Daniel J. Beckman c/o Columbia Management Investment Advisers, LLC 290 Congress Street Boston, Massachusetts 02210 |
Ryan C. Larrenaga, Esq. c/o Columbia Management Investment Advisers, LLC 290 Congress Street Boston, Massachusetts 02210 |
Class |
Ticker Symbol |
A |
CREAX |
Advisor (Class Adv) |
CRERX |
Institutional (Class Inst) |
CREEX |
Institutional 2 (Class Inst2) |
CRRVX |
Institutional 3 (Class Inst3) |
CREYX |
S (a) |
— |
3 | |
3 | |
3 | |
4 | |
5 | |
7 | |
9 | |
9 | |
10 | |
10 | |
11 | |
11 | |
11 | |
11 | |
15 | |
19 | |
22 | |
22 | |
24 | |
24 | |
24 | |
31 | |
37 | |
40 | |
42 | |
44 | |
44 | |
45 | |
49 | |
52 | |
58 | |
60 | |
63 | |
63 | |
64 | |
67 | |
A-1 |
Shareholder Fees (fees paid directly from your investment) | ||
|
Class A |
Classes Adv, Inst, Inst2, Inst3, and S |
Maximum sales charge (load) imposed on purchases (as a % of offering price) |
% |
|
Maximum deferred sales charge (load) imposed on redemptions (as a % of the lower of the original purchase price or current net asset value) |
%(a) |
|
Annual Fund Operating Expenses (expenses that you pay each year as a percentage of the value of your investment) | ||||||
|
Class A |
Class Adv |
Class Inst |
Class Inst2 |
Class Inst3 |
Class S |
Management fees |
% |
% |
% |
% |
% |
% |
Distribution and/or service (12b-1) fees |
% |
% |
% |
% |
% |
% |
Other expenses(b) |
% |
% |
% |
% |
% |
% |
Total annual Fund operating expenses(c) |
% |
% |
% |
% |
% |
% |
Less: Fee waivers and/or expense reimbursements(d) |
( %) |
( %) |
( %) |
( %) |
( %) |
( %) |
Total annual Fund operating expenses after fee waivers and/or expense reimbursements |
% |
% |
% |
% |
% |
% |
|
1 year |
3 years |
5 years |
10 years |
Class A (whether or not shares are redeemed) |
$ |
$ |
$ |
$ |
Class Adv (whether or not shares are redeemed) |
$ |
$ |
$ |
$ |
Class Inst (whether or not shares are redeemed) |
$ |
$ |
$ |
$ |
Class Inst2 (whether or not shares are redeemed) |
$ |
$ |
$ |
$ |
Class Inst3 (whether or not shares are redeemed) |
$ |
$ |
$ |
$ |
Class S (whether or not shares are redeemed) |
$ |
$ |
$ |
$ |
|
Best and Worst Quarterly Returns During the Period Shown in the Bar Chart | ||
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- |
|
Share Class Inception Date |
1 Year |
5 Years |
10 Years |
Class A |
|
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|
|
returns before taxes |
|
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|
|
returns after taxes on distributions |
|
|
|
|
returns after taxes on distributions and sale of Fund shares |
|
|
|
|
Class Adv returns before taxes |
|
|
|
|
Class Inst returns before taxes |
|
|
|
|
Class Inst2 returns before taxes |
|
|
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|
Class Inst3 returns before taxes |
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FTSE Nareit Equity REITs Index (reflects no deductions for fees, expenses or taxes) |
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Portfolio Management |
Title |
Role with Fund |
Managed Fund Since |
Alban Lhonneur |
Portfolio Manager |
Co-Portfolio Manager |
July 2023 |
Daniel Winterbottom, CFA |
Portfolio Manager |
Co-Portfolio Manager |
July 2023 |
Online |
Regular Mail |
Express Mail |
By Telephone |
columbiathreadneedleus.com/investor/ |
Columbia Management Investment Services Corp. P.O. Box 219104 Kansas City, MO 64121-9104 |
Columbia Management Investment Services Corp. c/o SS&C GIDS, Inc. 430 W 7th Street, Suite 219104 Kansas City, MO 64105-1407 |
800.422.3737 |
Class |
Category of eligible account |
For accounts other than Systematic Investment Plan accounts (as described in the Fund’s Prospectus) |
For Systematic Investment Plan accounts |
Class A |
All accounts other than IRAs |
$2,000 |
$100 |
IRAs |
$1,000 |
$100 | |
Classes Adv & Inst |
All eligible accounts |
$0, $1,000 or $2,000 depending upon the category of eligible investor |
$100 |
Class Inst2 |
All eligible accounts |
None |
N/A |
Class Inst3 |
All eligible accounts |
$0, $1,000, $2,000 or $1 million depending upon the category of eligible investor |
$100 (for certain eligible investors) |
Columbia Real Estate Equity Fund | |
Class A |
1.25% |
Class Adv |
1.00% |
Class Inst |
1.00% |
Class Inst2 |
0.91% |
Class Inst3 |
0.85% |
Class S |
1.00% |
Portfolio Management |
Title |
Role with Fund |
Managed Fund Since |
Alban Lhonneur |
Portfolio Manager |
Co-Portfolio Manager |
July 2023 |
Daniel Winterbottom, CFA |
Portfolio Manager |
Co-Portfolio Manager |
July 2023 |
Share Class |
Eligible Investors; Minimum Initial Investments(a); Conversion Features(b) |
Front-End Sales Charges(c) |
Contingent Deferred Sales Charges (CDSCs)(c) |
Sales Charge Reductions/Waivers |
Maximum Distribution and/or Service Fees(d) |
Class A |
Eligibility: Available to the general public for investment(e) Minimum Initial Investment: $2,000 ($1,000 for IRAs; $100 for monthly Systematic Investment Plan accounts (as described below)) |
Taxable Funds: 5.75% maximum, declining to 0.00% on investments of $1 million or more Tax-Exempt Funds: 3.00% maximum, declining to 0.00% on investments of $500,000 or more None for Columbia Government Money Market Fund and certain other Funds(f) |
Taxable Funds(f): CDSC on certain investments of between $1 million and $50 million redeemed within 18 months after purchase charged as follows: • 1.00% CDSC if redeemed within 12 months after purchase, and • 0.50% CDSC if redeemed more than 12, but less than 18, months after purchase Tax-Exempt Funds(f): Maximum CDSC of 0.75% on certain investments of $500,000 or more redeemed within 12 months after purchase |
Reductions: Yes, see Choosing a Share Class — Reductions/Waivers of Sales Charges – Class A Shares Front-End Sales Charge Reductions Waivers: Yes, on Fund distribution reinvestments. For additional waivers, see Choosing a Share Class — Reductions/Waivers of Sales Charges – Class A Shares Front-End Sales Charge Waivers, as well as Choosing a Share Class — CDSC Waivers – Class A and Class C Financial intermediary-specific waivers are also available, see Appendix A |
Distribution and Service Fees: up to 0.25% |
Class Adv |
Eligibility: Available only to (i) omnibus retirement plans, including self-directed brokerage accounts within omnibus retirement plans that clear through institutional no transaction fee (NTF) platforms; (ii) trust companies or |
None |
None |
N/A |
None |
Share Class |
Eligible Investors; Minimum Initial Investments(a); Conversion Features(b) |
Front-End Sales Charges(c) |
Contingent Deferred Sales Charges (CDSCs)(c) |
Sales Charge Reductions/Waivers |
Maximum Distribution and/or Service Fees(d) |
|
similar institutions; (iii) broker- dealers, banks, trust companies and similar institutions that clear Fund share transactions for their client or customer investment advisory or similar accounts through designated financial intermediaries and their mutual fund trading platforms that have been granted specific written authorization from the Transfer Agent with respect to Class Adv eligibility apart from selling, servicing or similar agreements; (iv) 501(c)(3) charitable organizations; (v) 529 plans; (vi) health savings accounts; (vii) investors participating in a fee- based advisory program sponsored by a financial intermediary or other entity that is not compensated by the Fund for those services, other than payments for shareholder servicing or sub-accounting performed in place of the Transfer Agent; and (viii) commissionable brokerage platforms where the financial intermediary, acting as broker on behalf of its customer, charges the customer a commission for effecting transactions in Fund shares, provided that the financial intermediary has an agreement with the Distributor that specifically authorizes offering Class Adv shares within such platform.(e) Minimum Initial Investment: None, except in the case of (viii) above, which is $2,000 ($1,000 for IRAs; $100 for monthly Systematic Investment Plan accounts) |
|
|
|
|
Class C |
Eligibility: Available to the general public for investment Minimum Initial Investment: $2,000 ($1,000 for IRAs; $100 for monthly Systematic Investment Plan accounts) Purchase Order Limit for Tax-Exempt Funds: $499,999(g), none for omnibus retirement plans Purchase Order Limit for Taxable Funds: $999,999(g); none for omnibus retirement plans Conversion Feature: Yes. Class C shares generally automatically convert to Class A shares of the same Fund in the month of or the month following the 8-year |
None |
1.00% on certain investments redeemed within one year of purchase |
Waivers: Yes, on Fund distribution reinvestments. For additional waivers, see Choosing a Share Class – CDSC Waivers – Class A and Class C Financial intermediary-specific CDSC waivers are also available, see Appendix A |
Distribution Fee: 0.75% Service Fee: 0.25% |
Share Class |
Eligible Investors; Minimum Initial Investments(a); Conversion Features(b) |
Front-End Sales Charges(c) |
Contingent Deferred Sales Charges (CDSCs)(c) |
Sales Charge Reductions/Waivers |
Maximum Distribution and/or Service Fees(d) |
|
anniversary of the Class C shares purchase date.(b) |
|
|
|
|
Class Inst |
Eligibility: Available only to certain eligible investors, which are subject to different minimum investment requirements, ranging from $0 to $2,000, including investors who purchase Fund shares through commissionable brokerage platforms where the financial intermediary holds the shares in an omnibus account and, acting as broker on behalf of its customer, charges the customer a commission for effecting transactions in Fund shares, provided that the financial intermediary has an agreement with the Distributor that specifically authorizes offering Class Inst shares within such platform; closed to (i) accounts of financial intermediaries that clear Fund share transactions for their client or customer accounts through designated financial intermediaries and their mutual fund trading platforms that have been given specific written notice from the Transfer Agent of the termination of their eligibility for new purchases of Class Inst shares and (ii) omnibus group retirement plans, subject to certain exceptions(e)(h) Minimum Initial Investment: See Eligibility above |
None |
None |
N/A |
None |
Class Inst2 |
Eligibility: Available only to (i) certain registered investment advisers and family offices that clear Fund share transactions for their client or customer accounts through designated financial intermediaries and their mutual fund trading platforms that have been granted specific written authorization from the Transfer Agent with respect to Class Inst2 eligibility apart from selling, servicing or similar agreements; (ii) omnibus retirement plans(h); (iii) health savings accounts, provided that the financial intermediary has an agreement with the Distributor that specifically authorizes offering Class Inst2 shares within such platform and that Fund shares are held in an omnibus account; and (iv) institutional investors that are clients of the Columbia Threadneedle Global Institutional Distribution Team that invest in Class Inst2 shares for their own account through platforms approved by the Distributor or an |
None |
None |
N/A |
None |
Share Class |
Eligible Investors; Minimum Initial Investments(a); Conversion Features(b) |
Front-End Sales Charges(c) |
Contingent Deferred Sales Charges (CDSCs)(c) |
Sales Charge Reductions/Waivers |
Maximum Distribution and/or Service Fees(d) |
|
affiliate thereof to offer and/or service Class Inst2 shares within such platform. Minimum Initial Investment: None |
|
|
|
|
Class Inst3 |
Eligibility: Available to (i) group retirement plans that maintain plan- level or omnibus accounts with the Fund(h); (ii) institutional investors that are clients of the Columbia Threadneedle Global Institutional Distribution Team that invest in Class Inst3 shares for their own account through platforms approved by the Distributor or an affiliate thereof to offer and/or service Class Inst3 shares within such platform; (iii) collective trust funds; (iv) affiliated or unaffiliated mutual funds (e.g., funds operating as funds- of-funds); (v) fee-based platforms of financial intermediaries (or the clearing intermediary they trade through) that have an agreement with the Distributor or an affiliate thereof that specifically authorizes the financial intermediary to offer and/or service Class Inst3 shares within such platform, provided also that Fund shares are held in an omnibus account; (vi) commissionable brokerage platforms where the financial intermediary, acting as broker on behalf of its customer, charges the customer a commission for effecting transactions in Fund shares, provided that the financial intermediary has an agreement with the Distributor that specifically authorizes offering Class Inst3 shares within such platform and that Fund shares are held in an omnibus account; (vii) health savings accounts, provided that the financial intermediary has an agreement with the Distributor that specifically authorizes offering Class Inst3 shares within such platform and that Fund shares are held in an omnibus account; and (viii) bank trust departments, subject to an agreement with the Distributor that specifically authorizes offering Class Inst3 shares and provided that Fund shares are held in an omnibus account. In each case above where noted that Fund shares are required to be held in an omnibus account, the Distributor may, in its discretion, determine to waive this requirement.(e) |
None |
None |
N/A |
None |
Share Class |
Eligible Investors; Minimum Initial Investments(a); Conversion Features(b) |
Front-End Sales Charges(c) |
Contingent Deferred Sales Charges (CDSCs)(c) |
Sales Charge Reductions/Waivers |
Maximum Distribution and/or Service Fees(d) |
|
Minimum Initial Investment: No minimum for the eligible investors described in (i), (iii), (iv), (v), and (vii) above; $2,000 ($1,000 for IRAs; $100 for monthly Systematic Investment Plan accounts) for the eligible investors described in (vi) above; and $1 million for all other eligible investors, unless waived in the discretion of the Distributor |
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|
|
|
Class R |
Eligibility: Available only to eligible retirement plans, health savings accounts and, in the sole discretion of the Distributor, other types of retirement accounts held through platforms maintained by financial intermediaries approved by the Distributor Minimum Initial Investment: None |
None |
None |
N/A |
Series of CFST & CFST I: distribution fee of 0.50% Series of CFST II: distribution and service fee of 0.50%, of which the service fee may be up to 0.25% |
Class S |
Effective on or about October 1, 2024, Class S shares are available (i) to be held, but not purchased, by accounts of financial intermediaries that, with specific written permission from the Transfer Agent, have instructed the Fund to exchange Class Inst shares for Class S shares; and (ii) to be held and purchased by omnibus group retirement plans that (A) opened and, subject to exceptions, funded a Class Inst share account as of the close of business on March 28, 2013 and have continuously held Class Inst shares in such account through at least September 30, 2024 and (B) received specific written permission from the Transfer Agent to exchange Class Inst shares for Class S shares. Only omnibus retirement plans referenced in (ii) above may purchase Class S shares, open new Class S accounts, or add new plan participants to a Class S shares omnibus retirement plan account. Otherwise, Class S shares are not available for purchase (other than through the reinvestment of distributions on Class S shares).(h) Minimum Initial Investment: See Eligibility above |
None |
None |
N/A |
None |
Class A Shares — Front-End Sales Charge — Breakpoint Schedule* | ||||
Breakpoint Schedule For: |
Dollar amount of shares bought(a) |
Sales charge as a % of the offering price(b) |
Sales charge as a % of the net amount invested(b) |
Amount retained by or paid to financial intermediaries as a % of the offering price |
Equity Funds, Columbia Adaptive Risk Allocation Fund, Columbia Commodity Strategy Fund, Columbia Multi Strategy Alternatives Fund, and Funds-of-Funds (equity)* |
$0–$49,999 |
5.75% |
6.10% |
5.00% |
$50,000–$99,999 |
4.50% |
4.71% |
3.75% | |
$100,000–$249,999 |
3.50% |
3.63% |
3.00% | |
$250,000–$499,999 |
2.50% |
2.56% |
2.15% | |
$500,000–$999,999 |
2.00% |
2.04% |
1.75% | |
$1,000,000 or more |
0.00% |
0.00% |
0.00%(c) | |
|
|
|
|
|
Fixed Income Funds (except those listed below) and Funds-of-Funds (fixed income)* |
$0-$49,999 |
4.75% |
4.99% |
4.00% |
$50,000–$99,999 |
4.25% |
4.44% |
3.50% | |
$100,000–$249,999 |
3.50% |
3.63% |
3.00% | |
$250,000–$499,999 |
2.50% |
2.56% |
2.15% | |
$500,000–$999,999 |
2.00% |
2.04% |
1.75% | |
$1,000,000 or more |
0.00% |
0.00% |
0.00%(c) | |
|
|
|
|
|
Tax-Exempt Funds (other than Columbia Short Duration Municipal Bond Fund) |
$0-$99,999 |
3.00% |
3.09% |
2.50% |
$100,000–$249,999 |
2.50% |
2.56% |
2.15% | |
$250,000–$499,999 |
1.50 % |
1.53% |
1.25% | |
$500,000 or more |
0.00% |
0.00% |
0.00%(c) | |
|
|
|
|
|
Columbia Floating Rate Fund, Columbia Limited Duration Credit Fund, Columbia Mortgage Opportunities Fund, Columbia Quality Income Fund, and Columbia Total Return Bond Fund |
$0-$99,999 |
3.00% |
3.09% |
2.50% |
$100,000–$249,999 |
2.50% |
2.56% |
2.15% | |
$250,000–$499,999 |
2.00% |
2.04% |
1.75% | |
$500,000–$999,999 |
1.50% |
1.52% |
1.25% | |
$1,000,000 or more |
0.00% |
0.00% |
0.00%(c) | |
|
|
|
|
|
Columbia Short Term Bond Fund |
$0-$99,999 |
1.00% |
1.01% |
0.75% |
$100,000–$249,999 |
0.75% |
0.76% |
0.50% | |
$250,000–$999,999 |
0.50% |
0.50% |
0.40% | |
$1,000,000 or more |
0.00% |
0.00% |
0.00%(c) | |
|
|
|
|
|
Class A Shares — Front-End Sales Charge — Breakpoint Schedule* | ||||
Breakpoint Schedule For: |
Dollar amount of shares bought(a) |
Sales charge as a % of the offering price(b) |
Sales charge as a % of the net amount invested(b) |
Amount retained by or paid to financial intermediaries as a % of the offering price |
Columbia Short Duration Municipal Bond Fund |
$0-$99,999 |
1.00% |
1.01% |
0.75% |
$100,000–$249,999 |
0.75% |
0.76% |
0.50% | |
$250,000–$499,999 |
0.50% |
0.50% |
0.40% | |
$500,000 or more |
0.00% |
0.00% |
0.00%(c) | |
|
|
|
|
|
Class A Shares of Tax-Exempt Funds — Commission Schedule (Paid by the Distributor to Financial Intermediaries) | |
Purchase Amount |
Commission Level* (as a % of net asset value per share) |
$500,000 – $3,999,999 |
0.75%** |
$4 million – $19,999,999 |
0.50% |
$20 million or more |
0.25% |
Class A Shares of Taxable Funds — Commission Schedule (Paid by the Distributor to Financial Intermediaries)* | |
Purchase Amount |
Commission Level** (as a % of net asset value per share) |
$1 million – $2,999,999 |
1.00% |
$3 million – $49,999,999 |
0.50% |
$50 million or more |
0.25% |
Repurchases (Reinstatements) | |
Redeemed Share Class |
Corresponding Repurchase Class |
Class A |
Class A |
Class C |
Class C |
|
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 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 Columbia Government Money Market Fund) |
— |
— |
0.25%; these Funds pay a combined distribution and service fee |
Columbia Government Money Market Fund |
— |
— |
0.10% |
Columbia Ultra Short Duration Municipal Bond Fund, Columbia Ultra Short Term Bond Fund |
up to 0.15% |
up to 0.15% |
0.15% |
Columbia Balanced Fund, Columbia Contrarian Core Fund, Columbia Dividend Income Fund, Columbia Global Technology Growth Fund, Columbia Large Cap Growth Fund, Columbia Oregon Intermediate Municipal Bond Fund, Columbia Real Estate Equity Fund, Columbia Select Mid Cap Growth Fund, Columbia Small Cap Growth Fund, Columbia 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 |
Columbia Adaptive Risk Allocation Fund, Columbia Bond Fund, Columbia Corporate Income Fund, Columbia Emerging Markets Fund, Columbia Greater China Fund, Columbia International Dividend Income Fund, Columbia Massachusetts Intermediate Municipal Bond Fund, Columbia Multi Strategy Alternatives Fund, Columbia New York Intermediate Municipal Bond Fund, Columbia Select Large Cap Growth Fund, Columbia Small Cap Value Fund I, Columbia Strategic Income Fund, Columbia Strategic New York Municipal Income Fund |
— |
0.25% |
0.25% |
Columbia High Yield Municipal Fund, Columbia Intermediate Duration Municipal Bond Fund, Columbia Tax-Exempt Fund, Columbia Strategic California Municipal Income Fund |
— |
0.20% |
0.20% |
Columbia U.S. Treasury Index Fund |
--- |
0.15% |
0.15% |
Minimum Account Balance |
|
|
Minimum Account Balance |
For all classes and account types except those listed below |
$250 (None for accounts with Systematic Investment Plans) |
Individual Retirement Accounts for all classes except those listed below |
None |
Class Adv, Class Inst2, Class Inst3 and Class R |
None |
Minimum Initial Investments | ||
|
Minimum Initial Investment(a) |
Minimum Initial Investment for Accounts with Systematic Investment Plans |
For all classes and account types except those listed below |
$2,000 |
$100(b) |
Individual Retirement Accounts for all classes except those listed below |
$1,000 |
$100(c) |
Group retirement plans |
None |
N/A |
Class Adv and Class Inst |
$0, $1,000 or $2,000(d) |
$100(d) |
Class Inst2 and Class R |
None |
N/A |
Class Inst3 |
$0, $1,000, $2,000 or $1 million(e) |
$100(e) |
Declaration and Distribution Schedule | |
Declarations |
Semiannually |
Distributions |
Semiannually |
|
Net asset value, beginning of period |
Net investment income (loss) |
Net realized and unrealized gain (loss) |
Total from investment operations |
Distributions from net investment income |
Distributions from net realized gains |
Total distributions to shareholders |
Class A | |||||||
Year Ended 12/31/2023 |
$11.53 |
0.25 |
1.51 |
1.76 |
(0.27) |
(2.96) |
(3.23) |
Year Ended 12/31/2022 |
$16.29 |
0.18 |
(4.29) |
(4.11) |
(0.18) |
(0.47) |
(0.65) |
Year Ended 12/31/2021 |
$12.30 |
0.09 |
4.91 |
5.00 |
(0.17) |
(0.84) |
(1.01) |
Year Ended 12/31/2020 |
$13.77 |
0.13 |
(0.71) |
(0.58) |
(0.16) |
(0.73) |
(0.89) |
Year Ended 12/31/2019 |
$12.07 |
0.21 |
3.11 |
3.32 |
(0.21) |
(1.41) |
(1.62) |
Advisor Class | |||||||
Year Ended 12/31/2023 |
$11.88 |
0.48 |
1.39 |
1.87 |
(0.31) |
(2.96) |
(3.27) |
Year Ended 12/31/2022 |
$16.76 |
0.22 |
(4.42) |
(4.20) |
(0.21) |
(0.47) |
(0.68) |
Year Ended 12/31/2021 |
$12.63 |
0.12 |
5.06 |
5.18 |
(0.21) |
(0.84) |
(1.05) |
Year Ended 12/31/2020 |
$14.13 |
0.17 |
(0.75) |
(0.58) |
(0.19) |
(0.73) |
(0.92) |
Year Ended 12/31/2019 |
$12.34 |
0.26 |
3.19 |
3.45 |
(0.25) |
(1.41) |
(1.66) |
Class C | |||||||
Year Ended 12/31/2023 |
$11.54 |
0.16 |
1.51 |
1.67 |
(0.18) |
(2.96) |
(3.14) |
Year Ended 12/31/2022 |
$16.29 |
0.07 |
(4.27) |
(4.20) |
(0.08) |
(0.47) |
(0.55) |
Year Ended 12/31/2021 |
$12.30 |
(0.02) |
4.91 |
4.89 |
(0.06) |
(0.84) |
(0.90) |
Year Ended 12/31/2020 |
$13.76 |
0.04 |
(0.70) |
(0.66) |
(0.07) |
(0.73) |
(0.80) |
Year Ended 12/31/2019 |
$12.06 |
0.10 |
3.12 |
3.22 |
(0.11) |
(1.41) |
(1.52) |
Institutional Class | |||||||
Year Ended 12/31/2023 |
$11.56 |
0.28 |
1.52 |
1.80 |
(0.30) |
(2.96) |
(3.26) |
Year Ended 12/31/2022 |
$16.33 |
0.22 |
(4.31) |
(4.09) |
(0.21) |
(0.47) |
(0.68) |
Year Ended 12/31/2021 |
$12.33 |
0.12 |
4.93 |
5.05 |
(0.21) |
(0.84) |
(1.05) |
Year Ended 12/31/2020 |
$13.81 |
0.17 |
(0.73) |
(0.56) |
(0.19) |
(0.73) |
(0.92) |
Year Ended 12/31/2019 |
$12.10 |
0.25 |
3.12 |
3.37 |
(0.25) |
(1.41) |
(1.66) |
Institutional 2 Class | |||||||
Year Ended 12/31/2023 |
$11.50 |
0.30 |
1.51 |
1.81 |
(0.32) |
(2.96) |
(3.28) |
Year Ended 12/31/2022 |
$16.25 |
0.23 |
(4.28) |
(4.05) |
(0.23) |
(0.47) |
(0.70) |
Year Ended 12/31/2021 |
$12.28 |
0.14 |
4.89 |
5.03 |
(0.22) |
(0.84) |
(1.06) |
Year Ended 12/31/2020 |
$13.75 |
0.17 |
(0.70) |
(0.53) |
(0.21) |
(0.73) |
(0.94) |
Year Ended 12/31/2019 |
$12.06 |
0.22 |
3.15 |
3.37 |
(0.27) |
(1.41) |
(1.68) |
Institutional 3 Class | |||||||
Year Ended 12/31/2023 |
$11.68 |
0.26 |
1.57 |
1.83 |
(0.32) |
(2.96) |
(3.28) |
Year Ended 12/31/2022 |
$16.49 |
0.24 |
(4.34) |
(4.10) |
(0.24) |
(0.47) |
(0.71) |
Year Ended 12/31/2021 |
$12.44 |
0.16 |
4.96 |
5.12 |
(0.23) |
(0.84) |
(1.07) |
Year Ended 12/31/2020 |
$13.92 |
0.19 |
(0.72) |
(0.53) |
(0.22) |
(0.73) |
(0.95) |
Year Ended 12/31/2019 |
$12.19 |
0.26 |
3.16 |
3.42 |
(0.28) |
(1.41) |
(1.69) |
|
Net asset value, end of period |
Total return |
Total gross expense ratio to average net assets(a) |
Total net expense ratio to average net assets(a), (b) |
Net investment income (loss) ratio to average net assets |
Portfolio turnover |
Net assets, end of period (000's) |
Class A | |||||||
Year Ended 12/31/2023 |
$10.06 |
15.66% |
1.29% (c) |
1.23% (c), (d) |
2.13% |
58% |
$47,369 |
Year Ended 12/31/2022 |
$11.53 |
(25.33%) |
1.27% (c) |
1.25% (c), (d) |
1.36% |
28% |
$47,507 |
Year Ended 12/31/2021 |
$16.29 |
41.74% |
1.26% |
1.26% (d) |
0.63% |
5% |
$73,177 |
Year Ended 12/31/2020 |
$12.30 |
(3.70%) |
1.28% |
1.27% (d) |
1.07% |
32% |
$55,651 |
Year Ended 12/31/2019 |
$13.77 |
28.04% |
1.29% |
1.28% (d) |
1.47% |
20% |
$73,522 |
Advisor Class | |||||||
Year Ended 12/31/2023 |
$10.48 |
16.09% |
1.05% (c) |
0.97% (c), (d) |
4.01% |
58% |
$7,712 |
Year Ended 12/31/2022 |
$11.88 |
(25.15%) |
1.02% (c) |
1.00% (c), (d) |
1.61% |
28% |
$1,420 |
Year Ended 12/31/2021 |
$16.76 |
42.09% |
1.01% |
1.01% (d) |
0.85% |
5% |
$2,174 |
Year Ended 12/31/2020 |
$12.63 |
(3.56%) |
1.03% |
1.02% (d) |
1.34% |
32% |
$2,148 |
Year Ended 12/31/2019 |
$14.13 |
28.47% |
1.04% |
1.04% (d) |
1.81% |
20% |
$2,005 |
Class C | |||||||
Year Ended 12/31/2023 |
$10.07 |
14.78% |
2.04% (c) |
1.98% (c), (d) |
1.32% |
58% |
$1,072 |
Year Ended 12/31/2022 |
$11.54 |
(25.86%) |
2.01% (c) |
2.00% (c), (d) |
0.53% |
28% |
$1,310 |
Year Ended 12/31/2021 |
$16.29 |
40.70% |
2.01% |
2.01% (d) |
(0.13%) |
5% |
$2,722 |
Year Ended 12/31/2020 |
$12.30 |
(4.44%) |
2.03% |
2.02% (d) |
0.29% |
32% |
$2,807 |
Year Ended 12/31/2019 |
$13.76 |
27.11% |
2.03% |
2.03% (d) |
0.68% |
20% |
$4,623 |
Institutional Class | |||||||
Year Ended 12/31/2023 |
$10.10 |
15.99% |
1.04% (c) |
0.98% (c), (d) |
2.36% |
58% |
$76,051 |
Year Ended 12/31/2022 |
$11.56 |
(25.13%) |
1.02% (c) |
1.00% (c), (d) |
1.63% |
28% |
$82,320 |
Year Ended 12/31/2021 |
$16.33 |
42.06% |
1.01% |
1.01% (d) |
0.88% |
5% |
$120,982 |
Year Ended 12/31/2020 |
$12.33 |
(3.49%) |
1.04% |
1.02% (d) |
1.36% |
32% |
$157,929 |
Year Ended 12/31/2019 |
$13.81 |
28.38% |
1.03% |
1.03% (d) |
1.73% |
20% |
$162,706 |
Institutional 2 Class | |||||||
Year Ended 12/31/2023 |
$10.03 |
16.10% |
0.94% (c) |
0.88% (c) |
2.52% |
58% |
$1,045 |
Year Ended 12/31/2022 |
$11.50 |
(25.05%) |
0.90% (c) |
0.90% (c) |
1.73% |
28% |
$938 |
Year Ended 12/31/2021 |
$16.25 |
42.15% |
0.90% |
0.89% |
1.02% |
5% |
$1,321 |
Year Ended 12/31/2020 |
$12.28 |
(3.30%) |
0.91% |
0.90% |
1.41% |
32% |
$920 |
Year Ended 12/31/2019 |
$13.75 |
28.49% |
0.89% |
0.89% |
1.57% |
20% |
$1,370 |
Institutional 3 Class | |||||||
Year Ended 12/31/2023 |
$10.23 |
16.09% |
0.87% (c) |
0.83% (c) |
2.11% |
58% |
$44,303 |
Year Ended 12/31/2022 |
$11.68 |
(25.00%) |
0.84% (c) |
0.84% (c) |
1.81% |
28% |
$96,459 |
Year Ended 12/31/2021 |
$16.49 |
42.33% |
0.84% |
0.83% |
1.06% |
5% |
$134,201 |
Year Ended 12/31/2020 |
$12.44 |
(3.27%) |
0.85% |
0.84% |
1.55% |
32% |
$48,451 |
Year Ended 12/31/2019 |
$13.92 |
28.58% |
0.84% |
0.84% |
1.84% |
20% |
$44,827 |
|
Net asset value, beginning of period |
Net investment income (loss) |
Net realized and unrealized gain (loss) |
Total from investment operations |
Distributions from net investment income |
Distributions from net realized gains |
Total distributions to shareholders |
Class R | |||||||
Year Ended 12/31/2023 |
$11.52 |
0.21 |
1.52 |
1.73 |
(0.24) |
(2.96) |
(3.20) |
Year Ended 12/31/2022 |
$16.27 |
0.14 |
(4.27) |
(4.13) |
(0.15) |
(0.47) |
(0.62) |
Year Ended 12/31/2021 |
$12.29 |
0.06 |
4.90 |
4.96 |
(0.14) |
(0.84) |
(0.98) |
Year Ended 12/31/2020 |
$13.75 |
0.10 |
(0.70) |
(0.60) |
(0.13) |
(0.73) |
(0.86) |
Year Ended 12/31/2019 |
$12.05 |
0.16 |
3.13 |
3.29 |
(0.18) |
(1.41) |
(1.59) |
Notes to Financial Highlights | |
(a) |
In addition to the fees and expenses that the Fund bears directly, the Fund indirectly bears a pro rata share of the fees and expenses of any other funds in which it invests. Such indirect expenses are not included in the Fund's reported expense ratios. |
(b) |
Total net expenses include the impact of certain fee waivers/expense reimbursements made by the Investment Manager and certain of its affiliates, if applicable. |
(c) |
Ratios include interfund lending expense which is less than 0.01%. |
(d) |
The benefits derived from expense reductions had an impact of less than 0.01%. |
|
Net asset value, end of period |
Total return |
Total gross expense ratio to average net assets(a) |
Total net expense ratio to average net assets(a), (b) |
Net investment income (loss) ratio to average net assets |
Portfolio turnover |
Net assets, end of period (000's) |
Class R | |||||||
Year Ended 12/31/2023 |
$10.05 |
15.38% |
1.54% (c) |
1.48% (c), (d) |
1.78% |
58% |
$1,462 |
Year Ended 12/31/2022 |
$11.52 |
(25.50%) |
1.52% (c) |
1.50% (c), (d) |
1.10% |
28% |
$1,892 |
Year Ended 12/31/2021 |
$16.27 |
41.34% |
1.51% |
1.51% (d) |
0.41% |
5% |
$3,253 |
Year Ended 12/31/2020 |
$12.29 |
(3.90%) |
1.53% |
1.52% (d) |
0.78% |
32% |
$2,282 |
Year Ended 12/31/2019 |
$13.75 |
27.77% |
1.53% |
1.53% (d) |
1.10% |
20% |
$3,726 |
Columbia California Intermediate Municipal Bond Fund | ||
Class A: NACMX |
Class Adv: CCMRX |
Class Inst: NCMAX |
Class Inst2: CNBRX |
Class Inst3: CCBYX |
|
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 |
|
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 |
|
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 |
|
|
Columbia Mid Cap Index Fund | ||
Class A: NTIAX |
Class Inst: NMPAX |
Class Inst2: CPXRX |
Class Inst3: CMDYX |
|
|
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 |
|
|
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§: — |
|
|
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 |
|
|
Columbia Short Duration Municipal Bond Fund | ||
Class A: NSMMX |
Class Adv: CSMTX |
Class Inst: NSMIX |
Class Inst2: CNNRX |
Class Inst3: CSMYX |
|
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 |
|
|
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 |
|
|
Columbia Bond Fund | ||
Class A: CNDAX |
Class Adv: CNDRX |
Class Inst: UMMGX |
Class Inst2: CNFRX |
Class Inst3: CBFYX |
|
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 |
|
|
Columbia Corporate Income Fund | ||
Class A: LIIAX |
Class Adv: CIFRX |
Class Inst: SRINX |
Class Inst2: CPIRX |
Class Inst3: CRIYX |
|
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 |
|
|
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 |
|
|
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 |
|
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 |
|
Columbia Massachusetts Intermediate Municipal Bond Fund | ||
Class A: LMIAX |
Class Adv: CMANX |
Class Inst: SEMAX |
Class Inst3: CMMYX |
|
|
Columbia Multi Strategy Alternatives Fund | ||
Class A: CLAAX |
Class Adv: CLFUX |
Class C: CLABX |
Class Inst: CLAZX |
|
|
Columbia New York Intermediate Municipal Bond Fund | ||
Class A: LNYAX |
Class Adv: CNYIX |
Class Inst: GNYTX |
Class Inst2: CNYUX |
Class Inst3: CNYYX |
|
Columbia Oregon Intermediate Municipal Bond Fund | ||
Class A: COEAX |
Class Adv: CORMX |
Class Inst: CMBFX |
Class Inst2: CODRX |
Class Inst3: CORYX |
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
Columbia U.S. Treasury Index Fund | ||
Class A: LUTAX |
Class Inst: IUTIX |
Class Inst2: CUTRX |
Class Inst3: CUTYX |
|
|
Columbia Ultra Short Term Bond Fund | ||
Class A: CUSOX |
Class Adv: CUSHX |
Class Inst: CUSBX |
Class Inst3: CMGUX |
|
|
Multi-Manager Alternative Strategies Fund | ||
Class Inst: CZAMX |
|
|
Multi-Manager Directional Alternative Strategies Fund | ||
Class Inst: CDAZX |
|
|
Multi-Manager Growth Strategies Fund | ||
Class Inst: CZMGX |
|
|
Multi-Manager International Equity Strategies Fund | ||
Class Inst: CMIEX |
|
|
Multi-Manager Small Cap Equity Strategies Fund | ||
Class Inst: CZMSX |
|
|
Multi-Manager Total Return Bond Strategies Fund | ||
Class Inst: CTRZX |
|
|
Multisector Bond SMA Completion Portfolio | ||
MBSAX |
|
|
Overseas SMA Completion Portfolio | ||
OSCBX |
|
|
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 |
|
|
Columbia Capital Allocation Moderate Portfolio | ||
Class A: ABUAX |
Class Adv: CPCZX |
Class C: AMTCX |
Class Inst: CBMZX |
Class Inst3: CPDMX |
|
Columbia Commodity Strategy Fund | ||
Class A: CCSAX |
Class Adv: CCOMX |
Class Inst: CCSZX |
Class Inst2: CADLX |
Class Inst3: CCFYX |
|
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 |
|
Columbia Disciplined Value Fund | ||
Class A: RLCAX |
Class Adv: COLEX |
Class C: RDCCX |
Class Inst: CVQZX |
|
|
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 |
|
|
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 |
|
|
Columbia Government Money Market Fund | ||
Class A: IDSXX |
Class Inst: IDYXX |
Class Inst2: CMRXX |
Class Inst3: CGMXX |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
Columbia Select Small Cap Value Fund | ||
Class A: SSCVX |
Class Adv: CSPRX |
Class Inst: CSSZX |
Class Inst2: SSVIX |
Class Inst3: CSSYX |
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
Columbia Funds Series Trust II Columbia Capital Allocation Aggressive Portfolio Columbia Capital Allocation Conservative Portfolio Columbia Capital Allocation Moderate Portfolio Columbia Income Builder Fund |
|
February 28/29 |
|
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 |
|
Columbia Funds Series Trust II Columbia Global Value Fund Columbia Overseas Core Fund |
|
March 31 |
|
Columbia Funds Series Trust Columbia Short Term Bond Fund |
|
Columbia Funds Series Trust I Columbia Select Large Cap Growth Fund Multi-Manager Growth Strategies Fund |
|
April 30 |
|
Columbia Funds Series Trust Columbia California Intermediate Municipal Bond Fund Columbia Short Duration Municipal Bond Fund |
|
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 |
|
May 31 |
|
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 |
|
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 |
|
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 |
|
August 31 |
|
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 |
|
Columbia Funds Series Trust II Columbia Emerging Markets Bond Fund |
|
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 |
|
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 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(a)(1) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #40 on Form N-1A |
(a)(1) |
9/16/2005 | |
(a)(2) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #40 on Form N-1A |
(a)(2) |
9/16/2005 | |
(a)(3) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #313 on Form N-1A |
(a)(3) |
1/16/2018 | |
(a)(4) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #318 on Form N-1A |
(a)(4) |
3/29/2018 | |
(a)(5) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #342 on Form N-1A |
(a)(5) |
12/21/2018 | |
(a)(6) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #351 on Form N-1A |
(a)(6) |
6/21/2019 | |
(a)(7) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #369 on Form N-1A |
(a)(7) |
12/20/2019 | |
(a)(8) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #383 on Form N-1A |
(a)(8) |
12/23/2020 | |
(a)(9) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #386 on Form N-1A |
(a)(9) |
7/28/2021 | |
(a)(10) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #395 on Form N-1A |
(a)(10) |
7/18/2022 | |
(a)(11) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #398 on Form N-1A |
(a)(11) |
9/26/2022 | |
(a)(12) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #413 on Form N-1A |
(a)(12) |
2/26/2024 | |
(b) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #383 on Form N-1A |
(b) |
12/23/2020 | |
(c) |
Not Applicable. |
|
|
|
|
|
|
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(d)(1) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #257 on Form N-1A |
(d)(1) |
4/27/2016 | |
(d)(1)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #395 on Form N-1A |
(d)(1)(i) |
7/18/2022 | |
(d)(2) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #406 on Form N-1A |
(d)(2) |
7/26/2023 | |
(d)(2)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #406 on Form N-1A |
(d)(2)(i) |
7/26/2023 | |
(d)(3) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #389 on Form N-1A |
(d)(12) |
11/23/2021 | |
(d)(4) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #407 on Form N-1A |
(d)(4) |
8/24/2023 | |
(d)(4)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #407 on Form N-1A |
(d)(4)(i) |
8/24/2023 | |
(d)(5) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #351 on Form N-1A |
(d)(3)(iii) |
6/21/2019 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(d)(5)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #360 on Form N-1A |
(d)(3)(iv) |
9/24/2019 | |
(d)(5)(ii) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #360 on Form N-1A |
(d)(3)(vi) |
9/24/2019 | |
(d)(6) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #324 on Form N-1A |
(d)(18) |
5/4/2018 | |
(d)(7) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #324 on Form N-1A |
(d)(19) |
5/4/2018 | |
(d)(7)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #374 on Form N-1A |
(d)(16)(i) |
4/27/2020 | |
(d)(8) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #276 on Form N-1A |
(d)(15) |
9/30/2016 | |
(d)(8)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #338 on Form N-1A |
(d)(14)(i) |
11/27/2018 | |
(d)(9) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #324 on Form N-1A |
(d)(20) |
5/4/2018 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(d)(9)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #404 on Form N-1A |
(d)(16)(i) |
4/27/2023 | |
(d)(10) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #205 on Form N-1A |
(d)(11) |
8/28/2014 | |
(d)(10)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #338 on Form N-1A |
(d)(11)(i) |
11/27/2018 | |
(d)(10)(ii) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #369 on Form N-1A |
(d)(8)(ii) |
12/20/2019 | |
(d)(11) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #393 on Form N-1A |
(d)(22) |
2/25/2022 | |
(d)(11)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #393 on Form N-1A |
(d)(22)(i) |
2/25/2022 | |
(d)(12) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #344 on Form N-1A |
(d)(22) |
2/13/2019 | |
(d)(12)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #384 on Form N-1A |
(d)(21)(i) |
2/25/2021 | |
(d)(13) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #395 on Form N-1A |
(d)(23) |
7/18/2022 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(d)(14) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #392 on Form N-1A |
(d)(19) |
2/17/2022 | |
(d)(14)(i) |
|
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #399 on Form N-1A |
(d)(19)(i) |
10/3/2022 |
(d)(15) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #196 on Form N-1A |
(d)(12) |
5/30/2014 | |
(d)(15)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #256 on Form N-1A |
(d)(14)(i) |
4/11/2016 | |
(d)(15)(ii) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #369 on Form N-1A |
(d)(9)(ii) |
12/20/2019 | |
(d)(15)(iii) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #374 on Form N-1A |
(d)(9)(iii) |
4/27/2020 | |
(d)(16) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #413 on Form N-1A |
(d)(16) |
2/26/2024 | |
(d)(17) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #304 on Form N-1A |
(d)(17) |
9/13/2017 | |
(d)(18) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #259 on Form N-1A |
(d)(6) |
5/16/2016 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(d)(18)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #338 on Form N-1A |
(d)(6)(i) |
11/27/2018 | |
(d)(18)(ii) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #369 on Form N-1A |
(d)(4)(ii) |
12/20/2019 | |
(d)(18)(iii) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #400 on Form N-1A |
(d)(4)(iii) |
11/22/2022 | |
(d)(19) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #360 on Form N-1A |
(d)(22) |
9/24/2019 | |
(d)(19)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #360 on Form N-1A |
(d)(22)(i) |
9/24/2019 | |
(d)(20) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #196 on Form N-1A |
(d)(5) |
5/30/2014 | |
(d)(20)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #293 on Form N-1A |
(d)(7) |
3/29/2017 | |
(d)(20)(ii) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #369 on Form N-1A |
(d)(5) |
12/20/2019 | |
(d)(20)(iii) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #196 on Form N-1A |
(d)(7)(1) |
5/30/2014 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(d)(21) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #236 on Form N-1A |
(d)(10) |
8/26/2015 | |
(d)(21)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #236 on Form N-1A |
(d)(10)(i) |
8/26/2015 | |
(d)(21)(ii) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #236 on Form N-1A |
(d)(10)(ii) |
8/26/2015 | |
(d)(21)(iii) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #236 on Form N-1A |
(d)(10)(iii) |
8/26/2015 | |
(d)(21)(iv) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #323 on Form N-1A |
(d)(8)(iv) |
4/26/2018 | |
(d)(21)(v) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #376 on Form N-1A |
(d)(6)(v) |
7/28/2020 | |
(d)(21)(vi) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #387 on Form N-1A |
(d)(6)(vi) |
8/26/2021 | |
(d)(21)(vii) |
|
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #236 on Form N-1A |
(d)(10)(vii) |
8/26/2015 |
(d)(22) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #339 on Form N-1A |
(d)(22) |
12/6/2018 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(d)(22)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #400 on Form N-1A |
(d)(18) |
11/22/2022 | |
(d)(23) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #360 on Form N-1A |
(d)(23) |
9/24/2019 | |
(d)(24) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #360 on Form N-1A |
(d)(24) |
9/24/2019 | |
(d)(25) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #360 on Form N-1A |
(d)(25) |
9/24/2019 | |
(d)(26) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #248 on Form N-1A |
(d)(22) |
12/22/2015 | |
(d)(27) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #248 on Form N-1A |
(d)(23) |
12/22/2015 | |
(e)(1) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #386 on Form N-1A |
(e)(1) |
7/28/2021 | |
(e)(1)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #406 on Form N-1A |
(e)(1)(i) |
7/26/2023 | |
(e)(2) |
Incorporated by Reference |
Columbia Funds Series Trust II |
333-131683 |
Post-Effective Amendment 238 on Form N-1A |
(e)(2) |
6/27/2023 | |
(f) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #384 on Form N-1A |
(f) |
2/25/2021 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(g)(1) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #124 on Form N-1A |
(g)(2) |
4/29/2011 | |
(g)(2) |
|
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #196 on Form N-1A |
(g)(2) |
5/30/2014 |
(g)(3) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #221 on Form N-1A |
(g)(3) |
2/27/2015 | |
(g)(4) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #318 on Form N-1A |
(g)(5) |
3/29/2018 | |
(g)(5) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #276 on Form N-1A |
(g)(6) |
9/30/2016 | |
(g)(6) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #324 on Form N-1A |
(g)(9) |
5/4/2018 | |
(g)(7) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #364 on Form N-1A |
(g)(10) |
9/3/2019 | |
(g)(8) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #364 on Form N-1A |
(g)(11) |
10/25/2019 | |
(g)(9) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #297 on Form N-1A |
(g)(7) |
5/30/2017 | |
(g)(10) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #402 on Form N-1A |
(g)(13) |
12/21/2022 | |
(g)(11) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #402 on Form N-1A |
(g)(14) |
12/21/2022 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(h)(1) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #386 on Form N-1A |
(h)(1) |
7/28/2021 | |
(h)(1)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #406 on Form N-1A |
(h)(1)(i) |
7/26/2023 | |
(h)(2) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #46 on Form N-1A |
(h)(6) |
3/24/2006 | |
(h)(3) |
|
Incorporated by Reference |
Columbia Funds Series Trust |
333-89661 |
Post-Effective Amendment #198 on Form N-1A |
(h)(2) |
7/28/2021 |
(h)(3)(i) |
|
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #408 on Form N-1A |
(h)(3)(i) |
9/26/2023 |
(h)(3)(ii) |
Series Trust II |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #411 on Form N-1A |
(h)(3)(ii) |
12/21/2023 |
(h)(4) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #175 on Form N-1A |
(h)(8) |
5/30/2013 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(h)(5) |
Incorporated by Reference |
Columbia Funds Variable Series Trust II |
333-146374 |
Post-Effective Amendment #15 on Form N-1A |
(h)(9) |
4/29/2011 | |
(h)(6) |
Incorporated by Reference |
Columbia Funds Series Trust |
333-208706 |
Registration Statement on Form N-14 |
(4) |
12/22/2015 | |
(h)(7) |
Incorporated by Reference |
Columbia Funds Series Trust II |
333-236646 |
Registration Statement on Form N-14 |
(4) |
2/26/2020 | |
(h)(8) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #390 on Form N-1A |
(h)(8) |
12/22/2021 | |
(h)(9) |
Incorporated by Reference |
Columbia Funds Variable Series Trust II |
333-146374 |
Post-Effective Amendment #90 on Form N-1A |
(h)(8) |
11/8/2023 | |
(h)(10) |
Incorporated by Reference |
Columbia Funds Series Trust II |
333-131683 |
Post-Effective Amendment #179 on Form N-1A |
(h)(11) |
5/25/2018 | |
(h)(10)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #406 on Form N-1A |
(h)(10)(i) |
7/26/2023 | |
(h)(11) |
|
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #407 on Form N-1A |
(h)(11) |
8/24/2023 |
(h)(11)(i) |
|
Incorporated by Reference |
Columbia Funds Variable Series Trust II |
333-146374 |
Post-Effective Amendment #90 on Form N-1A |
(h)(10)(i)(a) |
11/8/2023 |
(h)(12) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #392 on Form N-1A |
(h)(12) |
2/17/2022 | |
(h)(13) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #392 on Form N-1A |
(h)(13) |
2/17/2022 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(h)(13)(i) |
Incorporated by Reference |
Columbia Funds Variable Series Trust II |
333-146374 |
Post-Effective Amendment #90 on Form N-1A |
(h)(10)(ii)(a) |
11/8/2023 | |
(i)(1) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #40 on Form N-1A |
(i) |
9/16/2005 | |
(i)(2) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #68 on Form N-1A |
(i)(2) |
1/16/2008 | |
(i)(3) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #81 on Form N-1A |
(i)(3) |
11/25/2008 | |
(i)(4) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #95 on Form N-1A |
(i)(4) |
11/20/2009 | |
(i)(5) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #143 on Form N-1A |
(i)(5) |
3/14/2012 | |
(i)(6) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #153 on Form N-1A |
(i)(6) |
6/15/2012 | |
(i)(7) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #219 on Form N-1A |
(i)(8) |
1/27/2015 | |
(i)(8) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #276 on Form N-1A |
(i)(10) |
9/30/2016 | |
(i)(9) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #324 on Form N-1A |
(i)(13) |
5/4/2018 | |
(i)(10) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #357 on Form N-1A |
(i)(13) |
9/3/2019 | |
(i)(11) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #364 on Form N-1A |
(i)(14) |
10/25/2019 | |
(j)(1) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #21 on Form N-1A |
11(b) |
8/30/1996 | |
(j)(2) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #406 on Form N-1A |
(j)(2) |
7/26/2023 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(j)(3) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #407 on Form N-1A |
(j)(3) |
8/24/2023 | |
(j)(4) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #408 on Form N-1A |
(j)(4) |
9/26/2023 | |
(j)(5) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #409 on Form N-1A |
(j)(5) |
11/21/2023 | |
(j)(6) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #411 on Form N-1A |
(j)(6) |
12/21/2023 | |
(j)(7) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #413 on Form N-1A |
(j)(7) |
2/26/2024 | |
(j)(8) |
Filed Herewith |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #416 on Form N-1A |
(j)(8) |
4/24/2024 | |
(k) |
Omitted Financial Statements: Not Applicable. |
|
|
|
|
|
|
(l) |
Initial Capital Agreement: Not Applicable. |
|
|
|
|
|
|
(m)(1) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #406 on Form N-1A |
(m)(1) |
7/26/2023 | |
(m)(2) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #406 on Form N-1A |
(m)(2) |
7/26/2023 | |
(m)(3) |
Incorporated by Reference |
Columbia Funds Series Trust |
333-89661 |
Post-Effective Amendment #82 on Form N-1A |
(m)(4) |
5/28/2010 | |
(m)(3)(i) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #406 on Form N-1A |
(m)(5)(i) |
7/26/2023 | |
(n) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #410 on Form N-1A |
(n) |
12/8/2023 | |
(o) |
Reserved |
|
|
|
|
|
|
(p)(1) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #349 on Form N-1A |
(p)(1) |
4/25/2019 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(p)(2) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #411 on Form N-1A |
(p)(2) |
12/21/2023 | |
(p)(3) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #410 on Form N-1A |
(p)(3) |
12/8/2023 | |
(p)(4) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #407 on Form N-1A |
(p)(4) |
8/24/2023 | |
(p)(5) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #404 on Form N-1A |
(p)(3) |
4/27/2023 | |
(p)(6) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #407 on Form N-1A |
(p)(6) |
8/24/2023 | |
(p)(7) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #410 on Form N-1A |
(p)(7) |
12/8/2023 | |
(p)(8) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #387 on Form N-1A |
(p)(10) |
8/26/2021 | |
(p)(9) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #404 on Form N-1A |
(p)(15) |
4/27/2023 | |
(p)(10) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #395 on Form N-1A |
(p)(7) |
7/18/2022 | |
(p)(11) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #391 on Form N-1A |
(p)(21) |
1/12/2022 | |
(p)(12) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #389 on Form N-1A |
(p)(20) |
11/23/2021 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(p)(13) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #395 on Form N-1A |
(p)(22) |
7/18/2022 | |
(p)(14) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #407 on Form N-1A |
(p)(14) |
8/24/2023 | |
(p)(15) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #411 on Form N-1A |
(p)(15) |
12/21/2023 | |
(p)(16) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #400 on Form N-1A |
(p)(11) |
11/22/2022 | |
(p)(17) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #380 on Form N-1A |
(p)(13) |
9/25/2020 | |
(p)(18) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #392 on Form N-1A |
(p)(20) |
2/17/2022 | |
(p)(19)(i) |
Filed Herewith |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #416 on Form N-1A |
(p)(19)(i) |
4/24/2024 | |
(p)(19)(ii) |
Filed Herewith |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #416 on Form N-1A |
(p)(19)(ii) |
4/24/2024 | |
(p)(19)(iii) |
Filed Herewith |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #416 on Form N-1A |
(p)(19)(iii) |
4/24/2024 | |
(p)(20) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #410 on Form N-1A |
(p)(20) |
12/8/2023 | |
(p)(21) |
Incorporated by Reference |
Columbia Funds Series Trust I |
2-99356 |
Post-Effective Amendment #407 on Form N-1A |
(p)(21) |
8/24/2023 |
Name and Principal Business Address* |
Position and Offices with Principal Underwriter |
Positions and Offices with Registrant |
William F. Truscott |
President, Chief Executive Officer and Chairman of the Board |
Senior Vice President |
Francine Asselta |
Vice President and Head of North America Institutional |
None |
Jason S. Bartylla |
Chief Financial Officer and Director |
None |
Michael E. DeFao |
Vice President, Chief Legal Officer and Assistant Secretary |
Vice President and Assistant Secretary |
Stephen O. Buff |
Vice President, Chief Compliance Officer |
None |
James Bumpus |
Vice President and Head of Intermediary Markets and Director |
None |
Thomas A. Jones |
Vice President and Head of Strategic Relations |
None |
Gary Rawdon |
Vice President – Sales Governance and Administration |
None |
Leslie A. Walstrom |
Senior Vice President and Global Head of Marketing |
None |
Daniel J. Beckman |
Vice President |
Board Member, President and Principal Executive Officer |
Name and Principal Business Address* |
Position and Offices with Principal Underwriter |
Positions and Offices with Registrant |
Marc Zeitoun |
Vice President and Head of North America Product |
None |
Wendy B. Mahling |
Secretary |
None |
Amy L. Hackbarth |
Vice President and Assistant Secretary |
None |
Mark D. Kaplan |
Vice President and Assistant Secretary |
None |
Ryan C. Larrenaga |
Vice President and Assistant Secretary |
Senior Vice President, Chief Legal Officer and Secretary |
Joseph L. D’Alessandro |
Vice President and Assistant Secretary |
Assistant Secretary |
Megan Garcy |
Vice President and Assistant Secretary |
Assistant Secretary |
Christopher O. Petersen |
Vice President and Assistant Secretary |
Senior Vice President and Assistant Secretary |
Kayla Sylvia |
Vice President and Assistant Secretary |
None |
Shweta J. Jhanji |
Vice President and Treasurer |
None |
Michael Tempesta |
Anti-Money Laundering Officer and Identity Theft Prevention Officer |
None |
Kristin Weisser |
Conflicts Officer |
None |
Funds FYE |
N-CEN filing date |
March 31, 2023 |
June 12, 2023 |
April 30, 2023 |
July 12, 2023 |
May 31, 2023 |
August 10, 2023 |
July 31, 2023 |
October 13, 2023 |
August 31, 2023 |
November 13, 2023 |
October 31, 2023 |
January 12, 2024 |
December 31, 2023 |
March 13, 2024 |
COLUMBIA FUNDS SERIES TRUST I | |
By: |
/s/ Daniel J. Beckman |
|
Daniel J. Beckman Trustee and President |
Signature |
Capacity |
Signature |
Capacity |
/s/ Daniel J. Beckman |
Trustee and President (Principal Executive Officer) |
/s/ Patricia M. Flynn* |
Trustee |
Daniel J. Beckman |
Patricia M. Flynn | ||
/s/ Michael G. Clarke* |
Chief Financial Officer, Principal Financial Officer, Senior Vice President, Treasurer and Chief Accounting Officer (Principal Accounting Officer) |
/s/ Brian J. Gallagher* |
Trustee |
Michael G. Clarke |
Brian J. Gallagher | ||
/s/ Pamela G. Carlton* |
Chair of the Board |
/s/ Douglas A. Hacker* |
Trustee |
Pamela G. Carlton |
Douglas A. Hacker | ||
/s/ George S. Batejan* |
Trustee |
/s/ Nancy T. Lukitsh* |
Trustee |
George S. Batejan |
Nancy T. Lukitsh | ||
/s/ Kathleen A. Blatz* |
Trustee |
/s/ David M. Moffett* |
Trustee |
Kathleen A. Blatz |
David M. Moffett | ||
/s/ Janet Langford Carrig* |
Trustee |
/s/ Catherine James Paglia* |
Trustee |
Janet Langford Carrig |
Catherine James Paglia | ||
/s/ J. Kevin Connaughton* |
Trustee |
/s/ Natalie A. Trunow* |
Trustee |
J. Kevin Connaughton |
Natalie A. Trunow | ||
/s/ Olive M. Darragh* |
Trustee |
/s/ Sandra L. Yeager* |
Trustee |
Olive M. Darragh |
Sandra L. Yeager |
* |
By: Name: |
/s/ Joseph D’Alessandro |
|
Joseph D’Alessandro** Attorney-in-fact |
| ||
** |
Executed by Joseph D’Alessandro on behalf of Michael G. Clarke pursuant to a Power of Attorney, dated February 1, 2021, and on behalf of each of the Trustees pursuant to a Trustees Power of Attorney, dated January 1, 2023. |
/s/ George S. Batejan |
Trustee |
/s/ Brian J. Gallagher |
Trustee |
George S. Batejan |
Brian J. Gallagher | ||
/s/ Daniel J. Beckman |
Trustee |
/s/ Douglas Hacker |
Trustee |
Daniel J. Beckman |
Douglas Hacker | ||
/s/ Kathleen A. Blatz |
Trustee |
/s/ Nancy T. Lukitsh |
Trustee |
Kathleen A. Blatz |
Nancy T. Lukitsh | ||
/s/ Pamela G. Carlton |
Trustee |
/s/ David M. Moffett |
Trustee |
Pamela G. Carlton |
David M. Moffett | ||
/s/ Janet Langford Carrig |
Trustee |
/s/ Catherine James Paglia |
Trustee |
Janet Langford Carrig |
Catherine James Paglia | ||
/s/ J. Kevin Connaughton |
Trustee |
/s/ Natalie A. Trunow |
Trustee |
J. Kevin Connaughton |
Natalie A. Trunow | ||
/s/ Olive M. Darragh |
Trustee |
/s/ Sandra L. Yeager |
Trustee |
Olive M. Darragh |
Sandra L. Yeager | ||
/s/ Patricia M. Flynn |
Trustee |
|
|
Patricia M. Flynn |
|
|
(j)(8) |
Consent of PricewaterhouseCoopers LLP |
(p)(19)(i) |
Code of Ethics of Prudential Financial (for PGIM, Inc., a subadviser of Multi-Manager Total Return Bond Strategies Fund), dated December 14, 2023 |
(p)(19)(ii) |
Personal Securities Trading Standards of Prudential Financial, dated December 14, 2023 |
(p)(19)(iii) |
U.S. Information Barrier Standards of Prudential Financial, revised December 14, 2023 |
Exhibit No. |
Description |
EX-101.INS |
XBRL Instance Document |
EX-101.SCH |
XBRL Taxonomy Extension Schema Document |
EX-101.CAL |
XBRL Taxonomy Extension Calculation Linkbase |
EX-101.DEF |
XBRL Taxonomy Extension Definition Linkbase |
EX-101.LAB |
XBRL Taxonomy Extension Labels Linkbase |
EX-101.PRE |
XBRL Taxonomy Extension Presentation Linkbase |