃$1,000 - $2,000 |
0.445% |
|
˃$2,000 - $3,000 |
0.420% |
|
˃$3,000 - $6,000 |
0.385% |
|
˃$6,000 - $9,000 |
0.360% |
|
˃$9,000 - $10,000 |
0.350% |
|
˃$10,000 - $12,000 |
0.340% |
|
˃$12,000 - $15,000 |
0.330% |
|
˃$15,000 - $24,000 |
0.320% |
|
˃$24,000 - $50,000 |
0.300% |
|
˃$50,000 |
0.290% |
International Dividend Income Fund |
$0 - $500 |
0.770% |
Large Cap Growth Fund |
˃$500 - $1,000 |
0.720% |
Large Cap Growth Opportunity Fund |
˃$1,000 - $1,500 |
0.670% |
MM Growth Strategies Fund |
˃$1,500 - $3,000 |
0.620% |
Select Large Cap Equity Fund |
˃$3,000 - $6,000 |
0.600% |
Select Large Cap Growth Fund |
˃$6,000 - $12,000 |
0.580% |
|
˃$12,000 |
0.570% |
Large Cap Index Fund(g)
|
All assets |
0.200% |
Mid Cap Index Fund |
|
|
Small Cap Index Fund(g) |
|
|
Limited Duration Credit Fund |
$0 - $500 |
0.430% |
Short Duration Municipal Bond Fund |
˃$500 - $1,000 |
0.425% |
Short Term Bond Fund |
˃$1,000 - $2,000 |
0.415% |
|
˃$2,000 - $3,000 |
0.410% |
|
˃$3,000 - $6,000 |
0.395% |
|
˃$6,000 - $7,500 |
0.380% |
|
˃$7,500 - $9,000 |
0.365% |
|
˃$9,000 - $10,000 |
0.360% |
|
˃$10,000 - $12,000 |
0.350% |
|
˃$12,000 - $15,000 |
0.340% |
|
˃$15,000 - $20,000 |
0.330% |
|
˃$20,000 - $24,000 |
0.320% |
|
˃$24,000 - $50,000 |
0.300% |
|
˃$50,000 |
0.280% |
MM Alternative Strategies Fund(b)
|
$0 - $500 |
1.100% |
|
˃$500 - $1,000 |
1.050% |
|
˃$1,000 - $3,000 |
1.020% |
|
˃$3,000 - $6,000 |
0.990% |
|
˃$6,000 - $12,000 |
0.960% |
|
˃$12,000 |
0.950% |
MM Directional Alternative Strategies Fund |
All assets |
1.60% |
MM International Equity Strategies Fund |
$0 - $500 |
0.870% |
Overseas Value Fund |
˃$500 - $1,000 |
0.820% |
|
˃$1,000 - $1,500 |
0.770% |
|
˃$1,500 - $3,000 |
0.720% |
|
˃$3,000 - $6,000 |
0.700% |
|
˃$6,000 - $12,000 |
0.680% |
|
˃$12,000 |
0.670% |
Mortgage Opportunities Fund |
$0 - $500 |
0.650% |
|
˃$500 - $1,000 |
0.645% |
|
˃$1,000 - $2,000 |
0.630% |
|
˃$2,000 - $3,000 |
0.620% |
|
˃$3,000 - $6,000 |
0.595% |
|
˃$6,000 - $7,500 |
0.580% |
|
˃$7,500 - $9,000 |
0.565% |
|
˃$9,000 - $10,000 |
0.555% |
|
˃$10,000 - $12,000 |
0.545% |
|
˃$12,000 |
0.535% |
Fund |
Assets
(millions) |
Annual rate at each asset level |
Multi Strategy Alternatives Fund(b)
|
$0 - $500 |
0.960% |
|
˃$500 - $1,000 |
0.955% |
|
˃$1,000 - $3,000 |
0.950% |
|
˃$3,000 - $12,000 |
0.940% |
|
˃$12,000 |
0.930% |
Multisector Bond SMA Completion Portfolio |
All assets |
0.00% |
Overseas SMA Completion Portfolio |
|
|
|
|
|
|
|
|
Overseas Core Fund(d) |
$0 - $250 |
0.870% |
Select Global Equity Fund |
˃$250 - $500 |
0.855% |
|
˃$500 - $750 |
0.820% |
|
˃$750 - $1,000 |
0.800% |
|
˃$1,000 - $1,500 |
0.770% |
|
˃$1,500 - $3,000 |
0.720% |
|
˃$3,000 - $6,000 |
0.700% |
|
˃$6,000 - $12,000 |
0.680% |
|
˃$12,000 - $20,000 |
0.670% |
|
˃$20,000 - $24,000 |
0.660% |
|
˃$24,000 - $50,000 |
0.650% |
|
˃$50,000 |
0.620% |
Real Estate Equity Fund |
$0 - $500 |
0.750% |
|
˃$500 - $1,000 |
0.745% |
|
˃$1,000 - $1,500 |
0.720% |
|
˃$1,500 - $3,000 |
0.670% |
|
˃$3,000 |
0.660% |
Select Large Cap Value Fund |
$0 - $500 |
0.770% |
|
˃$500 - $1,000 |
0.715% |
|
˃$1,000 - $3,000 |
0.615% |
|
˃$3,000 - $6,000 |
0.600% |
|
˃$6,000 - $12,000 |
0.580% |
|
˃$12,000 |
0.570% |
Seligman Global Technology Fund(a)
|
$0 - $500 |
0.9150% |
Seligman Technology and Information Fund(a)
|
˃$500 - $1,000 |
0.9100% |
|
˃$1,000 - $3,000 |
0.9050% |
|
˃$3,000 - $4,000 |
0.8650% |
|
˃$4,000 - $6,000 |
0.8150% |
|
˃$6,000 - $12,000 |
0.7650% |
|
˃$12,000 - $20,000 |
0.7550% |
|
˃$20,000 - $24,000 |
0.7450% |
|
˃$24,000 - $50,000 |
0.7350% |
|
˃$50,000 |
0.7050% |
Small Cap Value Fund I(e)
|
$0 - $500 |
0.850% |
|
˃$500 - $1,000 |
0.800% |
|
˃$1,000 - $3,000 |
0.750% |
|
˃$3,000 - $12,000 |
0.740% |
|
˃$12,000 |
0.730% |
Strategic Municipal Income Fund |
$0 - $500 |
0.480% |
|
˃$500 - $1,000 |
0.475% |
|
˃$1,000 - $2,000 |
0.445% |
|
˃$2,000 - $3,000 |
0.420% |
|
˃$3,000 - $6,000 |
0.385% |
|
˃$6,000 - $7,500 |
0.360% |
|
˃$7,500 - $10,000 |
0.350% |
|
˃$10,000 - $12,000 |
0.340% |
|
˃$12,000 - $15,000 |
0.330% |
|
˃$15,000 - $24,000 |
0.320% |
|
˃$24,000 - $50,000 |
0.300% |
|
˃$50,000 |
0.290% |
U.S. Treasury Index Fund(g) |
All assets |
0.400% |
Ultra Short Term Bond Fund |
All assets |
0.210% |
Asset Category |
Assets
(millions) |
Annual rate at each asset level |
|
|
|
Category 1: Assets invested in
affiliated mutual funds, exchange- traded funds and closed- end funds that pay a
management services fee (or an investment management services fee, as applicable) to
the Investment Manager. |
$0 - $500 |
0.060% |
˃$500 - $1,000 |
0.055% | |
˃$1,000 - $3,000 |
0.050% | |
˃$3,000 - $12,000 |
0.040% | |
˃$12,000 |
0.030% | |
Category 2: Assets invested in
exchange-traded funds and mutual funds that are not managed by the Investment Manager
or its affiliates. |
$0 - $500 |
0.160% |
˃$500 - $1,000 |
0.155% | |
˃$1,000 - $3,000 |
0.150% | |
˃$3,000 - $12,000 |
0.140% | |
˃$12,000 |
0.130% | |
Category 3: Securities, instruments and
other assets not described above, including without limitation affiliated mutual funds,
exchange-traded funds and closed-end funds that do not pay a management services fee
(or an investment management services fee, as applicable) to the Investment Manager,
third party closed-end funds, derivatives and individual securities.
|
$0 - $500 |
0.760% |
˃$500 - $1,000 |
0.745% | |
˃$1,000 - $1,500 |
0.730% | |
˃$1,500 - $3,000 |
0.720% | |
˃$3,000 - $6,000 |
0.690% | |
˃$6,000 - $12,000 |
0.665% | |
˃$12,000 |
0.630% |
|
Management
Services Fees | ||
|
2023 |
2022 |
2021 |
For Funds with fiscal period ending January 31
| |||
Capital Allocation Aggressive Portfolio |
$446,537 |
$542,608 |
$510,838 |
Capital Allocation Conservative Portfolio |
160,667 |
171,901 |
258,667 |
Capital Allocation Moderate Aggressive Portfolio |
576,226 |
767,200 |
2,229,560 |
Capital Allocation Moderate Conservative Portfolio |
190,588 |
225,492 |
524,962 |
Capital Allocation Moderate Portfolio |
426,661 |
557,146 |
986,753 |
Income Builder Fund |
291,729 |
333,998 |
270,353 |
For Funds with fiscal period ending February 28/29
| |||
Convertible Securities Fund |
12,167,755 |
18,506,296 |
14,178,875 |
Global Value Fund |
5,954,368 |
7,076,763 |
5,420,431 |
Large Cap Enhanced Core Fund |
2,836,832 |
3,444,662 |
3,271,689 |
Large Cap Growth Opportunity Fund |
9,288,037 |
13,400,347 |
11,585,002 |
Large Cap Index Fund |
6,165,243 |
7,592,485 |
6,712,893 |
Mid Cap Index Fund |
5,300,635 |
6,746,461 |
6,055,023 |
Overseas Core Fund |
7,850,696 |
8,289,849 |
4,529,021 |
Overseas Value Fund |
19,484,110 |
20,379,104 |
12,831,802 |
Select Large Cap Equity Fund |
9,158,688 |
10,024,393 |
6,482,430 |
Select Mid Cap Value Fund |
19,004,174 |
19,191,348 |
13,047,043 |
Small Cap Index Fund |
7,223,326 |
8,941,618 |
6,406,653 |
Small Cap Value Fund II |
10,882,897 |
12,213,435 |
8,808,325 |
For Funds with fiscal period ending March 31 | |||
MM Growth Strategies Fund |
24,510,241 |
27,059,592 |
22,408,065 |
Select Large Cap Growth Fund |
8,865,863 |
14,323,957 |
14,558,858 |
Short Term Bond Fund |
4,483,284 |
5,055,151 |
4,430,574 |
For Funds with fiscal period ending April 30 | |||
Bond Fund |
4,631,249 |
5,680,830 |
3,993,853 |
CA Intermediate Municipal Bond Fund |
1,603,806 |
2,094,548 |
2,147,926 |
Corporate Income Fund |
7,340,794 |
7,895,106 |
6,218,370 |
MM Directional Alternative Strategies Fund |
4,179,165 |
4,300,211 |
3,897,950 |
Short Duration Municipal Bond Fund |
2,827,960 |
3,328,375 |
3,108,739 |
Small Cap Value Fund I |
10,199,208 |
9,303,647 |
5,982,116 |
Total Return Bond Fund |
12,914,722 |
15,626,595 |
11,286,582 |
U.S. Treasury Index Fund |
4,563,742 |
5,973,899 |
4,744,922 |
For Funds with fiscal period ending May 31 | |||
Adaptive Risk Allocation Fund |
26,617,496 |
29,704,707 |
25,630,626 |
Commodity Strategy Fund |
1,998,710 |
2,732,246 |
2,176,511 |
Dividend Income Fund |
191,792,232 |
200,847,639 |
144,330,100 |
Dividend Opportunity Fund |
15,253,316 |
15,680,027 |
14,186,003 |
|
Management
Services Fees | ||
|
2023 |
2022 |
2021 |
Flexible Capital Income Fund |
$8,863,891 |
$8,999,769 |
$6,536,423 |
High Yield Bond Fund |
8,611,302 |
11,041,103 |
9,989,557 |
High Yield Municipal Fund |
3,031,229 |
4,108,904 |
3,940,655 |
Large Cap Value Fund |
14,872,802 |
17,262,181 |
13,600,050 |
MM Value Strategies Fund |
25,362,399 |
30,835,150 |
25,398,786 |
Mortgage Opportunities Fund |
18,293,480 |
26,779,541 |
14,245,789 |
Multi Strategy Alternatives Fund |
7,526,102 |
8,136,161 |
7,038,981 |
Quality Income Fund |
7,391,344 |
10,559,660 |
9,340,388 |
Select Large Cap Value Fund |
15,527,963 |
13,836,159 |
8,563,579 |
Select Small Cap Value Fund |
4,199,119 |
4,953,850 |
3,921,737 |
Seligman Technology and Information Fund |
72,079,631 |
89,255,818 |
71,805,854 |
For Funds with fiscal period ending July 31 | |||
Disciplined Core Fund |
25,348,672 |
29,279,467 |
28,285,302 |
Disciplined Growth Fund |
1,459,451 |
1,970,655 |
2,612,749 |
Disciplined Value Fund |
1,319,713 |
1,512,249 |
2,623,540 |
Floating Rate Fund |
5,022,399 |
5,627,756 |
4,241,794 |
Global Opportunities Fund |
2,678,343 |
3,492,229 |
3,877,653 |
Government Money Market Fund |
2,695,687 |
2,080,553 |
2,187,014 |
Income Opportunities Fund |
4,643,311 |
5,589,627 |
8,341,964 |
Large Cap Growth Fund |
26,668,921 |
32,952,655 |
31,137,330 |
Limited Duration Credit Fund |
2,700,948 |
4,309,472 |
4,175,452 |
MN Tax-Exempt Fund |
2,652,137 |
3,457,396 |
3,411,848 |
OR Intermediate Municipal Bond Fund |
1,455,102 |
1,640,959 |
1,668,598 |
Strategic Municipal Income Fund |
8,361,523 |
12,118,281 |
11,629,815 |
Tax-Exempt Fund |
10,591,629 |
13,414,917 |
14,470,072 |
Ultra Short Term Bond Fund |
4,248,451 |
7,738,672 |
6,755,596 |
For Funds with fiscal period ending August 31 | |||
Balanced Fund |
43,256,415 |
49,506,664 |
47,511,078 |
Contrarian Core Fund |
64,886,977 |
73,066,834 |
71,031,504 |
Emerging Markets Bond Fund |
1,737,596 |
2,029,712 |
2,139,819 |
Emerging Markets Fund |
13,975,758 |
19,068,491 |
19,076,185 |
Global Technology Growth Fund |
16,913,487 |
21,893,401 |
22,485,851 |
Greater China Fund |
916,701 |
1,508,633 |
1,974,572 |
International Dividend Income Fund |
3,762,658 |
3,772,810 |
3,667,047 |
MM Alternative Strategies Fund |
5,679,340 |
5,796,605 |
5,432,519 |
MM International Equity Strategies Fund |
18,008,084 |
19,924,955 |
17,093,958 |
MM Small Cap Equity Strategies Fund |
11,732,407 |
11,665,000 |
10,905,194 |
MM Total Return Bond Strategies Fund |
46,411,385 |
46,955,056 |
45,359,904 |
Multisector Bond SMA Completion Portfolio(a)
|
N/A |
N/A |
N/A |
Overseas SMA Completion Portfolio(a)
|
N/A |
N/A |
N/A |
Select Mid Cap Growth Fund |
11,035,193 |
13,959,543 |
15,489,355 |
Small Cap Growth Fund |
12,705,278 |
18,758,335 |
21,574,770 |
Strategic Income Fund |
27,914,133 |
35,741,762 |
32,466,253 |
|
Management
Services Fees | ||
|
2023 |
2022 |
2021 |
For Funds with fiscal period ending October 31
| |||
Intermediate Duration Municipal Bond Fund |
$7,750,197 |
$8,757,991 |
$5,258,981 |
MA Intermediate Municipal Bond Fund |
581,589 |
856,719 |
1,041,601 |
NY Intermediate Municipal Bond Fund |
633,414 |
870,240 |
1,044,472 |
Select Global Equity Fund |
5,313,477 |
6,074,722 |
6,566,989 |
Seligman Global Technology Fund |
15,412,703 |
16,745,869 |
16,590,135 |
Strategic CA Municipal Income Fund |
1,822,917 |
2,746,640 |
3,108,218 |
Strategic NY Municipal Income Fund |
582,758 |
819,579 |
933,745 |
For Funds with fiscal period ending December 31
| |||
Real Estate Equity Fund |
1,489,489 |
2,084,936 |
2,215,205 |
Fund |
Current Subadvisers |
Parent
Company/Other
Information |
Fee Schedule or Aggregate Effective
Fee Rate |
For Funds with fiscal period ending March 31 | |||
MM Growth Strategies Fund |
JPMIM
(effective October 3, 2022)
Loomis Sayles (effective December 11, 2013) Los Angeles Capital (effective February 7, 2017) |
R
A
B |
0.184% |
For Funds with fiscal period ending April 30 | |||
MM Directional Alternative Strategies Fund |
Boston Partners
(since commencement of
operations)
Allspring
(since November 1, 2018) |
C
E |
0.590%(f) |
For Funds with fiscal period ending May 31 | |||
MM Value Strategies Fund |
DFA
(effective December 11, 2013)
Diamond Hill
(effective September 14, 2016) |
G
H |
0.122%(a) |
Multi Strategy Alternatives Fund |
AQR (since September 24, 2019) PGIM Quantitative Solutions (since September 24, 2019) |
D I |
0.311% |
Fund |
Current Subadvisers |
Parent
Company/Other
Information |
Fee Schedule or Aggregate Effective
Fee Rate |
For Funds with fiscal period ending August 31 | |||
MM Alternative Strategies Fund |
AlphaSimplex (effective May 23, 2018) Crabel (effective January 12, 2022) Manulife (effective September 13, 2017) TCW (effective March 29, 2017) |
J
U
K
L |
0.461%(e) |
MM International Equity Strategies Fund |
Arrowstreet
(since commencement of
operations)
Baillie Gifford
(since commencement of
operations)
Causeway
(since commencement of
operations) |
M
N
O |
0.402%(b) |
MM Small Cap Equity Strategies Fund |
Conestoga
(effective October 1, 2012)
Hotchkis & Wiley
(effective February 13, 2019)
Jacobs Levy
(effective July 18, 2022)
JPMIM
(effective December 19, 2018) |
P
Q
V
R |
0.343%(c) |
MM Total Return Bond Strategies Fund |
Loomis Sayles
(effective April 11, 2016)
PGIM
(effective May 16, 2016)
TCW
(since commencement of
operations)
Voya
(effective December 6, 2018) |
A
S
L
T |
0.086%(d) |
For Funds with fiscal period ending October 31 | |||
Select Global Equity Fund |
Threadneedle (effective July 9, 2004) |
F |
0.350% on all assets |
|
|
Subadvisory
Fees Paid | ||
Fund |
Subadviser |
2023 |
2022 |
2021 |
For Funds with fiscal period ending March 31 | ||||
MM Growth Strategies Fund |
Subadvisers |
$6,875,010(a) |
$6,235,315(a) |
$4,849,459(a) |
For Funds with fiscal period ending April 30 | ||||
MM Directional Alternative Strategies Fund |
Subadvisers |
2,239,636(b) |
2,307,958(b) |
2,079,573(b) |
For Funds with fiscal period ending May 31 | ||||
MM Value Strategies Fund |
Subadvisers |
5,157,438(c) |
6,596,350(c) |
5,526,257(c) |
Multi Strategy Alternatives Fund |
Subadvisers |
2,441,507(d) |
2,500,248(d) |
2,182,905(d) |
For Funds with fiscal period ending August 31 | ||||
MM Alternative Strategies Fund |
Subadvisers |
2,386,542(e) |
2,483,647(e) |
2,348,071(e) |
MM International Equity Strategies Fund |
Subadvisers |
9,213,316(f) |
10,183,902(f) |
8,777,295(f) |
MM Small Cap Equity Strategies Fund |
Subadvisers |
4,887,330(g) |
4,154,789(g) |
4,264,957(g) |
MM Total Return Bond Strategies Fund |
Subadvisers |
9,004,367(h) |
9,567,699(h) |
9,241,250(h) |
For Funds with fiscal period ending October 31
| ||||
Select Global Equity Fund |
Threadneedle (provided services through 12/14/2020) |
N/A |
N/A |
283,953(i)
|
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
For Funds with fiscal year ending January 31 – Information is as of
January 31, 2023, unless otherwise noted | |||||||
Capital Allocation Aggressive Portfolio |
Dan Boncarosky |
6 RICs
3 PIVs
60 other
accounts |
$3.92 billion
$0.19 million
$127.95 million |
None |
None |
Columbia
Management –
FoF |
Columbia Management |
Juno Chen(i) |
4 other accounts |
$0.34 million |
None |
None | |||
Thomas Nakamura |
5 RICs
3 other
accounts |
$3.86 billion
$0.46 million |
None |
$1 –
$10,000 (a) | |||
Capital Allocation Conservative Portfolio |
Dan Boncarosky |
6 RICs
3 PIVs
60 other
accounts |
$4.97 billion
$0.19 million
$127.95 million |
None |
None |
Columbia
Management –
FoF |
Columbia Management |
Juno Chen(i) |
4 other accounts |
$0.34 million |
None |
None | |||
Thomas Nakamura |
5 RICs
3 other
accounts |
$4.90 billion
$0.46 million |
None |
None | |||
Capital Allocation Moderate Aggressive Portfolio |
Dan Boncarosky |
6 RICs
3 PIVs
60 other
accounts |
$3.42 billion
$0.19 million
$127.95 million |
None |
$10,001 –
$50,000 (a) |
Columbia
Management –
FoF |
Columbia Management |
Juno Chen(i) |
4 other accounts |
$0.34 million |
None |
None | |||
Thomas Nakamura |
5 RICs
3 other
accounts |
$3.36 billion
$0.46 million |
None |
None | |||
Capital Allocation Moderate Conservative Portfolio |
Dan Boncarosky |
6 RICs
3 PIVs
60 other
accounts |
$4.76 billion
$0.19 million
$127.95 million |
None |
None |
Columbia Management – FoF |
Columbia Management |
Juno Chen(i) |
4 other accounts |
$0.34 million |
None |
None | |||
Thomas Nakamura |
5 RICs 3 other accounts |
$4.70 billion $0.46 million |
None |
None |
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
Capital Allocation Moderate Portfolio |
Dan Boncarosky |
6 RICs
3 PIVs
60 other
accounts |
$3.98 billion
$0.19 million
$127.95 million |
None |
None |
Columbia
Management –
FoF |
Columbia Management |
Juno Chen(i) |
4 other accounts |
$0.34 million |
None |
None | |||
Thomas Nakamura |
5 RICs
3 other
accounts |
$3.92 billion
$0.46 million |
None |
None | |||
Income Builder Fund |
Alex Christensen |
6 RICs
2 PIVs
65 other
accounts |
$12.08 billion
$204.10 million
$1.18 billion |
None |
None |
Columbia
Management –
IB |
Columbia Management |
Gene Tannuzzo |
7 RICs
2 PIVs
13 other
accounts |
$12.57 billion
$204.10 million
$1.60 billion |
None |
$100,001 –
$500,000(a) |
|||
For Funds with fiscal year ending February 28/29 – Information is as of
February 28, 2023, unless otherwise noted | |||||||
Convertible Securities Fund |
Yan Jin |
4 RICs
11 other
accounts |
$6.41 billion
$6.41 million |
None |
$500,001 –
$1,000,000(a) $50,001 – $100,000(b) |
Columbia
Management |
Columbia Management |
David King |
4 RICs
7 other
accounts |
$6.41 billion
$28.28 million |
None |
Over $1,000,000(a) $100,001 –
$500,000(b) | |||
Grace Lee |
4 RICs
9 other
accounts |
$6.41 billion
$3.50 million |
None |
$100,001 –
$500,000(a) $10,001 – $50,000(b) | |||
Global Value
Fund |
Fred Copper |
6 RICs
1 PIV
25 other
accounts |
$7.43 billion
$113.54 million
$726.55 million |
None |
$50,001 –
$100,000(b) |
Columbia
Management |
Columbia Management |
Melda Mergen |
5 RICs
1 PIV
16 other
accounts |
$10.22 billion
$25.16 million
$579.40 million |
None |
None | |||
Peter Schroeder |
5 other
accounts |
$1.23 million |
None |
$50,001 –
$100,000(b) | |||
Large Cap Enhanced Core
Fund |
Oleg Nusinzon |
6 RICs
21 other
accounts |
$9.69 billion
$6.67 billion |
None |
None |
Columbia
Management |
Columbia Management |
Raghavendran
Sivaraman |
6 RICs
17 other
accounts |
$9.69 billion
$6.67 billion |
1 other
account
($279.59 M) |
$10,001 –
$50,000(b) | |||
Large Cap Growth
Opportunity Fund |
Michael Guttag(i) |
3 other
accounts |
$3.2 million |
None |
None |
Columbia Management |
Columbia Management |
Melda Mergen |
6 RICs
1 PIV
16 other
accounts |
$12.54 billion $28.36 million $658.66 million |
None |
None | |||
Tiffany Wade |
5 RICs 1 PIV 18 other accounts |
$11.74 billion
$28.36 million
$652.45 million |
None |
None |
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
Large Cap Index Fund |
Christopher Lo |
11 RICs
20 other
accounts |
$8.13 billion
$1.68 billion |
None |
$10,001 –
$50,000(b) |
Columbia
Management |
Columbia Management |
Kaiyu Zhao |
3 RICs
5 other
accounts |
$7.66 billion
$0.33 million |
None |
None | |||
Mid Cap Index Fund |
Christopher Lo |
11 RICs
20 other
accounts |
$8.36 billion
$1.68 billion |
None |
$10,001 –
$50,000(b) |
Columbia
Management |
Columbia Management |
Kaiyu Zhao |
3 RICs
5 other
accounts |
$7.89 billion
$0.33 million |
None |
None | |||
Overseas Core
Fund |
Fred Copper |
6 RICs
1 PIV
25 other
accounts |
$7.38 billion
$113.54 million
$726.55 million |
None |
$50,001 –
$100,000(b) |
Columbia
Management |
Columbia Management |
Paul DiGiacomo(i) |
3 other accounts |
$3.2 million |
None |
$50,001 –
$100,000(b) | |||
Daisuke Nomoto |
5 RICs
2 PIVs
22 other
accounts |
$6.55 billion $838.42 million $553.10 million |
None |
$100,001 –
$500,000(b) | |||
Overseas Value
Fund |
Fred Copper |
6 RICs
1 PIV
25 other
accounts |
$5.54 billion
$113.54 million
$726.55 million |
None |
$100,001 –
$500,000(b) |
Columbia
Management |
Columbia Management |
Paul DiGiacomo(i) |
3 other accounts |
$3.2 million |
None |
None | |||
Daisuke Nomoto |
5 RICs
2 PIVs
22 other
accountsv |
$4.71 billion $838.42 million $553.10 million |
None |
None | |||
Select Large
Cap Equity Fund |
Michael Guttag(i) |
3 other
accounts |
$3.2 million |
None |
$10,001 –
$50,000(b) |
Columbia
Management |
Columbia Management |
Melda Mergen |
5 RICs
1 PIV
16 other
accounts |
$9.82 billion $25.16 million $579.40 million |
None |
$500,001 –
$1,000,000(a) $500,001 – $1,000,000(b) | |||
Tiffany Wade |
4 RICs
1 PIV
18 other
accounts |
$9.01 billion $25.16 million $574.74 million |
None |
$10,001 –
$50,000(a) $10,001 – $50,000 (b) | |||
Select Mid Cap Value Fund |
Kari Montanus |
3 RICs
1 PIV
14 other
accounts |
$898.94 million $14.04 million $694.73 million |
None |
$10,001 –
$50,000(a) |
Columbia
Management |
Columbia Management |
Jonas Patrikson |
3 RICs
1 PIV
16 other
accounts |
$898.94 million $14.04 million $693.92 million |
None |
$10,001 –
$50,000(a) $10,001 – $50,000(b) | |||
Small Cap Index Fund |
Christopher Lo |
11 RICs
20 other
accounts |
$7.45 billion
$1.68 billion |
None |
$1 –
$10,000(b) |
Columbia Management |
Columbia Management |
Kaiyu Zhao |
3 RICs 5 other accounts |
$6.98 billion $0.33 million |
None |
None |
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
Small Cap Value
Fund II |
Jeremy Javidi(g) |
2 RICs
1 PIV
11 other
accounts |
$1.57 billion
$132.30 million
$23.42 million |
None |
None |
Columbia
Management |
Columbia Management |
C. Bryan Lassiter(g) |
5 other
accounts |
$0.57 million |
None |
None | |||
For Funds with fiscal year ending March 31 – Information is as of March
31, 2023, unless otherwise noted | |||||||
MM
Growth Strategies Fund |
JPMIM:
Giri Devulapally |
8 RICs
6 PIVs
74 other
accounts |
$49.79 billion
$4.08 billion
$12.41 billion |
None |
None |
JPMIM |
JPMIM |
|
Holly Fleiss |
6 RICs
3 PIVs
28 other
accounts |
$49.03 billion
$7.49 billion
$10.21 billion |
None |
None |
|
|
|
Larry Lee |
7 RICs
2 PIVs
28 other
accounts |
$62.71 billion
$3.94 billion
$10.20 billion |
1 other
account
($44.8 B) |
None |
|
|
|
Robert Maloney |
2 RICs
1 PIV |
$47.11 billion
$2.13 billion |
None |
None |
|
|
|
Joseph Wilson |
7 RICs
3 PIVs
74 other
accounts |
$49.03 billion
$9.44 billion
$15.54 billion |
None |
None |
|
|
|
Loomis Sayles:
Aziz Hamzaogullari |
29 RICs
21 PIVs
115 other
accounts |
$21.01 billion
$11.63 billion
$25.52 billion |
3 PIVs
($455.78 M)
1 other
account
($336.19 M) |
None |
Loomis
Sayles |
Loomis
Sayles |
|
Los Angeles
Capital:
Daniel Allen |
14 RICs
19 PIVs
36 other
accounts |
$2.66 billion
$11.85 billion
$11.02 billion |
4 PIVs
($1.37 B)
8 other
accounts
($7.66 B) |
None |
Los Angeles Capital |
Los Angeles Capital |
|
Daniel Arche |
7 RICs
6 PIVs
13 other
accounts |
$1.26 billion
$2.03 billion
$1.54 billion |
2 PIVs
($937.58 M) |
None |
|
|
|
Hal Reynolds |
15 RICs
19 PIVs
44 other
accounts |
$6.41 billion
$11.85 billion
$11.04 billion |
1 RIC
(3.75 B)
4 PIVs
($1.37 B)
8 other
accounts
($7.66 B) |
None |
|
|
|
Thomas Stevens |
8 RICs 19 PIVs 33 other accounts |
$1.16 billion $11.85 billion $11.02 billion |
4 PIVs ($1.37 B) 8 other accounts ($7.66 B) |
None |
|
|
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
Select Large
Cap Growth
Fund |
Richard Carter |
2 RICs
1 PIV
820 other
accounts |
$965.52 million
$391.85 million
$1.10 billion |
None |
$100,001 –
$500,000(a) $1 – $10,000(b) |
Columbia
Management |
Columbia Management |
Thomas Galvin |
2 RICs
1 PIV
822 other
accounts |
$965.52 million
$391.85 million
$1.13 billion |
None |
Over
$1,000,000(a) $50,001 – $100,000(b) | |||
Todd Herget |
2 RICs
1 PIV
823 other
accounts |
$965.52 million
$391.85 million
$1.10 billion |
None |
$100,001 –
$500,000(b) | |||
Short Term Bond Fund |
Gregory Liechty |
6 RICs
8 PIVs
57 other
accounts |
$5.63 billion
$1.85 billion
$4.34 billion |
None |
None |
Columbia
Management |
Columbia Management |
Ronald Stahl |
6 RICs
8 PIVs
60 other
accounts |
$5.63 billion
$1.85 billion
$4.63 billion |
None |
$100,001 –
$500,000(a) $10,001 – $50,000(b) | |||
For Funds with fiscal year ending April 30 – Information is as of April
30, 2023, unless otherwise noted | |||||||
Bond Fund |
Jason Callan |
13 RICs
10 PIVs
14 other
accounts |
$19.83 billion
$25.90 billion
$1.57 billion |
None |
None |
Columbia Management |
Columbia Management |
|
Alex Christensen |
6 RICs
2 PIVs
72 other
accounts |
$12.58 billion
$208.59 million
$1.18 billion |
None |
None |
|
|
|
Gene Tannuzzo |
7 RICs
2 PIVs
13 other
accounts |
$13.04 billion
$208.59 million
$1.59 billion |
None |
None |
|
|
CA Intermediate Municipal Bond
Fund |
Paul Fox |
8 RICs
9 other
accounts |
$2.48 billion
$27.43 million |
None |
None |
Columbia
Management |
Columbia Management |
Douglas Rangel |
11 RICs
5 other
accounts |
$3.44 billion
$69.02 million |
None |
None | |||
Corporate Income
Fund |
John Dawson |
7 RICs
1 PIV
23 other
accounts |
$3.06 billion
$37.05 million
$2.80 billion |
None |
$10,001 –
$50,000(a) |
Columbia Management |
Columbia Management |
|
Tom Murphy |
9 RICs
17 PIVs
30 other
accounts |
$3.13 billion
$23.07 billion
$2.82 billion |
None |
$100,001 –
$500,000(a) |
|
|
|
Shannon Rinehart |
3 RICs
1 PIV
25 other
accounts |
$3.02 billion
$37.05 million
$2.80 billion |
None |
$10,001–
$50,000(b) |
|
|
|
Royce Wilson |
7 RICs 1 PIV 21 other accounts |
$3.06 billion $37.05 million $2.80 billion |
None |
$50,001 – $100,000(a) $50,001 –
$100,000(b) |
|
|
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
MM
Directional Alternative Strategies Fund |
Boston Partners:
Scott Burgess |
1 RIC
1 PIV |
$716.21 million
$716.21 million |
None |
None |
Boston
Partners |
Boston Partners |
|
Joseph Feeney, Jr. |
4 RICs
4 PIVs |
$901.95 million
$901.95 million |
None |
None | ||
|
Allspring:
Kevin Cole(i) |
1 RIC |
$24.74 million |
None |
None |
Allspring |
Allspring |
|
Harindra de Silva |
14 RICs
15 PIVs
14 other
accounts |
$3.93 billion
$846.85 million
$2.69 billion |
1 PIV
($43.01 M) |
None | ||
|
David Krider |
4 RICs
7 PIVs
4 other
accounts |
$1.48 billion
$545.41 million
$724.18 million |
1 PIV
($43.01 M) |
None | ||
Short Duration Municipal Bond
Fund |
Douglas Rangel |
11 RICs
5 other
accounts |
$3.26 billion
$69.02 million |
None |
$10,001 –
$50,000(b) |
Columbia
Management |
Columbia Management |
Catherine Stienstra |
9 RICs
3 other
accounts |
$6.09 billion
$1.81 million |
None |
None | |||
Small Cap Value
Fund I |
Jeremy Javidi |
1 RIC
1 PIV
11 other
accounts |
$490.30 million
$141.86 million
$23.98 million |
None |
Over
$1,000,000(a) |
Columbia
Management |
Columbia Management |
C. Bryan Lassiter(g) |
5 other
accounts |
$0.57 million |
None |
$100,001 –
$500,000(a) $1 – $10,000(b) | |||
Total
Return Bond Fund |
Jason Callan |
13 RICs
10 PIVs
14 other
accounts |
$18.00 billion
$25.90 billion
$1.57 billion |
None |
$50,001 –
$100,000(a) |
Columbia Management |
Columbia Management |
|
Alex Christensen |
6 RICs
2 PIVs
72 other
accounts |
$10.75 billion
$208.59 million
$1.18 billion |
None |
$50,001 –
$100,000(a) $10,001 – $50,000(b) |
|
|
|
Gene Tannuzzo |
7 RICs
2 PIVs
13 other
accounts |
$11.21 billion
$208.59 million
$1.59 billion |
None |
$100,001 –
$500,000(a) $50,001 – $100,000(b) |
|
|
U.S.
Treasury Index Fund |
Alan Erickson |
38 other
accounts |
$2.29 billion |
None |
$10,001 –
$50,000(b) |
Columbia
Management |
Columbia Management |
For Funds with fiscal year ending May 31 – Information is as of May 31,
2023, unless otherwise noted | |||||||
Adaptive Risk
Allocation Fund |
Joshua Kutin |
34 RICs
6 PIVs
51 other
accounts |
$56.77 billion
$0.35 million
$6.95 million |
None |
$100,001 –
$500,000(a) $100,001 – $500,000(b) |
Columbia Management; Columbia Management –
FoF |
Columbia Management |
Alexander Wilkinson |
11 RICs 3 PIVs 4 other accounts |
$33.00 million $0.17 million $18.42 million |
None |
$10,001 – $50,000(b) |
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
Commodity
Strategy Fund |
John Dempsey |
1 RIC
3 other
accounts |
$111.31 million
$2.37 million |
None |
None |
Columbia Management |
Columbia Management |
|
Matthew Ferrelli |
2 RICs
6 other
accounts |
$851.14 million
$315.04 million |
None |
None |
|
|
|
Marc Khalamayzer |
2 RICs
10 other
accounts |
$851.14 million
$315.67 million |
None |
None |
|
|
|
Gregory Liechty |
6 RICs
8 PIVs
56 other
accounts |
$5.64 billion
$1.84 billion
$4.41 billion |
None |
None |
|
|
|
Ronald Stahl |
6 RICs
8 PIVs
59 other
accounts |
$5.64 billion
$1.84 billion
$4.70 billion |
None |
$10,001 –
$50,000(b) |
|
|
Dividend Income
Fund |
Michael Barclay |
3 RICs
1 PIV
130 other
accounts |
$4.23 billion
$1.62 billion
$2.42 billion |
None |
Over
$1,000,000(a) $100,001 – $500,000(b) |
Columbia
Management |
Columbia Management |
Tara Gately |
1 RIC
1 PIV
127 other
accounts |
$4.17 billion
$1.62 billion
$2.42 billion |
None |
Over
$1,000,000(a) | |||
Andrew Wright(i) |
14 other
accounts |
$1.17 million |
None |
None | |||
Dividend Opportunity Fund |
Yan Jin |
4 RICs
11 other
accounts |
$5.19 billion
$6.15 million |
None |
$500,001 –
$1,000,000(a) $50,001 – $100,000(b) |
Columbia
Management |
Columbia Management |
David King |
4 RICs
7 other
accounts |
$5.19 billion
$26.95 million |
None |
$100,001 –
$500,000(b) | |||
Grace Lee |
4 RICs
9 other
accounts |
$5.19 billion
$3.29 million |
None |
$500,001 –
$1,000,000(a) $50,001 – $100,000(b) | |||
Flexible Capital Income Fund |
Yan Jin |
4 RICs
11 other
accounts |
$6.13 billion
$6.15 million |
None |
$500,001 –
$1,000,000(a) $50,001 – $100,000(b) |
Columbia Management |
Columbia Management |
David King |
4 RICs
7 other
accounts |
$6.13 billion
$26.95 million |
None |
Over
$1,000,000(a) $100,001 – $500,000(b) | |||
Grace Lee |
4 RICs 9 other accounts |
$6.13 billion $3.29 million |
None |
$100,001 – $500,000(a) $50,001 –
$100,000(b) |
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
High Yield Bond Fund |
Daniel DeYoung |
4 RICs
2 PIVs
10 other
accounts |
$1.72 billion
$14.37 billion
$655.95 million |
None |
$100,001 –
$500,000(a) |
Columbia
Management |
Columbia Management |
Brian Lavin |
5 RICs
17 other
accounts |
$1.11 billion
$2.77 billion |
None |
$100,001 –
$500,000(b) | |||
High Yield Municipal Fund |
Catherine Stienstra |
9 RICs
3 other
accounts |
$5.97 billion
$1.80 million |
None |
$10,001 –
$50,000(b) |
Columbia
Management |
Columbia Management |
Douglas White |
5 RICs
6 other
accounts |
$4.97 billion
$4.80 million |
None |
$100,001 –
$500,000(a) $10,001 – $50,000(b) | |||
Large Cap Value Fund |
Arthur Hurley |
2 RICs
13 other
accounts |
$500.84 million
$2.66 million |
None |
$50,001 –
$100,000(a) $10,001 – $50,000(b) |
Columbia
Management |
Columbia Management |
Hugh Mullin |
7 other
accounts |
$8.32 million |
None |
$100,001 –
$500,000(b) | |||
MM Value Strategies Fund |
Columbia
Management:
Michael Barclay |
3 RICs
1 PIV
130 other
accounts |
$35.17 billion
$1.62 billion
$2.42 billion |
None |
None |
Columbia Management |
Columbia Management |
|
Tara Gately |
1 RIC
1 PIV
127 other
accounts |
$35.11 billion
$1.62 billion
$2.42 billion |
None |
None |
|
|
|
Andrew Wright(i) |
14 other
accounts |
$1.17 million |
None |
None | ||
|
DFA:
Jed Fogdall |
124 RICs
28 PIVs
524 other
accounts |
$421.97 billion
$20.64 billion
$23.82 billion |
1 PIV
($177.87 M)
4 other
accounts
($1.95 B) |
None |
DFA |
DFA |
|
John Hertzer |
28 RICs
3 PIVs
4 other
accounts |
$154.28 billion
$3.94 billion
$7.60 billion |
None |
None |
|
|
|
Mary Phillips(d) |
72 RICs
4 PIVs |
$260.38 billion
$2.92 billion |
None |
None |
|
|
|
Diamond Hill:
Austin Hawley |
4 RICs
4 PIVs
116 other
accounts |
8.39 billion
$1.38 billion
$5.04 billion |
1 other
account
($445.00 M) |
None |
Diamond
Hill |
Diamond
Hill |
Mortgage
Opportunities Fund |
Jason Callan |
13 RICs 10 PIVs 14 other accounts |
$18.13 billion $25.03 billion $1.55 billion |
None |
$100,001 – $500,000(a) Over
$1,000,000(b) |
Columbia Management |
Columbia Management |
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
|
Tom Heuer |
3 RICs
5 other
accounts |
$2.51 billion
$5.87 million |
None |
$100,001 –
$500,000(a) $100,001 – $500,000(b) |
|
|
|
Ryan Osborn |
3 RICs
6 other
accounts |
$2.51 billion
$4.56 million |
None |
$500,001 –
$1,000,000(a) $100,001 – $500,000(b) |
|
|
Multi
Strategy Alternatives Fund |
Dan Boncarosky |
20 RICs
28 PIVs
60 other
accounts |
$60.74 billion
$4.50 billion
$125.81 million |
None |
None |
Columbia Management |
Columbia Management |
|
Jason Callan |
13 RICs
10 PIVs
14 other
accounts |
$20.42 billion
$25.03 billion
$1.55 billion |
None |
None |
|
|
|
Matthew Ferrelli |
2 RICs
6 other
accounts |
$507.43 million
$315.04 million |
None |
$1–
$10,000(b) |
|
|
|
Tom Heuer |
3 RICs
5 other
accounts |
$4.80 billion
$5.87 million |
None |
None |
|
|
|
Marc Khalamayzer |
2 RICs
10 other
accounts |
$507.43 million
$315.67 million |
None |
$10,001 –
$50,000(b) |
|
|
|
Joshua Kutin |
34 RICs
6 PIVs
51 other
accounts |
$59.57 billion
$0.35 million
$6.95 million |
None |
None |
|
|
|
Corey Lorenzen |
2 RICs
9 other
accounts |
$1.38 billion
$1.00 million |
None |
None |
|
|
|
Ryan Osborn |
3 RICs
6 other
accounts |
$4.80 billion
$4.56 million |
None |
None |
|
|
|
Brian Virginia |
15 RICs
10 other
accounts |
$55.86 billion
$5.89 million |
None |
None |
|
|
|
AQR:
Jordan Brooks |
10 RICs
1 PIV |
$5.31 billion
$56.89 million |
1 PIV
($56.89 M) |
None |
AQR |
AQR |
Jonathan Fader |
1 RIC
2 PIVs |
$185.76 million
$941.01 million |
None |
None |
|
| |
|
Cliff Asness(h) |
25 RICs
18 PIVs
21 other
accounts |
$14.42 billion
$8.82 billion
$9.07 billion |
14 PIVs
($6.62 B)
13 other
accounts
($5.47 B) |
None |
|
|
|
John Liew(h) |
10 RICs 13 PIVs 11 other accounts |
$3.18 billion $7.20 billion $4.60 billion |
9 PIVs ($5.28 B) 7 other accounts ($2.69 B) |
None |
|
|
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
|
Yao Hua Ooi |
9 RICs
23 PIVs |
$4.48 billion
$7.61 billion |
18 PIVs
($6.36 B) |
None |
|
|
|
PGIM Quantitative
Solutions:
Marco Aiolfi |
29 RICs
1 other
account |
$37.29 billion
$254.15 million |
None |
None |
PGIM Quantitative
Solutions |
PGIM Quantitative Solutions |
|
Edward Tostanoski
III |
36 RICs
1 PIV
1 other
account |
$38.59 billion
$71.00 million
$254.15 million |
None |
None | ||
Quality Income
Fund |
Jason Callan |
13 RICs
10 PIVs
14 other
accounts |
$19.23 billion
$25.03 billion
$1.55 billion |
None |
None |
Columbia
Management |
Columbia Management |
Tom Heuer |
3 RICs
5 other
accounts |
$3.62 billion
$5.87 million |
None |
$100,001 –
$500,000(a) $10,001 – $50,000(b) | |||
Ryan Osborn |
3 RICs
6 other
accounts |
$3.62 billion
$4.56 million |
None |
$100,001 –
$500,000(b) | |||
Select Large
Cap Value Fund |
Richard Rosen(j) |
2 RICs
1 PIV
427 other
accounts |
$2.20 billion
$145.30 million
$3.72 billion |
None |
$100,001 –
$500,000(a) |
Columbia
Management |
Columbia Management |
Richard Taft |
2 RICs
1 PIV
428 other
accounts |
$2.20 billion
$145.30 million
$3.72 billion |
None |
$100,001 –
$500,000(a) $100,001 – $500,000(b) | |||
Jeffrey Wimmer(k) |
13 other
accounts |
$1.20 million |
None |
None | |||
Select Small
Cap Value Fund |
Kari Montanus |
3 RICs
1 PIV
13 other
accounts |
$2.66 billion
$18.05 million
$633.62 million |
None |
None |
Columbia
Management |
Columbia Management |
Jonas Patrikson |
3 RICs
1 PIV
16 other
accounts |
$2.66 billion
$18.05 million
$633.78 million |
None |
$10,001 –
$50,000(b) | |||
Seligman Technology and
Information Fund |
Sanjay Devgan |
3 RICs
4 other
accounts |
$1.90 billion
$7.39 million |
None |
$500,001 –
$1,000,000(a) |
Columbia Management |
Columbia Management– Tech Team |
Israel Hernandez |
3 other
accounts |
$0.44 million |
None |
None |
|
| |
|
Jeetil Patel |
1 RIC
10 other
accounts |
$437.73 million
$6.79 million |
None |
$10,001 –
$50,000(a) |
|
|
|
Vimal Patel |
3 RICs
8 other
accounts |
$2.32 billion
$9.55 million |
None |
$50,001 –
$100,000(a) |
|
|
|
Shekhar Pramanick |
4 RICs 6 other accounts |
$2.34 billion $13.04 million |
None |
Over $1,000,000(a) |
|
|
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
|
Paul Wick |
4 RICs
3 PIVs
7 other
accounts |
$2.34 billion
$2.38 billion
$649.55 million |
2 PIVs
($1.70 B)
1 other
account
($164.67 M) |
Over
$1,000,000(a) |
|
|
For Funds with fiscal year ending July 31 – Information is as of July 31,
2023, unless otherwise noted | |||||||
Disciplined Core Fund |
Oleg Nusinzon |
6 RICs
22 other
accounts |
$6.66 billion
$7.74 billion |
None |
$100,001 –
$500,000(b) |
Columbia
Management |
Columbia Management |
Raghavendran
Sivaraman |
6 RICs
17 other
accounts |
$6.66 billion
$7.74 billion |
None |
$10,001 –
$50,000(b) | |||
Disciplined Growth Fund |
Oleg Nusinzon |
6 RICs
22 other
accounts |
$10.75 billion
$7.74 billion |
None |
None |
Columbia
Management |
Columbia Management |
Raghavendran
Sivaraman |
6 RICs
17 other
accounts |
$10.75 billion
$7.74 billion |
None |
$10,001 –
$50,000(b) | |||
Disciplined Value Fund |
Oleg Nusinzon |
6 RICs
22 other
accounts |
$10.79 billion
$7.74 billion |
None |
None |
Columbia
Management |
Columbia Management |
Raghavendran
Sivaraman |
6 RICs
17 other
accounts |
$10.79 billion
$7.74 billion |
None |
$10,001 –
$50,000(b) | |||
Floating Rate
Fund |
Daniel DeYoung |
4 RICs
2 PIVs
7 other
accounts |
$2.43 billion
$14.07 billion
$676.96 million |
None |
$50,001 –
$100,000(b) |
Columbia
Management |
Columbia Management |
Stanton Ray |
13 other
accounts |
$5.19 million |
None |
$100,001 –
$500,000(a) $10,001 – $50,000(b) | |||
Vesa Tontti |
2 PIVs
7 other
accounts |
$14.07 billion
$1.29 million |
None |
$10,001 –
$50,000(a) $100,001 – $500,000(b) | |||
Global Opportunities
Fund |
Dan Boncarosky |
20 RICs
28 PIVs
60 other
accounts |
$62.66 billion
$4.72 billion
$133.85 million |
None |
$1 –
$10,000(b) |
Columbia
Management |
Columbia Management |
Juno Chen(i) |
4 other accounts |
$0.34 million |
None |
None | |||
Thomas Nakamura |
5 RICs
29 PIVs
54 other
accounts |
$4.68 billion
$4.79 billion
$129.66 million |
None |
$1 –
$10,000(a) | |||
Income
Opportunities Fund |
Daniel DeYoung |
4 RICs
2 PIVs
7 other
accounts |
$2.46 billion
$14.07 billion
$676.96 million |
None |
None |
Columbia Management |
Columbia Management |
Brian Lavin |
5 RICs 17 other accounts |
$1.74 billion $2.84 billion |
None |
$100,001 – $500,000(a) |
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
Large Cap Growth
Fund |
Michael Guttag(i) |
3 other
accounts |
$0.39 million |
None |
$10,001 –
$50,000(b) |
Columbia
Management |
Columbia Management |
Melda Mergen |
5 RICs
1 PIV
16 other
accounts |
$7.94 billion
$26.98 million
$665.13 million |
None |
$100,001 –
$500,000(a) | |||
Tiffany Wade |
4 RICs
1 PIV
18 other
accounts |
$7.12 billion
$26.98 million
$659.04 million |
None |
$10,001 –
$50,000(a) $50,001 – $100,000(b) | |||
Limited Duration Credit Fund |
John Dawson |
7 RICs
1 PIV
23 other
accounts |
$3.97 billion
$35.64 million
$2.73 billion |
None |
$10,001 –
$50,000(a) $100,001 – $500,000(b) |
Columbia Management |
Columbia Management |
|
Tom Murphy |
9 RICs
17 PIVs
30 other
accounts |
$4.06 billion
$23.78 billion
$2.75 billion |
None |
Over
$1,000,000(a) $500,001 – $1,000,000(b) |
|
|
|
Shannon Rinehart |
3 RICs
1 PIV
25 other
accounts |
$3.97 billion
$35.64 million
$2.72 billion |
None |
$10,001 –
$50,000(b) |
|
|
|
Royce Wilson |
7 RICs
1 PIV
21 other
accounts |
$4.01 billion
$35.64 million
$2.72 billion |
None |
$50,001 –
$100,000(a) $1 – $10,000(b) |
|
|
MN Tax-Exempt Fund |
Catherine Stienstra |
9 RICs
3 other
accounts |
$5.95 billion
$1.89 million |
None |
None |
Columbia
Management |
Columbia Management |
Douglas White |
5 RICs
6 other
accounts |
$4.97 billion
$8.66 million |
None |
$100,001 –
$500,000(a) | |||
OR Intermediate Municipal Bond
Fund |
Paul Fox |
5 RICs
9 other
accounts |
$2.27 billion
$27.59 million |
None |
None |
Columbia
Management |
Columbia Management |
Douglas Rangel |
8 RICs
5 other
accounts |
$3.21 billion
$69.40 million |
None |
None | |||
Strategic Municipal Income Fund |
Catherine Stienstra |
9 RICs
3 other
accounts |
$4.73 billion
$1.89 million |
None |
$500,001 –
$1,000,000(a) $10,001 – $50,000(b) |
Columbia
Management |
Columbia Management |
Douglas White |
5 RICs
6 other
accounts |
$3.75 billion
$8.66 million |
None |
$10,001 –
$50,000(b) | |||
Tax-Exempt Fund |
Catherine Stienstra |
9 RICs
3 other
accounts |
$4.32 billion
$1.89 million |
None |
$10,001 –
$50,000(b) |
Columbia Management |
Columbia Management |
Douglas White |
5 RICs 6 other accounts |
$3.34 billion $8.66 million |
None |
$1 – $10,000(b) |
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
Ultra Short Term Bond Fund |
Gregory Liechty |
6 RICs
8 PIVs
54 other
accounts |
$4.47 billion
$1.74 billion
$4.42 billion |
None |
$50,001–
$100,000(b) |
Columbia
Management |
Columbia Management |
Ronald Stahl |
6 RICs
8 PIVs
57 other
accounts |
$4.47 billion
$1.74 billion
$4.72 billion |
None |
$100,001 –
$500,000 (a) $10,001 – $50,000(b) | |||
For Funds with fiscal year ending August 31 – Information is as of August
31, 2023, unless otherwise noted | |||||||
Balanced Fund |
Jason Callan |
13 RICs
10 PIVs
14 other
accounts |
$17.87 billion
$24.68 billion
$1.48 billion |
None |
None |
Columbia Management |
Columbia Management |
|
Gregory Liechty |
6 RICs
9 PIVs
54 other
accounts |
$2.93 billion
$1.77 billion
$4.43 billion |
None |
None |
|
|
|
Guy Pope |
8 RICs
8 PIVs
81 other
accounts |
$14.04 billion $1.27 billion $3.08 billion |
None |
$100,001 –
$500,000(a) |
|
|
|
Ronald Stahl |
6 RICs
8 PIVs
57 other
accounts |
$2.93 billion
$1.69 billion
$4.73 billion |
None |
$500,001 –
$1,000,000(a) $10,001 – $50,000(b) |
|
|
Contrarian Core Fund |
Guy Pope |
8 RICs
8 PIVs
81 other
accounts |
$7.27 billion $1.27 billion $3.08 billion |
None |
Over
$1,000,000(a) |
Columbia
Management |
Columbia Management |
Emerging Markets Bond Fund |
Christopher Cooke |
1 RIC
5 PIVs
6 other
accounts |
$395.21 million
$2.01 billion
$331.43 million |
None |
None(c) |
Columbia
Management |
Threadneedle |
Adrian Hilton |
3 RICs
5 PIVs
7 other
accounts |
$475.24 million
$2.01 billion
$385.81 million |
None |
None(c) | |||
Emerging Markets Fund |
Robert Cameron |
2 RICs
6 PIVs
21 other
accounts |
$281.08 million
$2.03 billion
$1.55 billion |
None |
$1 –
$10,000(b) |
Columbia Management |
Columbia Management |
|
Derek Lin |
3 RICs
6 PIVs
19 other
accounts |
$374.63 million
$2.03 billion
$1.55 billion |
None |
$10,001 –
$50,000(a) $10,001 – $50,000(b) |
|
|
|
Darren Powell |
2 RICs
6 PIVs
12 other
accounts |
$281.08 million
$2.03 billion
$1.55 billion |
None |
$50,001 –
$100,000(b) |
|
|
|
Perry Vickery |
2 RICs 8 PIVs 19 other accounts |
$281.08 million $2.37 billion $1.55 billion |
None |
$10,001 – $50,000(a) $10,001 –
$50,000(b) |
|
|
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
|
Dara White |
3 RICs
6 PIVs
14 other
accounts |
$374.63 million $2.03 billion $1.56 billion |
None |
Over $1,000,000(a) $100,001 – $500,000(b) |
|
|
Global
Technology Growth Fund |
Rahul Narang |
8 other
accounts |
$281.60 million |
None |
$500,001 –
$1,000,000(b) |
Columbia
Management |
Columbia Management |
Greater China
Fund |
Derek Lin |
3 RICs
6 PIVs
19 other
accounts |
$1.50 billion
$2.03 billion
$1.55 billion |
None |
$10,001 –
$50,000(a) $10,001 – $50,000(b) |
Columbia
Management |
Columbia Management |
Dara White |
3 RICs
6 PIVs
14 other
accounts |
$1.50 billion
$2.03 billion
$1.56 billion |
None |
$50,001 –
$100,000(a) $10,001 – $50,000(b) | |||
International Dividend Income
Fund |
Jonathan Crown |
1 PIV
5 other
accounts |
$162.76 million
$2.81 billion |
None |
None(c) |
Columbia
Management |
Threadneedle |
Georgina Hellyer |
1 PIV
2 other
accounts |
$162.76 million
$589.65 million |
None |
None(c) | |||
MM
Alternative Strategies Fund |
AlphaSimplex:
Alexander Healy |
3 RICs
2 PIVs
8 other
accounts |
$3.31 billion
$1.01 billion
$1.57 billion |
1 PIV
($895.00 M) |
None |
AlphaSimplex |
AlphaSimplex |
|
Kathryn Kaminski |
3 RICs
2 PIVs
5 other
accounts |
$3.31 billion
$1.01 billion
$1.52 billion |
1 PIV
($895.00 M) |
None |
|
|
|
Philippe Lüdi |
3 RICs
2 PIVs
5 other
accounts |
$3.31 billion
$1.01 billion
$1.52 billion |
1 PIV
($895.00 M) |
None |
|
|
|
John Perry |
2 RICs
2 PIVs
5 other
accounts |
$3.08 billion
$1.01 billion
$1.52 billion |
1 PIV
($895.00 M) |
None |
|
|
|
Robert Rickard |
3 RICs
2 PIVs
2 other
account |
$3.31 billion
$1.01 billion
$359.3 million |
1 PIV
($895.00 M) |
None |
|
|
|
Crabel:
Michael Pomada |
7 RICs
16 PIVs
28 other
accounts |
$444.00 million
$1.86 billion
$3.67 billion |
6 PIVs
($1.36 B)
13 other
accounts
($2.36 B) |
None |
Crabel |
Crabel |
|
Grant Jaffarian |
5 RICs 4 PIVs 13 other accounts |
$361.00 million $405.00 million $882.00 million |
2 other accounts ($71.00 M) |
None |
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
|
Manulife:
Christopher
Chapman |
4 RICs
43 PIVs
12 other
accounts |
$5.57 billion
$15.01 billion
$2.96 billion |
None |
None |
Manulife |
Manulife |
|
Thomas Goggins |
4 RICs
43 PIVs
12 other
accounts |
$5.57 billion
$15.07 billion
$2.96 billion |
None |
None |
|
|
|
Bradley Lutz |
4 RICs
41 PIVs
12 other
accounts |
$5.57 billion
$14.93 billion
$2.96 billion |
None |
None |
|
|
|
Kisoo Park |
4 RICs
42 PIVs
12 other
accounts |
$5.57 billion
$15.07 billion
$2.96 billion |
None |
None |
|
|
|
TCW:
Jerry Cudzil(e) |
5 RICs
12 PIVs
21 other
accounts |
$922.80 million
$4.86 billion
$7.71 billion |
7 PIVs ($3.01 B) |
None |
TCW |
TCW |
|
Ruben
Hovhannisyan(e) |
2 RICs
1 other
account |
$54.50 million
$46.90 million |
None |
None |
|
|
|
Stephen Kane |
30 RICs
22 PIVs
179 other
accounts |
$93.49 billion
$15.94 billion
$45.75 billion |
3 PIVs
($428.20 M)
9 other
accounts
($4.13 B) |
None |
|
|
|
Steven J. Purdy(e) |
5 RICs
12 PIVs
18 other
accounts |
$922.80 million
$4.86 billion
$5.21 billion |
7 PIVs ($3.01 B) |
None |
|
|
|
Bryan Whalen |
29 RICs
34 PIVs
221 other
accounts |
$95.66 billion
$17.99 billion
$60.22 billion |
9 PIVs
($525.30 M)
11 other
accounts ($6.71 B) |
None |
|
|
MM
International Equity
Strategies Fund |
Arrowstreet:
Manolis Liodakis |
3 RICs
81 PIVs
59 other
accounts |
$2.43 billion
$96.04 billion
$63.35 billion |
1 RIC
($129.09 M)
44 PIVs
($45.80 B)
9 other
accounts
($14.91 B) |
None |
Arrowstreet |
Arrowstreet |
|
Christopher Malloy |
3 RICs 81 PIVs 59 other accounts |
$2.43 billion $96.26 billion $63.35 billion |
1 RIC ($129.09 M) 44 PIVs ($45.80 B) 9 other accounts ($14.91 B) |
None |
|
|
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
|
Peter Rathjens |
3 RICs
81 PIVs
59 other
accounts |
$2.43 billion
$96.26 billion
$63.35 billion |
1 RIC
($129.09 M)
44 PIVs
($45.80 B)
9 other
accounts
($14.91 B) |
None |
|
|
|
Derek Vance |
3 RICs
81 PIVs
59 other
accounts |
$2.43 billion
$96.26 billion
$63.35 billion |
1 RIC
($129.09 M)
44 PIVs
($45.80 B)
9 other
accounts
($14.91 B) |
None |
|
|
|
Julia Yuan(f) |
3 RICs
81 PIVs
58 other
accounts |
$2.34 billion
$96.26 billion
$62.60 billion |
1 RIC
($126.43 M)
45 PIVs
($47.80 B)
13 other
accounts
($16.25 B) |
None |
|
|
|
Baillie Gifford:
Chris Davies |
3 RICs
5 PIVs
34 other
accounts |
$4.10 billion
$2.00 billion
$10.23 billion |
4 other
accounts
($2.10 B) |
None |
Baillie Gifford |
Baillie Gifford |
|
Jenny Davis |
3 RICs
1 PIV
32 other
accounts |
$4.10 billion
$691.00 million
$10.03 billion |
4 other
accounts
($2.10 B) |
None |
|
|
|
Donald Farquharson |
3 RICs
2 PIVs
37 other
accounts |
$4.10 billion
$949.00 million
$12.22 billion |
5 other
accounts
($2.36 B) |
None |
|
|
|
Roderick Snell(i) |
2 RICs
9 PIVs
9 other
accounts |
$352.00 million
$5.99 billion
$7.23 billion |
1 other
account
($2.11 B) |
None |
|
|
|
Steve Vaughan |
6 RICs
2 PIVs
33 other
account |
$4.57 billion
$757.00 million
$10.09 billion |
1 RIC
($284.00 M)
4 other
accounts
($2.10 B) |
None |
|
|
|
Tom Walsh |
3 RICs
1 PIV
32 other
accounts |
$4.10 billion
$691.00 million
$10.03 billion |
4 other
accounts
($2.10 B) |
None |
|
|
|
Causeway:
Jonathan Eng |
15 RICs
15 PIVs
97 other
accounts |
$13.75 billion
$4.04 billion
$23.04 billion |
3 other
accounts
($1.83 B) |
None |
Causeway |
Causeway |
|
Harry Hartford |
15 RICs 15 PIVs 104 other accounts |
$13.75 billion $4.04 billion $23.05 billion |
3 other accounts ($1.83 B) |
None |
|
|
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
|
Sarah Ketterer |
15 RICs
15 PIVs
132 other
accounts |
$13.75 billion
$4.04 billion
$23.28 billion |
3 other
accounts
($1.83 B) |
None |
|
|
|
Ellen Lee |
15 RICs
15 PIVs
91 other
accounts |
$13.75 billion
$4.04 billion
$23.04 billion |
3 other
accounts
($1.83 B) |
None |
|
|
|
Conor Muldoon |
15 RICs
15 PIVs
100 other
accounts |
$13.75 billion
$4.04 billion
$23.04 billion |
3 other
accounts
($1.83 B) |
None |
|
|
|
Alessandro Valentini |
15 RICs
15 PIVs
93 other
accounts |
$13.75 billion
$4.04 billion
$23.04 billion |
3 other
accounts
($1.83 B) |
None |
|
|
MM Small Cap
Equity Strategies Fund |
Conestoga:
Robert Mitchell |
4 RICs 3 PIVs 226 other accounts |
$4.11 billion $503.90 million $2.34 billion |
None |
None |
Conestoga |
Conestoga |
|
Joseph Monahan |
3 RICs
1 PIV
177 other
accounts |
$4.11 billion
$397.90 million
$1.51 billion |
None |
None |
|
|
|
Hotchkis &
Wiley:
Judd Peters |
23 RICs
11 PIVs
57 other
accounts |
$19.05 billion
$1.96 billion
$7.03 billion |
2 RICs
($12.22 B)
1 PIV
($46.60 M)
4 other
accounts
($766.00 M) |
None |
Hotchkis & Wiley |
Hotchkis & Wiley |
|
Ryan Thomes |
23 RICs
11 PIVs
57 other
accounts |
$19.05 billion
$1.96 billion
$7.03 billion |
2 RICs
($12.22 B)
1 PIV
($46.60 M)
3 other
accounts
($766.00 M) |
None |
|
|
|
Jacobs Levy:
Bruce Jacobs |
14 RICs
12 PIVs
102 other
accounts |
$3.38 billion
$2.70 billion
$11.59 billion |
1 PIV
($208.87 M)
10 other
accounts
($6.71 B) |
None |
Jacobs Levy |
Jacobs Levy |
|
Kenneth Levy |
14 RICs 12 PIVs 102 other accounts |
$3.38 billion $2.70 billion $11.59 billion |
1 PIV ($208.87 M) 10 other accounts ($6.71 B) |
None |
|
|
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
|
JPMIM:
Matthew Cohen |
3 RICs
5 PIVs
1 other
account |
$5.05 billion
$6.29 billion
$314.30 million |
None |
None |
JPMIM |
JPMIM |
|
Philip Hart(g) |
14 RICs
2 PIVs
3 other
accounts |
$4.66 billion
$696.40 million
$717.10 million |
None |
None | ||
|
Eytan Shapiro |
3 RICs
4 PIVs
1 other
account |
$5.70 billion
$3.14 billion
$314.30 million |
None |
None | ||
|
Michael Stein(g) |
None |
None |
None |
None | ||
MM Total Return Bond
Strategies Fund |
Loomis Sayles:
Daniel Conklin |
8 RICs
10 PIVs
209 other
accounts |
$3.20 billion
$8.71 billion
$20.78 billion |
None |
None |
Loomis Sayles |
Loomis
Sayles |
|
Christopher Harms |
19 RICs
10 PIVs
289 other
accounts |
$3.21 billion
$8.71 billion
$21.44 billion |
None |
None |
|
|
|
Clifton Rowe |
8 RICs
10 PIVs
212 other
accounts |
$3.20 billion
$8.71 billion
$20.79 billion |
None |
None |
|
|
|
PGIM:
Matt Angelucci(f) |
54 RICs
27 PIVs
148 other
accounts |
$90.61 billion
$28.03 billion
$74.84 billion |
5 PIVs
($1.82 B)
11 other
accounts
($7.49 B) |
None |
PGIM |
PGIM |
|
Gregory Peters |
53 RICs
26 PIVs
139 other
accounts |
$91.88 billion
$36.84 billion
$68.57 billion |
1 PIV
($60.00 M)
8 other
accounts
($2.77 B) |
None |
|
|
|
Richard Piccirillo |
41 RICs
17 PIVs
103 other
accounts |
$84.35 billion
$25.69 billion
$53.17 billion |
1 PIV
($60.00 M)
3 other
accounts
($477.00 M) |
None |
|
|
|
Tyler Thorn(f) |
41 RICs
17 PIVs
103 other
accounts |
$84.35 billion
$25.69 billion
$53.17 billion |
1 PIV
($60.00 M)
3 other
accounts
($477.00 M) |
None |
|
|
|
Robert Tipp |
46 RICs
21 PIVs
104 other
accounts |
$78.89 billion
$26.23 billion
$50.73 billion |
8 other
accounts
($2.77 B) |
None |
|
|
|
TCW: Jerry Cudzil(e) |
5 RICs 12 PIVs 21 other accounts |
$922.80 million $4.86 billion $7.71 billion |
7 PIVs
($3.01 B) |
None |
TCW |
TCW |
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
|
Ruben
Hovhannisyan(e) |
2 RICs
1 other
account |
$54.50 million
$46.90 million |
None |
None |
|
|
|
Stephen Kane |
30 RICs
22 PIVs
179 other
accounts |
$90.62 billion
$15.94 billion
$45.75 billion |
3 PIVs
($428.20 M)
9 other
accounts
($4.13 B) |
None |
|
|
|
Bryan Whalen |
29 RICs
34 PIVs
221 other
accounts |
$92.80 billion
$17.99 billion
$60.22 billion |
9 PIVs
($525.30 M)
11 other
accounts
($6.71 B) |
None |
|
|
|
Voya:
David Goodson |
5 RICs
77 PIVs
80 other
accounts |
$11.72 billion
$3.01 billion
$17.51 billion |
None |
None |
Voya |
Voya |
|
Randall Parish |
9 RICs
89 PIVs
67 other
accounts |
$12.45 billion
$3.54 billion
$16.57 billion |
None |
None |
|
|
|
Matthew Toms |
7 RICs
112 PIVs
111 other
accounts |
$14.42 billion
$5.80 billion
$27.37 billion |
1 other
account
($170.00 M) |
None |
|
|
Multisector Bond SMA Completion Portfolio |
Jason Callan |
13 RICs
10 PIVs
14 other
accounts |
$20.66 billion
$24.68 billion
$1.48 billion |
None |
None |
Columbia
Management |
Columbia Management |
Alex Christensen |
6 RICs
2 PIVs
77 other
accounts |
$13.56 billion
$218.51 million
$1.15 billion |
None |
None | |||
Gene Tannuzzo |
7 RICs
2 PIVs
13 other
accounts |
$13.96 billion
$218.51 million
$1.54 billion |
None |
None | |||
Overseas SMA
Completion Portfolio |
Fred Copper |
6 RICs
1 PIV
36 other
accounts |
$8.36 billion
$120.47 million
$764.34 million |
None |
None |
Columbia Management |
Columbia Management |
Paul DiGiacomo(i) |
3 other accounts |
$3.2 million |
None |
None | |||
Daisuke Nomoto |
5 RICs 2 PIVs 33 other accounts |
$7.55 billion $851.39 million $583.88 million |
None |
None |
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
Select Mid Cap
Growth Fund |
Daniel Cole |
3 RICs
1 PIVs
145 other
accounts |
$2.53 billion
$128.02 million
$48.06 million |
None |
$100,001 –
$500,000(a) $100,001 – $500,000(b) |
Columbia
Management |
Columbia Management |
Wayne Collette |
3 RICs
1 PIV
148 Other accounts |
$2.53 billion
$128.02 million
$44.22 million |
None |
$100,001 –
$500,000(a) $100,001 – $500,000(b) | |||
Dana Kelley |
3 RICs
1 PIV
143 Other accounts |
$2.53 billion
$128.02 million
$39.08 million |
None |
$1 –
$10,000(b) | |||
Small Cap Growth Fund |
Daniel Cole |
3 RICs
1 PIVs
145 other
accounts |
$2.24 billion
$128.02 million
$48.06 million |
None |
$500,001 –
$1,000,000(a) $50,001 – $100,000(b) |
Columbia
Management |
Columbia Management |
Wayne Collette |
3 RICs
1 PIV
148 other
accounts |
$2.24 billion
$128.02 million
$44.22 million |
None |
$100,001 –
$500,000(a) $50,001 – $100,000(b) | |||
Dana Kelley |
3 RICs
1 PIV
143 Other accounts |
$2.24 billion
$128.02 million
$39.08 million |
None |
$10,001 –
$50,000(a) $10,001 – $50,000(b) | |||
Strategic Income Fund |
Jason Callan |
13 RICs
10 PIVs
14 other
accounts |
$15.64 billion
$24.68 billion
$1.48 billion |
None |
None |
Columbia
Management |
Columbia Management |
Alex Christensen |
6 RICs
2 PIVs
77 other
accounts |
$8.55 billion
$218.51 million
$1.15 billion |
None |
$50,001 –
$100,000(a) $50,001 – $100,000(b) | |||
Gene Tannuzzo |
7 RICs
2 PIVs
13 other
accounts |
$8.95 billion
$218.51 million
$1.54 billion |
None |
$500,001 –
$1,000,000(a) $500,001 – $1,000,000(b) | |||
For Funds with fiscal year ending October 31 – Information is as of
October 31, 2023, unless otherwise noted | |||||||
Intermediate Duration Municipal Bond Fund |
Paul Fox |
5 RICs
9 other
accounts |
$828.66 million
$15.20 million |
None |
$10,001 –
$50,000(a) $10,001 – $50,000(b) |
Columbia
Management |
Columbia Management |
Douglas Rangel |
8 RICs
5 other
accounts |
$1.71 billion
$69.22 million |
None |
None | |||
MA Intermediate
Municipal Bond
Fund |
Paul Fox |
5 RICs
9 other
accounts |
$2.29 billion
$15.20 million |
None |
$100,001 –
$500,000(a) |
Columbia
Management |
Columbia Management |
Douglas Rangel |
8 RICs
5 other
accounts |
$3.18 billion
$69.22 million |
None |
None | |||
NY
Intermediate Municipal Bond
Fund |
Paul Fox |
5 RICs
9 other
accounts |
$2.28 billion
$15.20 million |
None |
None |
Columbia Management |
Columbia Management |
Douglas Rangel |
8 RICs 5 other accounts |
$3.17 billion $69.22 million |
None |
None |
|
|
Other
Accounts Managed (Excluding the Fund) |
Ownership
of Fund
Shares |
Potential
Conflicts
of Interest |
Structure
of Compensation | ||
Fund |
Portfolio Manager |
Number
and Type
of Account* |
Approximate
Total Net
Assets |
Performance-
Based
Accounts** | |||
Select Global
Equity Fund |
David Dudding |
2 PIVs
18 other
accounts |
$3.64 billion
$3.56 billion |
1 other
account
($1.40 B) |
None(c) |
Columbia
Management |
Threadneedle |
Alex Lee |
2 RICs
2 PIVs
15 other
accounts |
$37.06 million
$2.81 billion
$1.54 billion |
1 other
account
($56.72 M) |
None(c) | |||
Seligman Global
Technology Fund |
Christopher Boova |
2 RICs
6 other
accounts |
$538.53 million
$7.18 million |
None |
None |
Columbia Management |
Columbia Management– Tech Team |
Sanjay Devgan |
3 RICs
4 other
accounts |
$9.64 billion
$5.66 million |
None |
$10,001 –
$50,000(a) |
|
| |
|
Vimal Patel |
3 RICs
8 other
accounts |
$10.03 billion
$5.73 million |
None |
$10,001 –
$50,000(a) |
|
|
|
Shekhar Pramanick |
4 RICs
6 other
accounts |
$10.06 billion
$13.16 million |
None |
None |
|
|
|
Sanjiv Wadhwani |
1 RIC
6 other
accounts |
$123.80 million
$1.99 million |
None |
None |
|
|
|
Paul Wick |
4 RICs
3 PIVs
7 other
accounts |
$10.06 billion
$2.50 billion
$648.90 million |
2 PIVs ($1.77 B) 1 other account ($176.75 M) |
None |
|
|
Strategic CA
Municipal Income
Fund |
Catherine Stienstra |
8 RICs
3 other
accounts |
$5.45 billion
$1.75 million |
None |
None |
Columbia
Management |
Columbia Management |
Douglas White |
5 RICs
6 other
accounts |
$4.57 billion
$7.49 million |
None |
None | |||
Strategic NY
Municipal Income
Fund |
Catherine Stienstra |
8 RICs
3 other
accounts |
$5.67 billion
$1.75 million |
None |
None |
Columbia
Management |
Columbia Management |
Douglas White |
5 RICs
6 other
accounts |
$4.79 billion
$7.49 million |
None |
None | |||
For Funds with fiscal year ending December 31 – Information is as of
December 31, 2023, unless otherwise noted | |||||||
Real
Estate Equity Fund |
Alban Lhonneur |
1 RIC
6 PIVs |
$151.34 million
$2.37 billion |
4 PIVs
($1.90 B) |
None(c) |
Columbia Management |
Thames River Capital |
Daniel Winterbottom |
1 RIC 3 PIVs |
$151.34 million $449.74 million |
2 PIVs ($403.51 M) |
None(c) |
|
Sales Charges Paid to Distributor |
Amount Retained by Distributor
After Paying Commissions | ||||
Fund |
2023 |
2022 |
2021 |
2023 |
2022 |
2021 |
For Funds with fiscal period ending January 31
| ||||||
Capital Allocation Aggressive Portfolio |
$804,542 |
$1,047,300 |
$865,614 |
$123,039 |
$157,908 |
$127,396 |
Capital Allocation Conservative Portfolio |
76,437 |
139,020 |
144,129 |
17,425 |
21,643 |
23,509 |
Capital Allocation Moderate Aggressive Portfolio |
828,772 |
1,194,444 |
1,140,817 |
128,045 |
178,564 |
167,966 |
Capital Allocation Moderate Conservative Portfolio |
152,358 |
230,199 |
262,898 |
26,843 |
36,231 |
39,330 |
Capital Allocation Moderate Portfolio |
635,475 |
1,126,634 |
936,727 |
99,054 |
171,558 |
139,879 |
Income Builder Fund |
431,150 |
1,298,900 |
697,211 |
99,910 |
207,971 |
110,338 |
For Funds with fiscal period ending February
28/29 | ||||||
Convertible Securities Fund |
155,083 |
625,813 |
916,852 |
29,384 |
97,136 |
137,664 |
Global Value Fund |
71,249 |
127,879 |
74,880 |
12,040 |
18,479 |
10,945 |
Large Cap Growth Opportunity Fund |
59,756 |
89,462 |
138,224 |
8,727 |
13,335 |
20,483 |
Overseas Core Fund |
11,814 |
31,357 |
22,417 |
1,786 |
4,572 |
3,037 |
Overseas Value Fund |
87,365 |
179,923 |
120,169 |
14,849 |
27,172 |
18,415 |
Select Large Cap Equity Fund |
61,581 |
106,885 |
89,426 |
9,364 |
18,737 |
12,679 |
Select Mid Cap Value Fund |
296,704 |
336,781 |
116,536 |
44,126 |
50,034 |
17,013 |
Small Cap Value Fund II |
71,146 |
134,728 |
56,209 |
10,495 |
21,991 |
8,139 |
For Funds with fiscal period ending March 31
| ||||||
Select Large Cap Growth Fund |
97,752 |
176,784 |
236,255 |
16,497 |
29,744 |
35,295 |
Short Term Bond Fund |
150,289 |
324,658 |
263,648 |
45,512 |
90,432 |
89,422 |
For Funds with fiscal period ending April 30
| ||||||
Bond Fund |
52,177 |
123,124 |
146,625 |
8,818 |
19,247 |
21,288 |
CA Intermediate Municipal Bond Fund |
8,760 |
21,890 |
12,838 |
1,368 |
3,354 |
1,895 |
Corporate Income Fund |
37,209 |
53,596 |
133,002 |
5,912 |
9,939 |
20,411 |
Short Duration Municipal Bond Fund |
45,620 |
121,479 |
79,742 |
22,938 |
34,373 |
25,078 |
Small Cap Value Fund I |
101,940 |
176,517 |
117,290 |
14,957 |
26,063 |
16,429 |
Total Return Bond Fund |
233,993 |
413,898 |
554,954 |
55,731 |
66,862 |
81,906 |
U.S. Treasury Index Fund |
0 |
2,377 |
4,858 |
0 |
2,377 |
4,858 |
For Funds with fiscal period ending May 31
| ||||||
Adaptive Risk Allocation Fund |
123,327 |
328,356 |
468,295 |
25,413 |
54,990 |
70,960 |
Commodity Strategy Fund |
148,243 |
137,250 |
21,154 |
24,341 |
19,975 |
2,894 |
Dividend Income Fund |
4,324,969 |
4,680,369 |
5,272,863 |
852,960 |
797,392 |
809,764 |
Dividend Opportunity Fund |
778,608 |
617,734 |
484,557 |
120,545 |
92,768 |
78,161 |
Flexible Capital Income Fund |
742,647 |
1,107,048 |
733,893 |
128,885 |
171,267 |
111,732 |
|
Sales Charges Paid to Distributor |
Amount Retained by Distributor
After Paying Commissions | ||||
Fund |
2023 |
2022 |
2021 |
2023 |
2022 |
2021 |
High Yield Bond Fund |
$95,912 |
$183,368 |
$257,470 |
$15,984 |
$36,594 |
$40,845 |
High Yield Municipal Fund |
86,686 |
152,005 |
109,765 |
16,712 |
34,061 |
25,380 |
Large Cap Value Fund |
294,645 |
414,458 |
322,449 |
43,360 |
59,293 |
46,249 |
Mortgage Opportunities Fund |
168,178 |
370,654 |
272,086 |
44,594 |
88,887 |
43,202 |
Multi Strategy Alternatives Fund |
13,516 |
2,303 |
1,445 |
9,091 |
321 |
199 |
Quality Income Fund |
26,265 |
89,126 |
174,283 |
5,988 |
22,191 |
28,462 |
Select Large Cap Value Fund |
392,798 |
433,000 |
206,095 |
81,078 |
68,515 |
30,043 |
Select Small Cap Value Fund |
56,973 |
95,175 |
69,551 |
8,476 |
15,115 |
10,129 |
Seligman Technology and Information Fund |
1,726,555 |
2,552,324 |
2,291,960 |
269,315 |
377,188 |
333,969 |
For Funds with fiscal period ending July 31
| ||||||
Disciplined Core Fund |
463,648 |
633,612 |
638,753 |
67,288 |
93,016 |
92,340 |
Disciplined Growth Fund |
177,019 |
116,270 |
103,678 |
26,239 |
16,817 |
15,443 |
Disciplined Value Fund |
33,527 |
58,131 |
41,448 |
4,889 |
10,702 |
5,976 |
Floating Rate Fund |
159,595 |
289,730 |
113,614 |
39,597 |
49,448 |
18,166 |
Global Opportunities Fund |
44,879 |
90,687 |
109,856 |
6,460 |
14,128 |
14,771 |
Government Money Market Fund |
11,825 |
4,087 |
1,435 |
11,825 |
4,087 |
1,435 |
Income Opportunities Fund |
44,942 |
48,900 |
82,228 |
6,686 |
10,507 |
13,573 |
Large Cap Growth Fund |
465,210 |
868,387 |
722,035 |
69,185 |
133,398 |
105,545 |
Limited Duration Credit Fund |
72,882 |
130,458 |
286,266 |
13,801 |
35,567 |
52,298 |
MN Tax-Exempt Fund |
113,310 |
225,052 |
347,475 |
22,067 |
44,882 |
55,598 |
OR Intermediate Municipal Bond Fund |
16,199 |
47,807 |
46,020 |
2,429 |
13,929 |
3,956 |
Strategic Municipal Income Fund |
209,654 |
399,574 |
612,436 |
55,321 |
92,342 |
115,996 |
Tax-Exempt Fund |
245,582 |
464,113 |
521,730 |
48,821 |
92,300 |
87,993 |
Ultra Short Term Bond Fund |
0 |
0 |
2,080 |
0 |
0 |
2,080 |
For Funds with fiscal period ending August 31
| ||||||
Balanced Fund |
2,634,310 |
4,324,897 |
5,372,688 |
433,368 |
724,607 |
815,927 |
Contrarian Core Fund |
1,009,451 |
1,463,636 |
1,520,330 |
159,535 |
224,384 |
224,239 |
Emerging Markets Bond Fund |
9,912 |
2,547 |
20,722 |
1,308 |
447 |
3,172 |
Emerging Markets Fund |
52,611 |
150,791 |
367,712 |
8,540 |
25,201 |
52,987 |
Global Technology Growth Fund |
759,966 |
899,544 |
1,427,993 |
116,213 |
138,558 |
211,735 |
Greater China Fund |
29,876 |
66,900 |
125,921 |
4,358 |
12,102 |
18,338 |
International Dividend Income Fund |
68,447 |
88,971 |
26,960 |
11,517 |
13,824 |
3,818 |
Select Mid Cap Growth Fund |
90,361 |
193,524 |
224,109 |
13,544 |
27,621 |
31,690 |
Small Cap Growth Fund |
167,467 |
372,618 |
1,204,813 |
26,605 |
74,826 |
174,457 |
Strategic Income Fund |
666,942 |
824,172 |
1,166,660 |
120,771 |
179,755 |
193,452 |
For Funds with fiscal period ending October 31
| ||||||
Intermediate Duration Municipal Bond Fund |
47,929 |
57,173 |
44,360 |
8,188 |
13,159 |
9,599 |
MA Intermediate Municipal Bond Fund |
356 |
5,993 |
9,331 |
123 |
1,608 |
1,700 |
NY Intermediate Municipal Bond Fund |
4,986 |
4,424 |
982 |
867 |
859 |
168 |
Select Global Equity Fund |
126,680 |
251,992 |
442,870 |
19,110 |
39,124 |
64,005 |
Seligman Global Technology Fund |
376,430 |
452,158 |
564,583 |
59,020 |
67,764 |
83,326 |
Strategic CA Municipal Income Fund |
20,112 |
56,403 |
78,665 |
4,900 |
14,779 |
17,700 |
Strategic NY Municipal Income Fund |
11,138 |
5,154 |
24,653 |
2,256 |
1,306 |
4,625 |
For Funds with fiscal period ending December 31
| ||||||
Real Estate Equity Fund |
15,977 |
23,243 |
38,083 |
2,384 |
3,866 |
5,385 |
|
Distribution Fee* |
Service Fee* |
Combined Total* |
Class A |
up to 0.25% |
up to 0.25%(c) |
up to
0.35%(a)(c)(d) |
Class Adv |
None |
None |
None |
Class C |
0.75%(b)(d) |
0.25%(c) |
1.00%(c)(d) |
Class Inst |
None |
None |
None |
Class Inst2 |
None |
None |
None |
Class Inst3 |
None |
None |
None |
Class E |
0.10% |
0.25% |
0.35% |
Class R (series of CFST and CFST I) |
0.50% |
—(e) |
0.50% |
Class R (series of CFST II) |
up to 0.50% |
up to 0.25% |
0.50%(d)(e) |
Class S |
None |
None |
None |
Funds |
Maximum
Class A
Distribution Fee |
Maximum
Class A
Service Fee |
Maximum Class A
Combined Total |
Series of CFST and CFST II (other than
Government Money Market Fund) |
— |
— |
0.25%; these Funds pay a combined distribution and
service fee |
Government Money Market Fund |
— |
— |
0.10% |
Ultra Short Term Bond Fund |
up to 0.15% |
up to 0.15% |
0.15% |
Balanced Fund, Contrarian Core Fund, Dividend Income Fund, Global Technology Growth Fund, Large Cap Growth Fund, OR Intermediate Municipal Bond Fund, Real Estate Equity Fund, Select Mid Cap Growth Fund, Small Cap Growth Fund, Total Return Bond Fund |
up to 0.10% |
up to 0.25% |
up to 0.35%; these Funds may pay
distribution and service fees up to a maximum of 0.35%
of their average daily net assets attributable to
Class A shares (comprised of up to 0.10% for
distribution services and up to 0.25% for shareholder liaison
services) but currently limit such fees to an aggregate
fee of not more than 0.25% for Class A shares |
Funds |
Maximum
Class A
Distribution Fee |
Maximum
Class A
Service Fee |
Maximum Class A
Combined Total |
Adaptive Risk Allocation Fund, Bond Fund,
Corporate Income Fund, Emerging Markets
Fund, Greater China Fund, International
Dividend Income Fund, MA Intermediate
Municipal Bond Fund, Multi Strategy
Alternatives Fund, NY Intermediate Municipal
Bond Fund, Select Large Cap Growth Fund,
Small Cap Value Fund I, Strategic Income
Fund, Strategic NY Municipal Income Fund |
— |
0.25% |
0.25% |
High Yield Municipal Fund, Intermediate
Duration Municipal Bond Fund, Tax-
Exempt Fund, Strategic CA Municipal
Income Fund |
— |
0.20% |
0.20% |
U.S. Treasury Index Fund |
— |
0.15% |
0.15% |
Fund |
Class A |
Class C |
Class R |
For Funds with fiscal period ending January 31
| |||
Capital Allocation Aggressive Portfolio |
$2,691,504 |
$665,411 |
$55,057 |
Capital Allocation Conservative Portfolio |
418,919 |
144,776 |
3,976 |
Capital Allocation Moderate Aggressive Portfolio |
3,666,749 |
841,249 |
84,147 |
Capital Allocation Moderate Conservative Portfolio |
905,113 |
297,224 |
8,024 |
Capital Allocation Moderate Portfolio |
2,754,149 |
789,377 |
21,394 |
Income Builder Fund |
2,069,263 |
1,589,483 |
62,758 |
For Funds with fiscal period ending February 28/29
| |||
Convertible Securities Fund |
857,087 |
576,359 |
5,575 |
Global Value Fund |
1,610,179 |
95,142 |
31,334 |
Large Cap Enhanced Core Fund |
134,794 |
N/A |
226,486 |
Large Cap Growth Opportunity Fund |
2,155,741 |
96,406 |
80,389 |
Large Cap Index Fund |
1,179,300 |
N/A |
N/A |
Mid Cap Index Fund |
1,671,067 |
N/A |
N/A |
Overseas Core Fund |
119,735 |
19,244 |
15 |
Overseas Value Fund |
749,033 |
162,324 |
67,736 |
Select Large Cap Equity Fund |
520,177 |
79,101 |
N/A |
Select Mid Cap Value Fund |
2,597,409 |
109,865 |
124,234 |
Small Cap Index Fund |
2,332,083 |
N/A |
N/A |
Small Cap Value Fund II |
210,455 |
13,524 |
12,191 |
For Funds with fiscal period ending March 31 | |||
Select Large Cap Growth Fund |
388,172 |
237,792 |
36,214 |
Short Term Bond Fund |
546,679 |
96,402 |
5,723 |
For Funds with fiscal period ending April 30 | |||
Bond Fund |
192,059 |
39,787 |
1,454 |
CA Intermediate Municipal Bond Fund |
109,921 |
39,251 |
N/A |
Corporate Income Fund |
240,948 |
22,437 |
N/A |
Short Duration Municipal Bond Fund |
186,732 |
21,047 |
N/A |
Small Cap Value Fund I |
604,962 |
64,836 |
9,621 |
Total Return Bond Fund |
1,531,221 |
147,231 |
28,256 |
U.S. Treasury Index Fund |
90,559 |
13,108 |
N/A |
For Funds with fiscal period ending May 31 | |||
Adaptive Risk Allocation Fund |
419,544 |
777,638 |
4,236 |
Commodity Strategy Fund |
65,939 |
51,861 |
12,022 |
Dividend Income Fund |
10,417,924 |
12,873,885 |
1,057,691 |
Dividend Opportunity Fund |
3,212,006 |
897,614 |
195,560 |
Flexible Capital Income Fund |
900,302 |
2,146,110 |
4,898 |
High Yield Bond Fund |
1,204,318 |
119,621 |
65,514 |
High Yield Municipal Fund |
306,460 |
210,297 |
N/A |
Large Cap Value Fund |
3,943,260 |
109,998 |
15,162 |
Fund |
Class A |
Class C |
Class R |
Mortgage Opportunities Fund |
$917,143 |
$610,999 |
N/A |
Multi Strategy Alternatives Fund |
9,802 |
129,912 |
$34 |
Quality Income Fund |
698,976 |
90,060 |
11,222 |
Select Large Cap Value Fund |
828,781 |
527,104 |
188,596 |
Select Small Cap Value Fund |
820,654 |
33,624 |
8,796 |
Seligman Technology and Information Fund |
14,113,967 |
3,018,228 |
321,630 |
For Funds with fiscal period ending July 31 | |||
Disciplined Core Fund |
8,987,814 |
260,646 |
9,863 |
Disciplined Growth Fund |
297,785 |
86,751 |
2,738 |
Disciplined Value Fund |
130,244 |
82,225 |
5,768 |
Floating Rate Fund |
588,350 |
279,536 |
7,314 |
Global Opportunities Fund |
868,128 |
36,487 |
5,685 |
Government Money Market Fund |
N/A |
N/A |
N/A |
Income Opportunities Fund |
542,452 |
71,180 |
1,872 |
Large Cap Growth Fund(a)
|
5,171,012 |
383,729 |
37,717 |
Limited Duration Credit Fund |
452,081 |
89,204 |
N/A |
MN Tax-Exempt Fund |
796,502 |
345,539 |
N/A |
OR Intermediate Municipal Bond Fund |
78,419 |
20,000 |
N/A |
Strategic Municipal Income Fund |
1,696,676 |
586,689 |
N/A |
Tax-Exempt Fund |
3,607,898 |
224,848 |
N/A |
Ultra Short Term Bond Fund |
750,640 |
N/A |
N/A |
For Funds with fiscal period ending August 31 | |||
Balanced Fund |
7,591,288 |
10,993,529 |
584,270 |
Contrarian Core Fund |
4,177,186 |
3,245,193 |
551,762 |
Emerging Markets Bond Fund |
70,539 |
15,088 |
72,106 |
Emerging Markets Fund |
456,397 |
89,330 |
23,465 |
Global Technology Growth Fund |
1,322,361 |
1,441,809 |
N/A |
Greater China Fund |
100,041 |
13,634 |
N/A |
International Dividend Income Fund |
194,039 |
14,652 |
1,445 |
Select Mid Cap Growth Fund |
1,721,173 |
55,375 |
24,751 |
Small Cap Growth Fund |
842,831 |
268,188 |
35,696 |
Strategic Income Fund |
2,376,973 |
1,861,929 |
66,818 |
For Funds with fiscal period ending October 31
| |||
Intermediate Duration Municipal Bond Fund |
814,154 |
104,801 |
N/A |
MA Intermediate Municipal Bond Fund |
50,130 |
6,277 |
N/A |
NY Intermediate Municipal Bond Fund |
28,885 |
17,805 |
N/A |
Select Global Equity Fund |
1,079,947 |
125,807 |
19,536 |
Seligman Global Technology Fund |
2,601,006 |
655,405 |
721,349 |
Strategic CA Municipal Income Fund |
492,244 |
90,370 |
N/A |
Strategic NY Municipal Income Fund |
208,365 |
48,493 |
N/A |
For Funds with fiscal period ending December 31
| |||
Real Estate Equity Fund |
117,848 |
11,201 |
8,607 |
Fund |
Class C |
Percentage of
Class C net assets |
Capital Allocation Aggressive Portfolio |
$1,904,000 |
3.13% |
Capital Allocation Conservative Portfolio |
310,000 |
3.05% |
Capital Allocation Moderate Portfolio |
1,442,000 |
2.34% |
Commodity Strategy Fund |
42,000 |
1.51% |
Disciplined Core Fund |
1,073,000 |
4.16% |
Disciplined Growth Fund |
47,000 |
0.58% |
Disciplined Value Fund |
57,000 |
0.73% |
Dividend Opportunity Fund |
764,000 |
1.04% |
Emerging Markets Bond Fund |
310,000 |
4.14% |
Flexible Capital Income Fund |
1,085,000 |
0.60% |
Floating Rate Fund |
906,000 |
3.56% |
Global Opportunities Fund |
358,000 |
13.28% |
Global Value Fund |
799,000 |
11.21% |
High Yield Bond Fund |
6,009,000 |
65.24% |
Income Builder Fund |
1,550,000 |
1.47% |
Income Opportunities Fund |
884,000 |
14.67% |
Large Cap Value Fund |
570,000 |
5.62% |
Limited Duration Credit Fund |
446,000 |
5.80% |
MN Tax-Exempt Fund |
441,000 |
1.71% |
Mortgage Opportunities Fund |
280,000 |
0.66% |
Overseas Core Fund |
194,000 |
15.04% |
Quality Income Fund |
387,000 |
8.59% |
Select Global Equity Fund |
1,160,000 |
9.72% |
Select Large Cap Value Fund |
2,401,000 |
5.53% |
Select Small Cap Value Fund |
1,889,000 |
74.03% |
Seligman Global Technology Fund |
3,702,000 |
5.12% |
Seligman Technology and Information Fund |
13,946,000 |
3.96% |
Strategic Municipal Income Fund |
380,000 |
0.82% |
|
Amounts
Reimbursed | ||
|
2023 |
2022 |
2021 |
For Funds with fiscal period ending January 31
| |||
Capital Allocation Aggressive Portfolio |
$0 |
$0 |
$0 |
Capital Allocation Conservative Portfolio |
0 |
0 |
0 |
Capital Allocation Moderate Aggressive Portfolio |
0 |
0 |
0 |
Capital Allocation Moderate Conservative Portfolio |
0 |
0 |
0 |
Capital Allocation Moderate Portfolio |
0 |
0 |
0 |
Income Builder Fund |
0 |
0 |
0 |
For Funds with fiscal period ending February 28/29
| |||
Convertible Securities Fund |
351,608 |
0 |
8,924 |
Global Value Fund |
0 |
0 |
0 |
Large Cap Enhanced Core Fund |
1,536,891 |
1,834,770 |
1,711,083 |
Large Cap Growth Opportunity Fund |
826,452 |
745,606 |
1,049,983 |
Large Cap Index Fund |
47,053 |
100,580 |
81,075 |
Mid Cap Index Fund |
2,930,229 |
3,771,140 |
3,633,370 |
Overseas Core Fund |
520,108 |
469,589 |
535,040 |
Overseas Value Fund |
1,471,774 |
1,611,875 |
1,492,415 |
Select Large Cap Equity Fund |
4,106,053 |
4,584,489 |
3,242,272 |
Select Mid Cap Value Fund |
468,347 |
192,449 |
614,756 |
Small Cap Index Fund |
55,983 |
107,374 |
78,023 |
Small Cap Value Fund II |
655,412 |
588,235 |
567,977 |
For Funds with fiscal period ending March 31 | |||
MM Growth Strategies Fund |
1,366,707 |
759,933 |
3,026,878 |
Select Large Cap Growth Fund |
1,359,968 |
803,047 |
671,919 |
Short Term Bond Fund |
1,280,122 |
1,101,028 |
879,384 |
For Funds with fiscal period ending April 30 | |||
Bond Fund |
1,243,818 |
1,452,619 |
1,175,985 |
CA Intermediate Municipal Bond Fund |
344,007 |
490,887 |
555,285 |
Corporate Income Fund |
874,999 |
710,495 |
657,957 |
MM Directional Alternative Strategies Fund |
688,882 |
478,398 |
467,358 |
Short Duration Municipal Bond Fund |
1,132,996 |
1,159,421 |
1,092,263 |
|
Amounts
Reimbursed | ||
|
2023 |
2022 |
2021 |
Small Cap Value Fund I |
$0 |
$0 |
$140,670 |
Total Return Bond Fund |
3,917,486 |
4,125,761 |
3,190,003 |
U.S. Treasury Index Fund |
2,656,199 |
3,466,656 |
2,758,251 |
For Funds with fiscal period ending May 31 | |||
Adaptive Risk Allocation Fund |
0 |
0 |
0 |
Commodity Strategy Fund |
0 |
0 |
0 |
Dividend Income Fund |
0 |
0 |
0 |
Dividend Opportunity Fund |
0 |
0 |
0 |
Flexible Capital Income Fund |
0 |
0 |
0 |
High Yield Bond Fund |
573,353 |
419,330 |
433,824 |
High Yield Municipal Fund |
233,788 |
130,076 |
138,447 |
Large Cap Value Fund |
0 |
0 |
0 |
MM Value Strategies Fund |
0 |
0 |
0 |
Mortgage Opportunities Fund |
167,103 |
0 |
266,697 |
Multi Strategy Alternatives Fund |
1,037,096 |
982,907 |
977,377 |
Quality Income Fund |
150,409 |
0 |
97,217 |
Select Large Cap Value Fund |
6,557,512 |
5,782,175 |
3,910,918 |
Select Small Cap Value Fund |
130,337 |
89,354 |
192,873 |
Seligman Technology and Information Fund |
0 |
0 |
0 |
For Funds with fiscal period ending July 31 | |||
Disciplined Core Fund |
0 |
0 |
0 |
Disciplined Growth Fund |
277,568 |
260,001 |
214,530 |
Disciplined Value Fund |
384,959 |
405,628 |
660,054 |
Floating Rate Fund |
316,516 |
192,057 |
278,195 |
Global Opportunities Fund |
0 |
0 |
0 |
Government Money Market Fund |
1,458,051 |
1,077,766 |
1,032,646 |
Income Opportunities Fund |
817,406 |
860,108 |
1,640,695 |
Large Cap Growth Fund |
645 |
0 |
1,856 |
Limited Duration Credit Fund |
537,840 |
484,805 |
459,478 |
MN Tax-Exempt Fund |
0 |
0 |
0 |
OR Intermediate Municipal Bond Fund |
114,035 |
100,467 |
102,334 |
Strategic Municipal Income Fund |
525,033 |
93,838 |
0 |
Tax-Exempt Fund |
0 |
0 |
0 |
Ultra Short Term Bond Fund |
24,972 |
0 |
0 |
For Funds with fiscal period ending August 31 | |||
Balanced Fund |
0 |
0 |
0 |
Contrarian Core Fund |
2,371,756 |
0 |
0 |
Emerging Markets Bond Fund |
551 |
0 |
0 |
Emerging Markets Fund |
788,253 |
0 |
0 |
Global Technology Growth Fund |
0 |
0 |
0 |
Greater China Fund |
61,577 |
0 |
0 |
International Dividend Income Fund |
294,206 |
338,460 |
388,933 |
MM Alternative Strategies Fund |
0 |
0 |
0 |
|
Amounts
Reimbursed | ||
|
2023 |
2022 |
2021 |
MM International Equity Strategies Fund |
$77,584 |
$0 |
$117,006 |
MM Small Cap Equity Strategies Fund |
2,517,366 |
2,484,999 |
1,833,590 |
MM Total Return Bond Strategies Fund |
1,056,414 |
884,933 |
1,048,112 |
Multisector Bond SMA Completion Portfolio |
135,787 |
138,937 |
130,085 |
Overseas SMA Completion Portfolio |
117,546 |
115,169 |
111,953 |
Select Mid Cap Growth Fund |
0 |
0 |
0 |
Small Cap Growth Fund |
1,883 |
0 |
0 |
Strategic Income Fund |
0 |
0 |
0 |
For Funds with fiscal period ending October 31
| |||
Intermediate Duration Municipal Bond Fund |
3,669,271 |
4,100,146 |
1,456,804 |
MA Intermediate Municipal Bond Fund |
160,053 |
187,718 |
209,244 |
NY Intermediate Municipal Bond Fund |
223,954 |
287,972 |
331,343 |
Select Global Equity Fund |
138,467 |
0 |
0 |
Seligman Global Technology Fund |
0 |
0 |
0 |
Strategic CA Municipal Income Fund |
144,008 |
123,941 |
103,310 |
Strategic NY Municipal Income Fund |
136,446 |
148,483 |
140,543 |
For Funds with fiscal period ending December 31
| |||
Real Estate Equity Fund |
108,063 |
24,824 |
22,960 |
|
Fees
Waived | ||
|
2023 |
2022 |
2021 |
For Funds with fiscal period ending February 28/29
| |||
Convertible Securities Fund |
$10,911 |
$45,650 |
$29,641 |
Large Cap Enhanced Core Fund |
13,589 |
9,423 |
0 |
Overseas Core Fund |
14 |
32 |
0 |
Overseas Value Fund |
0 |
0 |
24,866 |
Select Mid Cap Value Fund |
51,510 |
42,303 |
26,468 |
Small Cap Value Fund II |
0 |
17,959 |
47,405 |
For Funds with fiscal period ending March 31 | |||
MM Growth Strategies Fund |
0 |
1 |
0 |
Select Large Cap Growth Fund |
9,418 |
26,233 |
27,079 |
Short Term Bond Fund |
36,374 |
24,056 |
34,951 |
For Funds with fiscal period ending April 30 | |||
Bond Fund |
47,300 |
32,638 |
9,329 |
Corporate Income Fund |
52,724 |
37,596 |
11,053 |
Short Duration Municipal Bond Fund |
21,068 |
25,202 |
38,433 |
Total Return Bond Fund |
32,956 |
38,702 |
22,799 |
U.S. Treasury Index Fund |
0 |
18,846 |
72,090 |
For Funds with fiscal period ending May 31 | |||
Dividend Opportunity Fund |
9,632 |
29,590 |
25,319 |
High Yield Bond Fund |
13,204 |
27,101 |
0 |
|
Fees
Waived | ||
|
2023 |
2022 |
2021 |
High Yield Municipal Fund |
$0 |
$19,939 |
$56,598 |
Quality Income Fund |
573 |
1,777 |
2,454 |
Select Large Cap Value Fund |
5,887 |
8,408 |
0 |
Seligman Technology and Information Fund |
63,070 |
0 |
0 |
For Funds with fiscal period ending July 31 | |||
Disciplined Value Fund |
177 |
607 |
0 |
Floating Rate Fund |
4,007 |
9,567 |
0 |
Government Money Market Fund |
0 |
1,185,640 |
1,965,110 |
Income Opportunities Fund |
6,425 |
12,529 |
0 |
Large Cap Growth Fund |
13,540 |
0 |
0 |
OR Intermediate Municipal Bond Fund |
0 |
4,698 |
17,051 |
Strategic Municipal Income Fund |
0 |
29,198 |
58,684 |
Tax-Exempt Fund |
2,077 |
22,518 |
73,139 |
For Funds with fiscal period ending August 31 | |||
Emerging Markets Bond Fund |
1673 |
3,246 |
0 |
Emerging Markets Fund |
5,622 |
0 |
13,635 |
Greater China Fund |
2,227 |
1,929 |
0 |
For Funds with fiscal period ending October 31
| |||
Intermediate Duration Municipal Bond Fund |
0 |
0 |
8,005 |
MA Intermediate Municipal Bond Fund |
0 |
1,661 |
6,346 |
NY Intermediate Municipal Bond Fund |
0 |
4,031 |
15,236 |
Seligman Global Technology Fund |
13,812 |
4,139 |
0 |
Strategic CA Municipal Income Fund |
0 |
77,375 |
236,843 |
Strategic NY Municipal Income Fund |
0 |
12,043 |
40,915 |
Name, address, year of birth |
Position held with
Subsidiary
and length of service |
Principal occupation during past five years |
Brian M. Engelking 807 Ameriprise
Financial Center Minneapolis,
MN 55474-2405 Born 1979 |
Director since March 2020 |
Global Lead Financial Officer – Columbia Threadneedle
Investments at Ameriprise Financial, Inc. since June 2020.
Previously, Vice President – Finance, Ameriprise Financial, Inc. and
served in various finance leadership roles with Ameriprise
Financial, Inc. since 2000. |
Christopher O. Petersen 5228 Ameriprise
Financial Center Minneapolis,
MN 55474-2405 Born 1970 |
Director since
January 2015 |
See Fund Governance – The Officers –
Fund Officers. |
Subsidiary |
Assets
(millions) |
Annual rate at each asset level(a) |
ASGM Offshore Fund, Ltd. |
$0 - $500 |
1.100% |
ASMF Offshore Fund, Ltd. |
˃$500 - $1,000 |
1.050% |
(Subsidiaries of MM Alternative Strategies
Fund)(a) |
˃$1,000 - $3,000 |
1.020% |
|
˃$3,000 - $6,000 |
0.990% |
|
˃$6,000 - $12,000 |
0.960% |
|
˃$12,000 |
0.950% |
CCSF Offshore Fund, Ltd. |
$0 - $500 |
0.630% |
(Subsidiary of Commodity Strategy Fund)(a)
|
˃$500 - $1,000 |
0.580% |
|
˃$1,000 - $3,000 |
0.550% |
|
˃$3,000 - $6,000 |
0.520% |
|
˃$6,000 - $12,000 |
0.500% |
|
˃$12,000 |
0.490% |
CMSAF1 Offshore Fund, Ltd. |
$0 - $500 |
0.960% |
CMSAF2 Offshore Fund, Ltd. |
˃$500 - $1,000 |
0.955% |
CMSAF3 Offshore Fund, Ltd. |
˃$1,000 - $3,000 |
0.950% |
(Subsidiaries of Multi Strategy Alternatives
Fund)(a) |
˃$3,000 - $12,000 |
0.940% |
|
˃$12,000 |
0.930% |
Name, Address, Year of Birth |
Position Held
with the
Columbia Funds
and Length of
Service |
Principal Occupation(s)
During the Past Five Years and
Other Relevant
Professional Experience |
Number of Funds in the Columbia Funds Complex* Overseen |
Other Directorships
Held by Trustee During
the Past Five Years and
Other Relevant Board
Experience |
Committee Assignments |
George S. Batejan c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1954 |
Trustee since 2017 |
Executive Vice President, Global Head of Technology and Operations, Janus Capital Group, Inc., 2010-2016 |
161 |
Former Chairman of the Board, NICSA (National Investment Company Services Association) (Executive Committee, Nominating Committee and Governance Committee), 2014- 2016; former Director, Intech Investment Management, 2011- 2016; former Board Member, Metro Denver Chamber of Commerce, 2015-2016; former Advisory Board Member, University of Colorado Business School, 2015-2018; former Board Member, Chase Bank International, 1993- 1994 |
Compliance,
Contracts, Investment
Review Committee |
Name, Address, Year of Birth |
Position Held
with the
Columbia Funds
and Length of
Service |
Principal Occupation(s)
During the Past Five Years and
Other Relevant
Professional Experience |
Number
of Funds
in the
Columbia
Funds
Complex*
Overseen |
Other Directorships
Held by Trustee During
the Past Five Years and
Other Relevant Board
Experience |
Committee Assignments |
Kathleen Blatz c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1954 |
Trustee since
2006 |
Attorney, specializing in
arbitration and mediation;
Trustee of Gerald Rauenhorst
1982 Trusts, since 2020;
Chief Justice, Minnesota
Supreme Court, 1998-2006;
Associate Justice, Minnesota
Supreme Court, 1996-1998;
Fourth Judicial District Court
Judge, Hennepin County, 1994-
1996; Attorney in private
practice and public service,
1984-1993; State
Representative, Minnesota
House of Representatives,
1979-1993, which included
service on the Tax and
Financial Institutions and
Insurance Committees;
Member and Interim Chair,
Minnesota Sports Facilities
Authority, January-July 2017;
Interim President and Chief
Executive Officer, Blue Cross
Blue Shield of Minnesota
(health care insurance),
February-July 2018, April-
October 2021 |
161 |
Former Trustee, Blue
Cross and Blue Shield
of Minnesota, 2009-
2021 (Chair of the
Business Development
Committee, 2014-
2017; Chair of the
Governance Committee,
2017-2019); former
Member and Chair of
the Board, Minnesota
Sports Facilities
Authority, January 2017-
July 2017; former
Director, Robina
Foundation, 2009-2020
(Chair, 2014-2020);
Director, Richard M.
Schulze Family
Foundation, since 2021 |
Compliance, Contracts,
Investment Review
Committee |
Pamela G. Carlton c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1954 |
Chair since
2023; Trustee
since 2007 |
President, Springboard-
Partners in Cross Cultural
Leadership (consulting
company), since 2003;
Managing Director of US Equity
Research, JP Morgan Chase,
1999-2003; Director of US
Equity Research, Chase Asset
Management, 1996- 1999;
Co-Director Latin America
Research, 1993-1996, COO
Global Research, 1992-1996,
Co-Director of US Research,
1991-1992, Investment
Banker, 1982-1991, Morgan
Stanley; Attorney, Cleary
Gottlieb Steen & Hamilton LLP,
1980-1982 |
161 |
Trustee, New York
Presbyterian Hospital
Board, since 1996;
Director, DR Bank (Audit
Committee, since 2017
and Audit Committee
Chair since November
2023); Director,
Evercore Inc. (Audit
Committee, Nominating
and Governance
Committee) (financial
services company),
since 2019; Director,
Apollo Commercial Real
Estate Finance, Inc.
(Chair, Nominating and
Governance
Committee), since
2021; the Governing
Council of the
Independent Directors
Council (IDC), since
2021 |
Contracts,
Board Governance,
Investment Review
Committee |
Janet Langford Carrig c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1957 |
Trustee since 1996 |
Senior Vice President, General Counsel and Corporate Secretary, ConocoPhillips (independent energy company), September 2007-October 2018 |
161 |
Director, EQT Corporation (natural gas producer), since 2019; former Director, Whiting Petroleum Corporation (independent oil and gas company), 2020- 2022 |
Contracts,
Board Governance,
Investment Review
Committee |
Name, Address, Year of Birth |
Position Held
with the
Columbia Funds
and Length of
Service |
Principal Occupation(s)
During the Past Five Years and
Other Relevant
Professional Experience |
Number
of Funds
in the
Columbia
Funds
Complex*
Overseen |
Other Directorships
Held by Trustee During
the Past Five Years and
Other Relevant Board
Experience |
Committee Assignments |
J. Kevin Connaughton c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1964 |
Trustee since
2020 |
CEO and President, RhodeWay
Financial (non-profit financial
planning firm), since December
2022; Member, FINRA National
Adjudicatory Council, January
2020-December 2023; Adjunct
Professor of Finance, Bentley
University, January 2018-April
2023; Consultant to
Independent Trustees of CFVIT
and CFST I from March 2016
to June 2020 with respect to
CFVIT and to December 2020
with respect to CFST I;
Managing Director and General
Manager of Mutual Fund
Products, Columbia
Management Investment
Advisers, LLC, May 2010-
February 2015; President,
Columbia Funds, 2008-2015;
and senior officer of Columbia
Funds and affiliated funds,
2003-2015 |
159 |
Former Director, The
Autism Project, March
2015-December 2021;
former Member of the
Investment Committee,
St. Michael’s College,
November 2015-
February 2020; former
Trustee, St. Michael’s
College, June 2017-
September 2019;
former Trustee, New
Century Portfolios
(former mutual fund
complex), January
2015-December 2017 |
Audit, Contracts,
Investment Review
Committee |
Olive M. Darragh c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1962 |
Trustee since
2020 |
Managing Director of Darragh
Inc. (strategy and talent
management consulting firm),
since 2010; Founder and CEO,
Zolio, Inc. (investment
management talent
identification platform), since
2004; Consultant to
Independent Trustees of CFVIT
and CFST I from June 2019 to
June 2020 with respect to
CFVIT and to December 2020
with respect to CFST I; Partner,
Tudor Investments, 2004-
2010; Senior Partner,
McKinsey & Company
(consulting), 1990-2004;
Touche Ross CPA, 1985-1988 |
159 |
Treasurer, Edinburgh
University US Trust
Board, since January
2023; Member, HBS
Community Action
Partners Board, since
September 2022;
former Director,
University of Edinburgh
Business School
(Member of US Board),
2004-2019; former
Director, Boston Public
Library Foundation,
2008-2017 |
Contracts,
Investment Review
Committee |
Patricia M. Flynn c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1950 |
Trustee since 2004 |
Professor Emeritus of Economics and Management, Bentley University, since 2023; Professor of Economics and Management, Bentley University, 1976-2023; Dean, McCallum Graduate School of Business, Bentley University, 1992-2002 |
161 |
Former Trustee, MA Taxpayers Foundation, 1997-2022; former Director, The MA Business Roundtable, 2003-2019; former Chairperson, Innovation Index Advisory Committee, MA Technology Collaborative, 1997- 2020 |
Audit,
Contracts, Investment
Review Committee |
Name, Address, Year of Birth |
Position Held
with the
Columbia Funds
and Length of
Service |
Principal Occupation(s)
During the Past Five Years and
Other Relevant
Professional Experience |
Number
of Funds
in the
Columbia
Funds
Complex*
Overseen |
Other Directorships
Held by Trustee During
the Past Five Years and
Other Relevant Board
Experience |
Committee Assignments |
Brian J. Gallagher c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1954 |
Trustee since
2017 |
Retired; Partner with Deloitte &
Touche LLP and its
predecessors, 1977-2016 |
161 |
Trustee, Catholic
Schools Foundation,
since 2004 |
Audit, Contracts,
Investment Review
Committee |
Douglas A. Hacker c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1955 |
Trustee since
1996 |
Independent business
executive, since May 2006;
Executive Vice President –
Strategy of United Airlines,
December 2002-May 2006;
President of UAL Loyalty
Services (airline marketing
company), September 2001-
December 2002; Executive
Vice President and Chief
Financial Officer of United
Airlines, July 1999-September
2001 |
161 |
Director, SpartanNash
Company (food
distributor), since
November 2013 (Chair
of the Board since May
2021); Director,
Aircastle Limited
(aircraft leasing), since
August 2006 (Chair of
Audit Committee);
former Director, Nash
Finch Company (food
distributor), 2005-2013;
former Director,
SeaCube Container
Leasing Ltd. (container
leasing), 2010-2013;
and former Director,
Travelport Worldwide
Limited (travel
information technology),
2014-2019 |
Audit,
Contracts, Board
Governance, Investment
Review Committee |
Nancy T. Lukitsh c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1956 |
Trustee since 2011 |
Senior Vice President, Partner and Director of Marketing, Wellington Management Company, LLP (investment adviser), 1997-2010; Chair, Wellington Management Portfolios (commingled non- U.S. investment pools), 2007 -2010; Director, Wellington Trust Company, NA and other Wellington affiliates, 1997- 2010 |
159 |
None |
Compliance,
Contracts, Board
Governance, Investment
Review Committee |
Name, Address, Year of Birth |
Position Held
with the
Columbia Funds
and Length of
Service |
Principal Occupation(s)
During the Past Five Years and
Other Relevant
Professional Experience |
Number
of Funds
in the
Columbia
Funds
Complex*
Overseen |
Other Directorships
Held by Trustee During
the Past Five Years and
Other Relevant Board
Experience |
Committee Assignments |
David M. Moffett c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1952 |
Trustee since
2011 |
Retired; former Chief Executive
Officer of Freddie Mac and
Chief Financial Officer of U.S.
Bank |
161 |
Director, CSX
Corporation
(transportation
suppliers); Director,
PayPal Holdings Inc.
(payment and data
processing services);
former Director, eBay
Inc. (online trading
community), 2007-
2015; and former
Director, CIT Bank, CIT
Group Inc. (commercial
and consumer finance),
2010-2016; former
Senior Adviser to The
Carlyle Group (financial
services), March 2008-
September 2008;
former Governance
Consultant to
Bridgewater Associates
(investment company),
January 2013-
December 2015 |
Audit, Contracts,
Investment Review
Committee |
Catherine James Paglia c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1952 |
Trustee since 2004 |
Director, Enterprise Asset Management, Inc. (private real estate and asset management company), since September 1998; Managing Director and Partner, Interlaken Capital, Inc., 1989-1997; Vice President, 1982-1985, Principal, 1985-1987, Managing Director, 1987- 1989, Morgan Stanley; Vice President, Investment Banking, 1980-1982, Associate, Investment Banking, 1976- 1980, Dean Witter Reynolds, Inc. |
161 |
Director, Valmont Industries, Inc. (irrigation systems manufacturer), since 2012; Trustee, Carleton College (on the Investment Committee), since 1987; Trustee, Carnegie Endowment for International Peace (on the Investment Committee), since 2009 |
Compliance,
Contracts, Board
Governance, Investment
Review Committee |
Name, Address, Year of Birth |
Position Held
with the
Columbia Funds
and Length of
Service |
Principal Occupation(s)
During the Past Five Years and
Other Relevant
Professional Experience |
Number
of Funds
in the
Columbia
Funds
Complex*
Overseen |
Other Directorships
Held by Trustee During
the Past Five Years and
Other Relevant Board
Experience |
Committee Assignments |
Natalie A. Trunow c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1967 |
Trustee since
2020 |
Chief Executive Officer,
Millennial Portfolio Solutions
LLC (asset management and
consulting services) January
2016-January 2021; Non-
executive Member of the
Investment Committee and
Valuation Committee, Sarona
Asset Management Inc.
(private equity firm) since
September 2019; Advisor,
Horizon Investments (asset
management and consulting
services), August 2018-
January 2022; Advisor,
Paradigm Asset Management,
November 2016-January 2022;
Consultant to Independent
Trustees of CFVIT and CFST I
from September 2016 to June
2020 with respect to CFVIT
and to December 2020 with
respect to CFST I; Director of
Investments/Consultant,
Casey Family Programs, April
2016-November 2016; Senior
Vice President and Chief
Investment Officer, Calvert
Investments, August 2008-
January 2016; Section Head
and Portfolio Manager, General
Motors Asset Management,
June 1997-August 2008 |
159 |
Independent Director,
(Investment
Committee), Health
Services for Children
with Special Needs,
Inc., 2010-2021;
Independent Director,
(Executive Committee
and Chair, Audit
Committee), Consumer
Credit Counseling
Services (formerly
Guidewell Financial
Solutions), since 2016;
Independent Director
(Investment
Committee), Sarona
Asset Management,
since 2019 |
Compliance, Contracts,
Investment Review
Committee |
Sandra L. Yeager c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1964 |
Trustee since 2017 |
Retired; President and founder, Hanoverian Capital, LLC (SEC registered investment advisor firm), 2008-2016; Managing Director, DuPont Capital, 2006- 2008; Managing Director, Morgan Stanley Investment Management, 2004-2006; Senior Vice President, Alliance Bernstein, 1990-2004 |
161 |
Former Director, NAPE (National Alliance for Partnerships in Equity) Education Foundation, October 2016-October 2020; Advisory Board, Jennersville YMCA, June 2022-June 2023 |
Audit,
Contracts, Investment
Review Committee |
Name, Address, Year of Birth |
Position Held
with the
Columbia Funds
and Length of
Service |
Principal Occupation(s)
During the Past Five Years
and Other Relevant
Professional Experience |
Number of
Funds in the
Columbia Funds
Complex*
Overseen |
Other Directorships Held
by Trustee During the Past
Five Years and Other
Relevant Board
Experience |
Committee Assignments |
Daniel J. Beckman c/o Columbia Management Investment Advisers, LLC 290 Congress Street Boston, MA 02210
1962 |
Trustee since November 2021 and President since June 2021 |
President and Principal Executive Officer of the Columbia Funds, since June 2021; Vice President, Columbia Management Investment Advisers, LLC, since April 2015; formerly, Vice President – Head of North America Product, Columbia Management Investment Advisers, LLC, April 2015 – December 2023; President and Principal Executive Officer, Columbia Acorn/Wanger Funds, since July 2021 |
161 |
Director, Ameriprise Trust Company, since October 2016; Director, Columbia Management Investment Distributors, Inc., since November 2018; Board of Governors, Columbia Wanger Asset Management, LLC, since January 2022 |
None |
Name, Address
and Year of Birth |
Position and Year
First Appointed to
Position for any Fund in the Columbia Funds Complex or a Predecessor Thereof |
Principal Occupation(s) During Past Five Years |
Michael G. Clarke 290 Congress Street Boston, MA 02210 1969 |
Chief Financial Officer
and Principal Financial
Officer (2009); Senior
Vice President (2019)
and Treasurer and Chief
Accounting Officer
(Principal Accounting
Officer) (2024) for CFST,
CFST I, CFST II, CFVIT and
CFVST II |
Senior Vice President and North America Head of Operations &
Investor Services, Columbia Management Investment Advisers,
LLC, since June 2023 (previously Senior Vice President and Head
of Global Operations & Investor Services, March 2022 - June
2023, Vice President, Head of North America Operations, and Co-
Head of Global Operations, June 2019 - February 2022 and Vice
President – Accounting and Tax, May 2010 - May 2019); senior
officer of Columbia Funds and affiliated funds, since 2002.
Director, Ameriprise Trust Company, since June 2023. |
Marybeth Pilat
290 Congress Street Boston, MA 02210
1968 |
Treasurer and Chief Accounting Officer (Principal Accounting Officer) and Principal Financial Officer (2020) for CET I and CET II; Assistant Treasurer, CFST, CFST I, CFST II, CFVIT and CFVST II |
Vice President – Product Pricing and Administration, Columbia Management Investment Advisers, LLC, since May 2017. |
Name, Address and Year of Birth |
Position and Year
First Appointed to
Position for any Fund in the
Columbia Funds Complex
or a Predecessor Thereof |
Principal Occupation(s) During Past Five Years |
William F. Truscott 290 Congress Street Boston, MA 02210 1960 |
Senior Vice President
(2001) |
Formerly, Trustee/Director of Columbia Funds Complex or legacy
funds, November 2001 - January 1, 2021; Chief Executive Officer,
Global Asset Management, Ameriprise Financial, Inc., since
September 2012; Chairman of the Board and President, Columbia
Management Investment Advisers, LLC, since July 2004 and
February 2012, respectively; Chairman of the Board and Chief
Executive Officer, Columbia Management Investment Distributors,
Inc., since November 2008 and February 2012, respectively;
Chairman of the Board and Director, TAM UK International
Holdings Limited, since July 2021; formerly Chairman of the Board
and Director, Threadneedle Asset Management Holdings, Sàrl,
March 2013 – December 2022 and December 2008 – December
2022, respectively; senior executive of various entities affiliated
with Columbia Threadneedle Investments. |
Christopher O. Petersen 5228 Ameriprise Financial Center Minneapolis, MN 55474
1970 |
Senior Vice President and
Assistant Secretary
(2021) |
Formerly, Trustee/Director of funds within the Columbia Funds Complex, July 1, 2020 - November 22, 2021; Senior Vice President and Assistant General Counsel, Ameriprise Financial, Inc., since September 2021 (previously Vice President and Lead Chief Counsel, January 2015 - September 2021); formerly, President and Principal Executive Officer of the Columbia Funds, 2015 - 2021; officer of Columbia Funds and affiliated funds, since 2007. |
Thomas P. McGuire 290 Congress Street Boston, MA 02210 1972 |
Senior Vice President and
Chief Compliance Officer
(2012) |
Vice President – Asset Management Compliance, Ameriprise
Financial, Inc., since May 2010; Chief Compliance Officer,
Columbia Acorn/Wanger Funds, since December 2015; formerly,
Chief Compliance Officer, Ameriprise Certificate Company,
September 2010 - September 2020. |
Ryan C. Larrenaga 290 Congress Street Boston, MA 02210 1970 |
Senior Vice President
(2017), Chief Legal
Officer (2017) and
Secretary (2015) |
Vice President and Chief Counsel, Ameriprise Financial, Inc. since August 2018 (previously Vice President and Group Counsel, August 2011 - August 2018); Chief Legal Officer, Columbia Acorn/Wanger Funds, since September 2020; officer of Columbia Funds and affiliated funds since 2005. |
Michael E. DeFao 290 Congress Street Boston, MA 02210 1968 |
Vice President (2011)
and Assistant Secretary
(2010) |
Vice President and Chief Counsel, Ameriprise Financial, Inc., since
May 2010; Vice President, Chief Legal Officer and Assistant
Secretary, Columbia Management Investment Advisers, LLC, since
October 2021 (previously Vice President and Assistant Secretary,
May 2010 - September 2021). |
Lyn Kephart-Strong 5903 Ameriprise
Financial Center Minneapolis, MN 55474 1960 |
Vice President (2015) |
Vice President, Global Investment Operations Services, Columbia Management Investment Advisers, LLC, since 2010; Director (since January 2007) and President (since October 2014), Columbia Management Investment Services Corp.; Director (since December 2017) and President (since January 2017), Ameriprise Trust Company. |
Fiscal Period |
Audit
Committee |
Compliance
Committee |
Contracts
Committee |
Board Governance
Committee |
Investment
Review Committee |
For the fiscal year ending January 31, 2023 |
5 |
4 |
6 |
6 |
4 |
For the fiscal year ending February 28, 2023 |
5 |
4 |
6 |
7 |
4 |
For the fiscal year ending March 31, 2023 |
4 |
4 |
6 |
7 |
5 |
For the fiscal year ending April 30, 2023 |
4 |
4 |
6 |
7 |
5 |
For the fiscal year ending May 31, 2023 |
4 |
4 |
6 |
6 |
5 |
For the fiscal year ending July 31, 2023 |
5 |
5 |
6 |
6 |
5 |
For the fiscal year ending August 31, 2023 |
5 |
5 |
5 |
6 |
5 |
For the fiscal year ending October 31, 2023 |
5 |
4 |
5 |
6 |
5 |
For the fiscal year ending December 31, 2023 |
5 |
5 |
5 |
5 |
5 |
|
Batejan |
Blatz |
Carlton |
Carrig |
Connaughton |
Darragh |
Flynn |
Adaptive Risk Allocation Fund |
A |
A |
A |
A |
C |
A |
A |
Balanced Fund |
A |
A |
A |
E(a) |
C |
A |
A |
Bond Fund |
A |
A |
A |
A |
C |
A |
A |
CA Intermediate Municipal Bond Fund |
A |
A |
A |
A |
A |
A |
A |
Capital Allocation Aggressive Portfolio |
A |
A |
A |
A |
A |
A |
A |
Capital Allocation Conservative Portfolio |
A |
A |
A |
A |
A |
A |
A |
Capital Allocation Moderate Aggressive Portfolio |
A |
A |
A |
A |
A |
A |
A |
Capital Allocation Moderate Conservative Portfolio |
A |
A |
A |
A |
A |
A |
A |
Capital Allocation Moderate Portfolio |
A |
A |
A |
A |
A |
A |
A |
Commodity Strategy Fund |
A |
A |
A |
A |
A |
A |
A |
Contrarian Core Fund |
A |
A |
A |
E(a) |
C |
A |
A |
Convertible Securities Fund |
A |
A |
A |
A |
C |
D(a) |
A |
Corporate Income Fund |
A |
A |
A |
D(a) |
A |
E(a) |
A |
Disciplined Core Fund |
A |
A |
A |
A |
A |
A |
A |
Disciplined Growth Fund |
A |
A |
A |
A |
A |
A |
A |
Disciplined Value Fund |
A |
A |
A |
A |
A |
A |
A |
Dividend Income Fund |
A |
A |
A |
E(a) |
C |
E |
E(a) |
Dividend Opportunity Fund |
E |
E |
A |
E(a) |
A |
A |
E(a) |
Emerging Markets Bond Fund |
A |
A |
A |
A |
A |
A |
A |
Emerging Markets Fund |
A |
E |
A |
A |
A |
A |
A |
Flexible Capital Income Fund |
A |
A |
A |
A |
A |
A |
A |
Floating Rate Fund |
A |
A |
E(a) |
A |
A |
A |
A |
Global Opportunities Fund |
A |
A |
A |
A |
A |
A |
C |
Global Technology Growth Fund |
A |
A |
A |
A |
A |
E |
A |
Global Value Fund |
A |
C |
A |
A |
A |
A |
A |
Government Money Market Fund |
B(a) |
A |
E(a) |
B(a) |
A |
B(a) |
E(a) |
Greater China Fund |
A |
A |
A |
A |
A |
A |
A |
High Yield Bond Fund |
A |
A |
A |
A |
A |
D(a) |
A |
High Yield Municipal Fund |
A |
A |
A |
A |
A |
A |
A |
Income Builder Fund |
A |
A |
A |
A |
A |
A |
A |
Income Opportunities Fund |
A |
A |
A |
A |
A |
A |
A |
Intermediate Duration Municipal Bond Fund |
A |
A |
A |
A |
A |
A |
A |
International Dividend Income Fund |
A |
A |
A |
A |
A |
A |
A |
Large Cap Enhanced Core Fund |
A |
A |
A |
A |
A |
A |
A |
Large Cap Growth Fund |
A |
A |
A |
E |
C |
A |
A |
Large Cap Growth Opportunity Fund |
A |
A |
A |
A |
A |
A |
A |
|
Batejan |
Blatz |
Carlton |
Carrig |
Connaughton |
Darragh |
Flynn |
Large Cap Index Fund |
A |
A |
A |
A |
A |
A |
A |
Large Cap Value Fund |
D |
A |
A |
A |
A |
A |
A |
Limited Duration Credit Fund |
A |
A |
A |
A |
A |
A |
A |
MA Intermediate Municipal Bond Fund |
A |
A |
A |
A |
A |
A |
A |
Mid Cap Index Fund |
A |
A |
A |
A |
A |
A |
A |
MM Alternative Strategies Fund |
A |
A |
A |
A |
A |
A |
A |
MM Directional Alternative Strategies Fund |
A |
A |
A |
A |
A |
A |
A |
MM Growth Strategies Fund |
A |
A |
A |
A |
A |
A |
A |
MM International Equity Strategies Fund |
A |
A |
A |
A |
A |
A |
A |
MM Small Cap Equity Strategies Fund |
A |
A |
A |
A |
A |
A |
A |
MM Total Return Bond Strategies Fund |
A |
A |
E(a) |
A |
A |
A |
A |
MM Value Strategies Fund |
A |
A |
A |
A |
A |
A |
A |
MN Tax-Exempt Fund |
A |
A |
A |
A |
A |
A |
A |
Mortgage Opportunities Fund |
A |
A |
A |
A |
A |
A |
A |
Multisector Bond SMA Completion Portfolio |
A |
A |
A |
A |
A |
A |
A |
Multi Strategy Alternatives Fund |
A |
A |
A |
A |
A |
A |
A |
NY Intermediate Municipal Bond Fund |
A |
A |
A |
A |
A |
A |
A |
OR Intermediate Municipal Bond Fund |
A |
A |
A |
A |
A |
A |
A |
Overseas Core Fund |
D |
A |
A |
A |
A |
A |
A |
Overseas SMA Completion Portfolio |
A |
A |
A |
A |
A |
A |
A |
Overseas Value Fund |
A |
A |
A |
A |
A |
A |
A |
Quality Income Fund |
A |
C |
A |
A |
A |
A |
A |
Real Estate Equity Fund |
A |
A |
A |
A |
A |
A |
A |
Select Global Equity Fund |
A |
E |
A |
A |
A |
A |
A |
Select Large Cap Equity Fund |
A |
A |
A |
A |
A |
A |
A |
Select Large Cap Growth Fund |
A |
A |
A |
A |
C |
A |
A |
Select Large Cap Value Fund |
A |
A |
E(a) |
A |
A |
A |
A |
Select Mid Cap Growth Fund |
A |
A |
A |
A |
A |
A |
A |
Select Mid Cap Value Fund |
A |
A |
A |
A |
C |
E(a) |
A |
Select Small Cap Value Fund |
D |
A |
E(a) |
A |
A |
A |
A |
Seligman Global Technology Fund |
C(a) |
C |
A |
A |
C |
A |
A |
Seligman Technology and Information Fund |
A |
E |
E(a) |
A |
C |
E(a) |
E(a) |
Short Duration Municipal Bond Fund |
A |
A |
A |
A |
A |
A |
A |
Short Term Bond Fund |
A |
A |
A |
A |
A |
A |
A |
Small Cap Growth Fund |
D |
A |
A |
A |
C |
A |
A |
Small Cap Index Fund |
A |
A |
A |
A |
A |
A |
A |
Small Cap Value Fund I |
E(a) |
A |
A |
A |
A |
D(a) |
A |
Small Cap Value Fund II |
A |
A |
A |
A |
D |
A |
A |
Strategic CA Municipal Income Fund |
A |
A |
A |
A |
A |
A |
A |
Strategic Income Fund |
A |
A |
A |
A |
C |
A |
A |
Strategic Municipal Income Fund |
A |
A |
A |
A |
A |
A |
A |
Strategic NY Municipal Income Fund |
A |
A |
A |
A |
A |
A |
A |
Tax-Exempt Fund |
A |
B |
A |
A |
A |
A |
A |
Total Return Bond Fund |
A |
A |
E(a) |
A |
A |
A |
A |
|
Batejan |
Blatz |
Carlton |
Carrig |
Connaughton |
Darragh |
Flynn |
U.S. Treasury Index Fund |
A |
A |
A |
A |
A |
A |
A |
Ultra Short Term Bond Fund |
A |
A |
A |
A |
A |
A |
E(a) |
Aggregate Dollar Range of Equity Securities in all Funds in the Columbia Funds Complex Overseen by the Trustee |
E(a) |
E |
E(a) |
E(a) |
E |
E(a) |
E(a) |
|
Gallagher |
Hacker |
Lukitsh |
Moffett |
Paglia |
Trunow |
Yeager |
Adaptive Risk Allocation Fund |
A |
E |
A |
A |
A |
A |
A |
Balanced Fund |
E(a) |
A |
A |
A |
A |
A |
A |
Bond Fund |
A |
A |
A |
A |
A |
A |
E(a) |
CA Intermediate Municipal Bond Fund |
A |
A |
A |
A |
A |
A |
A |
Capital Allocation Aggressive Portfolio |
A |
A |
A |
A |
A |
A |
A |
Capital Allocation Conservative Portfolio |
A |
A |
A |
A |
A |
A |
A |
Capital Allocation Moderate Aggressive Portfolio |
D |
A |
A |
A |
A |
A |
A |
Capital Allocation Moderate Conservative Portfolio |
A |
A |
A |
A |
A |
A |
A |
Capital Allocation Moderate Portfolio |
A |
A |
A |
A |
A |
A |
A |
Commodity Strategy Fund |
A |
A |
A |
A |
A |
A |
A |
Contrarian Core Fund |
A |
A |
A |
A |
E(a) |
A |
A |
Convertible Securities Fund |
A |
E |
A |
A |
A |
A |
A |
Corporate Income Fund |
A |
A |
A |
A |
A |
A |
A |
Disciplined Core Fund |
A |
A |
A |
A |
A |
A |
A |
Disciplined Growth Fund |
A |
A |
A |
A |
A |
A |
A |
Disciplined Value Fund |
A |
A |
A |
A |
A |
A |
A |
Dividend Income Fund |
E(a) |
A |
E |
A |
E(a) |
A |
E(a) |
Dividend Opportunity Fund |
A |
A |
A |
A |
A |
A |
A |
Emerging Markets Bond Fund |
A |
A |
A |
A |
A |
A |
A |
Emerging Markets Fund |
A |
E |
A |
A |
A |
A |
E(a) |
Flexible Capital Income Fund |
A |
A |
A |
A |
E(a) |
A |
A |
Floating Rate Fund |
D |
A |
A |
A |
A |
A |
A |
Global Opportunities Fund |
A |
A |
A |
A |
A |
A |
A |
Global Technology Growth Fund |
E(a) |
E |
E |
E(a) |
A |
A |
A |
Global Value Fund |
E |
A |
A |
A |
A |
A |
A |
Government Money Market Fund |
B(a) |
A |
A |
B(a) |
D(a) |
E(a) |
B(a) |
Greater China Fund |
A |
A |
A |
A |
A |
A |
A |
High Yield Bond Fund |
A |
A |
A |
A |
A |
A |
A |
High Yield Municipal Fund |
A |
A |
A |
A |
A |
A |
A |
Income Builder Fund |
E |
A |
A |
A |
A |
A |
A |
Income Opportunities Fund |
A |
A |
A |
A |
A |
A |
A |
Intermediate Duration Municipal Bond Fund |
A |
A |
A |
A |
A |
A |
A |
International Dividend Income Fund |
A |
A |
A |
A |
A |
A |
A |
Large Cap Enhanced Core Fund |
A |
A |
A |
A |
A |
A |
A |
Large Cap Growth Fund |
A |
E |
A |
A |
A |
A |
A |
Large Cap Growth Opportunity Fund |
A |
A |
A |
A |
A |
A |
A |
Large Cap Index Fund |
A |
A |
A |
A |
A |
E(a) |
A |
|
Gallagher |
Hacker |
Lukitsh |
Moffett |
Paglia |
Trunow |
Yeager |
Large Cap Value Fund |
A |
A |
A |
A |
A |
A |
A |
Limited Duration Credit Fund |
A |
A |
A |
A |
A |
E(a) |
A |
MA Intermediate Municipal Bond Fund |
A |
A |
A |
A |
A |
A |
A |
Mid Cap Index Fund |
A |
A |
A |
A |
A |
E(a) |
A |
MM Alternative Strategies Fund |
A |
A |
A |
A |
A |
A |
A |
MM Directional Alternative Strategies Fund |
A |
A |
A |
A |
A |
A |
A |
MM Growth Strategies Fund |
A |
A |
A |
A |
A |
A |
A |
MM International Equity Strategies Fund |
A |
A |
A |
A |
A |
A |
A |
MM Small Cap Equity Strategies Fund |
A |
A |
A |
A |
A |
A |
A |
MM Total Return Bond Strategies Fund |
A |
A |
A |
A |
A |
A |
A |
MM Value Strategies Fund |
A |
A |
A |
A |
A |
A |
A |
MN Tax-Exempt Fund |
A |
A |
A |
A |
A |
A |
A |
Mortgage Opportunities Fund |
A |
A |
A |
A |
A |
A |
E(a) |
Multisector Bond SMA Completion Portfolio |
A |
A |
A |
A |
A |
A |
A |
Multi Strategy Alternatives Fund |
A |
A |
A |
A |
A |
A |
A |
NY Intermediate Municipal Bond Fund |
A |
A |
A |
A |
A |
A |
A |
OR Intermediate Municipal Bond Fund |
A |
A |
A |
A |
A |
A |
A |
Overseas Core Fund |
A |
A |
A |
A |
A |
A |
E(a) |
Overseas SMA Completion Portfolio |
A |
A |
A |
A |
A |
A |
A |
Overseas Value Fund |
E |
A |
A |
A |
A |
A |
A |
Quality Income Fund |
A |
A |
A |
A |
A |
A |
A |
Real Estate Equity Fund |
A |
A |
A |
A |
A |
A |
A |
Select Global Equity Fund |
A |
A |
A |
A |
A |
A |
A |
Select Large Cap Equity Fund |
A |
A |
A |
A |
A |
A |
A |
Select Large Cap Growth Fund |
A |
A |
A |
A |
A |
A |
A |
Select Large Cap Value Fund |
A |
A |
A |
A |
A |
A |
A |
Select Mid Cap Growth Fund |
A |
D |
A |
A |
A |
A |
A |
Select Mid Cap Value Fund |
A |
A |
A |
A |
A |
A |
E(a) |
Select Small Cap Value Fund |
E(a) |
A |
A |
A |
A |
A |
A |
Seligman Global Technology Fund |
A |
A |
A |
A |
A |
A |
A |
Seligman Technology and Information Fund |
A |
A |
A |
A |
E(a) |
A |
A |
Short Duration Municipal Bond Fund |
A |
A |
A |
A |
A |
A |
A |
Short Term Bond Fund |
A |
A |
A |
A |
A |
A |
A |
Small Cap Growth Fund |
A |
E |
A |
A |
A |
A |
A |
Small Cap Index Fund |
A |
A |
A |
A |
A |
E(a) |
A |
Small Cap Value Fund I |
A |
A |
A |
A |
A |
A |
A |
Small Cap Value Fund II |
A |
A |
A |
A |
A |
A |
A |
Strategic CA Municipal Income Fund |
A |
A |
A |
A |
A |
A |
A |
Strategic Income Fund |
A |
A |
A |
A |
A |
A |
A |
Strategic Municipal Income Fund |
A |
A |
A |
A |
A |
A |
A |
Strategic NY Municipal Income Fund |
A |
A |
A |
A |
A |
A |
A |
Tax-Exempt Fund |
A |
A |
A |
A |
A |
A |
A |
Total Return Bond Fund |
A |
A |
A |
A |
A |
A |
A |
U.S. Treasury Index Fund |
A |
A |
A |
A |
A |
A |
A |
|
Gallagher |
Hacker |
Lukitsh |
Moffett |
Paglia |
Trunow |
Yeager |
Ultra Short Term Bond Fund |
A |
A |
A |
A |
A |
A |
A |
Aggregate Dollar Range of Equity Securities in all Funds in the Columbia Funds Complex Overseen by the Trustee |
E(a) |
E |
E |
E(a) |
E(a) |
E(a) |
E(a)
|
|
Beckman |
Adaptive Risk Allocation Fund |
E |
Balanced Fund |
A |
Bond Fund |
A |
CA Intermediate Municipal Bond Fund |
A |
Capital Allocation Aggressive Portfolio |
A |
Capital Allocation Conservative Portfolio |
A |
Capital Allocation Moderate Aggressive Portfolio |
A |
Capital Allocation Moderate Conservative Portfolio |
A |
Capital Allocation Moderate Portfolio |
A |
Commodity Strategy Fund |
A |
Contrarian Core Fund |
E(a) |
Convertible Securities Fund |
A |
Corporate Income Fund |
E(a) |
Disciplined Core Fund |
A |
Disciplined Growth Fund |
A |
Disciplined Value Fund |
A |
Dividend Income Fund |
E |
Dividend Opportunity Fund |
A |
Emerging Markets Bond Fund |
A |
Emerging Markets Fund |
E(a) |
Flexible Capital Income Fund |
E |
Floating Rate Fund |
A |
Global Opportunities Fund |
A |
Global Technology Growth Fund |
A |
Global Value Fund |
E |
Government Money Market Fund |
C |
Greater China Fund |
A |
High Yield Bond Fund |
A |
High Yield Municipal Fund |
A |
Income Builder Fund |
A |
Income Opportunities Fund |
A |
Intermediate Duration Municipal Bond Fund |
A |
International Dividend Income Fund |
A |
Large Cap Enhanced Core Fund |
A |
Large Cap Growth Fund |
A |
Large Cap Growth Opportunity Fund |
A |
Large Cap Index Fund |
A |
Large Cap Value Fund |
A |
Limited Duration Credit Fund |
A |
MA Intermediate Municipal Bond Fund |
A |
Mid Cap Index Fund |
A |
MM Alternative Strategies Fund |
A |
MM Directional Alternative Strategies Fund |
A |
|
Beckman |
MM Growth Strategies Fund |
A |
MM International Equity Strategies Fund |
A |
MM Small Cap Equity Strategies Fund |
A |
MM Total Return Bond Strategies Fund |
A |
MM Value Strategies Fund |
A |
MN Tax-Exempt Fund |
A |
Mortgage Opportunities Fund |
E |
Multisector Bond SMA Completion Portfolio |
A |
Multi Strategy Alternatives Fund |
C |
NY Intermediate Municipal Bond Fund |
A |
OR Intermediate Municipal Bond Fund |
A |
Overseas Core Fund |
A |
Overseas SMA Completion Portfolio |
A |
Overseas Value Fund |
A |
Quality Income Fund |
A |
Real Estate Equity Fund |
A |
Select Global Equity Fund |
E(a) |
Select Large Cap Equity Fund |
A |
Select Large Cap Growth Fund |
E |
Select Large Cap Value Fund |
E(a) |
Select Mid Cap Growth Fund |
C(a) |
Select Mid Cap Value Fund |
D |
Select Small Cap Value Fund |
A |
Seligman Global Technology Fund |
A |
Seligman Technology and Information Fund |
D |
Short Duration Municipal Bond Fund |
A |
Short Term Bond Fund |
A |
Small Cap Growth Fund |
D(a) |
Small Cap Index Fund |
A |
Small Cap Value Fund I |
C |
Small Cap Value Fund II |
C |
Strategic CA Municipal Income Fund |
A |
Strategic Income Fund |
E |
Strategic Municipal Income Fund |
C |
Strategic NY Municipal Income Fund |
A |
Tax-Exempt Fund |
A |
Total Return Bond Fund |
E(a) |
U.S. Treasury Index Fund |
A |
Ultra Short Term Bond Fund |
A |
Aggregate Dollar Range of Equity Securities in all Funds in the
Columbia Funds Complex Overseen by the Trustee |
E(a)
|
Trustees |
Total Cash
Compensation
from the Columbia
Funds
Complex
Paid to Trustee(a) |
Amount Deferred
from Total Compensation(b) |
George S. Batejan |
$469,000 |
$23,450 |
Kathleen Blatz |
$481,000 |
$0 |
Pamela G. Carlton |
$560,000 |
$0 |
Janet Langford Carrig |
$484,000 |
$484,000 |
J. Kevin Connaughton |
$489,000 |
$0 |
Olive M. Darragh |
$474,000 |
$94,800 |
Patricia M. Flynn |
$451,000 |
$0 |
Brian J. Gallagher |
$499,000 |
$249,500 |
Douglas A. Hacker |
$466,000 |
$0 |
Nancy T. Lukitsh |
$471,000 |
$0 |
David M. Moffett |
$456,000 |
$0 |
Catherine James Paglia |
$466,000 |
$0 |
Natalie A. Trunow |
$456,000 |
$228,000 |
Sandra L. Yeager |
$484,000 |
$242,000 |
Fund |
Aggregate Compensation from Fund
Independent Trustees | |||||||
Batejan(a) |
Blatz |
Carlton(b) |
Carrig(c) |
Connaughton |
Darragh(d) |
Flynn(e) |
Gallagher(f) | |
For Funds with fiscal period ending January 31
| ||||||||
Capital Allocation Aggressive Portfolio |
$2,143 |
$2,058 |
$2,279 |
$2,278 |
$2,278 |
$2,210 |
$2,047 |
$2,169 |
Amount Deferred |
$107 |
$0 |
$207 |
$2,278 |
$0 |
$1,062 |
$0 |
$1,085 |
Capital Allocation Conservative Portfolio |
$1,109 |
$1,066 |
$1,180 |
$1,179 |
$1,179 |
$1,144 |
$1,060 |
$1,123 |
Amount Deferred |
$55 |
$0 |
$107 |
$1,179 |
$0 |
$550 |
$0 |
$562 |
Capital Allocation Moderate Aggressive Portfolio |
$2,654 |
$2,550 |
$2,823 |
$2,822 |
$2,822 |
$2,738 |
$2,536 |
$2,687 |
Amount Deferred |
$133 |
$0 |
$257 |
$2,822 |
$0 |
$1,315 |
$0 |
$1,344 |
Capital Allocation Moderate Conservative Portfolio |
$1,315 |
$1,264 |
$1,399 |
$1,398 |
$1,399 |
$1,357 |
$1,257 |
$1,332 |
Amount Deferred |
$66 |
$0 |
$127 |
$1,398 |
$0 |
$652 |
$0 |
$666 |
Capital Allocation Moderate Portfolio |
$2,128 |
$2,044 |
$2,262 |
$2,262 |
$2,263 |
$2,196 |
$2,033 |
$2,154 |
Amount Deferred |
$106 |
$0 |
$206 |
$2,262 |
$0 |
$1,055 |
$0 |
$1,077 |
Income Builder Fund |
$2,319 |
$2,228 |
$2,465 |
$2,466 |
$2,466 |
$2,393 |
$2,216 |
$2,348 |
Amount Deferred |
$116 |
$0 |
$225 |
$2,466 |
$0 |
$1,151 |
$0 |
$1,174 |
For Funds with fiscal period ending February
28/29 | ||||||||
Convertible Securities Fund |
$2,475 |
$2,370 |
$2,701 |
$2,630 |
$2,632 |
$2,553 |
$2,345 |
$2,502 |
Amount Deferred |
$124 |
$0 |
$225 |
$2,630 |
$0 |
$1,186 |
$0 |
$1,251 |
Global Value Fund |
$1,728 |
$1,658 |
$1,896 |
$1,838 |
$1,838 |
$1,783 |
$1,639 |
$1,750 |
Amount Deferred |
$86 |
$0 |
$156 |
$1,838 |
$0 |
$824 |
$0 |
$875 |
Large Cap Enhanced Core Fund |
$1,269 |
$1,218 |
$1,392 |
$1,350 |
$1,349 |
$1,309 |
$1,204 |
$1,285 |
Amount Deferred |
$63 |
$0 |
$115 |
$1,350 |
$0 |
$605 |
$0 |
$643 |
Large Cap Growth Opportunity Fund |
$2,164 |
$2,073 |
$2,363 |
$2,299 |
$2,301 |
$2,232 |
$2,051 |
$2,188 |
Amount Deferred |
$108 |
$0 |
$197 |
$2,299 |
$0 |
$1,036 |
$0 |
$1,094 |
Large Cap Index Fund |
$3,904 |
$3,745 |
$4,273 |
$4,152 |
$4,152 |
$4,028 |
$3,705 |
$3,952 |
Amount Deferred |
$195 |
$0 |
$354 |
$4,152 |
$0 |
$1,867 |
$0 |
$1,976 |
Mid Cap Index Fund |
$3,466 |
$3,326 |
$3,802 |
$3,687 |
$3,686 |
$3,575 |
$3,290 |
$3,510 |
Amount Deferred |
$173 |
$0 |
$313 |
$3,687 |
$0 |
$1,652 |
$0 |
$1,755 |
Overseas Core Fund |
$1,809 |
$1,737 |
$1,985 |
$1,925 |
$1,924 |
$1,867 |
$1,717 |
$1,833 |
Amount Deferred |
$90 |
$0 |
$163 |
$1,925 |
$0 |
$863 |
$0 |
$916 |
Overseas Value Fund |
$3,293 |
$3,163 |
$3,631 |
$3,505 |
$3,504 |
$3,398 |
$3,126 |
$3,339 |
Amount Deferred |
$165 |
$0 |
$294 |
$3,505 |
$0 |
$1,560 |
$0 |
$1,669 |
Select Large Cap Equity Fund |
$2,115 |
$2,031 |
$2,321 |
$2,251 |
$2,250 |
$2,183 |
$2,008 |
$2,143 |
Fund |
Aggregate Compensation from Fund
Independent Trustees | |||||||
Batejan(a) |
Blatz |
Carlton(b) |
Carrig(c) |
Connaughton |
Darragh(d) |
Flynn(e) |
Gallagher(f) | |
Amount Deferred |
$106 |
$0 |
$191 |
$2,251 |
$0 |
$1,008 |
$0 |
$1,071 |
Select Mid Cap Value Fund |
$3,406 |
$3,272 |
$3,748 |
$3,626 |
$3,623 |
$3,514 |
$3,235 |
$3,453 |
Amount Deferred |
$170 |
$0 |
$306 |
$3,626 |
$0 |
$1,618 |
$0 |
$1,726 |
Small Cap Index Fund |
$4,395 |
$4,218 |
$4,820 |
$4,676 |
$4,675 |
$4,535 |
$4,172 |
$4,451 |
Amount Deferred |
$220 |
$0 |
$397 |
$4,676 |
$0 |
$2,097 |
$0 |
$2,226 |
Small Cap Value Fund II |
$2,175 |
$2,087 |
$2,388 |
$2,313 |
$2,313 |
$2,243 |
$2,063 |
$2,203 |
Amount Deferred |
$109 |
$0 |
$196 |
$2,313 |
$0 |
$1,035 |
$0 |
$1,101 |
For Funds with fiscal period ending March 31
| ||||||||
MM Growth Strategies Fund |
$4,618 |
$4,462 |
$4,949 |
$4,877 |
$4,908 |
$4,763 |
$4,387 |
$4,737 |
Amount Deferred |
$231 |
$0 |
$358 |
$4,877 |
$0 |
$2,010 |
$0 |
$2,368 |
Short Term Bond Fund |
$1,966 |
$1,898 |
$2,105 |
$2,078 |
$2,090 |
$2,028 |
$1,867 |
$2,014 |
Amount Deferred |
$98 |
$0 |
$156 |
$2,078 |
$0 |
$866 |
$0 |
$1,007 |
Select Large Cap Growth Fund |
$2,139 |
$2,062 |
$2,287 |
$2,261 |
$2,274 |
$2,206 |
$2,031 |
$2,190 |
Amount Deferred |
$107 |
$0 |
$171 |
$2,261 |
$0 |
$946 |
$0 |
$1,095 |
For Funds with fiscal period ending April 30
| ||||||||
Bond Fund |
$1,850 |
$1,807 |
$2,041 |
$1,966 |
$1,966 |
$1,908 |
$1,768 |
$1,908 |
Amount Deferred |
$92 |
$0 |
$133 |
$1,966 |
$0 |
$773 |
$0 |
$954 |
CA Intermediate Municipal Bond Fund |
$1,262 |
$1,233 |
$1,393 |
$1,342 |
$1,341 |
$1,302 |
$1,206 |
$1,301 |
Amount Deferred |
$63 |
$0 |
$91 |
$1,342 |
$0 |
$529 |
$0 |
$651 |
Corporate Income Fund |
$2,407 |
$2,353 |
$2,661 |
$2,556 |
$2,559 |
$2,483 |
$2,300 |
$2,484 |
Amount Deferred |
$120 |
$0 |
$169 |
$2,556 |
$0 |
$995 |
$0 |
$1,242 |
MM Directional Alternative Strategies Fund |
$1,176 |
$1,149 |
$1,298 |
$1,250 |
$1,250 |
$1,213 |
$1,124 |
$1,213 |
Amount Deferred |
$59 |
$0 |
$84 |
$1,250 |
$0 |
$490 |
$0 |
$607 |
Short Duration Municipal Bond Fund |
$1,592 |
$1,554 |
$1,753 |
$1,693 |
$1,692 |
$1,642 |
$1,522 |
$1,640 |
Amount Deferred |
$80 |
$0 |
$117 |
$1,693 |
$0 |
$672 |
$0 |
$820 |
Small Cap Value Fund I |
$2,179 |
$2,130 |
$2,406 |
$2,312 |
$2,315 |
$2,246 |
$2,083 |
$2,250 |
Amount Deferred |
$109 |
$0 |
$152 |
$2,312 |
$0 |
$896 |
$0 |
$1,125 |
Total Return Bond Fund |
$3,641 |
$3,553 |
$4,009 |
$3,871 |
$3,870 |
$3,756 |
$3,479 |
$3,751 |
Amount Deferred |
$182 |
$0 |
$266 |
$3,871 |
$0 |
$1,533 |
$0 |
$1,876 |
U.S. Treasury Index Fund |
$2,066 |
$2,018 |
$2,281 |
$2,195 |
$2,196 |
$2,131 |
$1,974 |
$2,131 |
Amount Deferred |
$103 |
$0 |
$147 |
$2,195 |
$0 |
$860 |
$0 |
$1,065 |
For Funds with fiscal period ending May 31
| ||||||||
Adaptive Risk Allocation Fund |
$4,827 |
$4,740 |
$5,445 |
$5,072 |
$5,130 |
$4,979 |
$4,616 |
$5,007 |
Amount Deferred |
$241 |
$0 |
$317 |
$5,072 |
$0 |
$1,938 |
$0 |
$2,504 |
Commodity Strategy Fund |
$1,240 |
$1,216 |
$1,390 |
$1,299 |
$1,317 |
$1,278 |
$1,184 |
$1,284 |
Amount Deferred |
$62 |
$0 |
$81 |
$1,299 |
$0 |
$497 |
$0 |
$642 |
Dividend Income Fund |
$37,548 |
$36,903 |
$42,546 |
$39,442 |
$39,916 |
$38,729 |
$35,892 |
$39,002 |
Amount Deferred |
$1,878 |
$0 |
$2,394 |
$39,442 |
$0 |
$14,855 |
$0 |
$19,501 |
Dividend Opportunity Fund |
$3,356 |
$3,298 |
$3,799 |
$3,525 |
$3,567 |
$3,461 |
$3,207 |
$3,485 |
Amount Deferred |
$168 |
$0 |
$215 |
$3,525 |
$0 |
$1,330 |
$0 |
$1,743 |
Flexible Capital Income Fund |
$2,342 |
$2,301 |
$2,646 |
$2,460 |
$2,489 |
$2,416 |
$2,239 |
$2,431 |
Amount Deferred |
$117 |
$0 |
$151 |
$2,460 |
$0 |
$932 |
$0 |
$1,216 |
High Yield Bond Fund |
$2,307 |
$2,266 |
$2,603 |
$2,424 |
$2,452 |
$2,380 |
$2,206 |
$2,394 |
Amount Deferred |
$115 |
$0 |
$151 |
$2,424 |
$0 |
$925 |
$0 |
$1,197 |
High Yield Municipal Fund |
$1,492 |
$1,465 |
$1,681 |
$1,567 |
$1,586 |
$1,539 |
$1,426 |
$1,547 |
Amount Deferred |
$75 |
$0 |
$98 |
$1,567 |
$0 |
$600 |
$0 |
$774 |
Large Cap Value Fund |
$3,311 |
$3,252 |
$3,739 |
$3,478 |
$3,519 |
$3,415 |
$3,165 |
$3,436 |
Amount Deferred |
$166 |
$0 |
$215 |
$3,478 |
$0 |
$1,323 |
$0 |
$1,718 |
MM Value Strategies Fund |
$5,263 |
$5,167 |
$5,934 |
$5,530 |
$5,593 |
$5,427 |
$5,032 |
$5,461 |
Amount Deferred |
$263 |
$0 |
$344 |
$5,530 |
$0 |
$2,108 |
$0 |
$2,730 |
Mortgage Opportunities Fund |
$3,989 |
$3,910 |
$4,457 |
$4,192 |
$4,238 |
$4,114 |
$3,816 |
$4,127 |
Fund |
Aggregate Compensation from Fund
Independent Trustees | |||||||
Batejan(a) |
Blatz |
Carlton(b) |
Carrig(c) |
Connaughton |
Darragh(d) |
Flynn(e) |
Gallagher(f) | |
Amount Deferred |
$199 |
$0 |
$275 |
$4,192 |
$0 |
$1,643 |
$0 |
$2,063 |
Multi Strategy Alternatives Fund |
$1,715 |
$1,684 |
$1,935 |
$1,801 |
$1,822 |
$1,768 |
$1,639 |
$1,779 |
Amount Deferred |
$86 |
$0 |
$112 |
$1,801 |
$0 |
$686 |
$0 |
$890 |
Quality Income Fund |
$2,458 |
$2,414 |
$2,773 |
$2,582 |
$2,613 |
$2,535 |
$2,350 |
$2,549 |
Amount Deferred |
$123 |
$0 |
$161 |
$2,582 |
$0 |
$987 |
$0 |
$1,275 |
Select Large Cap Value Fund |
$3,235 |
$3,181 |
$3,675 |
$3,396 |
$3,440 |
$3,337 |
$3,090 |
$3,363 |
Amount Deferred |
$162 |
$0 |
$201 |
$3,396 |
$0 |
$1,265 |
$0 |
$1,682 |
Select Small Cap Value Fund |
$1,409 |
$1,384 |
$1,590 |
$1,480 |
$1,498 |
$1,454 |
$1,347 |
$1,463 |
Amount Deferred |
$70 |
$0 |
$91 |
$1,480 |
$0 |
$562 |
$0 |
$731 |
Seligman Technology and Information Fund |
$9,646 |
$9,471 |
$10,881 |
$10,122 |
$10,251 |
$9,946 |
$9,219 |
$10,008 |
Amount Deferred |
$482 |
$0 |
$621 |
$10,122 |
$0 |
$3,836 |
$0 |
$5,004 |
For Funds with fiscal period ending July 31
| ||||||||
Disciplined Core Fund |
$4,965 |
$4,960 |
$5,674 |
$5,215 |
$5,277 |
$5,121 |
$4,778 |
$5,183 |
Amount Deferred |
$248 |
$0 |
$234 |
$5,215 |
$0 |
$1,716 |
$0 |
$2,592 |
Disciplined Growth Fund |
$1,113 |
$1,111 |
$1,272 |
$1,169 |
$1,182 |
$1,147 |
$1,071 |
$1,161 |
Amount Deferred |
$56 |
$0 |
$52 |
$1,169 |
$0 |
$385 |
$0 |
$581 |
Disciplined Value Fund |
$1,096 |
$1,095 |
$1,253 |
$1,151 |
$1,165 |
$1,130 |
$1,054 |
$1,144 |
Amount Deferred |
$55 |
$0 |
$52 |
$1,151 |
$0 |
$378 |
$0 |
$572 |
Floating Rate Fund |
$1,733 |
$1,728 |
$1,974 |
$1,821 |
$1,841 |
$1,787 |
$1,667 |
$1,806 |
Amount Deferred |
$87 |
$0 |
$86 |
$1,821 |
$0 |
$613 |
$0 |
$903 |
Global Opportunities Fund |
$1,299 |
$1,298 |
$1,485 |
$1,365 |
$1,381 |
$1,340 |
$1,250 |
$1,356 |
Amount Deferred |
$65 |
$0 |
$61 |
$1,365 |
$0 |
$450 |
$0 |
$678 |
Government Money Market Fund |
$1,695 |
$1,700 |
$1,952 |
$1,779 |
$1,803 |
$1,749 |
$1,632 |
$1,774 |
Amount Deferred |
$85 |
$0 |
$72 |
$1,779 |
$0 |
$563 |
$0 |
$887 |
Income Opportunities Fund |
$1,647 |
$1,645 |
$1,883 |
$1,730 |
$1,750 |
$1,699 |
$1,585 |
$1,719 |
Amount Deferred |
$82 |
$0 |
$78 |
$1,730 |
$0 |
$570 |
$0 |
$860 |
Large Cap Growth Fund |
$5,022 |
$5,019 |
$5,741 |
$5,274 |
$5,337 |
$5,179 |
$4,835 |
$5,242 |
Amount Deferred |
$251 |
$0 |
$236 |
$5,274 |
$0 |
$1,733 |
$0 |
$2,621 |
Limited Duration Credit Fund |
$1,570 |
$1,567 |
$1,791 |
$1,649 |
$1,668 |
$1,619 |
$1,510 |
$1,638 |
Amount Deferred |
$78 |
$0 |
$75 |
$1,649 |
$0 |
$547 |
$0 |
$819 |
MN Tax-Exempt Fund |
$1,508 |
$1,506 |
$1,723 |
$1,584 |
$1,603 |
$1,556 |
$1,451 |
$1,574 |
Amount Deferred |
$75 |
$0 |
$72 |
$1,584 |
$0 |
$523 |
$0 |
$787 |
OR Intermediate Municipal Bond Fund |
$1,233 |
$1,232 |
$1,409 |
$1,295 |
$1,310 |
$1,272 |
$1,186 |
$1,287 |
Amount Deferred |
$62 |
$0 |
$58 |
$1,295 |
$0 |
$427 |
$0 |
$644 |
Strategic Municipal Income Fund |
$2,779 |
$2,774 |
$3,167 |
$2,920 |
$2,954 |
$2,867 |
$2,675 |
$2,898 |
Amount Deferred |
$139 |
$0 |
$136 |
$2,920 |
$0 |
$976 |
$0 |
$1,449 |
Tax-Exempt Fund |
$3,311 |
$3,305 |
$3,777 |
$3,478 |
$3,519 |
$3,416 |
$3,185 |
$3,454 |
Amount Deferred |
$166 |
$0 |
$160 |
$3,478 |
$0 |
$1,158 |
$0 |
$1,727 |
Ultra Short Term Bond Fund |
$3,107 |
$3,093 |
$3,525 |
$3,270 |
$3,302 |
$3,206 |
$2,989 |
$3,234 |
Amount Deferred |
$155 |
$0 |
$166 |
$3,270 |
$0 |
$1,131 |
$0 |
$1,617 |
For Funds with fiscal period ending August 31
| ||||||||
Balanced Fund |
$8,504 |
$8,542 |
$10,073 |
$8,939 |
$9,046 |
$8,721 |
$8,236 |
$8,937 |
Amount Deferred |
$425 |
$0 |
$347 |
$8,939 |
$0 |
$2,758 |
$0 |
$4,468 |
Contrarian Core Fund |
$11,525 |
$11,584 |
$13,676 |
$12,118 |
$12,261 |
$11,821 |
$11,164 |
$12,116 |
Amount Deferred |
$576 |
$0 |
$465 |
$12,118 |
$0 |
$3,721 |
$0 |
$6,058 |
Emerging Markets Bond Fund |
$1,198 |
$1,204 |
$1,420 |
$1,259 |
$1,275 |
$1,229 |
$1,160 |
$1,259 |
Amount Deferred |
$60 |
$0 |
$48 |
$1,259 |
$0 |
$387 |
$0 |
$630 |
Emerging Markets Fund |
$2,309 |
$2,318 |
$2,731 |
$2,427 |
$2,456 |
$2,368 |
$2,235 |
$2,426 |
Amount Deferred |
$115 |
$0 |
$94 |
$2,427 |
$0 |
$750 |
$0 |
$1,213 |
Global Technology Growth Fund |
$3,001 |
$3,016 |
$3,563 |
$3,154 |
$3,192 |
$3,077 |
$2,908 |
$3,154 |
Amount Deferred |
$150 |
$0 |
$121 |
$3,154 |
$0 |
$969 |
$0 |
$1,577 |
Fund |
Aggregate Compensation from Fund
Independent Trustees | |||||||
Batejan(a) |
Blatz |
Carlton(b) |
Carrig(c) |
Connaughton |
Darragh(d) |
Flynn(e) |
Gallagher(f) | |
Greater China Fund |
$1,006 |
$1,010 |
$1,191 |
$1,057 |
$1,070 |
$1,032 |
$974 |
$1,057 |
Amount Deferred |
$50 |
$0 |
$41 |
$1,057 |
$0 |
$325 |
$0 |
$529 |
International Dividend Income Fund |
$1,387 |
$1,394 |
$1,647 |
$1,457 |
$1,475 |
$1,422 |
$1,342 |
$1,458 |
Amount Deferred |
$69 |
$0 |
$54 |
$1,457 |
$0 |
$443 |
$0 |
$729 |
MM Alternative Strategies Fund |
$1,433 |
$1,439 |
$1,695 |
$1,506 |
$1,524 |
$1,469 |
$1,387 |
$1,506 |
Amount Deferred |
$72 |
$0 |
$58 |
$1,506 |
$0 |
$464 |
$0 |
$753 |
MM International Equity Strategies Fund |
$3,202 |
$3,218 |
$3,798 |
$3,364 |
$3,407 |
$3,285 |
$3,099 |
$3,368 |
Amount Deferred |
$160 |
$0 |
$126 |
$3,364 |
$0 |
$1,024 |
$0 |
$1,684 |
MM Small Cap Equity Strategies Fund |
$2,338 |
$2,351 |
$2,769 |
$2,453 |
$2,487 |
$2,399 |
$2,262 |
$2,460 |
Amount Deferred |
$117 |
$0 |
$89 |
$2,453 |
$0 |
$739 |
$0 |
$1,230 |
MM Total Return Bond Strategies Fund |
$11,301 |
$11,360 |
$13,417 |
$11,880 |
$12,024 |
$11,594 |
$10,942 |
$11,883 |
Amount Deferred |
$565 |
$0 |
$451 |
$11,880 |
$0 |
$3,636 |
$0 |
$5,941 |
Multisector Bond SMA Completion Portfolio |
$908 |
$912 |
$1,076 |
$955 |
$966 |
$931 |
$879 |
$955 |
Amount Deferred |
$45 |
$0 |
$37 |
$955 |
$0 |
$294 |
$0 |
$477 |
Overseas SMA Completion Portfolio |
$911 |
$915 |
$1,079 |
$957 |
$969 |
$934 |
$882 |
$957 |
Amount Deferred |
$46 |
$0 |
$37 |
$957 |
$0 |
$294 |
$0 |
$479 |
Select Mid Cap Growth Fund |
$2,352 |
$2,362 |
$2,785 |
$2,472 |
$2,502 |
$2,412 |
$2,278 |
$2,472 |
Amount Deferred |
$118 |
$0 |
$96 |
$2,472 |
$0 |
$762 |
$0 |
$1,236 |
Small Cap Growth Fund |
$2,464 |
$2,475 |
$2,921 |
$2,590 |
$2,621 |
$2,527 |
$2,387 |
$2,589 |
Amount Deferred |
$123 |
$0 |
$100 |
$2,590 |
$0 |
$799 |
$0 |
$1,295 |
Strategic Income Fund |
$6,039 |
$6,058 |
$7,123 |
$6,347 |
$6,422 |
$6,190 |
$5,849 |
$6,340 |
Amount Deferred |
$302 |
$0 |
$255 |
$6,347 |
$0 |
$1,983 |
$0 |
$3,170 |
For Funds with fiscal period ending October 31
| ||||||||
Intermediate Duration Municipal Bond Fund |
$2,567 |
$2,622 |
$3,066 |
$2,683 |
$2,765 |
$2,650 |
$2,501 |
$2,749 |
Amount Deferred |
$128 |
$0 |
$54 |
$2,683 |
$0 |
$677 |
$0 |
$1,375 |
MA Intermediate Municipal Bond Fund |
$1,024 |
$1,046 |
$1,223 |
$1,071 |
$1,103 |
$1,057 |
$998 |
$1,097 |
Amount Deferred |
$51 |
$0 |
$22 |
$1,071 |
$0 |
$271 |
$0 |
$548 |
NY Intermediate Municipal Bond Fund |
$1,034 |
$1,056 |
$1,235 |
$1,081 |
$1,114 |
$1,067 |
$1,007 |
$1,107 |
Amount Deferred |
$52 |
$0 |
$22 |
$1,081 |
$0 |
$273 |
$0 |
$554 |
Select Global Equity Fund |
$1,513 |
$1,546 |
$1,807 |
$1,581 |
$1,631 |
$1,562 |
$1,475 |
$1,621 |
Amount Deferred |
$76 |
$0 |
$31 |
$1,581 |
$0 |
$397 |
$0 |
$811 |
Seligman Global Technology Fund |
$2,550 |
$2,607 |
$3,047 |
$2,662 |
$2,751 |
$2,633 |
$2,486 |
$2,733 |
Amount Deferred |
$128 |
$0 |
$50 |
$2,662 |
$0 |
$663 |
$0 |
$1,366 |
Strategic CA Municipal Income Fund |
$1,295 |
$1,323 |
$1,547 |
$1,354 |
$1,395 |
$1,337 |
$1,261 |
$1,387 |
Amount Deferred |
$65 |
$0 |
$28 |
$1,354 |
$0 |
$344 |
$0 |
$693 |
Strategic NY Municipal Income Fund |
$1,023 |
$1,045 |
$1,222 |
$1,070 |
$1,103 |
$1,056 |
$997 |
$1,096 |
Amount Deferred |
$51 |
$0 |
$22 |
$1,070 |
$0 |
$270 |
$0 |
$548 |
For Funds with fiscal period ending December 31
| ||||||||
Real Estate Equity Fund |
$1,096 |
$1,124 |
$1,313 |
$1,132 |
$1,168 |
$1,132 |
$1,053 |
$1,168 |
Amount Deferred |
$55 |
$0 |
$0 |
$1,132 |
$0 |
$226 |
$0 |
$584 |
Fund |
Aggregate Compensation from Fund
Independent Trustees | ||||||
Hacker |
Lukitsh |
Moffett(a) |
Paglia(b) |
Shaw(c) |
Trunow(d) |
Yeager(e) | |
For Funds with fiscal period ending January 31
| |||||||
Capital Allocation Aggressive Portfolio |
$2,315 |
$2,156 |
$2,039 |
$2,315 |
$1,957 |
$2,115 |
$2,210 |
Fund |
Aggregate Compensation from Fund
Independent Trustees | ||||||
Hacker |
Lukitsh |
Moffett(a) |
Paglia(b) |
Shaw(c) |
Trunow(d) |
Yeager(e) | |
Amount Deferred |
$0 |
$0 |
$1,894 |
$1,088 |
$978 |
$1,609 |
$1,105 |
Capital Allocation Conservative Portfolio |
$1,199 |
$1,116 |
$1,056 |
$1,199 |
$1,013 |
$1,095 |
$1,144 |
Amount Deferred |
$0 |
$0 |
$981 |
$563 |
$507 |
$833 |
$572 |
Capital Allocation Moderate Aggressive Portfolio |
$2,868 |
$2,671 |
$2,526 |
$2,868 |
$2,424 |
$2,620 |
$2,738 |
Amount Deferred |
$0 |
$0 |
$2,347 |
$1,348 |
$1,212 |
$1,993 |
$1,369 |
Capital Allocation Moderate Conservative Portfolio |
$1,422 |
$1,324 |
$1,252 |
$1,422 |
$1,201 |
$1,299 |
$1,357 |
Amount Deferred |
$0 |
$0 |
$1,163 |
$668 |
$601 |
$988 |
$678 |
Capital Allocation Moderate Portfolio |
$2,301 |
$2,142 |
$2,025 |
$2,301 |
$1,945 |
$2,100 |
$2,196 |
Amount Deferred |
$0 |
$0 |
$1,883 |
$1,083 |
$973 |
$1,599 |
$1,098 |
Income Builder Fund |
$2,509 |
$2,335 |
$2,207 |
$2,509 |
$2,121 |
$2,289 |
$2,393 |
Amount Deferred |
$0 |
$0 |
$2,054 |
$1,181 |
$1,061 |
$1,743 |
$1,196 |
For Funds with fiscal period ending February
28/29 | |||||||
Convertible Securities Fund |
$2,613 |
$2,476 |
$2,342 |
$2,612 |
$2,121 |
$2,424 |
$2,553 |
Amount Deferred |
$0 |
$0 |
$2,055 |
$1,162 |
$1,061 |
$1,810 |
$1,277 |
Global Value Fund |
$1,823 |
$1,728 |
$1,638 |
$1,823 |
$1,469 |
$1,695 |
$1,783 |
Amount Deferred |
$0 |
$0 |
$1,423 |
$803 |
$734 |
$1,262 |
$891 |
Large Cap Enhanced Core Fund |
$1,338 |
$1,269 |
$1,203 |
$1,338 |
$1,080 |
$1,245 |
$1,309 |
Amount Deferred |
$0 |
$0 |
$1,046 |
$590 |
$540 |
$927 |
$654 |
Large Cap Growth Opportunity Fund |
$2,281 |
$2,164 |
$2,049 |
$2,281 |
$1,853 |
$2,120 |
$2,233 |
Amount Deferred |
$0 |
$0 |
$1,795 |
$1,013 |
$926 |
$1,582 |
$1,116 |
Large Cap Index Fund |
$4,116 |
$3,906 |
$3,700 |
$4,116 |
$3,338 |
$3,829 |
$4,028 |
Amount Deferred |
$0 |
$0 |
$3,234 |
$1,823 |
$1,669 |
$2,856 |
$2,014 |
Mid Cap Index Fund |
$3,652 |
$3,465 |
$3,286 |
$3,652 |
$2,949 |
$3,400 |
$3,576 |
Amount Deferred |
$0 |
$0 |
$2,857 |
$1,609 |
$1,475 |
$2,532 |
$1,788 |
Overseas Core Fund |
$1,908 |
$1,810 |
$1,715 |
$1,908 |
$1,539 |
$1,775 |
$1,867 |
Amount Deferred |
$0 |
$0 |
$1,491 |
$841 |
$770 |
$1,322 |
$933 |
Overseas Value Fund |
$3,469 |
$3,292 |
$3,124 |
$3,469 |
$2,771 |
$3,231 |
$3,398 |
Amount Deferred |
$0 |
$0 |
$2,684 |
$1,512 |
$1,385 |
$2,397 |
$1,699 |
Select Large Cap Equity Fund |
$2,230 |
$2,116 |
$2,006 |
$2,230 |
$1,799 |
$2,075 |
$2,183 |
Amount Deferred |
$0 |
$0 |
$1,743 |
$982 |
$900 |
$1,545 |
$1,091 |
Select Mid Cap Value Fund |
$3,588 |
$3,405 |
$3,232 |
$3,588 |
$2,882 |
$3,343 |
$3,514 |
Amount Deferred |
$0 |
$0 |
$2,792 |
$1,572 |
$1,441 |
$2,484 |
$1,757 |
Small Cap Index Fund |
$4,634 |
$4,396 |
$4,168 |
$4,634 |
$3,744 |
$4,312 |
$4,535 |
Amount Deferred |
$0 |
$0 |
$3,628 |
$2,045 |
$1,872 |
$3,212 |
$2,268 |
Small Cap Value Fund II |
$2,294 |
$2,173 |
$2,061 |
$2,294 |
$1,844 |
$2,132 |
$2,244 |
Amount Deferred |
$0 |
$0 |
$1,787 |
$1,008 |
$922 |
$1,586 |
$1,122 |
For Funds with fiscal period ending March 31
| |||||||
MM Growth Strategies Fund |
$4,936 |
$4,616 |
$4,396 |
$4,936 |
$3,357 |
$4,532 |
$4,763 |
Amount Deferred |
$0 |
$0 |
$3,250 |
$1,884 |
$1,679 |
$3,214 |
$2,381 |
Short Term Bond Fund |
$2,108 |
$1,967 |
$1,870 |
$2,108 |
$1,458 |
$1,929 |
$2,028 |
Amount Deferred |
$0 |
$0 |
$1,412 |
$820 |
$729 |
$1,377 |
$1,014 |
Select Large Cap Growth Fund |
$2,299 |
$2,142 |
$2,033 |
$2,299 |
$1,600 |
$2,098 |
$2,206 |
Amount Deferred |
$0 |
$0 |
$1,548 |
$902 |
$800 |
$1,500 |
$1,103 |
For Funds with fiscal period ending April 30
| |||||||
Bond Fund |
$1,932 |
$1,862 |
$1,776 |
$1,932 |
$1,246 |
$1,827 |
$1,908 |
Amount Deferred |
$0 |
$0 |
$1,208 |
$680 |
$623 |
$1,266 |
$954 |
CA Intermediate Municipal Bond Fund |
$1,319 |
$1,271 |
$1,212 |
$1,319 |
$854 |
$1,246 |
$1,302 |
Amount Deferred |
$0 |
$0 |
$828 |
$466 |
$427 |
$865 |
$651 |
Corporate Income Fund |
$2,512 |
$2,423 |
$2,311 |
$2,512 |
$1,586 |
$2,376 |
$2,483 |
Amount Deferred |
$0 |
$0 |
$1,537 |
$866 |
$793 |
$1,636 |
$1,242 |
MM Directional Alternative Strategies Fund |
$1,227 |
$1,183 |
$1,129 |
$1,227 |
$789 |
$1,161 |
$1,213 |
Fund |
Aggregate Compensation from Fund
Independent Trustees | ||||||
Hacker |
Lukitsh |
Moffett(a) |
Paglia(b) |
Shaw(c) |
Trunow(d) |
Yeager(e) | |
Amount Deferred |
$0 |
$0 |
$765 |
$430 |
$395 |
$804 |
$607 |
Short Duration Municipal Bond Fund |
$1,665 |
$1,602 |
$1,528 |
$1,665 |
$1,095 |
$1,572 |
$1,642 |
Amount Deferred |
$0 |
$0 |
$1,061 |
$598 |
$548 |
$1,096 |
$821 |
Small Cap Value Fund I |
$2,262 |
$2,188 |
$2,094 |
$2,262 |
$1,425 |
$2,150 |
$2,247 |
Amount Deferred |
$0 |
$0 |
$1,380 |
$772 |
$712 |
$1,478 |
$1,123 |
Total Return Bond Fund |
$3,810 |
$3,669 |
$3,493 |
$3,810 |
$2,488 |
$3,594 |
$3,755 |
Amount Deferred |
$0 |
$0 |
$2,411 |
$1,361 |
$1,244 |
$2,501 |
$1,878 |
U.S. Treasury Index Fund |
$2,156 |
$2,079 |
$1,983 |
$2,156 |
$1,380 |
$2,039 |
$2,131 |
Amount Deferred |
$0 |
$0 |
$1,337 |
$753 |
$690 |
$1,410 |
$1,065 |
For Funds with fiscal period ending May 31
| |||||||
Adaptive Risk Allocation Fund |
$4,854 |
$4,797 |
$4,647 |
$4,854 |
$3,016 |
$4,768 |
$4,978 |
Amount Deferred |
$0 |
$0 |
$2,926 |
$1,568 |
$1,508 |
$3,237 |
$2,489 |
Commodity Strategy Fund |
$1,246 |
$1,231 |
$1,192 |
$1,246 |
$771 |
$1,223 |
$1,278 |
Amount Deferred |
$0 |
$0 |
$748 |
$402 |
$386 |
$830 |
$639 |
Dividend Income Fund |
$37,712 |
$37,290 |
$36,167 |
$37,712 |
$22,785 |
$37,073 |
$38,732 |
Amount Deferred |
$0 |
$0 |
$22,109 |
$11,836 |
$11,393 |
$24,980 |
$19,366 |
Dividend Opportunity Fund |
$3,372 |
$3,333 |
$3,232 |
$3,372 |
$2,042 |
$3,313 |
$3,461 |
Amount Deferred |
$0 |
$0 |
$1,982 |
$1,062 |
$1,021 |
$2,234 |
$1,731 |
Flexible Capital Income Fund |
$2,353 |
$2,327 |
$2,255 |
$2,353 |
$1,439 |
$2,312 |
$2,416 |
Amount Deferred |
$0 |
$0 |
$1,396 |
$748 |
$720 |
$1,563 |
$1,208 |
High Yield Bond Fund |
$2,319 |
$2,293 |
$2,221 |
$2,319 |
$1,438 |
$2,279 |
$2,380 |
Amount Deferred |
$0 |
$0 |
$1,396 |
$747 |
$719 |
$1,546 |
$1,190 |
High Yield Municipal Fund |
$1,500 |
$1,483 |
$1,436 |
$1,500 |
$936 |
$1,473 |
$1,539 |
Amount Deferred |
$0 |
$0 |
$908 |
$487 |
$468 |
$1,001 |
$769 |
Large Cap Value Fund |
$3,328 |
$3,289 |
$3,188 |
$3,328 |
$2,051 |
$3,269 |
$3,415 |
Amount Deferred |
$0 |
$0 |
$1,990 |
$1,066 |
$1,025 |
$2,215 |
$1,707 |
MM Value Strategies Fund |
$5,279 |
$5,226 |
$5,067 |
$5,279 |
$3,275 |
$5,196 |
$5,428 |
Amount Deferred |
$0 |
$0 |
$3,178 |
$1,696 |
$1,637 |
$3,524 |
$2,714 |
Mortgage Opportunities Fund |
$4,013 |
$3,969 |
$3,836 |
$4,013 |
$2,620 |
$3,941 |
$4,113 |
Amount Deferred |
$0 |
$0 |
$2,542 |
$1,361 |
$1,310 |
$2,712 |
$2,057 |
Multi Strategy Alternatives Fund |
$1,723 |
$1,704 |
$1,651 |
$1,723 |
$1,066 |
$1,693 |
$1,768 |
Amount Deferred |
$0 |
$0 |
$1,034 |
$554 |
$533 |
$1,148 |
$884 |
Quality Income Fund |
$2,470 |
$2,443 |
$2,366 |
$2,470 |
$1,536 |
$2,428 |
$2,535 |
Amount Deferred |
$0 |
$0 |
$1,491 |
$798 |
$768 |
$1,648 |
$1,268 |
Select Large Cap Value Fund |
$3,246 |
$3,213 |
$3,116 |
$3,246 |
$1,917 |
$3,192 |
$3,337 |
Amount Deferred |
$0 |
$0 |
$1,860 |
$995 |
$958 |
$2,138 |
$1,669 |
Select Small Cap Value Fund |
$1,415 |
$1,400 |
$1,357 |
$1,415 |
$869 |
$1,392 |
$1,454 |
Amount Deferred |
$0 |
$0 |
$843 |
$451 |
$434 |
$941 |
$727 |
Seligman Technology and Information Fund |
$9,669 |
$9,585 |
$9,287 |
$9,669 |
$5,919 |
$9,519 |
$9,948 |
Amount Deferred |
$0 |
$0 |
$5,744 |
$3,066 |
$2,960 |
$6,433 |
$4,974 |
For Funds with fiscal period ending July 31
| |||||||
Disciplined Core Fund |
$4,971 |
$4,965 |
$4,838 |
$4,971 |
$2,214 |
$4,934 |
$5,121 |
Amount Deferred |
$0 |
$0 |
$2,149 |
$1,140 |
$1,107 |
$3,096 |
$2,561 |
Disciplined Growth Fund |
$1,114 |
$1,113 |
$1,084 |
$1,114 |
$496 |
$1,106 |
$1,148 |
Amount Deferred |
$0 |
$0 |
$482 |
$256 |
$248 |
$694 |
$574 |
Disciplined Value Fund |
$1,097 |
$1,096 |
$1,068 |
$1,097 |
$487 |
$1,089 |
$1,130 |
Amount Deferred |
$0 |
$0 |
$473 |
$251 |
$244 |
$683 |
$565 |
Floating Rate Fund |
$1,737 |
$1,730 |
$1,686 |
$1,737 |
$816 |
$1,722 |
$1,787 |
Amount Deferred |
$0 |
$0 |
$791 |
$421 |
$408 |
$1,093 |
$893 |
Global Opportunities Fund |
$1,301 |
$1,299 |
$1,266 |
$1,301 |
$581 |
$1,291 |
$1,340 |
Amount Deferred |
$0 |
$0 |
$564 |
$299 |
$290 |
$810 |
$670 |
Fund |
Aggregate Compensation from Fund
Independent Trustees | ||||||
Hacker |
Lukitsh |
Moffett(a) |
Paglia(b) |
Shaw(c) |
Trunow(d) |
Yeager(e) | |
Government Money Market Fund |
$1,699 |
$1,701 |
$1,656 |
$1,699 |
$682 |
$1,686 |
$1,749 |
Amount Deferred |
$0 |
$0 |
$662 |
$352 |
$341 |
$1,037 |
$874 |
Income Opportunities Fund |
$1,650 |
$1,647 |
$1,604 |
$1,650 |
$736 |
$1,637 |
$1,699 |
Amount Deferred |
$0 |
$0 |
$715 |
$380 |
$368 |
$1,027 |
$849 |
Large Cap Growth Fund |
$5,025 |
$5,027 |
$4,896 |
$5,025 |
$2,229 |
$4,992 |
$5,180 |
Amount Deferred |
$0 |
$0 |
$2,164 |
$1,146 |
$1,115 |
$3,129 |
$2,590 |
Limited Duration Credit Fund |
$1,574 |
$1,569 |
$1,528 |
$1,574 |
$713 |
$1,560 |
$1,619 |
Amount Deferred |
$0 |
$0 |
$692 |
$369 |
$357 |
$983 |
$809 |
MN Tax-Exempt Fund |
$1,511 |
$1,509 |
$1,469 |
$1,511 |
$678 |
$1,499 |
$1,556 |
Amount Deferred |
$0 |
$0 |
$658 |
$349 |
$339 |
$942 |
$778 |
OR Intermediate Municipal Bond Fund |
$1,235 |
$1,233 |
$1,201 |
$1,235 |
$551 |
$1,225 |
$1,272 |
Amount Deferred |
$0 |
$0 |
$535 |
$284 |
$276 |
$769 |
$636 |
Strategic Municipal Income Fund |
$2,785 |
$2,779 |
$2,706 |
$2,785 |
$1,284 |
$2,762 |
$2,866 |
Amount Deferred |
$0 |
$0 |
$1,246 |
$662 |
$642 |
$1,746 |
$1,433 |
Tax-Exempt Fund |
$3,319 |
$3,310 |
$3,223 |
$3,319 |
$1,516 |
$3,290 |
$3,415 |
Amount Deferred |
$0 |
$0 |
$1,471 |
$783 |
$758 |
$2,076 |
$1,708 |
Ultra Short Term Bond Fund |
$3,120 |
$3,099 |
$3,018 |
$3,120 |
$1,564 |
$3,088 |
$3,205 |
Amount Deferred |
$0 |
$0 |
$1,518 |
$809 |
$782 |
$1,989 |
$1,602 |
For Funds with fiscal period ending August 31
| |||||||
Balanced Fund |
$8,286 |
$8,561 |
$8,361 |
$8,286 |
$3,323 |
$8,452 |
$8,775 |
Amount Deferred |
$0 |
$0 |
$3,233 |
$1,588 |
$1,662 |
$5,157 |
$4,388 |
Contrarian Core Fund |
$11,237 |
$11,607 |
$11,338 |
$11,237 |
$4,451 |
$11,459 |
$11,893 |
Amount Deferred |
$0 |
$0 |
$4,330 |
$2,128 |
$2,226 |
$6,976 |
$5,947 |
Emerging Markets Bond Fund |
$1,168 |
$1,206 |
$1,178 |
$1,168 |
$464 |
$1,191 |
$1,236 |
Amount Deferred |
$0 |
$0 |
$451 |
$222 |
$232 |
$725 |
$618 |
Emerging Markets Fund |
$2,249 |
$2,323 |
$2,269 |
$2,249 |
$905 |
$2,294 |
$2,383 |
Amount Deferred |
$0 |
$0 |
$881 |
$432 |
$453 |
$1,400 |
$1,191 |
Global Technology Growth Fund |
$2,921 |
$3,025 |
$2,953 |
$2,921 |
$1,161 |
$2,984 |
$3,097 |
Amount Deferred |
$0 |
$0 |
$1,129 |
$553 |
$580 |
$1,817 |
$1,548 |
Greater China Fund |
$980 |
$1,013 |
$989 |
$980 |
$389 |
$999 |
$1,038 |
Amount Deferred |
$0 |
$0 |
$378 |
$186 |
$194 |
$609 |
$519 |
International Dividend Income Fund |
$1,352 |
$1,397 |
$1,364 |
$1,352 |
$521 |
$1,378 |
$1,431 |
Amount Deferred |
$0 |
$0 |
$506 |
$249 |
$260 |
$835 |
$715 |
MM Alternative Strategies Fund |
$1,397 |
$1,442 |
$1,408 |
$1,397 |
$558 |
$1,424 |
$1,478 |
Amount Deferred |
$0 |
$0 |
$543 |
$268 |
$279 |
$868 |
$739 |
MM International Equity Strategies Fund |
$3,125 |
$3,223 |
$3,148 |
$3,125 |
$1,205 |
$3,181 |
$3,305 |
Amount Deferred |
$0 |
$0 |
$1,172 |
$577 |
$602 |
$1,928 |
$1,652 |
MM Small Cap Equity Strategies Fund |
$2,279 |
$2,355 |
$2,300 |
$2,279 |
$852 |
$2,322 |
$2,413 |
Amount Deferred |
$0 |
$0 |
$829 |
$407 |
$426 |
$1,400 |
$1,206 |
MM Total Return Bond Strategies Fund |
$11,032 |
$11,381 |
$11,113 |
$11,032 |
$4,316 |
$11,235 |
$11,662 |
Amount Deferred |
$0 |
$0 |
$4,197 |
$2,071 |
$2,158 |
$6,827 |
$5,831 |
Multisector Bond SMA Completion Portfolio |
$885 |
$914 |
$893 |
$885 |
$352 |
$903 |
$937 |
Amount Deferred |
$0 |
$0 |
$342 |
$168 |
$176 |
$550 |
$469 |
Overseas SMA Completion Portfolio |
$888 |
$917 |
$896 |
$888 |
$352 |
$905 |
$940 |
Amount Deferred |
$0 |
$0 |
$343 |
$169 |
$176 |
$551 |
$470 |
Select Mid Cap Growth Fund |
$2,291 |
$2,368 |
$2,313 |
$2,291 |
$918 |
$2,337 |
$2,427 |
Amount Deferred |
$0 |
$0 |
$893 |
$438 |
$459 |
$1,426 |
$1,214 |
Small Cap Growth Fund |
$2,399 |
$2,481 |
$2,423 |
$2,399 |
$963 |
$2,449 |
$2,543 |
Amount Deferred |
$0 |
$0 |
$937 |
$460 |
$482 |
$1,494 |
$1,271 |
Strategic Income Fund |
$5,878 |
$6,075 |
$5,932 |
$5,878 |
$2,443 |
$6,000 |
$6,231 |
Amount Deferred |
$0 |
$0 |
$2,376 |
$1,167 |
$1,221 |
$3,684 |
$3,115 |
Fund |
Aggregate Compensation from Fund
Independent Trustees | ||||||
Hacker |
Lukitsh |
Moffett(a) |
Paglia(b) |
Shaw(c) |
Trunow(d) |
Yeager(e) | |
For Funds with fiscal period ending October 31
| |||||||
Intermediate Duration Municipal Bond Fund |
$2,574 |
$2,618 |
$2,570 |
$2,542 |
$490 |
$2,551 |
$2,683 |
Amount Deferred |
$0 |
$0 |
$476 |
$242 |
$245 |
$1,413 |
$1,341 |
MA Intermediate Municipal Bond Fund |
$1,027 |
$1,044 |
$1,025 |
$1,014 |
$198 |
$1,018 |
$1,070 |
Amount Deferred |
$0 |
$0 |
$192 |
$98 |
$99 |
$564 |
$535 |
NY Intermediate Municipal Bond Fund |
$1,037 |
$1,054 |
$1,035 |
$1,024 |
$198 |
$1,027 |
$1,081 |
Amount Deferred |
$0 |
$0 |
$192 |
$98 |
$99 |
$569 |
$540 |
Select Global Equity Fund |
$1,519 |
$1,543 |
$1,516 |
$1,499 |
$282 |
$1,504 |
$1,582 |
Amount Deferred |
$0 |
$0 |
$275 |
$140 |
$141 |
$831 |
$791 |
Seligman Global Technology Fund |
$2,560 |
$2,602 |
$2,556 |
$2,525 |
$456 |
$2,533 |
$2,668 |
Amount Deferred |
$0 |
$0 |
$443 |
$226 |
$228 |
$1,394 |
$1,334 |
Strategic CA Municipal Income Fund |
$1,299 |
$1,320 |
$1,296 |
$1,282 |
$254 |
$1,287 |
$1,353 |
Amount Deferred |
$0 |
$0 |
$247 |
$126 |
$127 |
$715 |
$676 |
Strategic NY Municipal Income Fund |
$1,027 |
$1,043 |
$1,024 |
$1,013 |
$196 |
$1,017 |
$1,070 |
Amount Deferred |
$0 |
$0 |
$191 |
$97 |
$98 |
$563 |
$535 |
For Funds with fiscal period ending December 31
| |||||||
Real Estate Equity Fund |
$1,089 |
$1,124 |
$1,088 |
$1,088 |
N/A |
$1,088 |
$1,132 |
Amount Deferred |
$0 |
$0 |
$0 |
$0 |
N/A |
$544 |
$566 |
|
Total Brokerage
Commissions | ||
Fund |
2023 |
2022 |
2021 |
For Funds with fiscal period ending January 31
| |||
Capital Allocation Aggressive Portfolio |
$37,907 |
$23,866 |
$62,262 |
Capital Allocation Conservative Portfolio |
1,132 |
5,336 |
18,717 |
Capital Allocation Moderate Aggressive Portfolio |
45,351 |
29,144 |
194,900 |
Capital Allocation Moderate Conservative Portfolio |
3,294 |
15,751 |
38,413 |
Capital Allocation Moderate Portfolio |
22,970 |
17,137 |
129,590 |
Income Builder Fund |
17,401 |
58,027 |
0 |
|
Total Brokerage
Commissions | ||
Fund |
2023 |
2022 |
2021 |
For Funds with fiscal period ending February 28/29
| |||
Convertible Securities Fund |
$93,878 |
$34,331 |
$59,652 |
Global Value Fund |
302,848 |
346,742 |
728,357 |
Large Cap Enhanced Core Fund |
161,647 |
176,263 |
254,715 |
Large Cap Growth Opportunity Fund |
398,325 |
632,962 |
356,422 |
Large Cap Index Fund |
121,615 |
64,591 |
94,380 |
Mid Cap Index Fund |
82,718 |
163,782 |
193,481 |
Overseas Core Fund |
932,500 |
953,263 |
589,928 |
Overseas Value Fund |
1,869,120 |
2,037,201 |
1,437,960 |
Select Large Cap Equity Fund |
273,999 |
309,490 |
396,167 |
Select Mid Cap Value Fund |
449,028 |
618,250 |
1,381,175 |
Small Cap Index Fund |
224,591 |
164,596 |
415,881 |
Small Cap Value Fund II |
1,474,713 |
1,046,623 |
1,403,634 |
For Funds with fiscal period ending March 31 | |||
MM Growth Strategies Fund |
897,477 |
661,924 |
430,008 |
Select Large Cap Growth Fund |
242,833 |
372,676 |
270,209 |
Short Term Bond Fund |
44,288 |
42,360 |
22,551 |
For Funds with fiscal period ending April 30 | |||
Bond Fund |
79,934 |
93,702 |
33,214 |
CA Intermediate Municipal Bond Fund |
0 |
0 |
0 |
Corporate Income Fund |
131,269 |
82,899 |
54,548 |
MM Directional Alternative Strategies Fund |
747,237 |
593,459 |
454,304 |
Short Duration Municipal Bond Fund |
4,613 |
5,378 |
1,377 |
Small Cap Value Fund I |
2,364,213 |
1,498,530 |
833,963 |
Total Return Bond Fund |
355,896 |
304,703 |
88,241 |
U.S. Treasury Index Fund |
0 |
0 |
0 |
For Funds with fiscal period ending May 31 | |||
Adaptive Risk Allocation Fund |
468,959 |
993,430 |
652,326 |
Commodity Strategy Fund |
243,380 |
350,792 |
378,693 |
Dividend Income Fund |
3,029,600 |
2,860,537 |
3,148,410 |
Dividend Opportunity Fund |
896,939 |
531,661 |
983,559 |
Flexible Capital Income Fund |
280,440 |
228,731 |
198,842 |
High Yield Bond Fund |
7,400 |
12,032 |
17,388 |
High Yield Municipal Fund |
9,203 |
19,821 |
7,666 |
Large Cap Value Fund |
271,508 |
342,806 |
493,218 |
MM Value Strategies Fund |
384,914 |
444,953 |
493,606 |
Mortgage Opportunities Fund |
1,916,476 |
2,092,123 |
305,106 |
Multi Strategy Alternatives Fund |
884,030 |
814,943 |
788,358 |
Quality Income Fund |
269,865 |
203,593 |
96,911 |
Select Large Cap Value Fund |
256,452 |
517,742 |
513,470 |
Select Small Cap Value Fund |
124,555 |
68,755 |
197,169 |
Seligman Technology and Information Fund |
1,720,064 |
1,287,735 |
3,093,639 |
For Funds with fiscal period ending July 31 |
|
Total Brokerage
Commissions | ||
Fund |
2023 |
2022 |
2021 |
Disciplined Core Fund |
$1,317,923 |
$735,706 |
$1,721,685 |
Disciplined Growth Fund |
59,856 |
71,620 |
159,582 |
Disciplined Value Fund |
63,805 |
62,289 |
259,505 |
Floating Rate Fund |
5,940 |
2,000 |
5,502 |
Global Opportunities Fund |
157,317 |
218,942 |
287,193 |
Government Money Market Fund |
0 |
0 |
0 |
Income Opportunities Fund |
0 |
0 |
10,680 |
Large Cap Growth Fund |
753,099 |
762,728 |
952,462 |
Limited Duration Credit Fund |
37,919 |
40,040 |
48,859 |
MN Tax-Exempt Fund |
8,444 |
21,525 |
10,830 |
OR Intermediate Municipal Bond Fund |
0 |
0 |
0 |
Strategic Municipal Income Fund |
39,013 |
142,591 |
148,140 |
Tax-Exempt Fund |
34,563 |
79,272 |
44,775 |
Ultra Short Term Bond Fund |
26,436 |
34,112 |
18,209 |
For Funds with fiscal period ending August 31 | |||
Balanced Fund |
1,305,002 |
1,855,467 |
1,608,476 |
Contrarian Core Fund |
2,553,890 |
3,640,258 |
3,116,106 |
Emerging Markets Bond Fund |
0 |
485 |
1,507 |
Emerging Markets Fund |
1,472,105 |
1,893,295 |
1,095,600 |
Global Technology Growth Fund |
125,836 |
247,291 |
440,234 |
Greater China Fund |
105,917 |
161,247 |
126,127 |
International Dividend Income Fund |
171,321 |
222,990 |
171,501 |
MM Alternative Strategies Fund |
407,053 |
432,169 |
517,898 |
MM International Equity Strategies Fund |
884,806 |
1,264,872 |
1,159,511 |
MM Small Cap Equity Strategies Fund |
1,252,397 |
972,574 |
1,149,005 |
MM Total Return Bond Strategies Fund |
358,729 |
335,727 |
307,030 |
Multisector Bond SMA Completion Portfolio |
203 |
1,795 |
188 |
Overseas SMA Completion Portfolio |
3,900 |
6,057 |
4,286 |
Select Mid Cap Growth Fund |
1,314,426 |
644,507 |
754,019 |
Small Cap Growth Fund |
2,288,144 |
1,737,514 |
1,477,787 |
Strategic Income Fund |
756,138 |
823,108 |
415,459 |
For Funds with fiscal period ending October 31
| |||
Intermediate Duration Municipal Bond Fund |
0 |
0 |
0 |
MA Intermediate Municipal Bond Fund |
0 |
0 |
0 |
NY Intermediate Municipal Bond Fund |
0 |
0 |
0 |
Select Global Equity Fund |
262,365 |
259,277 |
141,310 |
Seligman Global Technology Fund |
403,420 |
455,186 |
487,491 |
Strategic CA Municipal Income Fund |
9,659 |
25,632 |
22,312 |
Strategic NY Municipal Income Fund |
2,991 |
6,569 |
5,785 |
For Funds with fiscal period ending December 31
| |||
Real Estate Equity Fund |
142,979 |
85,080 |
21,626 |
|
Broker |
Nature of
Affiliation |
Aggregate
dollar
amount of
commissions
paid to
broker |
Percent of
aggregate
brokerage
commissions |
Percent of
aggregate
dollar
amount of
transactions
involving
payment of
commissions |
Aggregate
amount of
commissions
paid to
broker |
Aggregate
amount of commissions
paid to broker |
Fund |
2023 |
2022 |
2021 | ||||
For Funds with fiscal period ending August 31 | |||||||
International Dividend Income Fund |
Merrill Lynch
International |
(1) |
$2,747 |
1.60% |
0.70% |
$0 |
$0 |
MM Alternative Strategies Fund |
BofA Securities, Inc |
(1) |
$29,192 |
7.17% |
10.13% |
$20,265 |
$26,086 |
MM International Equity Strategies Fund |
BofA Securities, Inc |
(1) |
$22,577 |
2.55% |
2.85% |
$20,575 |
$23,891 |
MM Small Cap Equity Strategies Fund |
BofA Securities, Inc |
(1) |
$43,532 |
3.48% |
2.78% |
$57,812 |
$39,198 |
For Funds with fiscal period ending October 31
| |||||||
Select Global Equity Fund |
Merrill Lynch International |
(1) |
$571 |
0.22% |
0.08% |
$0 |
$0 |
|
Brokerage
directed for research | |
Fund |
Amount of
Transactions |
Amount of
Commissions Imputed or Paid |
For Funds with fiscal period ending January 31
| ||
Capital Allocation Aggressive Portfolio |
$0(a) |
$0(a) |
Capital Allocation Conservative Portfolio |
0(a) |
0(a) |
Capital Allocation Moderate Aggressive Portfolio |
0(a) |
0(a) |
Capital Allocation Moderate Conservative Portfolio |
0(a) |
0(a) |
Capital Allocation Moderate Portfolio |
0(a) |
0(a) |
Income Builder Fund |
0(a) |
0(a) |
For Funds with fiscal period ending February 28/29
| ||
Convertible Securities Fund |
96,190,793 |
27,293 |
Global Value Fund |
236,739,461 |
52,865 |
Large Cap Enhanced Core Fund |
356,710,540 |
64,578 |
Large Cap Growth Opportunity Fund |
241,748,756 |
28,424 |
Large Cap Index Fund |
0 |
0 |
Mid Cap Index Fund |
0 |
0 |
|
Brokerage
directed for research | |
Fund |
Amount of
Transactions |
Amount of
Commissions Imputed or Paid |
Overseas Core Fund |
$422,234,076 |
$233,375 |
Overseas Value Fund |
607,005,974 |
413,501 |
Select Large Cap Equity Fund |
742,604,881 |
80,002 |
Select Mid Cap Value Fund |
562,569,980 |
109,731 |
Small Cap Index Fund |
0 |
0 |
Small Cap Value Fund II |
974,500,790 |
446,351 |
For Funds with fiscal period ending March 31 | ||
MM Growth Strategies Fund |
3,559,128,575 |
236,879 |
Select Large Cap Growth Fund |
642,986,434 |
89,661 |
Short Term Bond Fund |
0 |
0 |
For Funds with fiscal period ending April 30 | ||
Bond Fund |
0 |
0 |
CA Intermediate Municipal Bond Fund |
0 |
0 |
Corporate Income Fund |
0 |
0 |
MM Directional Alternative Strategies Fund |
1,524,494,763 |
281,590 |
Short Duration Municipal Bond Fund |
0 |
0 |
Small Cap Value Fund I |
771,212,343 |
397,387 |
Total Return Bond Fund |
0 |
0 |
U.S. Treasury Index Fund |
0 |
0 |
For Funds with fiscal period ending May 31 | ||
Adaptive Risk Allocation Fund |
63,399,759 |
20,583 |
Commodity Strategy Fund |
0 |
0 |
Dividend Income Fund |
8,595,440,708 |
1,031,298 |
Dividend Opportunity Fund |
1,219,448,290 |
211,056 |
Flexible Capital Income Fund |
301,051,405 |
76,544 |
High Yield Bond Fund |
0 |
0 |
High Yield Municipal Fund |
0 |
0 |
Large Cap Value Fund |
520,414,441 |
84,921 |
MM Value Strategies Fund |
564,565,226 |
96,203 |
Mortgage Opportunities Fund |
0 |
0 |
Multi Strategy Alternatives Fund |
0 |
0 |
Quality Income Fund |
0 |
0 |
Select Large Cap Value Fund |
323,297,643 |
83,609 |
Select Small Cap Value Fund |
68,556,992 |
32,496 |
Seligman Technology and Information Fund |
1,334,439,622 |
360,221 |
For Funds with fiscal period ending July 31 | ||
Disciplined Core Fund |
2,786,908,349 |
413,113 |
Disciplined Growth Fund |
157,787,176 |
21,980 |
Disciplined Value Fund |
116,191,511 |
19,477 |
Floating Rate Fund |
1,040,250 |
750 |
Global Opportunities Fund |
94,160,620 |
19,167 |
Government Money Market Fund |
0 |
0 |
|
Brokerage
directed for research | |
Fund |
Amount of
Transactions |
Amount of
Commissions Imputed or Paid |
Income Opportunities Fund |
$0 |
$0 |
Large Cap Growth Fund |
2,591,158,688 |
206,794 |
Limited Duration Credit Fund |
0 |
0 |
MN Tax-Exempt Fund |
0 |
0 |
OR Intermediate Municipal Bond Fund |
0 |
0 |
Strategic Municipal Income Fund |
0 |
0 |
Tax-Exempt Fund |
0 |
0 |
Ultra Short Term Bond Fund |
0 |
0 |
For Funds with fiscal period ending August 31 | ||
Balanced Fund |
2,957,118,585 |
477,924 |
Contrarian Core Fund |
7,093,131,506 |
1,140,095 |
Emerging Markets Bond Fund |
0 |
0 |
Emerging Markets Fund |
139,608,623 |
199,311 |
Global Technology Growth Fund |
188,161,007 |
34,805 |
Greater China Fund |
33,177,895 |
37,770 |
International Dividend Income Fund |
19,176,232 |
13,477 |
MM Alternative Strategies Fund |
458,104,279 |
272,330 |
MM International Equity Strategies Fund |
46,550,425 |
46,550 |
MM Small Cap Equity Strategies Fund |
1,137,678,574 |
614,506 |
MM Total Return Bond Strategies Fund |
0 |
0 |
Multisector Bond SMA Completion Portfolio |
0 |
0 |
Overseas SMA Completion Portfolio |
1,849,416 |
1,268 |
Select Mid Cap Growth Fund |
3,473,570,192 |
566,167 |
Small Cap Growth Fund |
2,700,758,101 |
911,644 |
Strategic Income Fund |
0 |
0 |
For Funds with fiscal period ending October 31
| ||
Intermediate Duration Municipal Bond Fund |
0 |
0 |
MA Intermediate Municipal Bond Fund |
0 |
0 |
NY Intermediate Municipal Bond Fund |
0 |
0 |
Select Global Equity Fund |
6,677,035 |
6,341 |
Seligman Global Technology Fund |
498,876,119 |
108,058 |
Strategic CA Municipal Income Fund |
0 |
0 |
Strategic NY Municipal Income Fund |
0 |
0 |
For Funds with fiscal period ending December 31
| ||
Real Estate Equity Fund |
21,743,277 |
7,597 |
Fund |
Issuer |
Value of securities owned at end of fiscal period |
For Funds with fiscal period ending January 31, 2023
| ||
Capital Allocation Aggressive Portfolio |
None |
N/A |
Capital Allocation Conservative Portfolio |
None |
N/A |
Capital Allocation Moderate Aggressive Portfolio |
None |
N/A |
Capital Allocation Moderate Conservative Portfolio |
None |
N/A |
Capital Allocation Moderate Portfolio |
None |
N/A |
Income Builder Fund |
None |
N/A |
For Funds with fiscal period ending February 28/29,
2023 | ||
Convertible Securities Fund |
None |
N/A |
Global Value Fund |
Morgan Stanley |
$18,241,588 |
Large Cap Enhanced Core Fund |
Citigroup, Inc. |
$3,394,152 |
JPMorgan Chase & Co. |
$1,899,674 | |
Morgan Stanley |
$3,699,038 | |
Large Cap Growth Opportunity Fund |
None |
N/A |
Large Cap Index Fund |
Ameriprise Financial, Inc. |
$3,056,343 |
Citigroup, Inc. |
$8,223,844 | |
Franklin Resources, Inc. |
$701,209 | |
JPMorgan Chase & Co. |
$35,220,522 | |
Morgan Stanley |
$10,655,916 | |
PNC Financial Services Group, Inc. (The) |
$5,335,169 | |
Raymond James Financial, Inc. (subsidiary) |
$1,758,787 | |
The Charles Schwab Corp. |
$9,955,527 | |
The Goldman Sachs Group, Inc. |
$9,974,552 | |
Mid Cap Index Fund |
Affiliated Managers Group, Inc. |
$6,962,072 |
Jefferies Financial Group, Inc. |
$8,026,520 | |
Primerica, Inc. |
$8,211,385 | |
Stifel Financial Corp. |
$8,235,127 | |
Overseas Core Fund |
None |
N/A |
Overseas Value Fund |
None |
N/A |
Select Large Cap Equity Fund |
Morgan Stanley |
$23,178,239 |
Select Mid Cap Value Fund |
None |
N/A |
Small Cap Index Fund |
Piper Sandler Companies |
$7,780,515 |
Small Cap Value Fund II |
Stifel Financial Corp. |
$8,480,727 |
For Funds with fiscal period ending March 31, 2023
| ||
MM Growth Strategies Fund |
FleetCor Technologies, Inc. |
$17,290 |
Morgan Stanley |
$13,070,171 | |
The Charles Schwab Corp. |
$6,928,041 | |
Select Large Cap Growth Fund |
None |
N/A |
Short Term Bond Fund |
Chase Mortgage Finance Trust (NEW) |
$131,495 |
Citigroup, Inc. |
$6,868,119 | |
Credit Suisse Mortgage Trust |
$18,554,969 | |
GS Mortgage Securities Trust |
$5,087,271 | |
JPMorgan Chase & Co. |
$9,983,914 | |
JPMorgan Mortgage Trust |
$8,963 | |
Morgan Stanley |
$7,417,074 | |
Morgan Stanley Capital I, Inc. |
$3,220,358 | |
Morgan Stanley Mortgage Loan Trust |
$34,392 | |
PNC Financial Services Group, Inc. (The) |
$2,012,003 | |
The Goldman Sachs Group, Inc. |
$6,848,263 |
Fund |
Issuer |
Value of securities owned at end of fiscal period |
For Funds with fiscal period ending April 30, 2023
| ||
Bond Fund |
Citigroup Commercial Mortgage Trust |
$1,666,901 |
Citigroup, Inc. |
$5,453,507 | |
Credit Suisse Mortgage Capital Certificates |
$181,058 | |
Credit Suisse Mortgage Capital Certificates OA
LLC |
$5,600,978 | |
Credit Suisse Mortgage Trust |
$5,456,885 | |
CSMC Trust |
$17,845,277 | |
GS Mortgage-Backed Securities Corp. Trust |
$2,085,793 | |
Jefferies Financial Group, Inc. |
$1,250 | |
JPMorgan Chase & Co. |
$15,746,220 | |
JPMorgan Chase Commercial Mortgage Securities
Trust |
$1,350,727 | |
Morgan Stanley |
$1,368,763 | |
Morgan Stanley Capital I Trust |
$1,056,484 | |
The Goldman Sachs Group, Inc. |
$6,952,694 | |
UBS Commercial Mortgage Trust |
$1,702,364 | |
CA Intermediate Municipal Bond Fund |
None |
N/A |
Corporate Income Fund |
Citigroup, Inc. |
$27,085,491 |
JPMorgan Chase & Co. |
$49,742,938 | |
Morgan Stanley |
$20,492,003 | |
The Goldman Sachs Group, Inc. |
$24,658,701 | |
MM Directional Alternative Strategies Fund |
JPMorgan Chase & Co. |
$1,392,077 |
The Charles Schwab Corp. |
$195,900 | |
The Goldman Sachs Group, Inc. |
$300,510 | |
Short Duration Municipal Bond Fund |
None |
N/A |
Small Cap Value Fund I |
None |
N/A |
Total Return Bond Fund |
Citigroup Mortgage Loan Trust, Inc. |
$3,536,384 |
Citigroup, Inc. |
$15,104,686 | |
Credit Suisse Mortgage Capital Certificates |
$7,228,768 | |
Credit Suisse Mortgage Trust |
$1,520,448 | |
CSMC Trust |
$13,995,672 | |
JPMorgan Chase & Co. |
$41,040,186 | |
Morgan Stanley |
$3,993,977 | |
Morgan Stanley Capital I Trust |
$5,430,431 | |
The Goldman Sachs Group, Inc. |
$18,976,301 | |
UBS Commercial Mortgage Trust |
$4,611,770 | |
U.S. Treasury Index Fund |
None |
N/A |
For Funds with fiscal period ending May 31, 2023
| ||
Adaptive Risk Allocation Fund |
None |
N/A |
Commodity Strategy Fund |
Citigroup, Inc. |
$1,872,956 |
Credit Suisse AG |
$1,071,322 | |
GS Mortgage Securities Corp. Trust |
$793,844 | |
GS Mortgage Securities Trust |
$2,162,328 | |
JPMorgan Chase & Co. |
$2,177,857 | |
JPMorgan Chase Bank NA |
$1,307,567 | |
JPMorgan Chase Commercial Mortgage Securities
Trust |
$1,406,604 | |
Morgan Stanley |
$1,681,735 | |
The Goldman Sachs Group, Inc. |
$2,007,247 | |
UBS Group AG |
$1,075,372 |
Fund |
Issuer |
Value of securities owned at end of fiscal period |
Dividend Income Fund |
JPMorgan Chase & Co. |
$1,062,449,026 |
Morgan Stanley |
$311,825,200 | |
PNC Financial Services Group, Inc. (The) |
$343,102,591 | |
Dividend Opportunity Fund |
JPMorgan Chase & Co. |
$88,211,500 |
Morgan Stanley & Co. |
$38,836,000 | |
PNC Financial Services Group, Inc. (The) |
$16,795,350 | |
Flexible Capital Income Fund |
Citigroup Capital XIII |
$7,157,500 |
JPMorgan Chase & Co. |
$14,249,550 | |
Morgan Stanley |
$13,081,600 | |
High Yield Bond Fund |
None |
N/A |
High Yield Municipal Fund |
None |
N/A |
Large Cap Value Fund |
JPMorgan Chase & Co. |
$72,889,841 |
Morgan Stanley |
$36,091,971 | |
PNC Financial Services Group, Inc. (The) |
$28,378,466 | |
The Goldman Sachs Group, Inc. |
$34,981,200 | |
MM Value Strategies Fund |
Citigroup, Inc. |
$7,425,018 |
Equitable Holdings, Inc. |
$5,374 | |
Franklin Resources, Inc. |
$1,899,815 | |
Jefferies Financial Group, Inc. |
$398,608 | |
JPMorgan Chase & Co. |
$86,532,496 | |
Morgan Stanley |
$27,443,316 | |
PNC Financial Services Group, Inc. (The) |
$16,109,752 | |
The Goldman Sachs Group, Inc. |
$14,079,609 | |
Mortgage Opportunities Fund |
Credit Suisse Mortgage Capital Certificates OA
LLC |
$20,044,664 |
Credit Suisse Mortgage Trust |
$23,268,031 | |
Morgan Stanley Capital I Trust |
$4,824,835 | |
Multi Strategy Alternatives Fund |
Credit Suisse Mortgage Capital Certificates OA
LLC |
$2,434,136 |
Credit Suisse Mortgage Trust |
$1,551,202 | |
Morgan Stanley Capital I Trust |
$526,346 | |
Quality Income Fund |
Citigroup Mortgage Loan Trust, Inc. |
$3,768,135 |
Credit Suisse Mortgage Capital Certificates OA
LLC |
$7,087,893 | |
JPMorgan Commercial Mortgage Securities Trust |
$6,736,606 | |
Morgan Stanley Capital I Trust |
$4,848,292 | |
Select Large Cap Value Fund |
Citigroup, Inc. |
$43,679,709 |
JPMorgan Chase & Co. |
$55,763,375 | |
Morgan Stanley |
$43,091,772 | |
Select Small Cap Value Fund |
None |
N/A |
Seligman Technology and Information Fund |
None |
N/A |
For Funds with fiscal period ending July 31, 2023
| ||
Disciplined Core Fund |
Citigroup, Inc. |
$54,118,407 |
Morgan Stanley |
$78,880,039 | |
Disciplined Growth Fund |
None |
N/A |
Disciplined Value Fund |
Citigroup, Inc. |
$3,589,227 |
JPMorgan Chase & Co. |
$4,326,366 | |
Morgan Stanley |
$3,923,621 | |
The Goldman Sachs Group, Inc. |
$390,389 | |
Floating Rate Fund |
None |
N/A |
Global Opportunities Fund |
Morgan Stanley |
$1,768,665 |
Fund |
Issuer |
Value of securities owned at end of fiscal period |
Government Money Market Fund |
None |
N/A |
Income Opportunities Fund |
None |
N/A |
Large Cap Growth Fund |
None |
N/A |
Limited Duration Credit Fund |
JPMorgan Chase & Co. |
$24,991,530 |
Morgan Stanley |
$13,097,671 | |
PNC Financial Services Group, Inc. (The) |
$6,588,384 | |
MN Tax-Exempt Fund |
None |
N/A |
OR Intermediate Municipal Bond Fund |
None |
N/A |
Strategic Municipal Income Fund |
None |
N/A |
Tax-Exempt Fund |
None |
N/A |
Ultra Short Term Bond Fund |
Citigroup, Inc. |
$12,411,587 |
Credit Suisse AG |
$6,633,237 | |
JPMorgan Chase & Co. |
$12,968,967 | |
Morgan Stanley |
$11,797,881 | |
The Goldman Sachs Group, Inc. |
$11,542,144 | |
For Funds with fiscal period ending August 31, 2023
| ||
Balanced Fund |
Citigroup Commercial Mortgage Trust |
$3,494,022 |
Citigroup, Inc. |
$10,928,902 | |
GS Mortgage Securities Corp. II |
$6,542,125 | |
GS Mortgage Securities Trust |
$8,298,487 | |
GS Mortgage-Backed Securities Trust |
$1,826,510 | |
JPMorgan Chase & Co. |
$90,553,255 | |
JPMorgan Chase Commercial Mortgage Securities
Trust |
$4,135,781 | |
Morgan Stanley |
$14,664,830 | |
Morgan Stanley Capital I Trust |
$6,118,161 | |
PNC Financial Services Group, Inc. (The) |
$7,879,184 | |
The Goldman Sachs Group, Inc. |
$9,153,293 | |
Contrarian Core Fund |
JPMorgan Chase & Co. |
$144,912,501 |
Emerging Markets Bond Fund |
None |
N/A |
Emerging Markets Fund |
None |
N/A |
Global Technology Growth Fund |
None |
N/A |
Greater China Fund |
None |
N/A |
International Dividend Income Fund |
None |
N/A |
Fund |
Issuer |
Value of securities owned at end of fiscal period |
MM Alternative Strategies Fund |
Bear Stearns Mortgage Funding Trust |
$841,510 |
Citigroup Commercial Mortgage Trust |
$380,211 | |
Citigroup Mortgage Loan Trust, Inc. |
$415,903 | |
Citigroup, Inc. |
$1,164,573 | |
Credit Suisse Group AG |
$2,195,094 | |
Credit Suisse Mortgage Capital Certificates |
$214,221 | |
Credit Suisse Mortgage Trust |
$14,685 | |
GS Mortgage Securities Trust |
$7,094 | |
GS Mortgage-Backed Securities Trust |
$637,253 | |
JPMorgan Alternative Loan Trust |
$364,231 | |
JPMorgan Chase & Co. |
$1,305,443 | |
JPMorgan Chase Commercial Mortgage Securities
Trust |
$518,189 | |
JPMorgan Mortgage Acquisition Trust |
$1,230,083 | |
Lehman Mortgage Trust |
$259,250 | |
Lehman XS Trust |
$2,071,729 | |
Morgan Stanley |
$708,232 | |
Morgan Stanley ABS Capital I, Inc. Trust |
$1,246,559 | |
Morgan Stanley Capital I Trust |
$256,721 | |
Morgan Stanley Mortgage Loan Trust |
$480,337 | |
PNC Financial Services Group, Inc. (The) |
$122,929 | |
The Goldman Sachs Group, Inc. |
$1,074,034 | |
MM International Equity Strategies Fund |
None |
N/A |
MM Small Cap Equity Strategies Fund |
Stifel Financial Corp. |
$2,388,705 |
Fund |
Issuer |
Value of securities owned at end of fiscal period |
MM Total Return Bond Strategies Fund |
Banc of America Merrill Lynch Commercial
Mortgage, Inc. |
$2,326,627 |
Citigroup Commercial Mortgage Trust |
$25,128,898 | |
Citigroup Mortgage Loan Trust, Inc. |
$2,517,498 | |
Citigroup, Inc. |
$65,053,827 | |
Credit Suisse AG |
$3,865,939 | |
Credit Suisse Group AG |
$47,178,613 | |
Credit Suisse Mortgage Capital Certificates |
$12,881,229 | |
Credit Suisse Mortgage Capital Trust |
$5,645,192 | |
Credit Suisse Mortgage Trust |
$12,108,553 | |
GS Mortgage Securities Corp Trust |
$1,943,475 | |
GS Mortgage Securities Corp. II |
$7,232,336 | |
GS Mortgage Securities Trust |
$34,351,845 | |
GS Mortgaged-Backed Securities Corp. Trust |
$16,086 | |
GS Mortgaged-Backed Securities Trust |
$3,200,073 | |
Jefferies Financial Group, Inc. (subsidiary) |
$3,620,147 | |
Jefferies Group LLC |
$598,581 | |
JPMorgan Alternative Loan Trust |
$2,198,633 | |
JPMorgan Chase & Co. |
$85,579,500 | |
JPMorgan Chase Bank |
$922,886 | |
JPMorgan Chase Commercial Mortgage Securities
Trust |
$30,118,049 | |
JPMorgan Mortgage Acquisition Trust |
$352,407 | |
JPMorgan Mortgage Trust |
$28,557,836 | |
JPMorgan Trust |
$380,855 | |
Lehman XS Trust |
$1,286,549 | |
Morgan Stanley |
$103,027,025 | |
Morgan Stanley Bank of America Merrill Lynch
Trust |
$1,374,526 | |
Morgan Stanley Capital I Trust |
$8,361,151 | |
PNC Financial Services Group, Inc. (The) |
$22,281,390 | |
Stifel Financial Corp. |
$3,265,830 | |
The Goldman Sachs Group, Inc. |
$66,638,838 | |
Multisector Bond SMA Completion Portfolio |
None |
N/A |
Overseas SMA Completion Portfolio |
None |
N/A |
Select Mid Cap Growth Fund |
None |
N/A |
Small Cap Growth Fund |
None |
N/A |
Strategic Income Fund |
Citigroup Mortgage Loan Trust, Inc. |
$2,004,868 |
Citigroup, Inc. |
$18,064,649 | |
Credit Suisse Mortgage Capital Certificates OA
LLC |
$11,687,904 | |
GS Mortgage Securities Corp. II |
$5,511,681 | |
JPMorgan Chase & Co. |
$53,635,498 | |
Morgan Stanley |
$11,787,403 | |
Morgan Stanley Capital I Trust |
$12,011,816 | |
PNC Financial Services Group, Inc. (The) |
$9,463,220 | |
The Goldman Sachs Group, Inc. |
$15,293,537 |
Fund |
Issuer |
Value of securities owned at end of fiscal period |
For Funds with fiscal period ending October 31, 2023
| ||
Intermediate Duration Municipal Bond Fund |
JPMorgan Chase Putters/Drivers Trust |
$5,000,000 |
MA Intermediate Municipal Bond Fund |
None |
N/A |
NY Intermediate Municipal Bond Fund |
None |
N/A |
Select Global Equity Fund |
UBS AG |
$5,999,088 |
Seligman Global Technology Fund |
None |
N/A |
Strategic CA Municipal Income Fund |
None |
N/A |
Strategic NY Municipal Income Fund |
None |
N/A |
For Funds with fiscal period ending December 31,
2023 | ||
Real Estate Equity Fund |
None |
N/A |
Identity of Recipient |
|
Conditions/restrictions on use of information |
|
Frequency of Disclosure |
Recipients under arrangements with the Funds or Investment Manager: |
|
| ||
Abel Noser |
|
Used for evaluating and assessing
trading activity, execution and practices. |
|
Quarterly |
Allvue Systems Company |
|
Used for front office trading, bank loan
analytics, and compliance. |
|
Daily |
Axioma Inc. |
|
Used as a hosted risk analytics platform designed for research, portfolio holdings, investment oversight and strategy development. |
|
Daily |
Identity of Recipient |
|
Conditions/restrictions on use of information |
|
Frequency of Disclosure |
Bank of New York Mellon |
|
Used as the accounting system of record
for ETFs. |
|
Daily |
BlackRock, Inc. |
|
Used for front office trading and
analytics, back office settlements,
portfolio accounting and reconciliations,
collateral management, portfolio risk
oversight, compliance mandate
monitoring and portfolio performance
calculations. |
|
Daily |
Bloomberg Finance L.P. |
|
Used for portfolio analytics, statistical
analysis and independent research. Used
for executing cleared swaps
electronically. Used for executing fixed
income trades. Used for evaluating and
assessing trading activity, execution and
practices in respect of market abuse
regulatory requirements. |
|
Daily |
Bolger, Inc. |
|
Used for commercial printing. |
|
As Needed |
Bond Connect Company Limited |
|
Used for executing Chinese fixed income
trades. |
|
Ad Hoc |
Boston Investors Communications Group, LLC |
|
Used for writing services that require
disclosing portfolio holdings in advance
of their dissemination to the general
public. |
|
As Needed |
Capital Markets Services Group |
|
Used for intraday post-trade information
when equity exposures (either via futures
or options trades) are modified beyond
certain limits for certain Funds. |
|
As Needed |
Castine LLC |
|
Used for facilitating the evaluation of
commission rates and providing flexible
commission reporting. |
|
Daily |
Catapult ME, Inc. |
|
Used for commercial printing. |
|
As Needed |
Citigroup, Inc. |
|
Used for mortgage decision support. |
|
Daily |
Compliance Solutions Strategies LLC |
|
Used for reporting returns and analytics
to client facing materials. Used for data
storage and as a transformation solution
to support Enhanced Client Regulatory
Reporting and Fund Detail reporting.
Used as a form reporting solution to
support the Alternative Investment Fund
Managers Directive and Money Market
Funds Regulation quarterly reporting
obligations. Used as a data
dissemination service to support the
dissemination of industry standard
templates to entities authorized by
Columbia Threadneedle Investments. |
|
Monthly or Quarterly |
Deloitte Haskins & Sells, LLP |
|
Used for calculating foreign capital gains
tax accruals irrespective of the tax lot
relief method. |
|
Weekly |
Donnelley Financial Solutions |
|
Used for providing EDGAR filing and
typesetting services, and printing of
prospectuses, factsheets, annual and
semi-annual reports. |
|
As Needed |
DS Graphics, Inc. |
|
Used for printing of prospectuses, factsheets, annual and semi-annual reports. |
|
As Needed |
Identity of Recipient |
|
Conditions/restrictions on use of information |
|
Frequency of Disclosure |
Depository Trust & Clearing Corporation |
|
Used for providing trade allocation and
acceptance services. |
|
Daily |
Elevation Exhibits & Events |
|
Used for trade show exhibits. |
|
As Needed |
Equifax, Inc. |
|
Used for ensuring Columbia Management
does not violate the Office of Foreign
Assets Control sanction requirements. |
|
Daily |
Ernst & Young, LLP |
|
Used for analyzing passive foreign
investment company investments. |
|
Monthly |
FactSet Research Systems, Inc. |
|
Used for calculating portfolio
performance attribution, portfolio
analytics, data for fundamental research,
and general market news and analysis.
Used for executing equity and convertible
trades. |
|
Daily |
Fidelity National Information Services, Inc. |
|
Used as a portfolio accounting system. |
|
Daily |
FMR LLC |
|
Used for advertising review. |
|
Daily |
Harte-Hanks, Inc. |
|
Used for printing of prospectuses,
factsheets, annual and semi-annual
reports. |
|
As Needed |
ICE Data Indices, LLC |
|
Used for calculation and dissemination of
ETF intraday indicative values. |
|
Daily |
Institutional Shareholder Services Inc. |
|
Used for proxy voting administration and
research on proxy matters. |
|
Daily |
Intex Solutions Inc. |
|
Used for providing mortgage analytics. |
|
As Needed |
Investment Company Institute |
|
Disclosure of Form N-PORT data. |
|
As Needed |
Investortools, Inc. |
|
Used for municipal bond analytics,
research, and decision support. |
|
As Needed |
JDP Marketing Services |
|
Used for writing Columbia Funds
shareholder reports, quarterly fund
commentaries and communications,
including shareholder letters and
management’s discussion of Columbia
Funds’ performance. |
|
As Needed |
John Roberts, Inc. |
|
Used for commercial printing. |
|
As Needed |
Kessler Topaz Meltzer & Check, LLP |
|
Used for monitoring eligibility to
participate in global litigation matters. |
|
Monthly |
Kynex, Inc. |
|
Used for providing portfolio attribution
reports for Convertible Securities Fund.
Used for portfolio analytics. |
|
Daily |
MarketAxess |
|
Used for executing fixed income trades. |
|
Daily |
Merrill Corporation |
|
Used for printing of prospectuses,
factsheets, annual and semi-annual
reports. |
|
As Needed |
Morningstar Investment Services, LLC |
|
Used for independent research and
ranking of funds. Used for statistical
analysis. |
|
As Needed |
R. R. Donnelley & Sons Co. |
|
Used for printing of prospectuses,
factsheets, annual and semi-annual
reports. Used for commercial printing. |
|
As Needed |
Refinitiv |
|
Used for executing foreign currency exchange orders. Used for executing fixed income trades. |
|
Daily |
Identity of Recipient |
|
Conditions/restrictions on use of information |
|
Frequency of Disclosure |
RegEd, Inc. |
|
Used for reviewing external and certain
internal communications prior to
dissemination. |
|
Daily |
SIX Group Services Ltd. |
|
Used as a trade repository authorized by
the Swiss regulator to submit holdings
supporting the SIX Financial Market
Infrastructure Act derivative reporting
requirement. |
|
Daily |
S.W.I.F.T. Scrl. |
|
Used for sending trade messages via
SWIFT to custodian. |
|
Daily |
Taylor Impressions |
|
Used for commercial printing. |
|
As Needed |
TC ICAP |
|
Used for executing equity and fixed
income trades. |
|
Daily |
Thomson Reuters Corp. |
|
Used for statistical analysis. |
|
As Needed |
Trepp, Inc. |
|
Used for insights about commercial
mortgage-backed securities mortgage
bonds. |
|
Daily |
Trumid Holdings, LLC |
|
Used for executing fixed income trades. |
|
Ad Hoc |
Virtu Financial |
|
Used for executing equity trades. |
|
Daily |
Visions, Inc. |
|
Used for commercial printing. |
|
As Needed |
Wilshire Associates, Inc. |
|
Used for providing performance attribution reporting. |
|
Daily |
Identity of Recipient |
|
Conditions/restrictions on use of information |
|
Frequency of Disclosure |
Recipients under arrangements with subadvisers: |
|
| ||
Abel Noser Corp. |
|
Used by certain subadvisers for
transaction cost analysis and other
analytics. |
|
Quarterly |
ACA Compliance Group |
|
Used by certain subadvisers for
performance evaluation. Used by certain
subadvisers for trade execution cost
analysis. |
|
Monthly or Quarterly |
Acadia |
|
Used by certain subadvisers for risk
management services. |
|
Daily |
Alpha TBA Mortgage Master |
|
Used by certain sub-advisers for
confirming TBAs. |
|
Daily |
Ashland Partners & Co. LLP |
|
Used by certain subadvisers for audit
and Global Investment Performance
Standards (GIPS) evaluation. |
|
Annually |
Axioma, Inc. |
|
Used by certain subadvisers for third-
party risk enhancement and
management. Used by certain
subadvisers for Derivatives Rule (Rule
18f-4) analysis. |
|
Daily |
BlackRock, Inc. |
|
Used by certain subadvisers for order
management and compliance. Used by
certain subadvisers for analytical and
statistical information. |
|
Daily |
Bloomberg Finance L.P. |
|
Used by certain subadvisers for
analytical, portfolio management,
statistical information, compliance and
personal trade monitoring. |
|
Daily or Annually |
BNY Mellon Corp. |
|
Used by certain subadvisers for SWIFT messages from custodians to facilitate automated reconciliation. |
|
Daily |
Identity of Recipient |
|
Conditions/restrictions on use of information |
|
Frequency of Disclosure |
Brown Brothers Harriman & Co. |
|
Used by certain subadvisers for
electronic trade transmission and
settlement. Used by certain subadvisers
for corporate actions management. |
|
Daily |
Castine LLC |
|
Used by certain subadvisers for
commission tracking. |
|
Daily |
Citibank N.A. |
|
Used by certain subadvisers for middle
office functions. |
|
Daily |
Compliance Solutions Strategies LLC |
|
Used by certain subadvisers for back up
of operational and reconciliation
services. |
|
Monthly |
ConsenSys Inc. |
|
Used by certain subadvisers for
commission tracking. |
|
Daily |
Eagle Investment Systems, LLC |
|
Used by certain subadvisers for portfolio
accounting systems. |
|
Daily |
Eze Castle Software LLC |
|
Used by certain subadvisers for order
management and compliance. |
|
Daily |
FactSet Research Systems, Inc. |
|
Used by certain subadvisers for
analytical and statistical information. |
|
Daily |
Financial Recovery Technologies Services |
|
Used by certain subadvisers for class
action monitoring services. |
|
Quarterly |
FIS Brokerage Securities Services LLC |
|
Used by certain subadvisers for
confirmation and settlement of bank loan
trades. |
|
Daily |
FIS Financial Systems LLC |
|
Used by certain subadvisers for code of
ethics monitoring. |
|
Daily |
Flextrade Systems Inc. |
|
Used by certain subadvisers for an
execution management system. |
|
Daily |
FX Connect, LLC |
|
Used by certain subadvisers for foreign
exchange derivatives reconciliation. |
|
Daily |
Generic Network Systems |
|
Used by certain subadvisers to provide
server and application managed services
related to optimizing the server
structure. |
|
Daily |
Global Trading Analytics, LLC |
|
Used by certain subadvisers for
transaction cost analysis and other
analytics. |
|
Daily |
Gresham Technologies plc |
|
Used by certain subadvisers for
electronic reconciliations of portfolio
holdings. |
|
Daily or Monthly |
ICE Data Services Inc. |
|
Used by certain subadvisers for data and
pricing. Used by certain subadvisers for
liquidity reporting. |
|
Daily |
IHS Markit Ltd. |
|
Used by certain subadvisers for
confirmation and settlement of bank loan
trades. |
|
Daily |
Infinit-O Global, Ltd. |
|
Used by certain subadvisers for portfolio
accounting systems. |
|
Daily |
Instinet Holdings Incorporated |
|
Used by certain subadvisers for an
execution management system. |
|
Daily |
Institutional Shareholder Services, Inc. |
|
Used by certain subadvisers for proxy
voting administration and research
services. |
|
Daily |
MSCI Barra Inc. |
|
Used by certain subadvisers for Rule
18f-4 compliance. |
|
Daily |
Identity of Recipient |
|
Conditions/restrictions on use of information |
|
Frequency of Disclosure |
Narrative Science Inc. |
|
Used by certain subadvisers for updating
attribution commentary. |
|
Monthly |
NAV Consulting, Inc. |
|
Used by certain subadvisers for
reconciliation services. |
|
Daily |
Nex Group plc |
|
Used by certain subadvisers for daily
reconciliations on collateral
management. |
|
Daily |
Northern Trust Co. |
|
Used by certain subadvisers for back-
office operations. |
|
Daily |
Omgeo, LLC |
|
Used by certain subadvisers for trade
execution and SWIFT transactions. Used
by certain subadvisers for trade
monitoring, trade settlement, and for
confirming TBAs. |
|
Daily or Monthly |
Portfolio BI, Inc. |
|
Used by certain subadvisers for client
reporting. |
|
Daily |
Refinitiv |
|
Used by certain subadvisers for
analytical and statistical information. |
|
Daily |
RELX Group |
|
Used by certain subadvisers for
compliance services. |
|
Weekly |
SimCorp |
|
Used by certain subadvisers for portfolio
accounting systems. |
|
Daily |
SS&C Technologies, Inc. |
|
Used by certain subadvisers for portfolio
accounting systems. Used by certain
subadvisers for SWIFT messages from
custodians to facilitate automated
reconciliation. Used by certain
subadvisers for analytical, portfolio
management, and statistical information. |
|
Daily |
State Street Bank and Trust Company |
|
Used by certain subadvisers for middle
office functions. |
|
Daily or Monthly |
State Street Corp. |
|
Used by certain subadvisers for order
management and compliance. Used by
certain subadvisers for trading. |
|
Daily or As Needed |
Trade Informatics LLC |
|
Used by certain subadvisers for
transaction cost analysis and other
analytics. |
|
Daily |
Tradeweb Markets LLC |
|
Used by certain subadvisers for
confirming TBAs, treasuries, and
discount notes. |
|
Daily |
VERMEG Co. |
|
Used by certain subadvisers for
management of swap counterparty
exposure. |
|
Daily |
Virtu Financial, Inc. |
|
Used by certain subadvisers for transaction cost analysis and other analytics. |
|
Daily |
Fund |
Total
Capital Loss
Carryovers |
Amount
not Expiring | |
Short-term |
Long-term | ||
For Funds with fiscal period ending January 31
| |||
Capital Allocation Conservative Portfolio |
$152,980 |
$0 |
$152,980 |
Income Builder Fund |
$14,868,351 |
$13,439,346 |
$1,429,005 |
For Funds with fiscal period ending February
28/29 | |||
Convertible Securities Fund |
$52,864,954 |
$52,864,954 |
$0 |
Global Value Fund |
$51,887,781 |
$6,433,790 |
$45,453,991 |
Large Cap Growth Opportunity Fund |
$31,446,349 |
$31,446,349 |
$0 |
Overseas Core Fund |
$65,247,319 |
$31,432,423 |
$33,814,896 |
Overseas Value Fund |
$328,827,828 |
$0 |
$328,827,828 |
For Funds with fiscal period ending March 31
| |||
Short Term Bond Fund |
$28,510,028 |
$11,726,371 |
$16,783,657 |
For Funds with fiscal period ending April 30
| |||
Bond Fund |
$115,375,299 |
$57,211,023 |
$58,164,276 |
CA Intermediate Municipal Bond Fund |
$11,008,727 |
$5,259,899 |
$5,748,828 |
Corporate Income Fund |
$107,765,180 |
$44,928,785 |
$62,836,395 |
MM Directional Alternative Strategies Fund |
$7,018,378 |
$7,018,378 |
$0 |
Short Duration Municipal Bond Fund |
$15,642,999 |
$8,542,874 |
$7,100,125 |
Small Cap Value Fund I |
$6,421,266 |
$6,421,266 |
$0 |
Total Return Bond Fund |
$388,222,421 |
$188,894,279 |
$199,328,142 |
U.S. Treasury Index Fund |
$60,390,821 |
$7,906,155 |
$52,484,666 |
Fund |
Total
Capital Loss
Carryovers |
Amount
not Expiring | |
Short-term |
Long-term | ||
For Funds with fiscal period ending May 31
| |||
Adaptive Risk Allocation Fund |
$562,544,401 |
$342,788,432 |
$219,755,969 |
Commodity Strategy Fund |
$2,637,434 |
$1,876,512 |
$760,922 |
Flexible Capital Income Fund |
$64,430,178 |
$55,637,974 |
$8,792,204 |
High Yield Bond Fund |
$64,053,128 |
$19,383,845 |
$44,669,283 |
High Yield Municipal Fund |
$22,036,401 |
$10,912,178 |
$11,124,223 |
Mortgage Opportunities Fund |
$615,532,304 |
$347,414,695 |
$268,117,609 |
Multi Strategy Alternatives Fund |
$70,345,308 |
$39,810,397 |
$30,534,911 |
Quality Income Fund |
$218,139,017 |
$127,608,531 |
$90,530,486 |
For Funds with fiscal period ending July 31
| |||
Floating Rate Fund |
$96,545,501 |
$14,095,562 |
$82,449,939 |
Global Opportunities Fund |
$12,309,476 |
$9,398,245 |
$2,911,231 |
Government Money Market Fund |
$31,343 |
$31,343 |
$0 |
Income Opportunities Fund |
$22,073,729 |
$7,692,907 |
$14,380,822 |
Limited Duration Credit Fund |
$47,252,506 |
$15,957,297 |
$31,295,209 |
MN Tax-Exempt Fund |
$24,633,474 |
$6,411,603 |
$18,221,871 |
OR Intermediate Municipal Bond Fund |
$2,085,153 |
$199,556 |
$1,885,597 |
Strategic Municipal Income Fund |
$134,408,972 |
$87,221,830 |
$47,187,142 |
Tax-Exempt Fund |
$91,766,573 |
$18,448,065 |
$73,318,508 |
Ultra Short Term Bond Fund |
$6,319,172 |
$0 |
$6,319,172 |
For Funds with fiscal period ending August 31
| |||
Balanced Fund |
$24,438,463 |
$24,438,463 |
$0 |
Emerging Markets Bond Fund |
$52,853,120 |
$13,376,002 |
$39,477,118 |
Emerging Markets Fund |
$259,633,782 |
$251,094,242 |
$8,539,540 |
Greater China Fund |
$24,050,867 |
$24,050,867 |
$0 |
MM International Equity Strategies Fund |
$81,789,722 |
$61,670,453 |
$20,119,269 |
MM Total Return Bond Strategies Fund |
$1,048,005,142 |
$607,003,484 |
$441,001,658 |
Multisector Bond SMA Completion Portfolio |
$1,360,832 |
$1,355,932 |
$4,900 |
Overseas SMA Completion Portfolio |
$690,998 |
$379,916 |
$311,082 |
Select Mid Cap Growth Fund |
$662,659 |
$662,659 |
$0 |
Small Cap Growth Fund |
$440,117,055 |
$335,204,282 |
$104,912,773 |
Strategic Income Fund |
$541,037,926 |
$168,577,382 |
$372,460,544 |
For Funds with fiscal period ending October 31
| |||
Intermediate Duration Municipal Bond Fund |
$38,080,763 |
$28,068,754 |
$10,012,009 |
MA Intermediate Municipal Bond Fund |
$4,368,667 |
$0 |
$4,368,667 |
NY Intermediate Municipal Bond Fund |
$2,703,574 |
$178,333 |
$2,525,241 |
Strategic CA Municipal Income Fund |
$22,438,002 |
$17,207,182 |
$5,230,820 |
Strategic NY Municipal Income Fund |
$6,453,885 |
$4,554,856 |
$1,899,029 |
Fund |
Class |
Percentage of Class
Beneficially Owned |
Emerging Markets Fund |
Class Inst2 |
1.61% |
Flexible Capital Income Fund |
Class Inst2 |
2.18% |
Floating Rate Fund |
Class Inst2 |
1.09% |
Global Value Fund |
Class Adv |
1.61% |
Overseas Core Fund |
Class Inst2 |
25.06% |
Select Large Cap Growth Fund |
Class Inst2 |
2.40% |
Select Large Cap Growth Fund |
Class Adv |
1.39% |
Select Large Cap Value Fund |
Class Inst2 |
2.58% |
Select Mid Cap Value Fund |
Class Inst2 |
2.32% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
Capital Allocation Aggressive Portfolio |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
75.44% |
68.23% |
Class C |
82.42% | |||
Class Inst |
26.58% | |||
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTENTION MUTUAL FUNDS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
12.57% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Inst |
10.09% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Inst3 |
16.31% |
N/A |
Class R |
6.14% | |||
|
MATRIX TRUST CO CUST FBO PO BOX 52129 PHOENIX AZ 85072-2129 |
Class Adv |
63.52% |
N/A |
Class Inst2 |
18.62% | |||
Class Inst3 |
67.99% | |||
Class R |
80.93% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
MERRILL LYNCH, PIERCE FENNER & SMITH FOR
THE SOLE BENEFIT OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
9.16% |
N/A |
Class Adv |
26.82% | |||
Class Inst |
28.58% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
5.60% |
N/A |
Class Inst2 |
38.60% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Inst2 |
11.08% |
N/A |
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class Inst |
7.73% |
N/A |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
16.78% |
N/A |
Capital Allocation Conservative Portfolio |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
80.26% |
72.95% |
Class C |
80.17% | |||
Class Inst |
38.75% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
14.99% |
N/A |
|
C/O MISSIONSQUARE RETIREMENT
ST PETERSBURG GENERAL EE DROP
1 4TH ST N
ST PETERSBURG FL 33701-3804 |
Class Inst3 |
5.36% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTENTION MUTUAL FUNDS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class R |
14.46% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Inst |
11.44% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Inst2 |
27.23% |
N/A |
Class Inst3 |
30.81% | |||
|
MATRIX TRUST CO CUST FBO
PO BOX 52129
PHOENIX AZ 85072-2129 |
Class Adv |
14.21% |
N/A |
Class Inst2 |
11.34% | |||
Class Inst3 |
51.38% | |||
Class R |
61.43% | |||
|
MATRIX TRUST COMPANY AS AGENT FOR
ADVISOR TRUST, INC.
STATE OF HAWAII DEPT OF EDU 403(B)
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class R |
6.04% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER & SMITH FOR
THE SOLE BENEFIT OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class Adv |
44.00% |
N/A |
Class Inst |
20.16% | |||
|
NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1015 |
Class Adv |
38.68% |
N/A |
Class Inst2 |
34.19% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
20.55% |
N/A |
Capital Allocation Moderate Aggressive Portfolio |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
62.35% |
55.02% |
Class C |
86.96% | |||
Class Inst |
9.78% | |||
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO
ATTENTION MUTUAL FUNDS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst |
5.18% |
N/A |
Class Inst2 |
23.18% | |||
|
CHARLES SCHWAB BANK CUST
WOODRIDGE CLINIC SC PS & 401K PLAN
2423 E LINCOLN DR
PHOENIX AZ 85016-1215 |
Class R |
7.97% |
N/A |
|
EMPOWER TRUST COMPANY LLC TTEE
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class Inst3 |
10.32% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Inst2 |
38.50% |
N/A |
Class Inst3 |
19.99% | |||
|
MATRIX TRUST CO CUST FBO
PO BOX 52129
PHOENIX AZ 85072-2129 |
Class Adv |
74.04% |
N/A |
Class Inst3 |
47.49% | |||
Class R |
40.74% | |||
|
MERRILL LYNCH, PIERCE FENNER & SMITH FOR
THE SOLE BENEFIT OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
11.90% |
N/A |
Class Adv |
12.47% | |||
Class Inst |
13.20% | |||
Class Inst3 |
8.84% | |||
Class V |
12.63% | |||
|
MITRA & CO FBO
C/O RELIANCE TRUST COMPANY WI
4900 WEST BROWN DEER ROAD
MAILCODE: BD1N – ATTN: MF
MILWAUKEE WI 53223-2422 |
Class R |
42.67% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
6.87% |
N/A |
Class Inst2 |
10.80% | |||
Class Inst3 |
6.29% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Inst2 |
5.86% |
N/A |
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class Inst |
6.94% |
N/A |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
15.53% |
N/A |
Capital Allocation Moderate Conservative Portfolio |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
81.95% |
77.35% |
Class C |
82.88% | |||
Class Inst |
28.41% | |||
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY A/C FBO CUSTOMERS ATTENTION MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
25.71% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
EMPOWER TRUST COMPANY LLC TTEE F
RETIREMENT PLANS
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class Inst3 |
7.63% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Inst |
6.57% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Inst2 |
19.89% |
N/A |
Class Inst3 |
32.40% | |||
Class R |
29.97% | |||
|
MERRILL LYNCH, PIERCE FENNER & SMITH FOR
THE SOLE BENEFIT OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
7.42% |
N/A |
Class Inst |
7.32% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
62.85% |
N/A |
Class Inst2 |
40.08% | |||
|
PAI TRUST COMPANY, INC.
COMPANION ANIMAL HOSPITAL OF INDIAN
1300 ENTERPRISE DR
DE PERE WI 54115-4934 |
Class R |
62.08% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
35.59% |
N/A |
Class Inst2 |
5.60% | |||
|
PIMS/PRUDENTIAL RETIREMENT
AS NOMINEE FOR THE TTEE/CUST
EVANGELICAL COMMUNITY HOSPITAL
1 HOSPITAL DR
LEWISBURG PA 17837-9350 |
Class Inst3 |
53.72% |
N/A |
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class Inst |
9.22% |
N/A |
|
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901 |
Class Inst |
6.71% |
N/A |
Capital Allocation Moderate Portfolio |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
88.93% |
84.41% |
Class C |
87.64% | |||
Class Inst |
46.65% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
10.50% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTENTION MUTUAL FUNDS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
13.06% |
N/A |
Class R |
8.89% | |||
|
EMPOWER TRUST COMPANY LLC TTEE F
RETIREMENT PLANS
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class Inst3 |
9.93% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Inst |
7.34% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class Inst3 |
32.11% |
N/A |
Class R |
12.23% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
MATRIX TRUST CO CUST FBO
PO BOX 52129
PHOENIX AZ 85072-2129 |
Class Adv |
84.48% |
N/A |
Class Inst3 |
51.13% | |||
Class R |
57.50% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Inst2 |
36.90% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Inst2 |
13.01% |
N/A |
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class Inst |
22.69% |
N/A |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
29.12% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class Inst |
8.20% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class Inst |
7.49% |
N/A |
Income Builder Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
74.05% |
62.90% |
Class C |
57.87% | |||
Class Inst |
58.20% | |||
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTENTION MUTUAL FUNDS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
16.85% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
80.59% |
N/A |
|
LINCOLN INVESTMENT PLANNING LLC
FBO LINCOLN CUSTOMERS
601 OFFICE CENTER DR STE 300
FT WASHINGTON PA 19034-3275 |
Class Adv |
16.12% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
7.35% |
N/A |
Class Inst |
5.92% | |||
|
MERRILL LYNCH, PIERCE FENNER & SMITH FOR
THE SOLE BENEFIT OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class Inst |
5.33% |
N/A |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class Inst |
6.33% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1015 |
Class A |
5.41% |
N/A |
Class Adv |
49.98% | |||
Class C |
5.06% | |||
Class Inst2 |
55.70% | |||
Class Inst3 |
5.17% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
20.77% |
N/A |
Class Inst2 |
15.78% | |||
|
PIMS/PRUDENTIAL RETIREMENT
AS NOMINEE FOR THE TTEE/CUST
2100 PONTIAC LAKE ROAD
WATERFORD MI 48328-2762 |
Class Adv |
6.41% |
N/A |
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class Inst |
7.56% |
N/A |
|
SAMMONS FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100
WEST DES MOINES IA 50266-5911 |
Class R |
91.11% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C |
9.56% |
N/A |
Class Inst |
9.78% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
Convertible Securities Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
21.14% |
N/A |
Class C |
18.65% | |||
Class Inst |
30.77% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
35.92% |
N/A |
|
SEI PRIVATE TRUST COMPANY
C/O MOODY
1 FREEDOM VALLEY DR
OAKS PA 19456-9989 |
Class Inst2 |
5.68% |
N/A |
|
CAPITAL BANK & TRUST CO FBO
C/O FASCORE
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
13.96% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
5.02% |
N/A |
Class Inst2 |
24.35% | |||
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
9.96% |
N/A |
|
J P MORGAN SECURITIES LLC OMNIBUS
ACCOUNT FOR THE EXCLUSIVE BENEFIT
OF CUSTOMERS
4 CHASE METROTECH CENTER
3RD FL MUTUAL FUND DEPARTMENT
BROOKLYN NY 11245-0003 |
Class Inst3 |
57.83% |
N/A |
|
JPMCB NA CUST FOR COLUMBIA INCOME BUILDER FUND 4 CHASE METROTECH CENTER 3RD FLOOR BROOKLYN NY 11245-0003 |
Class Inst3 |
11.07% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
JPMCB NA CUST FOR SC529 PLAN
COLUMBIA AGGRESSIVE GROWTH
529 PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
5.16% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
6.27% |
N/A |
Class Inst |
6.63% | |||
|
MATRIX TRUST COMPANY CUST. FBO
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class R |
6.70% |
N/A |
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
28.24% |
N/A |
Class C |
8.54% | |||
Class Inst |
7.31% | |||
Class Inst3 |
14.59% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 39
NEW YORK NY 10004-1932 |
Class C |
14.01% |
N/A |
Class Inst |
16.62% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
8.30% |
N/A |
Class Adv |
29.50% | |||
Class Inst2 |
42.19% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
59.49% |
N/A |
Class Inst2 |
7.99% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
12.30% |
N/A |
Class Inst |
10.38% | |||
|
RBC CAPITAL MARKETS LLC
MUTUAL FUND OMNIBUS PROCESSING
OMNIBUS
ATTN MUTUAL FUND OPS MANAGER
250 NICOLLET MALL SUITE 1400
MINNEAPOLIS MN 55401-7554 |
Class Inst |
7.19% |
N/A |
|
STATE STREET CORPORATION
1 LINCOLN ST
BOSTON MA 02111-2901 |
Class R |
9.71% |
N/A |
|
STEVEN HOLLINGSHEAD TTEE FBO
C/O FASCORE
HOLLYS CUSTOM PRINT INC 401K PSP
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
17.93% |
N/A |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
16.38% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class Inst |
5.52% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class A |
5.98% |
N/A |
Class C |
21.90% | |||
Class Inst |
5.46% | |||
Global Value Fund |
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A |
48.28% |
41.17% |
Class C |
40.04% | |||
Class Inst |
18.39% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class Inst2 |
10.90% |
N/A |
Class Inst3 |
6.46% | |||
|
CAPITAL BANK & TRUST CO FBO
C/O FASCORE
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
5.48% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst |
16.82% |
N/A |
Class Inst2 |
16.37% | |||
Class Inst3 |
8.34% | |||
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
56.62% |
N/A |
|
EMPOWER TRUST FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class Inst2 |
5.54% |
N/A |
|
JOHN HANCOCK LIFE INS CO USA
601 CONGRESS ST
ST4 TRADING OPS
BOSTON MA 02210-2804 |
Class Inst2 |
18.51% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
7.49% |
N/A |
|
MASSACHUSETTS MUTUAL INSURANCE COM
1295 STATE STREET MIP M200-INVST
SPRINGFIELD MA 01111-0001 |
Class Inst3 |
14.46% |
N/A |
Class R |
29.72% | |||
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
6.18% |
N/A |
Class Adv |
16.48% | |||
Class Inst |
6.90% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
5.00% |
N/A |
Class Adv |
20.73% | |||
Class Inst |
6.38% | |||
Class Inst2 |
20.98% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
44.83% |
N/A |
Class C |
8.17% | |||
|
STATE STREET CORPORATION
1 LINCOLN ST
BOSTON MA 02111-2901 |
Class R |
16.58% |
N/A |
|
THE HARTFORD
1 HARTFORD PLZ
HARTFORD CT 06155-0001 |
Class Inst3 |
7.01% |
N/A |
Class R |
14.49% | |||
|
WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
11.70% |
N/A |
Large Cap Enhanced Core Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
32.18% |
N/A |
Class Inst |
14.47% | |||
|
COLUMBIA MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
N/A |
N/A |
27.65%(a) |
|
SEI PRIVATE TRUST COMPANY C/O MOODY 1 FREEDOM VALLEY DR OAKS PA 19456-9989 |
Class Inst2 |
5.03% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
EMPOWER TRUST FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class Inst3 |
6.40% |
N/A |
|
JOHN HANCOCK TRUST COMPANY LLC
200 BERKELEY ST STE 7
BOSTON MA 02116-5038 |
Class Adv |
11.76% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA THERMOSTAT FUND
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
46.02% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Inst |
14.38% |
N/A |
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
22.78% |
N/A |
Class Inst |
13.99% | |||
Class Inst3 |
25.52% | |||
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Inst2 |
9.50% |
N/A |
Class R |
79.27% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
7.74% |
N/A |
Class Adv |
69.86% | |||
Class Inst |
10.12% | |||
Class Inst2 |
43.18% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
12.39% |
N/A |
Class Inst |
5.44% | |||
Class Inst2 |
17.61% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class Inst |
10.10% |
N/A |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
8.80% |
N/A |
|
VANGUARD FIDUCIARY TRUST CO
PO BOX 2600 VM 613
ATTN: OUTSIDE FUNDS
VALLEY FORGE PA 19482-2600 |
Class Inst3 |
5.31% |
N/A |
Large Cap Growth Opportunity Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
6.02% |
N/A |
Class C |
12.53% | |||
Class Inst |
12.07% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
10.26% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
35.76% |
N/A |
|
EMPOWER TRUST FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class R |
21.54% |
N/A |
|
FIIOC FBO 100 MAGELLAN WAY #KW1C COVINGTON KY 41015-1987 |
Class Adv |
7.02% |
N/A |
Class Inst2 |
9.80% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
J P MORGAN SECURITIES LLC OMNIBUS
ACCOUNT FOR THE EXCLUSIVE BENEFIT
OF CUSTOMERS
4 CHASE METROTECH CENTER
3RD FL MUTUAL FUND DEPARTMENT
BROOKLYN NY 11245-0003 |
Class Inst3 |
27.04% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class A |
5.47% |
N/A |
Class C |
12.12% | |||
Class Inst |
8.95% | |||
|
MATRIX TRUST COMPANY CUST. FBO
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class Inst2 |
7.00% |
N/A |
Class R |
14.35% | |||
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
31.07% |
25.82% |
Class Inst |
15.88% | |||
Class Inst3 |
11.45% | |||
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
8.46% |
N/A |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 39
NEW YORK NY 10004-1932 |
Class A |
8.56% |
N/A |
Class C |
6.82% | |||
Class Inst |
8.50% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
8.22% |
N/A |
Class Adv |
38.83% | |||
Class Inst |
5.79% | |||
Class Inst2 |
27.25% | |||
Class Inst3 |
25.30% | |||
|
PAI TRUST COMPANY INC
GARY CEDER & ASSOCIATES, INC
1300 ENTERPRISE DR
DE PERE WI 54115-4934 |
Class Inst3 |
5.89% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
36.31% |
N/A |
Class C |
9.30% | |||
Class Inst2 |
10.38% | |||
Class Inst3 |
26.71% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
22.48% |
N/A |
Class Inst |
8.44% | |||
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
7.95% |
N/A |
|
THE HARTFORD
1 HARTFORD PLZ
HARTFORD CT 06155-0001 |
Class R |
30.14% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class C |
8.57% |
N/A |
Class Inst |
13.75% | |||
|
WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class A |
6.79% |
N/A |
Class Inst |
7.17% | |||
Large Cap Index Fund |
COLUMBIA MGMT INVESTMENT ADVSR LLC ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
N/A |
N/A |
33.26%(a) |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
13.10% |
N/A |
|
EMPOWER TRUST FBO
CULLEN AND DYKMAN SAVINGS PLAN I
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class Inst2 |
6.19% |
N/A |
|
EMPOWER TRUST FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class A |
15.98% |
N/A |
Class Inst |
5.70% | |||
Class Inst2 |
19.70% | |||
|
FIIOC FBO
100 MAGELLAN WAY #KW1C
COVINGTON KY 41015-1987 |
Class A |
6.50% |
N/A |
|
JOHN HANCOCK TRUST COMPANY LLC
200 BERKELEY ST STE 7
BOSTON MA 02116-5038 |
Class Inst2 |
15.24% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA THERMOSTAT FUND
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
36.08% |
N/A |
|
JPMCB NA CUST FOR SC529 PLAN
COLUMBIA AGGRESSIVE GROWTH
529 PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
43.62% |
N/A |
|
LINCOLN RETIREMENT SERVICES CO
FBO
PO BOX 7876
FORT WAYNE IN 46801-7876 |
Class A |
7.36% |
N/A |
|
MATRIX TRUST COMPANY CUST. FBO
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class A |
6.39% |
N/A |
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
7.55% |
N/A |
Class Inst3 |
58.41% | |||
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Inst |
10.24% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Inst2 |
7.20% |
N/A |
|
NATIONWIDE LIFE INSURANCE CO
(NACO)
C/O IPO PORTFOLIO ACCOUNTING
PO BOX 182029
COLUMBUS OH 43218-2029 |
Class Inst2 |
5.62% |
N/A |
|
TIAA FSB CUST/TTEE FBO RETIREMENT PLANS FOR WHICH TIAA ACTS AS RECORDKEEPER ATTN TRUST OPERATIONS 211 N BROADWAY STE 1000 SAINT LOUIS MO 63102-2748 |
Class Inst2 |
7.26% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
Mid Cap Index Fund |
AUL
AMERICAN GROUP RETIREMENT ANNUITY
ATTN SEPARATE ACCOUNTS
PO BOX 368
INDIANAPOLIS IN 46206-0368 |
Class A |
5.08% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
5.69% |
N/A |
Class Inst |
6.59% | |||
Class Inst2 |
7.34% | |||
|
EMPOWER TRUST FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class A |
12.24% |
N/A |
Class Inst |
5.72% | |||
Class Inst2 |
11.61% | |||
|
FIIOC FBO
100 MAGELLAN WAY #KW1C
COVINGTON KY 41015-1987 |
Class A |
6.84% |
N/A |
Class Inst2 |
5.30% | |||
|
JPMCB NA CUST FOR SC529 PLAN
COLUMBIA AGGRESSIVE GROWTH
529 PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
37.03% |
N/A |
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
26.09% |
N/A |
Class Inst |
5.24% | |||
Class Inst2 |
25.05% | |||
Class Inst3 |
75.56% | |||
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Inst |
6.12% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Inst3 |
12.54% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Inst2 |
8.35% |
N/A |
|
STANDARD INSURANCE COMPANY
1100 SW 6TH AVE
ATTN: SEP ACCT P11D
PORTLAND OR 97204-1093 |
Class Inst2 |
6.78% |
N/A |
|
TIAA FSB CUST/TTEE FBO
RETIREMENT PLANS FOR WHICH
TIAA ACTS AS RECORDKEEPER
ATTN TRUST OPERATIONS
211 N BROADWAY STE 1000
SAINT LOUIS MO 63102-2748 |
Class Inst2 |
5.62% |
N/A |
Overseas Core Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
80.64% |
N/A |
Class C |
52.83% | |||
Class Inst |
11.42% | |||
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
57.60% |
N/A |
|
COLUMBIA MGMT INVESTMENT ADVSR LLC ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class Adv |
6.39% |
76.04%(a) |
Class R |
100.00% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
FIRST REPUBLIC BANK
C/O RELIANCE MUTUAL FUND TRADING
111 PINE ST
SAN FRANCISCO CA 94111-5628 |
Class Inst2 |
17.80% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
31.25% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
36.65% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE CONSERVATIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
5.91% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
22.16% |
N/A |
|
JPMCB NA CUST FOR SC529 PLAN
COLUMBIA AGGRESSIVE GROWTH
529 PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
52.31% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Inst |
35.39% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
22.76% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
70.85% |
N/A |
Class Inst2 |
21.79% | |||
|
WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
29.76% |
N/A |
Overseas Value Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
52.79% |
N/A |
Class C |
21.33% | |||
Class Inst |
24.40% | |||
|
SEI PRIVATE TRUST COMPANY
C/O MOODY
1 FREEDOM VALLEY DR
OAKS PA 19456-9989 |
Class Inst3 |
50.94% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
66.06% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
6.18% |
N/A |
|
LPL FINANCIAL 9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class Adv |
12.23% |
N/A |
Class Inst |
9.13% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
MASSACHUSETTS MUTUAL INSURANCE COM
1295 STATE STREET MIP M200-INVST
SPRINGFIELD MA 01111-0001 |
Class R |
11.15% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
12.25% |
N/A |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 39
NEW YORK NY 10004-1932 |
Class C |
26.92% |
N/A |
Class Inst |
22.52% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
7.52% |
N/A |
Class Adv |
24.44% | |||
Class Inst2 |
16.57% | |||
Class Inst3 |
10.65% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
38.59% |
N/A |
Class C |
9.75% | |||
Class Inst2 |
6.85% | |||
|
PIMS/PRUDENTIAL RETIREMENT
AS NOMINEE FOR THE TTEE/CUST
PRISMA HEALTH RETIREMENT SAVINGS
300 E MCBEE AVE
GREENVILLE SC 29601-2842 |
Class Adv |
14.41% |
N/A |
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class A |
6.99% |
N/A |
Class C |
14.09% | |||
Class Inst |
8.24% | |||
|
STATE STREET CORPORATION
1 LINCOLN ST
BOSTON MA 02111-2901 |
Class R |
17.25% |
N/A |
|
THE HARTFORD
1 HARTFORD PLZ
HARTFORD CT 06155-0001 |
Class R |
40.35% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class Inst |
17.96% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
8.44% |
N/A |
Select Large Cap Equity Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
10.77% |
N/A |
Class C |
42.55% | |||
Class Inst |
15.13% | |||
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst |
9.89% |
N/A |
|
COLUMBIA MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
N/A |
N/A |
43.00%(a) |
|
JPMCB NA CUST FOR COLUMBIA CAPITAL ALLOCATION AGGRESSIVE PORTFOLIO 4 CHASE METROTECH CENTER 3RD FLOOR BROOKLYN NY 11245-0003 |
Class Inst3 |
28.60% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
35.27% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE CONSERVATIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
5.18% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
17.47% |
N/A |
|
JPMCB NA CUST FOR SC529 PLAN
COLUMBIA AGGRESSIVE GROWTH
529 PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
10.80% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
6.68% |
N/A |
Class Inst |
30.56% | |||
|
MATRIX TRUST COMPANY AS AGENT FOR
TD AMERITRADE TRUST COMPANY TDARP
SOULE SOFTWARE 401(K) PLAN
PO BOX 17749
DENVER CO 80217-0749 |
Class Adv |
5.87% |
N/A |
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
57.63% |
N/A |
Class C |
5.24% | |||
Class Inst |
5.98% | |||
Class Inst3 |
6.83% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
5.80% |
N/A |
Class Adv |
76.84% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
12.09% |
N/A |
Class C |
6.26% | |||
Class Inst2 |
15.46% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
10.31% |
N/A |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
74.59% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
17.29% |
N/A |
Select Mid Cap Value Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
42.73% |
N/A |
Class C |
33.82% | |||
Class Inst |
9.80% | |||
|
ASCENSUS TRUST COMPANY FBO PO BOX 10758 FARGO ND 58106-0758 |
Class R |
6.77% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
CHAIR OF THE BRD OF TRUSTEES OF TN
CONSLDTD RET SYS & THE COMM OF FINA
C/O FASCORE LLC FBO
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class Adv |
61.06% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst |
9.35% |
N/A |
Class Inst2 |
23.80% | |||
|
DCGT AS TTEE AND /OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH ST
DES MOINES IA 50392-0001 |
Class Inst3 |
5.48% |
N/A |
Class R |
5.96% | |||
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class A |
5.22% |
N/A |
Class Inst3 |
39.66% | |||
|
EMPOWER ANNUITY INSURANCE
FBO FUTURE FUNDS I
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class R |
12.09% |
N/A |
|
EMPOWER TRUST FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class Inst2 |
9.91% |
N/A |
Class R |
20.51% | |||
|
ING FUND OPERATIONS TTEE
FBO ING LIFE INSURANCE & ANNUITY CO
1 ORANGE WAY
WINDSOR CT 06095-4773 |
Class Inst3 |
8.83% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
6.82% |
N/A |
|
MATRIX TRUST COMPANY CUST. FBO
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class R |
7.68% |
N/A |
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class Inst2 |
8.23% |
N/A |
Class Inst3 |
10.35% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 39
NEW YORK NY 10004-1932 |
Class C |
11.00% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
5.91% |
N/A |
Class Adv |
7.73% | |||
Class Inst2 |
32.17% | |||
Class Inst3 |
10.92% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class C |
5.01% |
N/A |
|
STATE STREET CORPORATION
1 LINCOLN ST
BOSTON MA 02111-2901 |
Class R |
5.22% |
N/A |
|
TD AMERITRADE INC FOR THE EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class Inst2 |
7.07% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
THE HARTFORD
1 HARTFORD PLZ
HARTFORD CT 06155-0001 |
Class R |
18.89% |
N/A |
|
TIAA FSB CUST/TTEE FBO
RETIREMENT PLANS FOR WHICH
TIAA ACTS AS RECORDKEEPER
ATTN TRUST OPERATIONS
211 N BROADWAY STE 1000
SAINT LOUIS MO 63102-2748 |
Class Inst |
10.39% |
N/A |
|
VENERABLE INSURANCE & ANNUITY CO
1475 DUNWOODY DR
WEST CHESTER PA 19380-1478 |
Class Inst2 |
6.25% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
9.85% |
N/A |
Small Cap Index Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
28.65% |
N/A |
Class Inst |
8.45% | |||
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
6.74% |
N/A |
Class Inst2 |
7.07% | |||
|
EMPOWER TRUST FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class A |
7.20% |
N/A |
Class Inst2 |
7.66% | |||
|
FIIOC FBO
100 MAGELLAN WAY #KW1C
COVINGTON KY 41015-1987 |
Class Inst2 |
5.36% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA THERMOSTAT FUND
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
14.89% |
N/A |
|
JPMCB NA CUST FOR SC529 PLAN
COLUMBIA AGGRESSIVE GROWTH
529 PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
14.40% |
N/A |
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
16.01% |
N/A |
Class Inst2 |
7.56% | |||
Class Inst3 |
62.04% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
5.13% |
N/A |
Class Inst |
8.11% | |||
Class Inst2 |
34.00% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Inst2 |
12.86% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class Inst |
6.50% |
N/A |
Small Cap Value Fund II |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
17.72% |
N/A |
Class C |
62.98% | |||
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY A/C FBO CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class A |
5.28% |
N/A |
Class Inst |
12.69% | |||
Class Inst2 |
15.78% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
DCGT AS TTEE AND /OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH ST
DES MOINES IA 50392-0001 |
Class Inst3 |
10.41% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class A |
7.98% |
N/A |
Class Inst3 |
14.82% | |||
|
EMPOWER TRUST FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class A |
6.12% |
N/A |
Class Adv |
9.44% | |||
Class Inst |
9.50% | |||
Class Inst3 |
10.27% | |||
Class R |
28.66% | |||
|
LINCOLN RETIREMENT SERVICES CO
FBO
PO BOX 7876
FORT WAYNE IN 46801-7876 |
Class Inst2 |
11.81% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class A |
5.40% |
N/A |
Class C |
7.79% | |||
Class Inst |
12.33% | |||
|
MATRIX TRUST COMPANY CUST. FBO
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class R |
10.99% |
N/A |
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
12.74% |
N/A |
Class Adv |
18.29% | |||
Class Inst |
6.52% | |||
Class Inst3 |
6.84% | |||
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Inst2 |
36.32% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
25.55% |
N/A |
Class Inst |
23.47% | |||
Class Inst2 |
16.73% | |||
Class Inst3 |
25.72% | |||
Class R |
11.27% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Inst2 |
6.52% |
N/A |
|
PIMS/PRUDENTIAL RETIREMENT
AS NOMINEE FOR THE TTEE
BOYD GAMING CORPORATION 401(K)
6465 S RAINBOW BLVD
LAS VEGAS NV 89118-3215 |
Class Adv |
13.76% |
N/A |
|
PIMS/PRUDENTIAL RETIREMENT
AS NOMINEE FOR THE TTEE
DEFERRED COMPENSATION PLAN FOR
148 MARTINE AVE, 7TH FLOOR
WHITE PLAINS NY 10601-3311 |
Class Adv |
14.21% |
N/A |
|
PRINCIPAL BANK FBO
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class Inst |
6.19% |
N/A |
|
RAYMOND JAMES FBO OMNIBUS FOR MUTUAL FUNDS ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class C |
16.05% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
SCOTT LANE & MARK BROWN TTEE FBO
LANE BROWN LLC 401K PSP
8515 E ORCHARD RD 2T2
C/O EMPOWER
GREENWOOD VILLAGE CO 80111-5002 |
Class R |
9.80% |
N/A |
|
THE HARTFORD
1 HARTFORD PLZ
HARTFORD CT 06155-0001 |
Class R |
14.42% |
N/A |
|
VRSCO FBO
2727-A ALLEN PARKWAY, 4-D1
HOUSTON TX 77019-2107 |
Class A |
8.59% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C |
6.89% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
MM Growth Strategies Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class Inst |
100.00% |
100.00% |
|
COLUMBIA MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
Class Inst3 |
100.00% |
N/A |
Select Large Cap Growth Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
30.37% |
27.54% |
Class C |
31.14% | |||
Class Inst |
36.93% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
8.55% |
N/A |
|
CHARLES SCHWAB & CO INC
CUST A/C FOR THE EXCLUSIVE BENEFIT
ATTENTION MUTUAL FUNDS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
49.52% |
N/A |
|
DCGT AS TTEE AND/OR CUST
FBO
ATTN NPIO TRADE DESK
711 HIGH ST
DES MOINES IA 50392-0001 |
Class R |
13.27% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
29.99% |
N/A |
|
EMPOWER TRUST FBO
EMPOWER BENEFIT PLANS
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class R |
49.81% |
N/A |
|
JPMCB NA AS CUST FOR THE SC529 PLAN
COLUMBIA SELECT LARGE CAP GROWTH 529
PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
7.43% |
N/A |
|
MERRILL LYNCH, PIERCE, FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUSTOMER ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A |
13.05% |
N/A |
Class Adv |
14.44% | |||
Class Inst |
9.64% | |||
Class Inst3 |
52.61% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
9.20% |
N/A |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1932 |
Class A |
12.09% |
N/A |
Class C |
16.20% | |||
Class Inst |
16.22% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
6.32% |
N/A |
Class Adv |
42.88% | |||
Class Inst2 |
37.38% | |||
|
NATIONWIDE TRUST COMPANY/FSB
C/O IPO PORTFOLIO ACCOUNTING
PO BOX 182029
COLUMBUS OH 43218-2029 |
Class Inst2 |
7.57% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
26.83% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class C |
8.19% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class A |
5.62% |
N/A |
Class C |
16.51% | |||
Short Term Bond Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
58.02% |
N/A |
Class C |
34.60% | |||
Class Inst |
25.74% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class C |
9.80% |
N/A |
Class R |
66.54% | |||
|
CHARLES SCHWAB & CO INC
CUST A/C FOR THE EXCLUSIVE BENEFIT
ATTENTION MUTUAL FUNDS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
32.00% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class A |
8.31% |
N/A |
|
JPMCB NA AS CUST FOR THE SC529 PLAN
COLUMBIA SHORT TERM BOND 529 PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
26.55% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
6.68% |
N/A |
Class Inst |
9.98% | |||
|
MAC & CO
ATTN MUTUAL FUND OPS
500 GRANT STREET
ROOM 151-1010
PITTSBURGH PA 15219-2502 |
Class Adv |
20.69% |
N/A |
|
MERRILL LYNCH, PIERCE, FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUSTOMER ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A |
7.79% |
31.00% |
Class Inst |
11.98% | |||
Class Inst3 |
67.78% | |||
Class R |
7.10% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
14.00% |
N/A |
|
MMC CORP
7801 W 110TH ST
OVERLAND PARK KS 66210-2305 |
Class Adv |
5.60% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Inst2 |
54.33% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
9.52% |
N/A |
Class C |
6.13% | |||
Class Inst2 |
7.63% | |||
|
RAYMOND JAMES
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
7.33% |
N/A |
|
SEI PRIVATE TRUST COMPANY
C/O GWP US ADVISORS
1 FREEDOM VALLEY DR
OAKS PA 19456-9989 |
Class Adv |
49.04% |
N/A |
Class Inst3 |
25.82% | |||
|
STIFEL NICOLAUS & CO INC
EXCLUSIVE BENEFIT OF CUSTOMERS
501 N BROADWAY
SAINT LOUIS MO 63102-2188 |
Class C |
6.29% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C |
14.80% |
N/A |
Class Inst |
8.90% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
Bond Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
36.99% |
N/A |
Class C |
56.95% | |||
Class Inst |
31.54% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10577
FARGO ND 58106-0577 |
Class C |
16.24% |
N/A |
Class R |
95.95% | |||
|
COLUMBIA MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
N/A |
N/A |
41.63%(a) |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTENTION MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst |
6.16% |
N/A |
Class Inst2 |
11.93% | |||
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class A |
20.09% |
N/A |
|
EMPOWER TRUST FBO EMPOWER BENEFIT PLANS 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class Adv |
35.76% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
19.51% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
11.19% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE CONSERVATIVE PORTFOLIO
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
6.63% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE PORTFOLIO
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
16.05% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Adv |
9.42% |
N/A |
Class C |
7.16% | |||
Class Inst |
34.48% | |||
|
MERRILL LYNCH PIERCE FENNER & SMITH
FOR THE SOLE BENEFIT OF ITS CUSTOMER
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class A |
12.71% |
31.93% |
Class Inst |
5.45% | |||
Class Inst3 |
38.77% | |||
Class V |
19.19% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
12.75% |
N/A |
Class Inst2 |
82.57% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
28.35% |
N/A |
|
STIFEL NICOLAUS & CO INC
EXCLUSIVE BENEFIT OF CUSTOMERS
501 N BROADWAY
SAINT LOUIS MO 63102-2188 |
Class Adv |
7.53% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class V |
6.21% |
N/A |
CA Intermediate Municipal Bond Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
28.99% |
N/A |
Class C |
26.08% | |||
Class Inst |
40.21% | |||
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTENTION MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
5.51% |
N/A |
Class Inst2 |
21.24% | |||
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class A |
24.44% |
N/A |
Class Inst3 |
6.37% | |||
|
LPL FINANCIAL 9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class Adv |
15.59% |
N/A |
Class C |
6.12% | |||
Class Inst |
6.53% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
MERRILL LYNCH PIERCE FENNER & SMITH
FOR THE SOLE BENEFIT OF ITS CUSTOMER
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class A |
6.17% |
32.38% |
Class C |
8.62% | |||
Class Inst |
6.93% | |||
Class Inst3 |
92.88% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class C |
7.09% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
5.24% |
N/A |
Class Adv |
5.05% | |||
Class Inst |
6.90% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
75.95% |
N/A |
Class Inst2 |
5.85% | |||
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
68.59% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class A |
5.06% |
N/A |
Class C |
22.49% | |||
Class Inst |
16.10% | |||
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class A |
10.93% |
N/A |
Class C |
22.34% | |||
Class Inst |
9.70% | |||
Corporate Income Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
29.11% |
N/A |
Class C |
35.77% | |||
Class Inst |
44.84% | |||
|
BAND & CO
C/O US BANK NA
1555 N RIVERCENTER DR STE 302
MILWAUKEE WI 53212-3958 |
Class Inst |
8.80% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTENTION MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
17.49% |
N/A |
Class Inst |
82.68% | |||
|
COLUMBIA MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
N/A |
N/A |
49.01%(a) |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class A |
9.42% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
19.15% |
N/A |
|
JPMCB NA CUST FOR COLUMBIA CAPITAL ALLOCATION MODERATE CONSERVATIVE PORTFOLIO 4 CHASE METROTECH CTR FL 3RD BROOKLYN NY 11245-0003 |
Class Inst3 |
8.55% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE PORTFOLIO
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
16.64% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA INCOME BUILDER FUND
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
23.98% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA THERMOSTAT FUND
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
15.33% |
N/A |
|
JPMCB NA CUST FOR SC529 PLAN
COLUMBIA COLLEGE 529 PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
31.42% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
5.39% |
N/A |
|
MAC & CO
FBO
500 GRANT ST
PITTSBURGH PA 15219-2502 |
Class Adv |
8.55% |
N/A |
|
MERRILL LYNCH PIERCE FENNER & SMITH
FOR THE SOLE BENEFIT OF ITS CUSTOMER
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class Inst3 |
8.60% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
13.92% |
N/A |
Class Adv |
50.85% | |||
Class Inst2 |
10.44% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
10.88% |
N/A |
Class C |
5.93% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
41.79% |
N/A |
|
SEI PRIVATE TRUST COMPANY
C/O PRINCIPAL FINANCIAL
1 FREEDOM VALLEY DR
OAKS PA 19456-9989 |
Class Adv |
25.23% |
N/A |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
5.48% |
N/A |
MM Directional
Alternative Strategies
Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class Inst |
100.00% |
100.00% |
Short Duration Municipal Bond Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
41.89% |
N/A |
Class C |
23.51% | |||
Class Inst |
23.85% | |||
|
CHARLES SCHWAB & CO INC SPECIAL CUSTODY A/C FBO CUSTOMERS ATTENTION MUTUAL FUND DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class Adv |
8.71% |
N/A |
Class C |
9.62% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class A |
18.09% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
7.94% |
N/A |
Class Inst |
24.94% | |||
|
MARIL & CO FBO JH
C/O RELIANCE TRUST COMPANY WI
MAILCODE: BD1N – ATTN MF
4900 W BROWN DEER RD
MILWAUKEE WI 53223-2422 |
Class Inst2 |
24.18% |
N/A |
|
MERRILL LYNCH PIERCE FENNER & SMITH
FOR THE SOLE BENEFIT OF ITS CUSTOMER
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class A |
8.63% |
44.04% |
Class Inst |
5.39% | |||
Class Inst3 |
97.22% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class Inst |
7.16% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
5.41% |
N/A |
Class Adv |
19.15% | |||
Class Inst2 |
62.58% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Inst2 |
6.07% |
N/A |
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
12.69% |
N/A |
|
RBC CAPITAL MARKETS LLC
MUTUAL FUND OMNIBUS PROCESSING
OMNIBUS
ATTN MUTUAL FUND OPS MANAGER
250 NICOLLET MALL SUITE 1400
MINNEAPOLIS MN 55401-7554 |
Class C |
6.01% |
N/A |
|
ROBERT W BAIRD & CO INC
777 E WISCONSIN AVE
MILWAUKEE WI 53202-5391 |
Class Inst |
8.46% |
N/A |
|
SEI PRIVATE TRUST COMPANY
C/O BMO HARRIS SWP
1 FREEDOM VALLEY DRIVE
OAKS PA 19456-9989 |
Class Adv |
63.14% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class C |
12.29% |
N/A |
Class Inst |
5.51% | |||
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class A |
6.93% |
N/A |
Class C |
12.46% | |||
Class Inst |
11.08% | |||
Small Cap Value Fund I |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
17.29% |
N/A |
Class C |
33.58% | |||
Class Inst |
7.96% | |||
|
ARC ENGINEERING INC TTEE FBO C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R |
7.56% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTENTION MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
6.09% |
N/A |
Class Inst2 |
16.69% | |||
|
JAMES RUNKE & JOANNE RUNKE TRUSTEES
CHICAGO CONSULTING PHYSICIANS PC
C/O FASCORE LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
5.17% |
N/A |
|
JOHN COTTIS TTEE FBO
C/O FASCORE
KEY WEST ENGINE SERVICE 401K
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
8.24% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA INCOME BUILDER FUND
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
36.70% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
16.69% |
N/A |
Class Inst |
50.63% | |||
|
MATRIX TRUST COMPANY AS AGENT
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class R |
7.18% |
N/A |
|
MATRIX TRUST COMPANY AS AGENT
35 IRON POINT CIR STE 300
FOLSOM CA 95630-8589 |
Class Inst3 |
8.81% |
N/A |
|
MATRIX TRUST COMPANY AS AGENT
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class R |
17.69% |
N/A |
|
MERRILL LYNCH PIERCE FENNER & SMITH
FOR THE SOLE BENEFIT OF ITS CUSTOMER
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class A |
7.90% |
N/A |
Class Adv |
9.96% | |||
Class C |
12.74% | |||
Class Inst |
18.94% | |||
Class Inst3 |
25.47% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
7.44% |
N/A |
Class Adv |
38.23% | |||
Class Inst2 |
13.76% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
38.74% |
N/A |
Class Inst2 |
26.21% | |||
Class R |
25.99% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
6.01% |
N/A |
|
SCOTT RECHEL TTEE FBO
C/O FASCORE LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
7.50% |
N/A |
|
TIAA TRUST, N.A. AS CUST/TTEE OF RETIREMENT PLANS RECORDKEPT BY TIAA ATTN: FUND OPERATIONS 8500 ANDREW CARNEGIE BLVD CHARLOTTE NC 28262-8500 |
Class Inst2 |
35.78% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
5.93% |
N/A |
Total Return Bond Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
72.43% |
28.50% |
Class C |
60.51% | |||
Class Inst |
30.11% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10577
FARGO ND 58106-0577 |
Class R |
13.13% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTENTION MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
6.37% |
N/A |
|
DANIEL KAREN & PETER BARTSCHKE TTEE
C/O FASCORE
STANDARD TOOL & DIE INC EE PSP & TR
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
5.00% |
N/A |
|
DCGT AS TTEE AND /OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH ST
DES MOINES IA 50392-0001 |
Class R |
16.65% |
N/A |
|
DEAN PERRY SHELIA REYNOLDS
C/O FASCORE LLC
FIRST COMMUNITY BANK
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
5.76% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA THERMOSTAT FUND
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
57.27% |
N/A |
|
JPMCB NA CUST FOR SOUTH CAROLINA
529 PLAN
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
16.78% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Inst |
24.08% |
N/A |
|
MATRIX TRUST CO TTEE FBO
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class Adv |
10.54% |
N/A |
|
MERRILL LYNCH PIERCE FENNER & SMITH
FOR THE SOLE BENEFIT OF ITS CUSTOMER
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class C |
6.55% |
N/A |
Class Inst3 |
29.27% | |||
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
9.36% |
N/A |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class C |
6.45% |
N/A |
Class Inst |
5.82% | |||
|
NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1015 |
Class Adv |
66.54% |
N/A |
Class Inst2 |
34.46% | |||
Class R |
30.14% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class A |
5.89% |
N/A |
Class Inst2 |
6.95% | |||
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
39.95% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
9.17% |
N/A |
U.S. Treasury Index Fund |
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTENTION MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
13.43% |
N/A |
Class Inst2 |
11.70% | |||
|
COLUMBIA MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
N/A |
N/A |
81.55%(a) |
|
J P MORGAN SECURITIES LLC OMNIBUS
ACCOUNT FOR THE EXCLUSIVE BENEFIT
OF CUSTOMERS
4 CHASE METROTECH CENTER
3RD FL MUTUAL FUND DEPARTMENT
BROOKLYN NY 11245-0003 |
Class C |
14.00% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
9.29% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE CONSERVATIVE PORTFOLIO
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
7.34% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE PORTFOLIO
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
8.73% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA THERMOSTAT FUND
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
68.38% |
N/A |
|
JPMCB NA CUST FOR SOUTH CAROLINA
529 PLAN
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
82.16% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
27.27% |
N/A |
|
MERRILL LYNCH PIERCE FENNER & SMITH
FOR THE SOLE BENEFIT OF ITS CUSTOMER
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class A |
56.26% |
N/A |
Class Inst2 |
41.05% | |||
|
NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1015 |
Class Inst2 |
6.43% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class C |
38.11% |
N/A |
Class Inst2 |
23.44% | |||
|
UMB BANK NA CUST ROTH IRA FBO DANH T LUU 3017 W MOUNT LOGAN WAY TAYLORSVILLE UT 84129-6848 |
Class C |
5.89% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
Adaptive Risk Allocation Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
75.03% |
85.13% |
Class C |
52.30% | |||
Class Inst |
89.96% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
12.63% |
N/A |
|
CAPINCO
C/O US BANK NA
PO BOX 1787
MILWAUKEE WI 53201-1787 |
Class Inst3 |
95.28% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Adv |
7.02% |
N/A |
Class Inst2 |
15.39% | |||
|
CURRIE & CO
C/O FIDUCIARY TRUST CO INT L
CHURCH STREET STATION
PO BOX 3199
NEW YORK NY 10008-3199 |
Class Adv |
9.68% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Inst |
5.24% |
N/A |
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
ATTENTION SERVICE TEAM
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class A |
6.90% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
13.05% |
N/A |
Class Inst2 |
51.14% | |||
Class R |
72.88% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
19.59% |
N/A |
Class Inst2 |
21.40% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
7.81% |
N/A |
|
RELIANCE TRUST CO FBO SALEM TRUST R/R PO BOX 78446 ATLANTA GA 30357 |
Class Adv |
50.21% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
STIFEL NICOLAUS & CO INC
EXCLUSIVE BENEFIT OF CUSTOMERS
501 N BROADWAY
SAINT LOUIS MO 63102-2188 |
Class C |
20.39% |
N/A |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
9.14% |
N/A |
Commodity Strategy Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
31.46% |
N/A |
Class C |
9.29% | |||
Class Inst |
65.03% | |||
|
ASCENSUS TRUST COMPANY FBO
LUCKY LITTLE LEARNERS LLC 401K
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
5.44% |
N/A |
|
CAPINCO
C/O US BANK NA
PO BOX 1787
MILWAUKEE WI 53201-1787 |
Class Inst3 |
7.09% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
6.94% |
N/A |
Class Inst2 |
60.32% | |||
|
COLUMBIA MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
N/A |
N/A |
69.54%(a) |
|
EMPOWER TRUST FBO
EMPOWER BENEFIT PLANS
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class R |
6.96% |
N/A |
|
FIIOC FBO
CREATIVE OFFICE PAVILION
401K PLAN & TRUST
100 MAGELLAN WAY # KW1C
COVINGTON KY 41015-1987 |
Class Adv |
6.85% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA ADAPTIVE RISK ALLOCATION
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
91.55% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class A |
6.64% |
N/A |
Class C |
63.03% | |||
Class Inst |
21.19% | |||
|
MANOJ MOHAN TTEE FBO
C/O FASCORE LLC
OKEMOS ALLERGY CENTER PC 401K SP
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
10.03% |
N/A |
|
MASSACHUSETTS MUTUAL LIFE INSURANCE
1295 STATE STREET
SPRINGFIELD MA 01111-0001 |
Class R |
5.19% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
16.73% |
N/A |
Class Adv |
28.66% | |||
|
PAI TRUST COMPANY INC BFG SOFTWARE LLC 401K P/S PLAN 1300 ENTERPRISE DR DE PERE WI 54115-4934 |
Class R |
18.20% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class A |
5.17% |
N/A |
Class Adv |
61.24% | |||
Class C |
6.21% | |||
Class Inst2 |
7.86% | |||
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
31.81% |
N/A |
|
THE HARTFORD
1 HARTFORD PLZ
HARTFORD CT 06155-0001 |
Class R |
45.40% |
N/A |
Dividend Income Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
23.29% |
N/A |
Class C |
14.01% | |||
Class Inst |
21.36% | |||
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
5.87% |
N/A |
Class Inst2 |
28.10% | |||
Class V |
7.01% | |||
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
20.24% |
N/A |
|
EQUITABLE LIFE
ON BEHALF OF VARIOUS 401K
EXPEDITER PLANS
1290 AVENUE OF THE AMERICAS
NEW YORK NY 10104-0101 |
Class R |
29.89% |
N/A |
|
ING NATIONAL TRUST
1475 DUNWOODY DR
WEST CHESTER PA 19380-1478 |
Class R |
26.65% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
5.86% |
N/A |
Class Inst |
12.75% | |||
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
ATTENTION SERVICE TEAM
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class A |
15.72% |
N/A |
Class C |
12.05% | |||
Class Inst |
9.53% | |||
Class Inst3 |
29.04% | |||
Class V |
15.33% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 39
NEW YORK NY 10004-1932 |
Class A |
6.42% |
N/A |
Class C |
18.91% | |||
Class Inst |
17.03% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
14.42% |
N/A |
Class Adv |
53.54% | |||
Class Inst |
5.01% | |||
Class Inst2 |
42.31% | |||
Class Inst3 |
19.44% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
20.87% |
N/A |
Class C |
5.52% | |||
Class Inst2 |
11.46% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
10.80% |
N/A |
Class Inst |
13.91% | |||
|
STATE STREET CORPORATION FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901 |
Class R |
5.89% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
6.44% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
17.17% |
N/A |
Class Inst |
6.51% | |||
Dividend Opportunity Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
74.14% |
50.61% |
Class C |
28.33% | |||
Class Inst |
39.48% | |||
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
17.60% |
N/A |
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH ST
DES MOINES IA 50392-0001 |
Class Inst3 |
7.36% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
9.01% |
N/A |
|
EMPOWER TRUST COMPANY LLC TTEE F
CARTER MACHINERY COMPANY INC EMPLOY
RETIREMENT AND SAVINGS PLAN
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class Inst3 |
9.77% |
N/A |
|
EMPOWER TRUST FBO
C/O FASCORE LLC
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class Adv |
5.13% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA INCOME BUILDER FUND
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
33.30% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Inst |
8.01% |
N/A |
|
MARIL & CO FBO
C/O RELIANCE TRUST COMPANY WI
4900 W BROWN DEER RD
MILWAUKEE WI 53223-2422 |
Class Inst2 |
11.32% |
N/A |
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
ATTENTION SERVICE TEAM
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class Inst3 |
7.16% |
N/A |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 39
NEW YORK NY 10004-1932 |
Class C |
9.38% |
N/A |
Class Inst |
9.88% | |||
|
NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1015 |
Class Adv |
58.62% |
N/A |
Class Inst2 |
31.54% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
25.56% |
N/A |
Class Inst2 |
8.42% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
15.44% |
N/A |
Class Inst |
7.99% | |||
|
SAMMONS FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100
WEST DES MOINES IA 50266-5911 |
Class R |
86.77% |
N/A |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
22.03% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class Inst |
9.46% |
N/A |
|
VANGUARD FIDUCIARY TRUST CO
PO BOX 2600 VM 613
ATTN: OUTSIDE FUNDS
VALLEY FORGE PA 19482-2600 |
Class Inst3 |
8.77% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
23.62% |
N/A |
Class Inst |
5.52% | |||
Flexible Capital Income Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
56.36% |
34.61% |
Class C |
21.54% | |||
Class Inst |
32.03% | |||
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
8.51% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
98.13% |
N/A |
|
LINCOLN INVESTMENT PLANNING LLC
FBO LINCOLN CUSTOMERS
601 OFFICE CENTER DR STE 300
FT WASHINGTON PA 19034-3275 |
Class Adv |
8.24% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
5.83% |
N/A |
Class Inst |
14.81% | |||
|
MID ATLANTIC TRUST COMPANY FBO
CROWL MECHANICAL, INC 401(K) PROFIT
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
12.25% |
N/A |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 39
NEW YORK NY 10004-1932 |
Class C |
12.84% |
N/A |
Class Inst |
14.97% | |||
|
NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1015 |
Class Adv |
46.13% |
N/A |
Class C |
6.17% | |||
Class Inst2 |
38.02% | |||
Class R |
59.40% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
40.67% |
N/A |
Class Inst2 |
27.70% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
13.81% |
N/A |
Class Inst |
11.16% | |||
Class R |
13.22% | |||
|
STIFEL NICOLAUS & CO INC
EXCLUSIVE BENEFIT OF CUSTOMERS
501 N BROADWAY
SAINT LOUIS MO 63102-2188 |
Class C |
8.30% |
N/A |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
24.65% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class C |
5.10% |
N/A |
Class Inst |
9.45% | |||
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class A |
7.00% |
N/A |
Class C |
17.32% | |||
Class Inst |
8.51% | |||
High Yield Bond Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
69.45% |
29.82% |
Class C |
50.20% | |||
Class Inst |
49.69% | |||
|
ASCENSUS TRUST COMPANY FBO
DEANS ARCHER 401(K) PLAN
PO BOX 10758
FARGO ND 58106-0758 |
Class C |
5.45% |
N/A |
|
CBNA AS CUSTODIAN FBO
MINERVA ANALYTICS INC 401(K) PLAN
6 RHOADS DR STE 7
UTICA NY 13502-6317 |
Class Adv |
8.39% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
36.26% |
N/A |
|
COLUMBIA MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
N/A |
N/A |
32.70%(a) |
|
FIFTH THIRD BANK
FBO FIRST WESTERN TRUST BANK
38 FOUNTAIN SQUARE PLZ
CINCINNATI OH 45202-3102 |
Class Inst |
5.92% |
N/A |
|
ING LIFE INSURANCE AND ANNUITY CO
ONE ORANGE WAY
WINDSOR CT 06095-4773 |
Class R |
25.69% |
N/A |
|
ING NATIONAL TRUST
1475 DUNWOODY DR
WEST CHESTER PA 19380-1478 |
Class Inst |
8.82% |
N/A |
|
JPMCB NA CUST FOR COLUMBIA CAPITAL ALLOCATION AGGRESSIVE PORTFOLIO 4 CHASE METROTECH CENTER 3RD FLOOR BROOKLYN NY 11245-0003 |
Class Inst3 |
16.12% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
26.95% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
20.67% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA INCOME BUILDER FUND
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
13.20% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
15.30% |
N/A |
|
MINNESOTA LIFE INS COMPANY
ATTN KENNETH MONTAGUE
400 ROBERT STREET NORTH
ST PAUL MN 55101-2099 |
Class Adv |
26.63% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
10.50% |
N/A |
Class Inst2 |
38.36% | |||
|
NATIONWIDE TRUST COMPANY FSB
FBO PARTICIPATING RETIREMENT PLANS
C/O IPO PORTFOLIO ACCOUNTING
PO BOX 182029
COLUMBUS OH 43218-2029 |
Class Adv |
34.84% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Inst2 |
12.97% |
N/A |
|
SAMMONS FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100
WEST DES MOINES IA 50266-5911 |
Class R |
61.17% |
N/A |
|
STIFEL NICOLAUS & CO INC
EXCLUSIVE BENEFIT OF CUSTOMERS
501 N BROADWAY
SAINT LOUIS MO 63102-2188 |
Class C |
5.21% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
7.04% |
N/A |
High Yield Municipal Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
39.27% |
N/A |
Class C |
26.35% | |||
Class Inst |
26.71% | |||
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Adv |
6.77% |
N/A |
Class Inst2 |
35.20% | |||
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
Class A |
6.86% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
ATTENTION SERVICE TEAM
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class A |
5.51% |
N/A |
Class Inst3 |
95.81% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 39
NEW YORK NY 10004-1932 |
Class A |
12.13% |
N/A |
Class C |
9.24% | |||
Class Inst |
11.32% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
20.23% |
N/A |
Class Inst2 |
13.43% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class A |
7.18% |
N/A |
Class Adv |
70.31% | |||
Class C |
9.86% | |||
Class Inst2 |
13.78% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
20.11% |
N/A |
Class Inst |
5.24% | |||
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
36.98% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class A |
6.38% |
N/A |
Class Inst |
7.96% | |||
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class A |
6.26% |
N/A |
Class C |
13.33% | |||
Class Inst |
5.55% | |||
Large Cap Value Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
86.11% |
65.38% |
Class C |
69.71% | |||
Class Inst |
70.20% | |||
|
AMERIPRISE TRUST COMPANY AS TR
990 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0009 |
Class Inst2 |
17.03% |
N/A |
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class Inst2 |
11.30% |
N/A |
Class R |
16.39% | |||
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
9.78% |
N/A |
|
EMPOWER TRUST FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class Adv |
14.60% |
N/A |
Class Inst2 |
7.05% | |||
Class R |
14.37% | |||
|
GUARDIAN SERVICE INDUSTRIES INC TTE C/O FASCORE LLC GUARDIAN SERVICE INDUSTRIES INC 401 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R |
10.12% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
ING LIFE INSURANCE AND ANNUITY CO
ONE ORANGE WAY
WINDSOR CT 06095-4773 |
Class Adv |
48.42% |
N/A |
|
JPMCB NA AS CUSTODIAN FOR THE SC529
PLAN COLUMBIA MODERATE GROWTH 529
PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
5.83% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
34.50% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
41.56% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
21.07% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Inst |
14.78% |
N/A |
|
MATRIX TRUST COMPANY AS AGENT FOR
NEWPORT TRUST COMPANY
THE DANBERRY COMPANY 401(K) PLAN
35 IRON POINT CIR STE 300
FOLSOM CA 95630-8589 |
Class Inst2 |
21.53% |
N/A |
|
MATRIX TRUST COMPANY CUST FBO
PAUL F ROCKLEY M D P A EMPLOYEE
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class R |
7.89% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
7.85% |
N/A |
Class Inst2 |
14.31% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class C |
9.36% |
N/A |
Class Inst2 |
8.30% | |||
|
SHAWN DICKMAN TTEE FBO
DICKMAN TECHNOLOGY CONSULTANTS 401K
C/O FASCORE
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
5.79% |
N/A |
|
HARTFORD LIFE INSURANCE COMPANY
ATTN UIT OPERATIONS
PO BOX 2999
HARTFORD CT 06104-2999 |
Class R |
6.29% |
N/A |
|
TROY CLOVIS & SARAH HUNT TTEE FBO
C/O FASCORE LLC
BENCHMARK FAMILY DENTISTRY 401K PSP
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
15.92% |
N/A |
|
VENERABLE INSURANCE & ANNUITY CO 1475 DUNWOODY DR WEST CHESTER PA 19380-1478 |
Class Adv |
10.15% |
N/A |
Class R |
7.78% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
6.05% |
N/A |
MM Value Strategies Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class Inst |
100.00% |
100.00% |
|
COLUMBIA MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
Class Inst3 |
100.00% |
N/A(a) |
Mortgage Opportunities Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
14.71% |
N/A |
Class C |
18.57% | |||
Class Inst |
17.86% | |||
|
ATTN MUTUAL FUND OPERATIONS
MAC & CO
500 GRANT ST RM 151-1010
PITTSBURGH PA 15219-2502 |
Class Inst3 |
10.81% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Adv |
5.14% |
N/A |
Class Inst2 |
54.16% | |||
|
JPMCB NA CUST FOR
COLUMBIA INCOME BUILDER FUND
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
49.39% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
9.93% |
N/A |
Class Inst |
16.23% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 39
NEW YORK NY 10004-1932 |
Class C |
11.54% |
N/A |
Class Inst |
10.70% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
73.73% |
N/A |
Class Adv |
66.52% | |||
Class Inst2 |
20.95% | |||
Class Inst3 |
15.22% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
25.22% |
N/A |
Class C |
6.34% | |||
Class Inst2 |
13.69% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
22.24% |
N/A |
Class Inst |
10.16% | |||
|
RBC CAPITAL MARKETS LLC
MUTUAL FUND OMNIBUS PROCESSING
ATTN MUTUAL FUND OPS MANAGER
250 NICOLLET MALL SUITE 1400
MINNEAPOLIS MN 55401-7554 |
Class Inst |
6.11% |
N/A |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
10.45% |
N/A |
|
UBS WM USA SPEC CDY A/C EXCL BEN CUST UBSFSI 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class Inst |
23.27% |
N/A |
Class Inst3 |
17.27% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
12.24% |
N/A |
Class Inst |
7.70% | |||
Multi Strategy Alternatives Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
32.90% |
94.35% |
Class C |
68.41% | |||
Class Inst |
95.25% | |||
|
COLUMBIA MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
Class Inst3 |
100.00% |
N/A(a) |
Class R |
100.00% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
7.34% |
N/A |
Class C |
5.86% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class A |
55.58% |
N/A |
Class Adv |
98.29% | |||
Class C |
24.87% | |||
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
94.34% |
N/A |
Quality Income Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
18.03% |
N/A |
Class C |
26.58% | |||
Class Inst |
24.23% | |||
|
AUL
AMERICAN GROUP RETIREMENT ANNUITY
ATTN SEPARATE ACCOUNTS
PO BOX 368
INDIANAPOLIS IN 46206-0368 |
Class Adv |
8.27% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class C |
9.32% |
N/A |
Class Inst2 |
12.21% | |||
|
COLUMBIA MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
N/A |
N/A |
63.23%(a) |
|
JPMCB NA AS CUST FOR THE SC529 PLAN
COLUMBIA MODERATELY CONSERVATIVE 529
PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
52.76% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
14.06% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE CONSERVATIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
5.54% |
N/A |
|
JPMCB NA CUST FOR COLUMBIA CAPITAL ALLOCATION MODERATE PORTFOLIO 4 CHASE METROTECH CENTER 3RD FLOOR BROOKLYN NY 11245-0003 |
Class Inst3 |
12.51% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
JPMCB NA CUST FOR
COLUMBIA INCOME BUILDER FUND
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
31.74% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA THERMOSTAT FUND
4 CHASE METROTECH CTR FL 3RD
BROOKLYN NY 11245-0003 |
Class Inst3 |
25.48% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
14.89% |
N/A |
Class Inst |
9.12% | |||
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
ATTENTION SERVICE TEAM
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class A |
21.34% |
N/A |
Class Adv |
11.15% | |||
Class C |
6.06% | |||
|
MID ATLANTIC TRUST COMPANY FBO
GROUNDWORK 401(K) PROFIT SHARING
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
12.04% |
N/A |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class C |
11.21% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
15.16% |
N/A |
Class Inst2 |
60.74% | |||
|
NATIONWIDE TRUST COMPANY FSB
C/O IPO PORTFOLIO ACCOUNTING
PO BOX 182029
COLUMBUS OH 43218-2029 |
Class Inst2 |
7.95% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
61.09% |
N/A |
Class Inst2 |
9.10% | |||
|
SAMMONS FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100
WEST DES MOINES IA 50266-5911 |
Class R |
83.23% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
16.56% |
N/A |
Select Large Cap Value Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
15.20% |
N/A |
Class C |
13.01% | |||
Class Inst |
5.84% | |||
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
15.46% |
N/A |
|
CITI PRIVATE BANK
480 WASHINGTON BLVD
15TH FLOOR-NJ NEWPORT OFFICE CTR 7
JERSEY CITY NJ 07310-2092 |
Class Adv |
12.88% |
N/A |
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
Class Inst3 |
33.47% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
5.84% |
N/A |
Class Inst |
30.09% | |||
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
ATTENTION SERVICE TEAM
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class A |
32.24% |
N/A |
Class C |
18.64% | |||
Class Inst |
17.63% | |||
Class Inst3 |
36.24% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class A |
9.98% |
N/A |
Class C |
15.89% | |||
Class Inst |
16.15% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
6.81% |
N/A |
Class Adv |
5.82% | |||
Class Inst2 |
70.09% | |||
Class Inst3 |
9.32% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
71.40% |
N/A |
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
10.60% |
N/A |
|
SAMMONS FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100
WEST DES MOINES IA 50266-5911 |
Class R |
80.15% |
N/A |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
7.12% |
N/A |
|
VRSCO
FBO VTC CUST TTEE FBO
BRONX-LEBANON HOSPITAL 401A
2727A ALLEN PKWY # 4-D1
HOUSTON TX 77019-2107 |
Class Inst3 |
5.24% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class A |
5.45% |
N/A |
Class C |
18.79% | |||
Class Inst |
5.61% | |||
|
ZIONS FIRST NATIONAL BANK
PO BOX 30880
SALT LAKE CTY UT 84130-0880 |
Class Inst |
5.37% |
N/A |
Select Small Cap Value Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
74.48% |
58.25% |
Class C |
36.15% | |||
Class Inst |
46.05% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class C |
20.33% |
N/A |
Class R |
32.22% | |||
|
AUL
AMERICAN GROUP RETIREMENT ANNUITY
ATTN SEPARATE ACCOUNTS
PO BOX 368
INDIANAPOLIS IN 46206-0368 |
Class Adv |
17.39% |
N/A |
|
BRET BURNETT & VICKI BURNETT TTEE F APPLE TOURS & TRAVEL INC 401K C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R |
6.41% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
CAPITAL BANK & TRUST CO TTEE FBO
J&R DAIRY SERVICE/JOE & RSS ICE CRM
C/O FASCORE LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
8.34% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class C |
7.20% |
N/A |
Class Inst2 |
29.57% | |||
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH ST
DES MOINES IA 50392-0001 |
Class R |
7.69% |
N/A |
|
GARB WINS BEN DECK GRAN & ESWA TTEE
GARBEL WINS BEN DECKER GRAN & ESWA
C/O FASCORE LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
6.06% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
32.78% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
36.17% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
17.93% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
6.81% |
N/A |
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
ATTENTION SERVICE TEAM
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class R |
15.16% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO
BRIAN CAPONE LAND SERVICES, LL 401(K)
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
5.64% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
21.32% |
N/A |
Class Inst2 |
29.21% | |||
|
NATIONWIDE TRUST COMPANY FSB
C/O IPO PORTFOLIO ACCOUNTING
PO BOX 182029
COLUMBUS OH 43218-2029 |
Class Inst2 |
5.18% |
N/A |
|
PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class Adv |
21.51% |
N/A |
Class Inst2 |
29.72% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class Inst |
28.20% |
N/A |
|
RBC CAPITAL MARKETS LLC
MUTUAL FUND OMNIBUS PROCESSING
ATTN MUTUAL FUND OPS MANAGER
250 NICOLLET MALL SUITE 1400
MINNEAPOLIS MN 55401-7554 |
Class Inst |
12.01% |
N/A |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
5.79% |
N/A |
|
VRSCO
FBO AIGFSB CUSTODIAN TRUSTEE FBO
TEXAS TECH UNIVERSITY 403B
2929 ALLEN PKWY STE A6-20
HOUSTON TX 77019-7100 |
Class Adv |
33.39% |
N/A |
|
WELLS FARGO BANK NA FBO
OMNIBUS REINVEST
PO BOX 1533
MINNEAPOLIS MN 55480-1533 |
Class Inst3 |
5.27% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
7.61% |
N/A |
Class Inst |
5.38% | |||
Seligman Technology and Information |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class C |
11.84% |
N/A |
Class Inst |
16.99% | |||
|
ASCENSUS TRUST COMPANY FBO
DIVERSIFIED WELL LOGGING, LLC 401(K)
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
10.49% |
N/A |
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS
ATTN MUTUAL FUND DEPT
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
7.60% |
N/A |
Class Adv |
7.30% | |||
Class Inst2 |
27.33% | |||
Class Inst3 |
5.04% | |||
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH ST
DES MOINES IA 50392-0001 |
Class Inst3 |
5.34% |
N/A |
|
DONALDSON LUFKIN & JENRETTE
SECURITIES CORPORATION CUST
FBO ROB FOGEL
PO BOX 2052
JERSEY CITY NJ 07303-2052 |
Class A |
5.38% |
N/A |
Class Adv |
34.18% | |||
Class C |
10.97% | |||
Class Inst2 |
12.50% | |||
Class Inst3 |
11.20% | |||
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
12.55% |
N/A |
|
EMPOWER TRUST FBO VARIOUS SUNTRUST OMNIBUS ACCOUNTS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 |
Class Inst3 |
5.12% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
LINCOLN INVESTMENT PLANNING LLC
FBO LINCOLN CUSTOMERS
601 OFFICE CENTER DR STE 300
FT WASHINGTON PA 19034-3275 |
Class Adv |
7.95% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
5.09% |
N/A |
Class Inst |
8.67% | |||
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
ATTENTION SERVICE TEAM
4800 DEER LAKE DRIVE EAST
JACKSONVILLE FL 32246-6484 |
Class A |
7.73% |
N/A |
Class Adv |
13.14% | |||
Class Inst |
13.68% | |||
Class Inst3 |
7.45% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 39
NEW YORK NY 10004-1932 |
Class A |
9.44% |
N/A |
Class C |
9.60% | |||
Class Inst |
9.06% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
9.33% |
N/A |
Class Adv |
29.92% | |||
Class C |
8.69% | |||
Class Inst2 |
28.63% | |||
Class Inst3 |
27.91% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
15.76% |
N/A |
Class Inst |
17.02% | |||
|
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901 |
Class R |
33.01% |
N/A |
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226 |
Class Inst2 |
12.74% |
N/A |
|
HARTFORD LIFE INSURANCE COMPANY
ATTN UIT OPERATIONS
PO BOX 2999
HARTFORD CT 06104-2999 |
Class R |
17.32% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class Inst |
6.66% |
N/A |
|
WELLS FARGO CLEARING SERVICES 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class A |
8.89% |
N/A |
Class C |
18.05% | |||
Class Inst |
14.46% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
Disciplined Core Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
81.77% |
78.12% |
Class C |
78.74% | |||
Class Inst |
58.96% | |||
|
ASCENSUS TRUST COMPANY FBO PO BOX 10758 FARGO ND 58106-0758 |
Class R |
43.49% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUND OPS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
41.27% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
9.96% |
N/A |
|
EMPOWER TRUST COMPANY LLC TTEE F
EMPLOYEE BENEFITS CLIENTS 401K
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class Inst2 |
10.89% |
N/A |
|
EQUITABLE LIFE FOR SA
ON BEHALF OF VARIOUS 401K
EXPEDITER PLANS
1290 AVENUE OF THE AMERICAS
NEW YORK NY 10104-0101 |
Class R |
25.67% |
N/A |
|
FIIOC FBO
INSULATIONS INC 401K PLAN
100 MAGELLAN WAY #KW1C
COVINGTON KY 41015-1987 |
Class Adv |
13.51% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
CONSERVATIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
16.78% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE CONSERVATIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
60.92% |
N/A |
|
JPMCB NA CUST FOR SOUTH CAROLINA 529
PLAN
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
21.80% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Adv |
5.57% |
N/A |
|
MATRIX TRUST COMPANY AS AGENT FOR
NEWPORT TRUST COMPANY
VIZIENT INC 401(K) MATCH RESTORAT
35 IRON POINT CIR STE 300
FOLSOM CA 95630-8589 |
Class Inst2 |
5.42% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO
PSWS OPERATIONS LLC 401(K) PROFIT S
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Adv |
6.34% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
47.25% |
N/A |
Class Inst2 |
13.41% | |||
Class Inst3 |
5.47% | |||
Class R |
16.85% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
21.11% |
N/A |
|
VANGUARD FDUCIARY TRUST CO
PO BOX 2600
ATTN: OUTSIDE FUNDS
VALLEY FORGE PA 19482-2600 |
Class Inst2 |
18.96% |
N/A |
Disciplined Growth Fund |
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A |
68.10% |
54.84% |
Class C |
51.61% | |||
Class Inst |
58.15% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
ASCENSUS TRUST COMPANY FBO
FINCH INVESTMENT GROUP LLC 401(K)
PO BOX 10758
FARGO ND 58106-0758 |
Class Inst2 |
12.67% |
N/A |
|
ASCENSUS TRUST COMPANY FBO
MATTHEW R COMFORT DDS INC
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
28.42% |
N/A |
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUND OPS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
15.65% |
N/A |
Class Inst3 |
10.06% | |||
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
13.21% |
N/A |
|
FIIOC FBO
BEDARD PHARMACY 401K PS PLAN
100 MAGELLAN WAY #KW1C
COVINGTON KY 41015-1987 |
Class Inst2 |
6.18% |
N/A |
|
FIIOC FBO
LAWHON & ASSOCIATES INC 401K PROFIT
100 MAGELLAN WAY #KW1C
COVINGTON KY 41015-1987 |
Class R |
14.18% |
N/A |
|
ING LIFE INSURANCE & ANNUITY CO
ING FUND OPERATIONS
1 ORANGE WAY
WINDSOR CT 06095-4773 |
Class Inst3 |
8.19% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class A |
5.33% |
N/A |
Class Inst |
15.70% | |||
|
MATRIX TRUST COMPANY CUST.
FBO CORO FOODS, LLC
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class Inst2 |
12.14% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO
BELMONT BROKERAGE & MANAGEMENT
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Inst2 |
6.80% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO
GOLF CLUB OF MARTHA'S VINEYARD, INC
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
55.60% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
6.34% |
N/A |
Class Adv |
21.36% | |||
Class Inst2 |
14.78% | |||
Class Inst3 |
66.65% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
71.54% |
N/A |
Class C |
9.73% | |||
Class Inst2 |
23.62% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
6.94% |
N/A |
Class Inst |
9.22% | |||
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C |
10.62% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
Disciplined Value Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
47.32% |
N/A |
Class C |
18.40% | |||
Class Inst |
24.12% | |||
|
ASCENSUS TRUST COMPANY FBO
ED FAGAN INC 401(K) PLAN
PO BOX 10758
FARGO ND 58106-0758 |
Class Inst3 |
14.09% |
N/A |
|
ASCENSUS TRUST COMPANY FBO
LSE CONTRACTORS LLC 401(K)
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
47.29% |
N/A |
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUND OPS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
58.97% |
N/A |
|
DONG II SEO & DAE HYUN SON TTEE FBO
C/O FASCORE LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
18.52% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
54.51% |
N/A |
|
EMPOWER TRUST COMPANY LLC TTEE
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class Inst2 |
38.68% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Adv |
15.44% |
N/A |
|
MATRIX TRUST COMPANY CUST. FBO
PROSEALS USA, INC. EMPLOYEE SAVINGS
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class R |
8.66% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER &
SMITH FOR THE SOLE BENEFIT OF ITS
CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
9.86% |
N/A |
Class Inst3 |
6.98% | |||
Class V |
7.42% | |||
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Inst3 |
6.34% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
5.73% |
N/A |
Class Adv |
46.94% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class A |
5.30% |
N/A |
Class Adv |
35.04% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
10.35% |
N/A |
|
STATE STREET BANK AND TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 |
Class Inst3 |
12.84% |
N/A |
Class R |
19.83% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
UBS WM USA
SPEC CDY A/C EXCLUSIVE BENEFIT
CUSTOMERS UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class C |
56.86% |
N/A |
Class Inst |
37.66% | |||
Floating Rate Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
70.85% |
36.47% |
Class C |
44.01% | |||
Class Inst |
37.88% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
11.55% |
N/A |
|
CAPITAL BANK & TRUST CO TTEE FBO
CONCORD GENERAL 401K
C/O FASCORE LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
16.11% |
N/A |
|
CAPITAL BANK & TRUST COMPANY TTEE
LITTLE FALLS MACHINE INC PSP 401K
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
14.63% |
N/A |
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUND OPS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
90.35% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
21.36% |
N/A |
|
FIIOC FBO
100 MAGELLAN WAY #KW1C
COVINGTON KY 41015-1987 |
Class R |
7.55% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA INCOME BUILDER FUND
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
40.16% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
12.17% |
N/A |
Class Inst |
10.47% | |||
|
MATRIX TRUST COMPANY CUST. FBO
FIRST STATE BANK OF
FORSYTH RETIREMENT PLAN
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class R |
5.31% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER &
SMITH FOR THE SOLE BENEFIT OF ITS
CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class C |
8.54% |
N/A |
Class Inst |
10.31% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENEFIT OF ITS
CUSTOMERS
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class C |
6.70% |
N/A |
Class Inst |
10.92% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
48.62% |
N/A |
Class Inst3 |
9.14% | |||
|
PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class Adv |
41.26% |
N/A |
Class R |
11.94% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
8.79% |
N/A |
Class Inst |
8.89% | |||
|
RICHARD M KLINE DMD TRUSTEE FBO
C/O FASCORE LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
7.12% |
N/A |
|
SEI PRIVATE TRUST COMPANY
ATTN MUTUAL FUND ADMIN
1 FREEDOM VALLEY DR
OAKS PA 19456-9989 |
Class Inst3 |
20.85% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCLUSIVE BENEFIT
CUSTOMERS UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class Inst |
11.24% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
5.87% |
N/A |
Class Inst |
6.27% | |||
Global Opportunities Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
88.36% |
87.31% |
Class C |
81.38% | |||
Class Inst |
82.89% | |||
|
ASCENSUS TRUST COMPANY FBO
L&L CAR & TRUCK SERVICE, INC 401(K
PO BOX 10758
FARGO ND 58106-0758 |
Class Inst3 |
97.98% |
N/A |
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUND OPS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
32.40% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Adv |
10.88% |
N/A |
Class Inst |
5.60% | |||
|
MERRILL LYNCH, PIERCE FENNER &
SMITH FOR THE SOLE BENEFIT OF ITS
CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class Adv |
20.53% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Inst2 |
5.08% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
47.00% |
N/A |
Class Inst2 |
55.46% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
18.68% |
N/A |
Class Inst2 |
5.88% | |||
|
RAYMOND JAMES FBO OMNIBUS FOR MUTUAL FUNDS ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class C |
8.95% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901 |
Class R |
93.45% |
N/A |
Government Money Market Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
25.83% |
N/A |
Class C |
11.15% | |||
Class Inst |
58.05% | |||
|
ASCENSUS TRUST COMPANY FBO
GEORGE B MCDOWELL 401K
PO BOX 10758
FARGO ND 58106-0758 |
Class C |
16.79% |
N/A |
|
ASCENSUS TRUST COMPANY FBO
HEADACHE & NEUROLOGY CENTER OF NJ
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
25.00% |
N/A |
|
COLUMBIA MGMT INVESTMENT ADVISOR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
N/A |
N/A |
29.39%(a) |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class A |
34.61% |
N/A |
Class Inst3 |
98.49% | |||
|
JPMCB NA CUST FOR SOUTH CAROLINA 529
PLAN
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst2 |
80.11% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
14.09% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
67.46% |
N/A |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENEFIT OF ITS
CUSTOMERS
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class C |
13.35% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Inst2 |
16.00% |
N/A |
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
9.30% |
N/A |
|
RBC CAPITAL MARKETS LLC
MUTUAL FUND OMNIBUS PROCESSING
ATTN MUTUAL FUND OPS MANAGER
250 NICOLLET MALL SUITE 1400
MINNEAPOLIS MN 55401-7554 |
Class A |
7.99% |
N/A |
Class Inst |
9.27% | |||
|
STIFEL NICOLAUS & CO INC
EXCLUSIVE BENEFIT OF CUSTOMERS
501 N BROADWAY
SAINT LOUIS MO 63102-2188 |
Class C |
6.13% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C |
17.16% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
Income Opportunities Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
62.47% |
30.45% |
Class C |
57.13% | |||
Class Inst |
44.74% | |||
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUND OPS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class C |
9.53% |
N/A |
Class Inst2 |
45.25% | |||
|
FIFTH THIRD BANK
38 FOUNTAIN SQUARE PLZ
CINCINNATI OH 45202-3102 |
Class Inst3 |
19.60% |
N/A |
|
JOHN HANCOCK TRUST COMPANY LLC
200 BERKELEY ST STE 7
BOSTON MA 02116-5038 |
Class Adv |
14.99% |
N/A |
|
JPMCB NA CUST FOR SOUTH CAROLINA 529
PLAN
COLUMBIA 529 40% EQUITY PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
16.30% |
N/A |
|
MARGO R FOWLER TRUST &
DAVID M FOWLER TTEES
MARGO R FOWLER TRUST U/A
1427 BLACKHEATH LN
RIVERWOODS IL 60015-1707 |
Class Inst |
6.44% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER &
SMITH FOR THE SOLE BENEFIT OF ITS
CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
9.81% |
N/A |
Class Inst3 |
34.66% | |||
Class R |
7.66% | |||
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
58.06% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
8.27% |
N/A |
Class Adv |
69.01% | |||
Class Inst2 |
43.49% | |||
|
NEAL GAVIN & BRUCE SCHROEDER TTEE F
AFSCO FENCE SUPPLY CO INC 401K PSP
C/O FASCORE LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
11.38% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
10.44% |
N/A |
Class C |
7.59% | |||
Class Inst2 |
9.98% | |||
|
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901 |
Class R |
10.38% |
N/A |
|
THE NORTHERN TRUST COMPANY AS
TRUSTEE FBO SONY CORP – DV
PO BOX 92994
CHICAGO IL 60675-2994 |
Class Inst3 |
34.25% |
N/A |
|
W WIELAND A KING J SCHMITT TTEE FBO
C/O FASCORE LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
7.85% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C |
9.95% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
Large Cap Growth Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
59.92% |
35.30% |
Class C |
51.69% | |||
Class Inst |
13.23% | |||
|
ASCENSUS TRUST COMPANY FBO
MCNEILLY WOOD PRODUCTS INC 401(K)
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
31.81% |
N/A |
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUND OPS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Adv |
5.53% |
N/A |
Class C |
8.32% | |||
Class Inst |
8.55% | |||
Class Inst2 |
51.35% | |||
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH ST
DES MOINES IA 50392-0001 |
Class R |
6.43% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
24.15% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
28.27% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
13.65% |
N/A |
|
KAREN SORCI & MARIO SORCI TTEES FBO
C/O FASCORE LLC
ANESTHESIA EQUIPMENT SUPPLY INC 401
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class Inst2 |
6.26% |
N/A |
|
MATRIX TRUST COMPANY
AS AGENT FOR ADVISOR TRUST INC
EAST HAVEN PUBLIC SCHOOLS
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class R |
7.05% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER &
SMITH FOR THE SOLE BENEFIT OF ITS
CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class Adv |
7.41% |
N/A |
Class Inst3 |
23.98% | |||
Class R |
5.98% | |||
Class V |
23.24% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
55.98% |
N/A |
Class Inst2 |
30.85% | |||
Class R |
18.00% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
24.16% |
N/A |
Class Inst2 |
6.71% | |||
|
STATE STREET BANK AND TRUST AS TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 |
Class R |
18.74% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
7.39% |
N/A |
Limited Duration Credit Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
66.52% |
40.16% |
Class C |
35.40% | |||
Class Inst |
44.08% | |||
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUND OPS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
61.57% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
61.97% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA INCOME BUILDER FUND
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
24.03% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
6.09% |
N/A |
Class Inst |
8.11% | |||
|
MERRILL LYNCH, PIERCE FENNER &
SMITH FOR THE SOLE BENEFIT OF ITS
CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
6.78% |
N/A |
Class C |
21.38% | |||
Class Inst |
11.91% | |||
|
MINNESOTA LIFE INS COMPANY
ATTN KENNETH MONTAGUE
400 ROBERT STREET NORTH
ST PAUL MN 55101-2099 |
Class Adv |
70.95% |
N/A |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENEFIT OF ITS
CUSTOMERS
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class C |
17.17% |
N/A |
Class Inst |
15.79% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
18.06% |
N/A |
Class Inst2 |
24.20% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
7.86% |
N/A |
Class Inst2 |
7.22% | |||
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
11.03% |
N/A |
Class Inst |
8.04% | |||
MN Tax-Exempt Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
69.91% |
62.57% |
Class C |
80.17% | |||
Class Inst |
66.84% | |||
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUND OPS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
27.21% |
N/A |
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
Class A |
9.82% |
N/A |
Class Inst3 |
98.33% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
24.95% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
74.49% |
N/A |
Class Inst2 |
67.41% | |||
|
UBS WM USA
SPEC CDY A/C EXCLUSIVE BENEFIT
CUSTOMERS UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class Inst |
18.83% |
N/A |
OR Intermediate Municipal Bond Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
9.31% |
N/A |
Class C |
7.03% | |||
Class Inst |
6.34% | |||
|
BAND & CO
PO BOX 1787
MILWAUKEE WI 53201-1787 |
Class Inst3 |
8.68% |
N/A |
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUND OPS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
8.33% |
N/A |
Class Adv |
7.21% | |||
Class C |
8.32% | |||
Class Inst |
7.98% | |||
Class Inst2 |
86.93% | |||
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class A |
47.17% |
N/A |
Class C |
26.79% | |||
Class Inst3 |
30.61% | |||
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Inst |
5.02% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER &
SMITH FOR THE SOLE BENEFIT OF ITS
CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class Inst3 |
55.56% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
6.19% |
N/A |
Class Adv |
28.17% | |||
Class Inst |
5.65% | |||
Class Inst2 |
10.82% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
45.89% |
N/A |
Class C |
15.73% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class A |
8.09% |
N/A |
Class Adv |
14.26% | |||
Class C |
32.72% | |||
Class Inst |
5.10% | |||
Strategic Municipal Income Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
69.78% |
50.19% |
Class C |
46.16% | |||
Class Inst |
48.89% | |||
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUND OPS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
26.55% |
N/A |
|
EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 |
Class A |
6.32% |
N/A |
Class Inst3 |
41.12% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Inst |
7.03% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER &
SMITH FOR THE SOLE BENEFIT OF ITS
CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class C |
6.27% |
N/A |
Class Inst |
8.93% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENEFIT OF ITS
CUSTOMERS
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class C |
8.92% |
N/A |
Class Inst |
9.52% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
37.92% |
N/A |
Class Inst2 |
66.65% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
57.05% |
N/A |
Class Inst2 |
6.71% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
6.11% |
N/A |
Class Inst |
6.32% | |||
|
SEI PRIVATE TRUST COMPANY
ATTN MUTUAL FUND ADMIN
1 FREEDOM VALLEY DR
OAKS PA 19456-9989 |
Class Inst3 |
51.37% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCLUSIVE BENEFIT
CUSTOMERS UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class Inst |
7.20% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
10.99% |
N/A |
Class Inst |
5.67% | |||
Tax-Exempt Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
43.69% |
38.07% |
Class C |
41.77% | |||
Class Inst |
23.11% | |||
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUND OPS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
48.36% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class A |
14.98% |
N/A |
Class C |
5.31% | |||
Class Inst3 |
20.31% | |||
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Adv |
7.73% |
N/A |
Class C |
5.36% | |||
Class Inst |
11.28% | |||
|
MERRILL LYNCH, PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E JACKSONVILLE FL 32246-6484 |
Class Inst3 |
76.58% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENEFIT OF ITS
CUSTOMERS
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class C |
6.39% |
N/A |
Class Inst |
5.28% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
47.23% |
N/A |
Class Inst2 |
29.11% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
41.43% |
N/A |
Class Inst2 |
17.60% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
9.81% |
N/A |
|
RBC CAPITAL MARKETS LLC
MUTUAL FUND OMNIBUS PROCESSING
ATTN MUTUAL FUND OPS MANAGER
250 NICOLLET MALL SUITE 1400
MINNEAPOLIS MN 55401-7554 |
Class C |
11.95% |
N/A |
Ultra Short Term Bond Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
81.00% |
48.42% |
Class Inst |
81.22% | |||
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUND OPS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Adv |
20.76% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER &
SMITH FOR THE SOLE BENEFIT OF ITS
CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class Inst3 |
92.30% |
33.23% |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
61.99% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
16.82% |
N/A |
|
UBS WM USA SPEC CDY A/C EXCLUSIVE BENEFIT CUSTOMERS UBSFSI 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class Inst |
12.11% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
Balanced Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE
MINNEAPOLIS MN 55402-2405 |
Class A |
57.69% |
37.44% |
Class C |
44.24% | |||
Class Inst |
30.14% | |||
|
ASCENSUS TRUST COMPANY FBO PO BOX 10758 FARGO ND 58106-0758 |
Class Inst3 |
9.76% |
N/A |
Class R |
9.14% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUND
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
35.77% |
N/A |
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH ST
DES MOINES IA 50392-0001 |
Class Inst2 |
12.58% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
20.23% |
N/A |
|
LINCOLN INVESTMENT PLANNING LLC
FBO LINCOLN CUSTOMERS
601 OFFICE CENTER DR STE 300
FT WASHINGTON PA 19034-3275 |
Class Adv |
12.59% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
5.81% |
N/A |
Class Inst |
10.25% | |||
|
MATRIX TRUST COMPANY AS AGENT FOR
NEWPORT TRUST COMPANY
AMERICAN MARITIME OFFICERS DEFINED
35 IRON POINT CIR STE 300
FOLSOM CA 95630-8589 |
Class Inst3 |
27.12% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class Inst |
14.79% |
N/A |
Class Inst3 |
8.61% | |||
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
8.19% |
N/A |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class Inst |
8.16% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
8.49% |
N/A |
Class Adv |
28.55% | |||
Class C |
5.01% | |||
Class Inst2 |
26.90% | |||
Class Inst3 |
9.59% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
42.72% |
N/A |
Class Inst2 |
12.28% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
10.20% |
N/A |
Class Inst |
9.27% | |||
|
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901 |
Class Inst3 |
7.16% |
N/A |
Class R |
61.76% | |||
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C |
15.24% |
N/A |
Class Inst |
8.79% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
Contrarian Core Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE
MINNEAPOLIS MN 55402-2405 |
Class A |
54.27% |
N/A |
Class C |
38.39% | |||
Class Inst |
17.44% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
7.41% |
N/A |
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUND
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst |
11.64% |
N/A |
Class Inst2 |
20.21% | |||
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
11.51% |
N/A |
|
EMPOWER TRUST CO
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class Adv |
6.22% |
N/A |
|
JPMCB NA AS CUSTO FOR THE SC529 PL
COLUMBIA AGGRESSIVE GROWTH 529 PORT
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
7.34% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
5.64% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
6.80% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
6.74% |
N/A |
Class Inst |
10.83% | |||
|
MERRILL LYNCH, PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
7.53% |
N/A |
Class Inst |
5.06% | |||
Class Inst3 |
15.32% | |||
Class V |
25.81% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
5.08% |
N/A |
Class Adv |
37.71% | |||
Class Inst |
6.07% | |||
Class Inst2 |
41.98% | |||
Class Inst3 |
20.22% | |||
Class V |
6.67% | |||
|
NATIONWIDE TRUST COMPANY FSB FBO
PO BOX 182029
COLUMBUS OH 43218-2029 |
Class Inst2 |
27.60% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
26.83% |
N/A |
Class C |
7.45% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
6.87% |
N/A |
Class Inst |
6.25% | |||
|
SAMMONS FINANCIAL NETWORK LLC 8300 MILLS CIVIC PKWY WEST DES MOINES IA 50266-3833 |
Class R |
58.70% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
STANDARD INSURANCE COMPANY
1100 SW 6TH AVE
ATTN: SEP ACCT
PORTLAND OR 97204-1093 |
Class Adv |
5.96% |
N/A |
|
STIFEL NICOLAUS & CO INC
EXCLUSIVE BENEFIT OF CUSTOMERS
501 N BROADWAY
SAINT LOUIS MO 63102-2188 |
Class C |
7.31% |
N/A |
Class Inst |
12.20% | |||
|
TIAA TRUST, N.A. AS CUST/TTEE
OF RETIREMENT PLANS
RECORDKEPT BY TIAA
ATTN: FUND OPERATIONS
8500 ANDREW CARNEGIE BLVD
CHARLOTTE NC 28262-8500 |
Class Inst3 |
8.66% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
13.88% |
N/A |
Emerging Markets Bond Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE
MINNEAPOLIS MN 55402-2405 |
Class A |
59.91% |
N/A |
Class C |
21.65% | |||
Class Inst |
11.87% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class C |
15.26% |
N/A |
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUND
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
5.53% |
N/A |
Class Adv |
8.16% | |||
Class Inst3 |
6.70% | |||
|
COLUMBIA MGMT INVESTMENT ADVISOR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
N/A |
N/A |
48.92%(a) |
|
JPMCB NA AS CUSTO FOR THE SC529 PL
COLUMBIA AGGRESSIVE GROWTH 529 PORT
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst |
63.48% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
12.64% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA INCOME BUILDER FUND
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
61.04% |
N/A |
|
LINCOLN INVESTMENT PLANNING LLC
FBO LINCOLN CUSTOMERS
601 OFFICE CENTER DR STE 300
FT WASHINGTON PA 19034-3275 |
Class Adv |
5.01% |
N/A |
|
MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class Inst2 |
82.39% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
5.60% |
N/A |
Class Adv |
24.14% | |||
Class Inst2 |
14.59% | |||
Class Inst3 |
10.75% | |||
|
PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class Adv |
43.73% |
N/A |
Class C |
15.78% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
16.36% |
N/A |
Class Inst |
7.67% | |||
|
SAMMONS FINANCIAL NETWORK LLC
8300 MILLS CIVIC PKWY
WEST DES MOINES IA 50266-3833 |
Class R |
96.10% |
N/A |
|
TIAA TRUST, N.A. AS CUST/TTEE
OF RETIREMENT PLANS
RECORDKEPT BY TIAA
ATTN: FUND OPERATIONS
8500 ANDREW CARNEGIE BLVD
CHARLOTTE NC 28262-8500 |
Class Adv |
6.41% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class A |
5.37% |
N/A |
Class C |
20.96% | |||
Emerging Markets Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE
MINNEAPOLIS MN 55402-2405 |
Class A |
68.28% |
N/A |
Class C |
47.17% | |||
Class Inst |
13.07% | |||
|
ASCENSUS TRUST COMPANY FBO
FAITH DANIEL & COMPANY LLC 401(K)
PO BOX 10758
FARGO ND 58106-0758 |
Class C |
8.14% |
N/A |
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
COUNCIL BLUFFS AREA CHAMBER OF COMM
FARGO ND 58106-0758 |
Class R |
7.80% |
N/A |
|
BRISTOL TENNESSEE ESSANTIAL SE
PO BOX 1090
PARIS TN 38242-1090 |
Class R |
6.10% |
N/A |
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUND
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Adv |
31.52% |
N/A |
Class Inst2 |
49.06% | |||
|
FIIOC FBO
100 MAGELLAN WAY # KW1C
COVINGTON KY 41015-1987 |
Class R |
10.27% |
N/A |
|
J P MORGAN SECURITIES LLC OMNIBUS
ACCOUNT FOR THE EXCLUSIVE BENEFIT
OF CUSTOMERS
4 CHASE METROTECH CENTER
3RD FL MUTUAL FUND DEPARTMENT
BROOKLYN NY 11245-0003 |
Class C |
12.27% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
13.64% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
13.01% |
N/A |
|
JPMCB NA CUST FOR COLUMBIA THERMOSTAT FUND 4 CHASE METROTECH CTR FL 3RD BROOKLYN NY 11245-0003 |
Class Inst3 |
5.81% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Inst |
25.27% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
5.57% |
30.97% |
Class Inst |
44.68% | |||
Class Inst3 |
35.73% | |||
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
7.77% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
11.04% |
N/A |
Class Inst2 |
32.48% | |||
Class Inst3 |
13.39% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
49.70% |
N/A |
Class C |
5.29% | |||
Class Inst2 |
9.84% | |||
|
SAMMONS FINANCIAL NETWORK LLC
8300 MILLS CIVIC PKWY
WEST DES MOINES IA 50266-3833 |
Class R |
26.02% |
N/A |
|
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901 |
Class R |
16.13% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
5.81% |
N/A |
Global Technology Growth Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE
MINNEAPOLIS MN 55402-2405 |
Class A |
27.67% |
N/A |
Class C |
26.47% | |||
Class Inst |
24.24% | |||
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUND
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
11.61% |
N/A |
Class Inst2 |
25.22% | |||
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH ST
DES MOINES IA 50392-0001 |
Class Inst3 |
12.17% |
N/A |
|
EMPOWER TRUST CO
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class Inst2 |
9.79% |
N/A |
|
FIIOC FBO
SWEIG GENERAL CONTRACTING INC
100 MAGELLAN WAY # KW1C
COVINGTON KY 41015-1987 |
Class Adv |
5.46% |
N/A |
|
FIIOC FBO
SAV TRANSPORTATION GROUP INC
100 MAGELLAN WAY # KW1C
COVINGTON KY 41015-1987 |
Class Inst2 |
5.20% |
N/A |
|
J P MORGAN SECURITIES LLC OMNIBUS ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS 4 CHASE METROTECH CENTER 3RD FL MUTUAL FUND DEPARTMENT BROOKLYN NY 11245-0003 |
Class Inst3 |
19.47% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
JOHN HANCOCK TRUST COMPANY LLC
200 BERKELEY ST STE 7
BOSTON MA 02116-5038 |
Class Adv |
7.22% |
N/A |
|
LINCOLN INVESTMENT PLANNING LLC
FBO LINCOLN CUSTOMERS
601 OFFICE CENTER DR STE 300
FT WASHINGTON PA 19034-3275 |
Class Adv |
5.95% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
10.82% |
N/A |
Class Inst |
24.71% | |||
|
MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class Adv |
5.15% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
8.55% |
N/A |
Class Adv |
6.54% | |||
Class Inst |
10.05% | |||
Class Inst3 |
27.53% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class C |
7.70% |
N/A |
Class Inst |
6.19% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
12.34% |
N/A |
Class Adv |
9.70% | |||
Class Inst2 |
30.58% | |||
Class Inst3 |
5.46% | |||
|
NATIONWIDE TRUST COMPANY FSB FBO
PO BOX 182029
COLUMBUS OH 43218-2029 |
Class Adv |
10.87% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class A |
5.45% |
N/A |
Class Adv |
27.44% | |||
Class C |
9.98% | |||
Class Inst3 |
11.87% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
5.94% |
N/A |
Class Inst |
7.03% | |||
|
RELIANCE TRUST COMPANY FBO
CALAMP DC PLAN
PO BOX 48529
ATLANTA GA 30362-1529 |
Class Inst2 |
6.41% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class Inst |
5.09% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class A |
6.10% |
N/A |
Class C |
15.46% | |||
Greater China Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE
MINNEAPOLIS MN 55402-2405 |
Class A |
6.10% |
N/A |
Class C |
56.15% | |||
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUND
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
11.15% |
N/A |
Class Adv |
5.98% | |||
Class Inst2 |
24.79% | |||
|
EMPOWER TRUST CO 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class Inst2 |
14.16% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
J P MORGAN SECURITIES LLC OMNIBUS
ACCOUNT FOR THE EXCLUSIVE BENEFIT
OF CUSTOMERS
4 CHASE METROTECH CENTER
3RD FL MUTUAL FUND DEPARTMENT
BROOKLYN NY 11245-0003 |
Class C |
13.13% |
43.17% |
Class Inst |
65.04% | |||
Class Inst3 |
93.70% | |||
|
JOHN HANCOCK TRUST COMPANY LLC
200 BERKELEY ST STE 7
BOSTON MA 02116-5038 |
Class Adv |
6.20% |
N/A |
|
LINCOLN INVESTMENT PLANNING LLC
FBO LINCOLN CUSTOMERS
601 OFFICE CENTER DR STE 300
FT WASHINGTON PA 19034-3275 |
Class Adv |
7.49% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
6.57% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
9.28% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Adv |
11.10% |
N/A |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class A |
9.78% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
15.75% |
N/A |
Class Adv |
42.69% | |||
Class Inst2 |
42.11% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class A |
5.73% |
N/A |
Class Adv |
17.11% | |||
Class C |
11.66% | |||
Class Inst2 |
13.37% | |||
|
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901 |
Class Adv |
5.36% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class Inst |
5.06% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class A |
8.51% |
N/A |
Class C |
5.54% | |||
International Dividend Income Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE
MINNEAPOLIS MN 55402-2405 |
Class A |
16.89% |
N/A |
Class C |
25.23% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
18.47% |
N/A |
|
CHARLES SCHWAB & CO INC ATTENTION MUTUAL FUND 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class A |
8.21% |
N/A |
Class Inst |
5.75% | |||
Class Inst2 |
62.22% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class A |
5.45% |
N/A |
Class Inst3 |
40.81% | |||
|
JPMCB NA CUST FOR
COLUMBIA INCOME BUILDER FUND
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
57.67% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
16.59% |
N/A |
|
MATRIX TRUST COMPANY AS AGENT FOR
ADVISOR TRUST INC
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class R |
6.07% |
N/A |
|
MICHAEL PAGE GLEN & KIRK MARTIN TTE
HELICOPTER APPLICATORS INC 401K
C/O FASCORE LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
54.48% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
9.23% |
N/A |
Class Adv |
69.98% | |||
Class Inst2 |
29.11% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
19.93% |
N/A |
Class C |
19.20% | |||
Class Inst2 |
6.47% | |||
|
PIMS/PRUDENTIAL RETIREMENT
AS NOMINEE FOR THE TTEE
GULF INTERSTATE ENGINEERING
16010 BARKERS POINT LN STE 600
HOUSTON TX 77079-4021 |
Class Adv |
7.81% |
N/A |
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
8.60% |
N/A |
|
RICHARD PRIGG TTEE FBO
C/O FASCORE
QUEUE SOLUTIONS 401K PS PLAN
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
14.60% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
13.68% |
N/A |
MM Alternative Strategies
Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE
MINNEAPOLIS MN 55402-2405 |
Class Inst |
100.00% |
100.00% |
MM International Equity Strategies Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE
MINNEAPOLIS MN 55402-2405 |
Class Inst |
100.00% |
100.00% |
|
COLUMBIA MGMT INVESTMENT ADVISOR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
Class Inst3 |
100.00% |
N/A |
MM Small Cap Equity Strategies Fund |
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE MINNEAPOLIS MN 55402-2405 |
Class Inst |
100.00% |
100.00% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
COLUMBIA MGMT INVESTMENT ADVISOR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
Class Inst3 |
100.00% |
N/A |
MM Total Return Bond Strategies Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE
MINNEAPOLIS MN 55402-2405 |
Class Inst |
100.00% |
100.00% |
|
COLUMBIA MGMT INVESTMENT ADVISOR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
Class Inst3 |
100.00% |
N/A |
Multisector Bond SMA
Completion Portfolio |
COLUMBIA MGMT INVESTMENT ADVISOR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
N/A |
100.00% |
100%(a) |
Overseas SMA Completion Portfolio |
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUND
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
N/A |
17.31% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
N/A |
6.20% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
N/A |
75.49% |
75.49% |
Select Mid Cap Growth Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE
MINNEAPOLIS MN 55402-2405 |
Class A |
60.66% |
31.31% |
Class C |
39.47% | |||
|
ARUNA KHANDELWAL
362 SPRAGUE RD
NARBERTH PA 19072-1124 |
Class V |
5.38% |
N/A |
|
ASCENSUS TRUST COMPANY FBO
IMPRESSIVE MANUFACTURING 401(K)
PO BOX 10758
FARGO ND 58106-0758 |
Class C |
12.51% |
N/A |
|
ASCENSUS TRUST COMPANY FBO
U.S. TANK ALLIANCE, INC 401(K)
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
14.71% |
N/A |
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUND
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst |
12.30% |
N/A |
Class Inst2 |
22.84% | |||
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH ST
DES MOINES IA 50392-0001 |
Class Inst3 |
5.34% |
N/A |
Class R |
8.09% | |||
|
EMPOWER TRUST FBO
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class Inst3 |
7.15% |
N/A |
|
FIIOC FBO
100 MAGELLAN WAY # KW1C
COVINGTON KY 41015-1987 |
Class Inst2 |
8.43% |
N/A |
|
FPS TRUST COMPANY FBO 9200 E MINERAL AVE STE 225 CENTENNIAL CO 80112-3592 |
Class R |
9.77% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class R |
10.77% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class Adv |
58.12% |
N/A |
Class Inst3 |
43.13% | |||
Class V |
12.83% | |||
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
9.64% |
N/A |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class C |
7.84% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
5.54% |
N/A |
Class Inst |
10.87% | |||
Class Inst2 |
40.52% | |||
Class Inst3 |
27.39% | |||
Class R |
13.53% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
14.92% |
N/A |
Class C |
5.66% | |||
Class Inst2 |
6.49% | |||
Class R |
6.04% | |||
|
PRINCIPAL TRUST COMPANY
FBO
ATTN SUSAN SAGGIONE
1013 CENTRE RD STE 300
WILMINGTON DE 19805-1265 |
Class R |
14.17% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
18.58% |
N/A |
Small Cap Growth Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE
MINNEAPOLIS MN 55402-2405 |
Class A |
28.03% |
N/A |
Class C |
35.92% | |||
Class Inst |
27.54% | |||
|
BAND & CO C/O US BANK NA
1555 N RIVERCENTER DR STE 302
MILWAUKEE WI 53212-3958 |
Class Inst |
7.59% |
N/A |
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUND
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
20.12% |
N/A |
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH ST
DES MOINES IA 50392-0001 |
Class R |
27.41% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
27.56% |
N/A |
|
EMPOWER TRUST FBO
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
8.07% |
N/A |
|
FPS TRUST COMPANY FBO 9200 E MINERAL AVE STE 225 CENTENNIAL CO 80112-3592 |
Class R |
8.53% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
JON BERGER TTEE FBO
C/O FASCORE LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
5.10% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
6.28% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA CAPITAL ALLOCATION
MODERATE AGGRESSIVE PORTFOLIO
4 CHASE METROTECH CENTER 3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
7.70% |
N/A |
|
LINCOLN INVESTMENT PLANNING LLC
FBO LINCOLN CUSTOMERS
601 OFFICE CENTER DR STE 300
FT WASHINGTON PA 19034-3275 |
Class Adv |
6.32% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Inst |
8.85% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
14.90% |
N/A |
Class Inst |
6.60% | |||
Class Inst3 |
7.44% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
5.91% |
N/A |
Class Adv |
48.59% | |||
Class Inst2 |
13.46% | |||
Class Inst3 |
8.14% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
8.67% |
N/A |
Class C |
5.95% | |||
Class Inst2 |
19.54% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
12.31% |
N/A |
Class Inst |
7.61% | |||
|
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901 |
Class Inst2 |
5.30% |
N/A |
Class R |
15.46% | |||
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class Inst |
17.96% |
N/A |
|
VANGUARD FDUCIARY TRUST CO
PO BOX 2600 VM 613
ATTN: OUTSIDE FUNDS
VALLEY FORGE PA 19482-2600 |
Class Inst2 |
30.71% |
N/A |
|
VOYA INSTITUTIONAL TRUST COMPANY
CUST FBO CORE MARKET RETIREMENT
PLANS
30 BRAINTREE HILL OFFICE PARK
BRAINTREE MA 02184-8747 |
Class Adv |
8.92% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C |
24.54% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
Strategic Income Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE
MINNEAPOLIS MN 55402-2405 |
Class A |
49.96% |
N/A |
Class C |
28.85% | |||
Class Inst |
25.16% | |||
|
CAPINCO
C/O US BANK NA
1555 N RIVERCENTER DR STE 302
MILWAUKEE WI 53212-3958 |
Class Adv |
6.37% |
N/A |
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUND
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Adv |
10.00% |
N/A |
Class Inst2 |
41.31% | |||
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH ST
DES MOINES IA 50392-0001 |
Class R |
16.90% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
23.74% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
9.94% |
N/A |
Class Inst |
12.09% | |||
|
MARIL & CO FBO 98
C/O RELIANCE TRUST COMPANY WI
MAILCODE: BD1N – ATTN: MF
4900 W BROWN DEER RD
MILWAUKEE WI 53223-2422 |
Class Inst3 |
34.94% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER
FBO SUSAN M WILLIAMS IRA
101 HUDSON ST UNIT 8
JERSEY CITY NJ 07302-3933 |
Class A |
5.36% |
N/A |
|
MERRILL LYNCH, PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class C |
7.27% |
N/A |
Class Inst |
12.49% | |||
Class Inst3 |
6.46% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class C |
11.27% |
N/A |
Class Inst |
13.49% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
8.55% |
N/A |
Class Adv |
36.98% | |||
Class Inst2 |
46.30% | |||
Class Inst3 |
6.09% | |||
Class R |
10.70% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
37.08% |
N/A |
Class C |
5.42% | |||
Class Inst2 |
7.21% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
7.64% |
N/A |
Class Inst |
9.39% | |||
|
RELIANCE TRUST COMPANY FBO CALAMP DC PLAN PO BOX 48529 ATLANTA GA 30362-1529 |
Class Inst3 |
6.78% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
SAMMONS FINANCIAL NETWORK LLC
8300 MILLS CIVIC PKWY
WEST DES MOINES IA 50266-3833 |
Class R |
42.00% |
N/A |
|
UBS WM USA
SPEC CDY A/C EXCL BEN CUST UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class Inst |
8.49% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C |
16.34% |
N/A |
Class Inst |
9.80% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
Intermediate Duration Municipal Bond Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
22.12% |
N/A |
Class C |
21.65% | |||
Class Inst |
34.75% | |||
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUNDS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
24.97% |
N/A |
Class Adv |
5.66% | |||
Class Inst2 |
75.89% | |||
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class A |
5.54% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
7.54% |
N/A |
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class Inst |
8.97% |
29.41% |
Class Inst3 |
94.46% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class A |
11.60% |
N/A |
Class C |
34.91% | |||
Class Inst |
12.70% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
14.66% |
N/A |
Class Adv |
15.23% | |||
Class Inst2 |
20.19% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
5.10% |
N/A |
|
SEI PRIVATE TRUST COMPANY
C/O BMO HARRIS SWP
ONE FREEDOM VALLEY DRIVE
OAKS PA 19456-9989 |
Class Adv |
71.30% |
N/A |
|
UBS WM USA SPEC CDY 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class Inst |
7.02% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
15.25% |
N/A |
MA Intermediate Municipal Bond Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
8.73% |
N/A |
Class C |
43.90% | |||
Class Inst |
57.23% | |||
|
COLUMBIA MGMT INVESTMENT ADVISOR LLC
ATTN KATRINA MACBAIN
50807 AMERIPRISE FINANCIAL CTR
MINNEAPOLIS MN 55474-0508 |
Class Inst2 |
100.00% |
N/A |
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
5.54% |
56.25% |
Class Inst |
10.39% | |||
Class Inst3 |
99.41% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class Inst |
6.10% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
11.09% |
N/A |
Class Adv |
94.19% | |||
Class Inst |
11.32% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
5.62% |
N/A |
Class C |
10.03% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class A |
56.11% |
N/A |
Class C |
5.86% | |||
|
STIFEL NICOLAUS & CO INC
EXCLUSIVE BENEFIT OF CUSTOMERS
501 N BROADWAY
SAINT LOUIS MO 63102-2188 |
Class C |
35.96% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class A |
5.77% |
N/A |
NY Intermediate Municipal Bond Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
19.38% |
N/A |
Class C |
18.31% | |||
Class Inst |
33.30% | |||
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUNDS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
71.50% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class A |
6.50% |
N/A |
Class C |
10.85% | |||
Class Inst |
8.20% | |||
|
MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E JACKSONVILLE FL 32246-6484 |
Class A |
19.40% |
44.90% |
Class Inst |
16.46% | |||
Class Inst3 |
97.18% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
34.27% |
N/A |
Class Inst2 |
24.96% | |||
|
OPPENHEIMER & CO INC.
RANDY LEVY TTEE
40 WOODS LN
BOYNTON FL 33436-6204 |
Class C |
5.75% |
N/A |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class A |
13.70% |
N/A |
Class Adv |
65.56% | |||
Class C |
22.94% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class Inst |
8.46% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class A |
6.35% |
N/A |
Class C |
20.56% | |||
Select Global Equity Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
72.08% |
66.22% |
Class C |
64.57% | |||
Class Inst |
69.08% | |||
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758 |
Class R |
7.74% |
N/A |
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUNDS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
60.28% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
76.22% |
N/A |
|
FIIOC FBO
100 MAGELLAN WAY # KW1C
COVINGTON KY 41015-1987 |
Class R |
7.34% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class Adv |
5.36% |
N/A |
Class Inst |
16.13% | |||
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class R |
11.34% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
15.40% |
N/A |
Class Inst2 |
21.60% | |||
Class Inst3 |
6.31% | |||
Class R |
28.17% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
78.74% |
N/A |
|
PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TTEE/CUST BRITZ INC 401(K) PLAN 3265 W FIGARDEN DR FRESNO CA 93711-3906 |
Class R |
20.54% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class C |
7.08% |
N/A |
Class Inst |
5.55% | |||
|
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901 |
Class Inst2 |
7.93% |
N/A |
Class R |
11.43% | |||
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
6.59% |
N/A |
Seligman Global Technology Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
31.51% |
28.02% |
Class C |
40.01% | |||
Class Inst |
41.22% | |||
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUNDS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
6.20% |
N/A |
Class Adv |
6.54% | |||
Class Inst2 |
50.44% | |||
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
ATTN NPIO TRADE DESK
OMNIBUS
711 HIGH ST
DES MOINES IA 50392-0001 |
Class Inst3 |
10.42% |
N/A |
|
ING LIFE INSURANCE & ANNUITY CO
ING FUND OPERATIONS
1 ORANGE WAY
WINDSOR CT 06095-4773 |
Class Inst3 |
5.19% |
N/A |
|
J P MORGAN SECURITIES LLC OMNIBUS
ACCOUNT FOR THE EXCLUSIVE BENEFIT
OF CUSTOMERS
4 CHASE METROTECH CENTER
3RD FL MUTUAL FUND DEPARTMENT
BROOKLYN NY 11245-0003 |
Class A |
5.26% |
N/A |
|
LINCOLN INVESTMENT PLANNING LLC
FBO LINCOLN CUSTOMERS
601 OFFICE CENTER DR STE 300
FT WASHINGTON PA 19034-3275 |
Class Adv |
5.24% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
6.06% |
N/A |
Class Inst |
11.00% | |||
|
MASSACHUSETTS MUTUAL LIFE INSURANCE
1295 STATE STREET MIP M200-INVST
SPRINGFIELD MA 01111-0001 |
Class Inst3 |
33.25% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Inst3 |
7.28% |
N/A |
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class C |
9.00% |
N/A |
Class Inst |
6.84% | |||
|
NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1015 |
Class A |
10.14% |
N/A |
Class Adv |
26.22% | |||
Class C |
5.53% | |||
Class Inst2 |
17.02% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
26.24% |
N/A |
Class C |
8.48% | |||
Class Inst2 |
19.53% | |||
Class Inst3 |
10.83% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class Inst |
10.72% |
N/A |
|
SAMMONS FINANCIAL NETWORK LLC
8300 MILLS CIVIC PKWY
WEST DES MOINES IA 50266-3833 |
Class R |
24.04% |
N/A |
|
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901 |
Class Inst3 |
11.13% |
N/A |
|
THE HARTFORD
1 HARTFORD PLZ
HARTFORD CT 06155-0001 |
Class Inst3 |
12.06% |
N/A |
|
UBS WM USA
SPEC CDY
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class Inst |
8.01% |
N/A |
|
VENERABLE INSURANCE & ANNUITY CO
1475 DUNWOODY DR
WESTCHESTER PA 19380-1478 |
Class Adv |
17.05% |
N/A |
Class R |
68.03% | |||
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class C |
11.53% |
N/A |
Class Inst |
10.32% | |||
Strategic CA Municipal Income Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
31.85% |
29.42% |
Class C |
43.08% | |||
Class Inst |
28.60% | |||
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUNDS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class A |
6.00% |
N/A |
Class Inst2 |
69.98% | |||
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
31.35% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
6.21% |
N/A |
Class Inst |
6.53% | |||
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
10.56% |
N/A |
Class C |
9.84% | |||
Class Inst |
29.36% | |||
Class Inst3 |
67.74% | |||
|
MORGAN STANLEY SMITH BARNEY LLC
FOR THE EXCLUSIVE BENE OF ITS CUST
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965 |
Class A |
6.94% |
N/A |
Class C |
5.80% | |||
Class Inst |
14.56% | |||
|
NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1015 |
Class Adv |
90.72% |
N/A |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
8.16% |
N/A |
Class Inst2 |
29.66% | |||
|
UBS WM USA
SPEC CDY
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class A |
5.31% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523 |
Class A |
9.19% |
N/A |
Class C |
24.18% | |||
Strategic NY Municipal Income Fund |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405 |
Class A |
19.47% |
N/A |
Class C |
30.89% | |||
Class Inst |
31.42% | |||
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUNDS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class Inst2 |
73.30% |
N/A |
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3710 |
Class Inst3 |
10.65% |
N/A |
|
LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968 |
Class C |
15.18% |
N/A |
Class Inst |
17.34% | |||
|
MERRILL LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT
OF ITS CUSTOMERS
4800 DEER LAKE DR E
JACKSONVILLE FL 32246-6484 |
Class A |
10.10% |
N/A |
Class Inst |
22.80% | |||
Class Inst3 |
88.59% | |||
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class A |
5.02% |
N/A |
Class Adv |
26.89% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
69.34% |
N/A |
Class C |
8.31% | |||
Class Inst2 |
25.59% | |||
|
RAYMOND JAMES
FBO OMNIBUS FOR MUTUAL FUNDS
ATTN: COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100 |
Class Inst |
10.48% |
N/A |
|
UBS WM USA
SPEC CDY
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761 |
Class C |
6.04% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class A |
6.64% |
N/A |
Class C |
18.04% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
Real Estate Equity Fund |
AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A |
62.44% |
N/A |
Class C |
31.43% |
Fund |
Shareholder Name and Address |
Share Class |
Percentage
of Class |
Percentage of Fund
(if greater than 25%) |
|
AMERICAN TITLE CO JACKSON INC TTEE
C/O FASCORE LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
12.26% |
N/A |
|
ASCENSUS TRUST COMPANY FBO
PO BOX 10577
FARGO ND 58106-0577 |
Class Inst2 |
9.33% |
N/A |
Class R |
7.18% | |||
|
CAPITAL BANK & TRUST CO FBO
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
36.20% |
N/A |
|
CHARLES SCHWAB & CO INC
ATTENTION MUTUAL FUNDS
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151 |
Class C |
9.16% |
N/A |
Class Inst |
15.93% | |||
Class Inst2 |
40.55% | |||
|
DIANE DENOYER TTEE FBO
DENOYER BROS MOVING & STORAGE 401(K)
C/O EMPOWER
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002 |
Class R |
5.90% |
N/A |
|
JPMCB NA CUST FOR
COLUMBIA INCOME BUILDER FUND
4 CHASE METROTECH CENTER
3RD FLOOR
BROOKLYN NY 11245-0003 |
Class Inst3 |
96.49% |
N/A |
|
LINCOLN INVESTMENT PLANNING LLC
FBO LINCOLN CUSTOMERS
601 OFFICE CENTER DR STE 300
FT WASHINGTON PA 19034-3275 |
Class Adv |
9.52% |
N/A |
|
MATRIX TRUST COMPANY AS AGENT FOR
ADVISOR TRUST, INC.
ROBERT D. CARLSON 403(B)
717 17TH ST STE 1300
DENVER CO 80202-3304 |
Class C |
5.27% |
N/A |
|
MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228 |
Class Inst2 |
22.45% |
N/A |
|
NATIONAL FINANCIAL SERVICES LLC
FEBO CUSTOMERS
MUTUAL FUNDS
200 LIBERTY STREET 1WFC
NEW YORK NY 10281-1015 |
Class Adv |
65.26% |
N/A |
Class Inst |
6.83% | |||
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002 |
Class Adv |
21.42% |
N/A |
Class Inst2 |
9.94% | |||
|
RICHARD COUNTRYMAN & MARIE COUNTRYMAN
D F COUNTRYMAN COMPANY EE 401K
C/O FASCORE
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class R |
12.97% |
N/A |
|
S GOLDBERG H MATRI & M BERMAN TTEE
C/O FASCORE LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002 |
Class Inst2 |
16.74% |
N/A |
|
WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C |
22.89% |
N/A |
Long-Term Rating |
Short-Term Rating |
AAA |
F1+ |
AA+ |
F1+ |
AA |
F1+ |
AA– |
F1+ |
A+ |
F1 or F1+ |
A |
F1 or F1+ |
A– |
F2 or F1 |
BBB+ |
F2 or F1 |
BBB |
F3 or F2 |
BBB– |
F3 |
BB+ |
B |
BB |
B |
BB– |
B |
B+ |
B |
B |
B |
B– |
B |
CCC+ / CCC / CCC– |
C |
CC |
C |
C |
C |
RD / D |
RD / D |
Long-Term Rating |
Short-Term Rating |
AAA AA+
AA AA– |
K1+ |
A+ |
K1+ or K1 |
A |
K1 |
A– |
K1 or K2 |
BBB+ |
K2 |
BBB |
K2 or K3 |
BBB– |
K3 |
BB+
BB BB–
B+ B
B– |
B |
CCC+ CCC
CCC– CC
C |
C |
D |
D |
1 Overview of key principles and approach |
B-1 |
2 Role, structure and operation of boards |
B-2 |
3 Board committees |
B-5 |
4 Compensation |
B-6 |
5 Audit, risk and control |
B-7 |
6 Shareholder rights |
B-8 |
7 Reporting |
B-9 |
8 Social and environmental factors |
B-11 |
9 Voting matters |
B-13 |