Fund |
Abbreviation |
Share Class/Ticker |
Fiscal Year End |
Prospectus Date |
Cohen & Steers Low Duration Preferred and Income Fund, Inc. |
Low Duration Preferred and Income Fund |
Class A/LPXAX Class C/LPXCX Class F/LPXFX Class I/LPXIX Class R/LPXRX Class Z/LPXZX |
April 30 |
September 1, 2023; supplemented on December 13, 2023, January 17, 2024, March 1, 2024 and May 1, 2024 |
Cohen & Steers Preferred Securities and Income SMA Shares, Inc. |
Preferred Securities and Income SMA Shares |
PISHX |
October 31 |
March 1, 2024; supplemented on March 1, 2024 |
Cohen & Steers Future of Energy Fund, Inc. (Prior to March 28, 2024, Cohen & Steers MLP & Energy Opportunity Fund, Inc.) |
Future of Energy Fund |
Class A/MLOAX Class C/MLOCX Class F/MLOFX Class I/MLOIX Class R/MLORX Class Z/MLOZX |
November 30 |
March 28, 2024 |
Cohen & Steers Global Infrastructure Fund, Inc. |
Global Infrastructure Fund |
Class A/CSUAX Class C/CSUCX Class F/CSUFX Class I/CSUIX Class R/CSURX Class Z/CSUZX |
December 31 |
May 1, 2024 |
Cohen & Steers Global Realty Shares, Inc. |
Global Realty Shares |
Class A/CSFAX Class C/CSFCX Class F/GRSFX Class I/CSSPX Class R/GRSRX Class Z/CSFZX |
December 31 |
May 1, 2024 |
Cohen & Steers Institutional Realty Shares, Inc. |
Institutional Realty Shares |
CSRIX |
December 31 |
May 1, 2024 |
Cohen & Steers International Realty Fund, Inc. |
International Realty Fund |
Class A/IRFAX Class C/IRFCX Class F/IRFFX Class I/IRFIX Class R/IRFRX Class Z/IRFZX |
December 31 |
May 1, 2024 |
Cohen & Steers Preferred Securities and Income Fund, Inc. |
Preferred Securities and Income Fund |
Class A/CPXAX Class C/CPXCX Class F/CPXFX Class I/CPXIX Class R/CPRRX Class Z/CPXZX |
December 31 |
May 1, 2024; supplemented on May 1, 2024 |
Cohen & Steers Real Assets Fund, Inc. |
Real Assets Fund |
Class A/RAPAX Class C/RAPCX Class F/RAPFX Class I/RAPIX Class R/RAPRX Class Z/RAPZX |
December 31 |
May 1, 2024 |
Cohen & Steers Real Estate Securities Fund, Inc. |
Real Estate Securities Fund |
Class A/CSEIX Class C/CSCIX Class F/CREFX Class I/CSDIX Class R/CIRRX Class Z/CSZIX |
December 31 |
May 1, 2024 |
Cohen & Steers Realty Shares, Inc. |
Realty Shares |
Class A/CSJAX Class C/CSJCX Class F/CSJFX Class I/CSJIX Class L/CSRSX Class R/CSJRX Class Z/CSJZX |
December 31 |
May 1, 2024 |
|
Page |
Investment Strategies and Policies |
|
Disclosure of Portfolio Holdings |
|
Investment Restrictions |
|
Management of the Funds |
|
Compensation of Directors and Certain Officers |
|
Principal Holders of Securities |
|
Investment Advisory and Other Services |
|
Portfolio Transactions and Brokerage |
|
Organization and Description of Capital Stock |
|
Dealer Reallowances |
|
Distribution Plan |
|
Shareholder Services Plan |
|
Other Information |
|
Reducing the Initial Sales Charge on Class A Shares |
|
Contingent Deferred Sales Charges |
|
Signature Guarantees |
|
Purchases and Redemptions in-Kind |
|
Taxation |
|
Counsel and Independent Registered Public Accounting Firm |
|
Financial Statements |
|
Appendix A |
|
Appendix B |
156 |
Fund |
Diversification Status
|
|
Date of Incorporation |
Low Duration Preferred and Income Fund |
Diversified |
|
September 2, 2015 |
Preferred Securities and Income SMA Shares |
Diversified |
|
November 16, 2018 |
Future of Energy Fund |
Non-diversified |
|
July 8, 2013 |
Global Infrastructure Fund |
Diversified |
|
January 13, 2004 |
Global Realty Shares |
Diversified |
|
February 14, 1997 |
Institutional Realty Shares |
Non-diversified |
|
October 13, 1999 |
International Realty Fund |
Diversified |
|
November 23, 2004 |
Preferred Securities and Income Fund |
Diversified |
|
February 22, 2010 |
Real Assets Fund |
Diversified |
|
October 25, 2011 |
Real Estate Securities Fund |
Non-diversified |
|
July 3, 1997 |
Realty Shares |
Non-diversified |
|
April 26, 1991 |
Types of Investments |
Low Duration
Preferred and Income
Fund |
Preferred Securities
and Income SMA Shares |
Future of
Energy Fund |
Realty Shares |
Institutional Realty
Shares |
Real Estate
Securities Fund |
Global Realty
Shares |
International Realty
Fund |
Global Infrastructure
Fund |
Preferred Securities
and Income Fund |
Real Assets
Fund |
Below Investment Grade Securities |
✓ |
✓ |
✓ |
|
|
✓ |
✓ |
|
|
✓ |
✓ |
Borrowing for Investment Purposes |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Types of Investments |
Low Duration
Preferred and Income
Fund |
Preferred Securities
and Income SMA Shares |
Future of
Energy Fund |
Realty Shares |
Institutional Realty
Shares |
Real Estate
Securities Fund |
Global Realty
Shares |
International Realty
Fund |
Global Infrastructure
Fund |
Preferred Securities
and Income Fund |
Real Assets
Fund |
Canadian Royalty Trusts |
|
|
✓ |
|
|
|
|
|
✓ |
|
✓ |
Cayman Subsidiary |
|
|
|
|
|
|
|
|
|
|
✓ |
Cash Reserves |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Commodities |
|
|
✓ |
|
|
|
|
|
|
|
✓ |
Companies in the Financials Sector |
✓ |
✓ |
✓ |
|
|
|
|
|
|
✓ |
✓ |
Convertible Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Credit Derivatives |
✓ |
✓ |
✓ |
|
|
|
|
|
|
✓ |
✓ |
Debt Securities |
✓ |
✓ |
✓ |
|
|
✓ |
|
|
✓ |
✓ |
✓ |
Energy Companies |
✓ |
✓ |
✓ |
|
|
|
|
|
✓ |
✓ |
✓ |
Exchange-Traded Notes |
|
|
✓ |
|
|
|
|
|
|
|
✓ |
Foreign Currency and Currency Hedging Transactions |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Futures Contracts and Options on Futures Contracts |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Foreign Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Gold and Other Precious Metals |
|
|
|
|
|
|
|
|
|
|
✓ |
Healthcare Companies |
✓ |
✓ |
|
|
|
|
|
|
|
✓ |
|
Illiquid Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Industrial Companies |
✓ |
✓ |
✓ |
|
|
|
|
|
✓ |
✓ |
✓ |
Master Limited Partnerships |
|
|
✓ |
|
|
|
|
|
✓ |
|
✓ |
Natural Resource Companies |
|
|
✓ |
|
|
|
|
|
|
|
✓ |
Other Investment Companies |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Preferred Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Real Estate Companies and Real Estate Investment Trusts |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Repurchase Agreements |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Securities Lending |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Short Sales |
✓ |
✓ |
✓ |
✓ |
|
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Swap Transactions |
✓1
|
✓1
|
✓1
|
|
|
|
|
|
|
✓1
|
✓ |
Telecommunications and Media Companies |
✓ |
✓ |
✓ |
|
|
|
|
|
✓ |
✓ |
✓ |
Utility Companies |
✓ |
✓ |
✓ |
|
|
|
|
|
✓ |
✓ |
✓ |
Warrants and Rights |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Name, Address(1)
and Year of
Birth |
Position(s) Held with Funds |
Term of Office(2) |
Principal Occupation During At Least The Past Five Years (Including Other Directorships Held) |
Number of Funds Within Fund Complex Overseen by Director (Including the Funds) |
Length of Time Served(3) |
Interested
Directors(4) |
|
|
|
|
|
Joseph M. Harvey |
Director and
Chair |
Until Next
Election of
Directors |
Chief Executive Officer since 2022 and President since 2003 of Cohen & Steers Capital Management, Inc. (“CSCM”), and Chief Executive Officer since 2022 and President since 2004 of Cohen & Steers, Inc. (“CNS”). Chief Investment Officer of CSCM from 2003 to 2019. Prior to that, Senior Vice President and Director of Investment Research of CSCM. |
20 |
Since 2014 |
1963 | |||||
Adam M. Derechin |
Director |
Until Next
Election of
Directors |
Chief Operating Officer of CSCM since 2003 and CNS since 2004. President and Chief Executive Officer of the Funds from 2005 to 2021. |
20 |
Since 2021 |
1964 | |||||
Independent Directors |
|
|
|
|
|
Michael G. Clark |
Director |
Until Next
Election of
Directors |
CFA; From 2006 to 2011, President and Chief Executive Officer of DWS Funds and Managing Director of Deutsche Asset Management. |
20 |
Since 2011 |
1965 | |||||
George Grossman |
Director |
Until Next
Election of
Directors |
Attorney-at-law. |
20 |
Since 1993 |
1953 |
Name, Address(1)
and Year of Birth |
Position(s) Held with Funds |
Term of Office(2) |
Principal Occupation During At Least The Past Five Years (Including Other Directorships Held) |
Number of Funds Within Fund Complex Overseen by Director (Including the Funds) |
Length of Time Served(3) |
Dean A. Junkans |
Director |
Until Next
Election of
Directors |
CFA; Advisor to SigFig (a registered investment advisor) from July 2018 to July 2022; Chief Investment Officer at Wells Fargo Private Bank from 2004 to 2014 and Chief Investment Officer of the Wealth, Brokerage and Retirement group at Wells Fargo & Company from 2011 to 2014; former Member and Chair, Claritas Advisory Committee at the CFA Institute from 2013 to 2015; former Adjunct Professor and Executive-In- Residence, Bethel University, 2015 to 2022; former Board Member and Investment Committee Member, Bethel University Foundation, 2010 to 2022; former Corporate Executive Board Member of the National Chief Investment Officers Circle, 2010 to 2015; former Member of the Board of Governors of the University of Wisconsin Foundation, River Falls, 1996 to 2004; U.S. Army Veteran, Gulf War. |
20 |
Since 2015 |
1959 |
Name, Address(1)
and Year of Birth |
Position(s) Held with Funds |
Term of Office(2) |
Principal Occupation During At Least The Past Five Years (Including Other Directorships Held) |
Number of Funds Within Fund Complex Overseen by Director (Including the Funds) |
Length of Time Served(3) |
Gerald J. Maginnis |
Director |
Until Next
Election of
Directors |
Philadelphia Office Managing Partner, KPMG LLP from 2006 to 2015; Partner in Charge, KPMG Pennsylvania Audit Practice from 2002 to 2008; President, Pennsylvania Institute of Certified Public Accountants (PICPA) from 2014 to 2015; Member, PICPA Board of Directors from 2012 to 2016; Member, Council of the American Institute of Certified Public Accountants (AICPA) from 2013 to 2017; Member, Board of Trustees of AICPA Foundation from 2015 to 2020; Board Member and Audit Committee Chairman of inTEST Corporation since 2020; Chairman of the Advisory Board of Centri Consulting LLC since 2022. |
20 |
Since 2015 |
1955 | |||||
Jane F. Magpiong |
Director |
Until Next
Election of
Directors |
President, Untap Potential since 2013; Senior Managing Director, TIAA-CREF, from 2011 to 2013; National Head of Wealth Management, TIAA-CREF, from 2008 to 2011; President, Bank of America Private Bank from 2005 to 2008; Executive Vice President, Fleet Private Clients Group, from 2003 to 2004. |
20 |
Since 2015 |
1960 |
Name, Address(1)
and Year of Birth |
Position(s) Held with Funds |
Term of Office(2) |
Principal Occupation During At Least The Past Five Years (Including Other Directorships Held) |
Number of Funds Within Fund Complex Overseen by Director (Including the Funds) |
Length of Time Served(3) |
Daphne L. Richards |
Director |
Until Next
Election of
Directors |
President and CIO of Ledge Harbor Management since 2016; Investment Committee Member of the Berkshire Taconic Community Foundation since 2015; Member of the Advisory Board of Northeast Dutchess Fund since 2016; former Independent Director of Cartica Management, LLC, 2015 to 2022; formerly worked at Bessemer Trust Company from 1999 to 2014; Frank Russell Company from 1996 to 1999; Union Bank of Switzerland from 1993 to 1996; Credit Suisse from 1990 to 1993; Hambros International Venture Capital Fund from 1988 to 1989. |
20 |
Since 2017 |
1966 | |||||
Ramona Rogers-Windsor |
Director |
Until Next
Election of
Directors |
CFA; Member, Capital Southwest Board of Directors since 2021; Member, Thomas Jefferson University Board of Trustees since 2020; and its insurance subsidiary board, Partners Insurance Company, Inc., since 2023; Managing Director, Public Investments Department, Northwestern Mutual Investment Management Company, LLC from 2012 to 2019; former Member, Milwaukee Film, LLC Board of Directors from 2016 to 2019. |
20 |
Since 2021 |
1960 |
Name, Address(1)
and Year of
Birth |
Position(s) Held with the Funds(2) |
Principal Occupation During at Least the Past Five Years |
Length of Time Served(3) |
James Giallanza |
President and Chief Executive Officer |
Executive Vice President of CSCM since 2014. Prior to that, Senior Vice President of CSCM since 2006. |
2006 |
1966 | |||
Albert Laskaj |
Treasurer and
Chief Financial
Officer |
Senior Vice President of CSCM since 2019. Prior to that, Vice President of CSCM since 2015. |
2015 |
1977 | |||
Dana A. DeVivo |
Secretary and Chief Legal Officer |
Senior Vice President of CSCM since 2019. Prior to that, Vice President of CSCM since 2013. |
2015 |
1981 |
Name, Address(1)
and Year of Birth |
Position(s) Held with the Funds(2) |
Principal Occupation During at Least the Past Five Years |
Length of Time Served(3) |
Stephen Murphy |
Chief Compliance
Officer and Vice
President |
Senior Vice President of the Advisor since 2019. Prior to that, Managing Director at Mirae Asset Securities (USA) Inc. since 2017. |
2019 |
1966 |
Name, Address(1)
and Year of
Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Elaine Zaharis-Nikas |
Vice President |
Senior Vice President of the Advisor since 2014. Prior to that, Vice President of the Advisor since 2003. |
2015 |
1973 |
Name, Address(1)
and Year of
Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Benjamin Morton |
Vice President |
Executive Vice President of the Advisor since 2019. Prior to that, Senior Vice President of the Advisor since 2010 and Vice President of the Advisor since 2005. |
2013 |
1974 | |||
Tyler S. Rosenlicht |
Vice President |
Senior Vice President of the Advisor since 2018. Prior to that, Vice President of the Advisor since 2015 and an Analyst of the Advisor since 2012. |
2015 |
1985 |
Name, Address(1)
and Year of
Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Benjamin Morton |
Vice President |
Executive Vice President of the Advisor since 2019. Prior to that, Senior Vice President of the Advisor since 2010 and Vice President of the Advisor since 2005. |
2013 |
1974 | |||
Tyler S. Rosenlicht |
Vice President |
Senior Vice President of the Advisor since 2018. Prior to that, Vice President of the Advisor since 2015 and an Analyst of the Advisor since 2012. |
2015 |
1985 | |||
Thuy Quynh Dang |
Vice President |
Vice President of CSCM since 2011. |
2022 |
1979 |
Name, Address(1)
and Year of
Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Jon Cheigh |
Vice President |
Chief Investment Officer of the Advisor since 2019 and Executive Vice President of the Advisor since 2012. Prior to that, Senior Vice President of the Advisor since 2007. |
2007 |
1972 |
Name, Address(1)
and Year of
Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Vincent L. Childers |
Vice President |
Senior Vice President of the Advisor since 2013. Prior to that, portfolio manager for real asset strategies at AllianceBernstein. |
2013 |
1976 | |||
Yigal D. Jhirad |
Vice President |
Senior Vice President of the Advisor since 2007. |
2007 |
1964 |
Name, Address(1)
and Year of Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Jon Cheigh |
Vice President |
Chief Investment Officer of the Advisor since 2019 and Executive Vice President of the Advisor since 2012. Prior to that, Senior Vice President of the Advisor since 2007. |
2007 |
1972 | |||
Benjamin Ross |
Vice President |
Senior Vice President of the Advisor since 2013. Prior to that, co-portfolio manager of the Active Commodities strategy at GE Asset Management since its 2006 inception. |
2013 |
1971 | |||
Jason Yablon |
Vice President |
Senior Vice President of the Advisor since 2014. Prior to that, Vice President of the Advisor since 2008. |
2012 |
1979 |
Name, Address(1)
and Year of
Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Jon Cheigh |
Vice President |
Chief Investment Officer of the Advisor since 2019, and Executive Vice President of the Advisor since 2012. Prior to that, Senior Vice President of the Advisor since 2007. |
2007 |
1972 | |||
Jason Yablon |
Vice President |
Executive Vice President of the Advisor since 2022. Prior to that, Senior Vice President of the Advisor since 2014. |
2012 |
1979 | |||
Mathew Kirschner |
Vice President |
Senior Vice President of the Advisor since 2019. Prior to that, Vice President of the Advisor since 2010. |
2020 |
1979 |
Name, Address(1)
and Year of
Birth |
Position(s) Held with Fund(2) |
Principal Occupation During Past Five Years |
Length of Time Served(3) |
Yigal D. Jhirad |
Vice President |
Senior Vice President of the Advisor since 2007. |
2007 |
1964 | |||
Jason Yablon |
Vice President |
Executive Vice President of the Advisor since 2022. Prior to that, Senior Vice President of the Advisor since 2014. |
2012 |
1979 | |||
Mathew Kirschner |
Vice President |
Senior Vice President of the Advisor since 2019. Prior to that, Vice President of the Advisor since 2010. |
2020 |
1979 |
|
Low Duration Preferred and Income Fund |
Preferred Securities and Income SMA Shares |
Future of Energy Fund |
Global
Infrastructure Fund |
Global
Realty Shares |
Institutional Realty Shares |
International Realty Fund |
Preferred Securities and Income Fund |
Real Assets Fund |
Real Estate Securities Fund |
Realty Shares |
Aggregate Dollar Range of Equity Securities in the Cohen & Steers Fund Complex(1) |
Joseph M. Harvey |
A |
A |
A |
A |
A |
E |
A |
A |
E |
A |
A |
E |
Adam M. Derechin |
A |
A |
A |
A |
A |
E |
A |
A |
E |
A |
A |
E |
Michael G. Clark |
C |
A |
C |
C |
C |
A |
C |
C |
C |
C |
A |
E |
George Grossman |
A |
A |
A |
A |
C |
A |
A |
A |
A |
D |
D |
E |
Dean A. Junkans |
E |
A |
E |
A |
A |
A |
A |
E |
A |
A |
D |
E |
Gerald J. Maginnis |
C |
A |
C |
C |
C |
C |
C |
C |
C |
C |
C |
E |
Jane F. Magpiong |
C |
A |
C |
C |
C |
A |
A |
E |
C |
A |
E |
E |
Daphne L. Richards |
A |
A |
A |
A |
A |
A |
A |
E |
A |
A |
E |
E |
Ramona Rogers-Windsor |
B |
A |
A |
B |
B |
A |
B |
B |
B |
B |
B |
E |
|
Contract Review Committee |
Governance Committee |
Nominating Committee |
Audit Committee |
Dividend Committee |
Low Duration Preferred and Income Fund |
2 |
5 |
0 |
5 |
2 |
Preferred Securities and Income SMA Shares |
2 |
5 |
0 |
5 |
0 |
Future of Energy Fund |
2 |
5 |
0 |
5 |
0 |
Global Infrastructure Fund |
2 |
5 |
0 |
5 |
0 |
Global Realty Shares |
2 |
5 |
0 |
5 |
0 |
Institutional Realty Shares |
2 |
5 |
0 |
5 |
0 |
|
Contract Review Committee |
Governance Committee |
Nominating Committee |
Audit Committee |
Dividend Committee |
International Realty Fund |
2 |
5 |
0 |
5 |
0 |
Preferred Securities and Income Fund |
2 |
5 |
0 |
5 |
1 |
Real Assets Fund |
2 |
5 |
0 |
5 |
0 |
Real Estate Securities Fund |
2 |
5 |
0 |
5 |
0 |
Realty Shares |
2 |
5 |
0 |
5 |
0 |
Name of Person,
Position |
Low Duration Preferred and Income Fund |
Preferred Securities and Income SMA Shares(2) |
Future of Energy Fund |
Global Infrastructure Fund |
Global Realty Shares |
Institutional Realty Shares |
International Realty Fund |
Preferred Securities and Income Fund |
Real Assets Fund |
Real Estate Securities Fund |
Realty Shares |
Total Compensation Paid to Director or Officer by Fund Complex(1) |
Michael G. Clark, Director and Lead Independent Director |
$13,951 |
$2,607 |
$861 |
$6,354 |
$12,899 |
$42,715 |
$3,390 |
$56,545 |
$6,409 |
$50,761 |
$38,309 |
$290,000 |
Adam M. Derechin, Director(2) |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
George Grossman,
Director |
$10,824 |
$2,023 |
$668 |
$4,930 |
$10,008 |
$33,141 |
$2,630 |
$43,871 |
$4,972 |
$39,384 |
$29,722 |
$225,000 |
Joseph M. Harvey, Chair and Director(2)
|
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
Dean A. Junkans,
Director and Contract Review
Committee Chair |
$11,786 |
$2,203 |
$727 |
$5,368 |
$10,897 |
$36,087 |
$2,864 |
$47,771 |
$5,414 |
$42,885 |
$32,364 |
$245,000 |
Gerald J. Maginnis,
Director and Audit
Committee Chair |
$12,267 |
$2,293 |
$757 |
$5,588 |
$11,342 |
$37,560 |
$2,981 |
$49,720 |
$5,635 |
$44,635 |
$33,685 |
$255,000 |
Jane F. Magpiong,
Director, Governance Committee Chair and Nominating Committee Chair |
$11,786 |
$2,203 |
$727 |
$5,368 |
$10,897 |
$36,087 |
$2,864 |
$47,771 |
$5,414 |
$42,885 |
$32,364 |
$245,000 |
Name of Person, Position |
Low Duration Preferred and Income Fund |
Preferred Securities and Income SMA Shares(2) |
Future of Energy Fund |
Global Infrastructure Fund |
Global Realty Shares |
Institutional Realty Shares |
International Realty Fund |
Preferred Securities and Income Fund |
Real Assets Fund |
Real Estate Securities Fund |
Realty Shares |
Total Compensation Paid to Director or Officer by Fund Complex(1) |
Daphne L. Richards, Director and Dividend Committee Chair |
$11,305 |
$2,113 |
$697 |
$5,149 |
$10,452 |
$34,614 |
$2,747 |
$45,821 |
$5,193 |
$41,134 |
$31,043 |
$235,000 |
Ramona Rogers-Windsor,
Director |
$10,824 |
$2,023 |
$668 |
$4,930 |
$10,008 |
$33,141 |
$2,630 |
$43,871 |
$4,972 |
$39,384 |
$29,722 |
$225,000 |
Chief Compliance Officer |
$13,178 |
$2,470 |
$840 |
$6,148 |
$12,633 |
$42,457 |
$3,335 |
$54,339 |
$6,238 |
$50,148 |
$34,884 |
$307,500 |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit to its Customers 1 New York Plaza Floor 12 New York, NY 10004-1965 |
A
C
I
R |
30.27% 14.56%
18.81% 96.30% |
|
|
|
Wells Fargo Clearing Services For Exclusive Benefit of Our Customers 2801 Market Street St. Louis, MO 63103 |
A
C
I |
13.81% 21.34%
11.21% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
A
C
I |
7.34% 10.15%
11.82% |
|
|
|
UBS WM USA OMNI ACCOUNT M/F 1000 Harbor Blvd., Fl 5 Weehawken, NJ 07086-6761 |
A
C
I |
5.80% 6.69%
8.22% |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
A |
6.02% |
|
|
|
Merrill Lynch For Exclusive Benefit of Our Customers 4800 Deer Lake Drive East Jacksonville, FL 32246-6484 |
A
C
I |
23.44% 26.10%
20.30% |
|
|
|
Raymond James Omnibus for Mutual Funds 880 Carillon Pkwy St. Petersburg, FL 33716-1100 |
C |
7.46% |
|
|
|
JP Morgan Securities LLC Omnibus Account for the Exclusive Benefits of Customers 4 Chase Metrotech CTR, FL 3rd Brooklyn, NY 11245-0003 |
F |
89.52% |
|
|
|
Wells Fargo Bank NA FBO Omnibus P.O. Box 1533 Minneapolis, MN 55480-1533 |
F |
10.31% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
National Financial Services LLC FBO Exclusive Customers Attn: Mutual Funds Dept 499 Washington Blvd. Jersey City, NJ 07310-1995 |
I |
9.61% |
|
|
|
Ascensus Trust Company FBO Prescryptive Health 401(K) Plan
P.O. Box 10758
Fargo, ND 58106-0758 |
Z |
31.50% |
|
|
|
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94104-4151 |
Z |
63.78% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney LLC For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1901 |
N/A |
33.22% |
|
|
|
Wells Fargo Clearing Services LLC Special Custody Account For the Exclusive Benefit of the Customer 2801 Market Street Saint Louis, MO 63103-2523 |
N/A |
21.71% |
|
|
|
Merrill Lynch For the Exclusive Benefit of Our Customers 4800 Deer Lake Drive East Jacksonville, FL 32246-6484 |
N/A |
24.90% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
UBS WM USA Omni Account M/F 1000 Harbor Blvd. Weehawken, NJ 07086-6761 |
N/A |
10.69% |
|
|
|
National Financial Services LLC FBO Exclusive Customers Attn: Mutual Funds Dept 499 Washington Blvd. Jersey City, NJ 07310-1995 |
N/A |
5.03% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1965 |
A
C
I |
24.15% 35.29%
27.59% |
|
|
|
Merrill Lynch For the Exclusive Benefit of Our Customers 4800 Deer Lake Drive East Jacksonville, FL 32246-6484 |
A
C
I |
7.27% 12.10%
12.52% |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
A
I |
13.04% 20.34%
|
|
|
|
American Enterprise Investment SVCS FBO 41999970 707 2nd Ave S Minneapolis, MN 55402-2405 |
A |
6.65% |
|
|
|
UBS WM USA OMNI ACCOUNT M/F 1000 Harbor BLVD Fl 5 Weehawken, NJ 07086-6761 |
C
I
R |
5.26% 6.15%
25.36% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
C |
41.14% |
|
|
|
Raymond James Omnibus for Mutual Funds House Account 880 Carillon Parkway St. Petersburg, FL 33716-1100 |
I |
13.04% |
|
|
|
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
I |
6.23% |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
I
R
Z |
8.12% 13.17%
64.24% |
|
|
|
Ascensus Trust Co FBO Interior Glass Inc. 401(K) Plan P.O. Box 10758 Fargo, ND 58106-0758 |
R |
20.30% |
|
|
|
Ascensus Trust Co FBO Inglewood Physical Therapy, P.S. 401 P.O. Box 10758 Fargo, ND 58106-0758 |
R |
6.36% |
|
|
|
Matrix Trust Company Cust. FBO Current Media Partners LLC 401K 717 17th Street, Suite 1300 Denver, CO 80202-3304 |
R |
12.29% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
TD Ameritrade Inc. For the Exclusive Benefit of Our Clients P.O. Box 2226 Omaha, NE 68103-2226 |
Z |
28.77% |
|
|
|
Charles Schwab & Co., Inc. Special Custody Acct FBO Customers Attn Mutual Funds 101 Montgomery Street San Francisco, CA 94104-4151 |
Z |
5.26% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney LLC For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1901 |
A
C
L |
9.02% 33.80%
14.37% |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
A
I
L |
8.68 15.60%
29.88% |
|
|
|
Wells Fargo Clearing Services For Exclusive Benefit of Our Customers 2801 Market Street St. Louis, MO 63103 |
A
C |
6.07% 17.17%
|
|
|
|
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
I
Z |
6.73% 8.26%
|
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Raymond James Omnibus for Mutual Funds House Account 880 Carillon Parkway St. Petersburg, FL 33716-1100 |
A
C
I |
14.67% 12.08%
9.63% |
|
|
|
MMATCO LLP Nominee for MMA Trust Company P.O. Box 483 1110 N Main Street Goshen, IN 46527-0483 |
A |
17.98% |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
C
I |
7.24% 16.58%
|
|
|
|
Merrill Lynch For the Exclusive Benefit of Our Customers 4800 Deer Lake Drive East 2nd Floor Jacksonville, FL 32246-6484 |
C
I |
10.18% 6.75%
|
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
I
L
Z |
27.50% 19.88%
38.55% |
|
|
|
VantageTrust - Unitized C/O ICMA Retirement Corporation 777 North Capitol Street, NE Washington, DC 20002-4239 |
L |
6.35% |
|
|
|
07ND84PC
P.O. Box 1090
Paris, TN 38242-1090 |
R |
71.42% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Principal Bank FBO City of Houston Deferred Compensation Trust 8515 E Orchard RD 2T2 Greenwood Village, CO 80111-5002 |
Z |
11.14% |
|
|
|
Empower Trust FBO Empower Benefit Plans 8515 E Orchard RD 2T2 Greenwood Village, CO 80111-5002 |
Z |
5.00% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
N/A |
6.57% |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
N/A |
21.59% |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
N/A |
33.86% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1965 |
A
C |
5.73% 7.41%
|
|
|
|
John Hancock Life Insurance Co USA 200 Berkeley Street Boston, MA 02116-5023 |
A
R |
6.37% 6.19%
|
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Minnesota Life Insurance Company 400 Robert Street North Saint Paul, MN 55101-2099 |
A |
7.12% |
|
|
|
Nationwide Life Insurance Company DCVA C/O IPO Portfolio Accounting P.O. Box 182029 Columbus, OH 43218-2029 |
A |
8.46% |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
A
I
Z |
8.40% 19.05%
5.80% |
|
|
|
Nationwide Life Insurance Company NACO C/O IPO Portfolio Accounting P.O. Box 182029 Columbus, OH 43218-2029 |
A |
6.07% |
|
|
|
Merrill Lynch For Exclusive Benefit of Our Customers 4800 Deer Lake Drive East 2nd Floor Jacksonville, FL 32246-6484 |
A
C
Z |
7.41% 8.72%
9.69% |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
A
F
I
Z |
11.18% 5.84%
11.43% 18.31% |
|
|
|
Wells Fargo Clearing Services For Exclusive Benefit of Our Customers 2801 Market Street St. Louis, MO 63103 |
C |
33.00% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
C
I |
8.28% 42.17%
|
|
|
|
LPL Financial
Omnibus Customer Account
Attn: Mutual Fund Trading
4707 Executive Drive
San Diego, CA 92121-3091 |
C |
8.12% |
|
|
|
Charles Schwab & Co., Inc.
Special Custody A/C FBO Customers
Attn: Mutual Funds
211 Main Street
San Francisco, CA 94105-1905 |
C |
6.28% |
|
|
|
UBS WM USA Omni Account M/F 1000 Harbor Blvd., Fl. 5 Weehawken, NJ 07086-6761 |
C |
6.51% |
|
|
|
Raymond James Omnibus for Mutual Funds 880 Carillon Pkwy St. Petersburg, FL 33716-1100 |
C |
6.26% |
|
|
|
JP Morgan Securities LLC Omnibus for the Exclusives Benefits of Customers Mutual Fund Department 4 Chase Metrotech Center, Floor 3 Brooklyn, NY 11245-0003 |
F |
89.94% |
|
|
|
State Street Bank & Trust As Trustee and/or Custodian FBO ADP Access Product 1 Congress Street, Suite 1 Boston, MA 02114-2016 |
R |
9.84% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
DCGT as TTEE and/or Custodian FBO PLIC Various Retirement Plans Omnibus Attn: NPIO Trade Desk 711 High Street Des Moines, IA 50392-0001 |
R |
11.56% |
|
|
|
Empower Trust FBO Recordkeeping for Various Benefit 8525 E Orchard Road Greenwood Village, CO 80111-5002 |
R
Z |
17.01% 6.45%
|
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1965 |
A
C
I |
20.75% 53.69%
29.12% |
|
|
|
Wells Fargo Clearing Services For Exclusive Benefit of Our Customers 2801 Market Street St. Louis, MO 63103 |
A
C |
6.18% 10.56%
|
|
|
|
Empower Trust FBO Recordkeeping for Large Benefit Plan 8525 E. Orchard Road Greenwood Village, CO 80111-5002 |
A |
15.13% |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
A
I |
11.59% 23.07%
|
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Merrill Lynch For Exclusive Benefit of Our Customers 4800 Deer Lake Drive East 2nd Floor Jacksonville, FL 32246-6484 |
A
C
Z |
15.78% 6.15%
17.35% |
|
|
|
LPL Financial Omnibus Customer Account Attn: Mutual Fund Trading 4707 Executive Drive San Diego, CA 92121-3091 |
C |
12.13% |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
I |
10.15% |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
I
Z |
9.51% 20.04%
|
|
|
|
Matrix Trust Company Custodian FBO Kuerth’s Disposal, Inc. 401(k) Plan 717 17th Street, Suite 1300 Denver, CO 80202-3304 |
R |
5.63% |
|
|
|
SEI Private Trust Company FBO Clinton Utilities Board 1 Freedom Valley Drive Oaks, PA 19456-9989 |
R |
61.78% |
|
|
|
Ascensus Trust Company FBO Christos Medical Group 401K Plan P.O. Box 10758 Fargo, ND 58106-0758 |
R |
14.45% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
TIAA Trust, N.A. As Cust/TTEE or retirement Plans Attn: Fund Operations 8500 Andrew Carnegie Blvd. Charlotte, NC 28262-8500 |
Z |
30.11% |
|
|
|
Reliance Trust Company FBO City of Livonia P.O. Box 78446 Atlanta, GA 30357 |
Z |
5.47% |
|
|
|
Keybank NA EBCI Governmental RET Plan PRI USD P.O. Box 94871 Cleveland, OH 44101-4871 |
Z |
7.60% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1965 |
A |
19.99% |
|
|
|
Wells Fargo Clearing Services For Exclusive Benefit of our Customers 2801 Market Street St. Louis, MO 63103 |
A
C |
8.78% 8.14%
|
|
|
|
UBS WM USA Omni Account M/F 1000 Harbor Blvd. Weehawken, NJ 07086-6761 |
A
R |
7.61% 28.30%
|
|
|
|
Merrill Lynch For Exclusive Benefit of Our Customers 4800 Deer Lake Drive East 2nd Floor Jacksonville, FL 32246-6484 |
A |
14.69% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
A
I |
14.73% 89.41%
|
|
|
|
JP Morgan Securities LLC Omnibus Account for the Exclusive Benefits of Customers Mutual Fund Department 4 Chase Metrotech CTR FL 3rd Brooklyn, NY 11245-0003 |
C |
15.23% |
|
|
|
LPL Financial Omnibus Customer Account Attn: Mutual Fund Trading 4707 Executive Drive San Diego, CA 92121-3091 |
C |
20.80% |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
C |
21.82% |
|
|
|
Raymond James Omnibus for Mutual Funds House Account 880 Carillon Parkway St. Petersburg, FL 33716-1100 |
C |
13.41% |
|
|
|
Cohen & Steers Capital Management Inc. 1166 Avenue of the Americas,
30th
Floor New York, NY 10036 |
R
Z |
11.66% 13.55%
|
|
|
|
Ascensus Trust Company FBO LSE Contractors, LLC 401(K) P.O. Box 10758 Fargo, ND 58106-0758 |
R |
60.04% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
The Trust Co of Knoxville, Trustee Webnet Memphis, Inc. 401(K) PSP 4823 Old Kingston Pike Suite 100 Knoxville, TN 37919-6499 |
Z |
84.16% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1965 |
A
C |
11.81% 18.24%
|
|
|
|
Wells Fargo Clearing Services For Exclusive Benefit of Our Customers 2801 Market Street St. Louis, MO 63103-2523 |
A
C |
9.04% 18.00%
|
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
A
I |
22.28% 23.53%
|
|
|
|
Merrill Lynch For Exclusive Benefit of Our Customers 4800 Deer Lake Drive East 2nd Floor Jacksonville, FL 32246-6484 |
A
C
I |
25.00% 16.31%
5.59% |
|
|
|
American Enterprise Investment SVCS FBO 41999970 707 2nd Ave. S Minneapolis, MN 55402-2405 |
C |
16.63% |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
C |
5.05% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
National Financial Services LLC
499 Washington Blvd.
Jersey City, NJ 07310-1995 |
I
Z |
20.03% 11.41%
|
|
|
|
Global Trust Company FBO KPMG Pension Plan 12 Gil St. STE 2600 Woburn, MA 01801-1729 |
I |
8.34% |
|
|
|
Cohen & Steers Capital Management Inc. 1166 Avenue of the Americas,
30th
Floor New York, NY 10036 |
R |
16.66% |
|
|
|
Ascensus Trust Company
FBO BFG Software LLC 401(K) P/S Plan
P.O. Box 10758
Fargo, ND 58106-0758 |
R |
82.54% |
|
|
|
Charles Schwab & Co., Inc. Special Custody Acct FBO Customers Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
Z |
17.07% |
|
|
|
Matrix Trust Company Cust FBO Teamsters Local No. 134 Pension P.O. Box 52129 Phoenix, AZ 85072-2129 |
Z |
10.17% |
|
|
|
Matrix Trust Company Cust FBO French Paper Company Pension Plan P.O. Box 52129 Phoenix, AZ 85072-2129 |
Z |
8.47% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Matrix Trust Company Cust FBO Salaried Retirement Plan of Finch P.O. Box 52129 Phoenix, AZ 85072-2129 |
Z |
32.80% |
|
|
|
Matrix Trust Company Jeff Bank Pension Plan P.O. Box 52129 Phoenix, AZ 85072-2129 |
Z |
11.29% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1965 |
A
C
I |
17.24% 17.32%
14.78% |
|
|
|
Wells Fargo Clearing Services For Exclusive Benefit of Our Customers 2801 Market Street St. Louis, MO 63103 |
A
C
I |
11.57% 21.55%
7.12% |
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery Street San Francisco, CA 94101-4151 |
A
I
Z |
9.59% 11.62%
17.94% |
|
|
|
Merrill Lynch For Exclusive Benefit of Our Customers 4800 Deer Lake Drive East 2nd Floor Jacksonville, FL 32246-6484 |
A
C
I |
23.94% 18.95%
16.59% |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
C
Z |
5.57% 8.69%
|
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Fund 211 Main Street San Francisco, CA 94105-1905 |
C
R |
7.71% 23.04%
|
|
|
|
UBS WM USA Omni Account M/F 1000 Harbor Blvd., Fl. 5 Weehawken, NJ 07086-6761 |
C
I
R |
6.53% 10.37%
48.16% |
|
|
|
Raymond James Omnibus for Mutual Funds House Account 880 Carillon Parkway St. Petersburg, FL 33716-1100 |
C |
6.64% |
|
|
|
JP Morgan Securities LLC Omnibus for the Exclusives Benefits of Customers Mutual Fund Department 4 Chase Metrotech Center, Floor 3 Brooklyn, NY 11245-0003 |
F |
70.84% |
|
|
|
Wells Fargo Bank NA FBO OMNIBUS CASH P.O. Box 1533 Minneapolis, MN 55480-1533 |
F |
15.30% |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
F
I
Z |
8.72% 13.32%
26.81% |
|
|
|
John Hancock Trust Company LLC 200 Berkley St. STE 7 Boston, MA 02116-5038 |
R |
22.57% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Capinco - C/O US Bank NA Sole and Separate Property 1555 N. Rivercenter Drive STE 302 Milwaukee, WI 53212-3958 |
Z |
10.75% |
|
|
|
AXOS Clearing LLC FBO #817 P.O. Box 6503 Englewood, CO 80155-6503 |
Z |
18.60% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
A |
9.68% |
|
|
|
Charles Schwab & Co., Inc Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
A
I |
9.42% 12.46%
|
|
|
|
Charles Schwab & Co., Inc. Reinvest Account Attn: Mutual Funds 101 Montgomery St San Francisco, CA 94104-4151 |
A
I |
10.87% 15.35%
|
|
|
|
Merrill Lynch For Exclusive Benefit of Our Customers 4800 Deer Lake Dr. East 2nd Floor Jacksonville, FL 32246-6484 |
A
C
I |
37.86% 58.64%
12.64% |
|
|
|
UBS WM USA SPEC CDY A/C EBOC UBSFSI OMNI ACCOUNT M/F 1000 Harbor BLVD Weehawken, NJ 07086-6761 |
C
R |
24.91% 42.74%
|
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Raymond James Omnibus for Mutual Funds House Account 880 Carillon Parkway St. Petersburg, FL 33716-1100 |
C |
5.20% |
|
|
|
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
C |
5.05% |
|
|
|
JP Morgan Securities LLC Omnibus Account for the Exclusive Benefit of Customers Mutual Fund Department 4 Chase Metrotech CTR FL 3rd Brooklyn, NY 11245-0003 |
I |
6.13% |
|
|
|
Capinco - C/O US Bank NA Sole and Separate Property 1555 N. Rivercenter Drive STE 302 Milwaukee, WI 53212-3958 |
I |
7.69% |
|
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
I
Z |
25.72% 19.33%
|
|
|
|
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1932 |
R |
57.26% |
|
|
|
Reliance Trust Company FBO Prime Buch P.O. Box 78446 Atlanta, GA 30357-2446 |
Z |
12.19% |
Name and Address |
Fund Classes |
Percentage of Total Shares Held |
|
|
|
Bancmont FBO MFPAE P.O. Box 2309 Great Falls, MT 59403-2309 |
Z |
8.01% |
|
|
|
Bancmont FBO MFPBA P.O. Box 2309 Great Falls, MT 59403-2309 |
Z |
9.07% |
|
|
|
Empower Trust FBO Employee Benefit Clients 401K 8515 E Orchard Rd. 2T2 Greenwood Village, CO 80111-5002 |
Z |
34.75% |
|
|
|
FIIOC FBO SMC Corporation Retirement Savings Plan 100 Magellan Way #KW1C Covington, KY 41015-1987 |
Z |
5.65% |
Name and Address |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1932 |
27.55% |
Name and Address |
Percentage of Total Shares Held |
Morgan Stanley Smith Barney For the Exclusive Benefit of its Customers 1 New York Plaza Floor 12 New York, NY 10004-1932 |
26.02% |
Name and Address |
Percentage of Total Shares Held |
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
26.54% |
Name and Address |
Percentage of Total Shares Held |
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
34.29% |
Name and Address |
Percentage of Total Shares Held |
Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399-0002 |
27.77% |
Name and Address |
Percentage of Total Shares Held |
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
85.70% |
Name and Address |
Percentage of Total Shares Held |
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
25.25% |
Name and Address |
Percentage of Total Shares Held |
Charles Schwab & Co., Inc. Special Custody A/C FBO Customers Attn: Mutual Funds 211 Main Street San Francisco, CA 94105-1905 |
26.85% |
|
|
National Financial Services LLC 499 Washington Blvd. Jersey City, NJ 07310-1995 |
25.14% |
Fund |
Advisory/Management Fee |
Waiver/ Reimbursement Arrangement |
Low Duration Preferred and Income Fund* |
0.65% |
Through June 30, 2025, the Advisor has contractually agreed to waive its fee and/or reimburse the Fund so that the Fund’s total annual operating expenses do not exceed 0.95% for Class A shares, 1.60% for Class C shares, 0.60% for Class F shares, 0.60% for Class I shares, 1.10% for Class R shares and 0.60% for Class Z shares. |
Preferred Securities and Income SMA Shares |
0.00% |
The Advisor has contractually agreed to reimburse the Fund so that the total annual Fund operating expenses (excluding acquired fund fees and expenses, interest, taxes, extraordinary expenses, and other expenses approved by the Board of Directors) do not exceed 0.00%, subject to exclusions described in the Fund’s Prospectus. |
Future of Energy Fund* |
0.80% |
Through June 30, 2025, the Advisor has contractually agreed to waive its fee and/or reimburse the Fund so that the Fund’s total annual operating expenses do not exceed 1.25% for Class A shares, 1.90% for Class C shares, 0.90% for Class F shares, 0.90% for Class I shares, 1.40% for Class R shares and 0.90% for Class Z, subject to exclusions described in the Fund Prospectus. Class F shares are
not currently available for purchase. |
Global Infrastructure Fund* |
0.75% for assets up to and including $1.5 billion; 0.65% for assets above $1.5 billion |
Through June 30, 2025, the Advisor has contractually agreed to waive and/or reimburse the Fund’s Class I shareholder service fee up to the maximum shareholder service fee of 0.10%. |
Global Realty Shares* |
0.75% |
Through June 30, 2025, the Advisor has contractually agreed to waive its fee and/or reimburse the Fund so that |
Fund |
Advisory/Management Fee |
Waiver/ Reimbursement Arrangement |
|
|
the Fund’s total annual operating expenses do not exceed 1.25% for Class A shares, 1.90% for Class C shares, 0.90% for Class F shares, 0.90% for Class I shares, 1.40% for Class R shares and 0.90% for Class Z shares, subject to the exclusions described in the Fund Prospectus. Class F shares are not currently available for purchase. |
Institutional Realty Shares |
0.75% |
The Advisor contractually agreed to waive its fee and/or reimburse the Fund so that its total annual operating expenses never exceed 0.75% of average daily net assets, subject to the exclusions described in the Fund Prospectus. This commitment will remain in place for the life of the Fund. |
International Realty Fund* |
0.95% for assets up to and including $1.5 billion; 0.85% for assets above $1.5 billion |
Through June 30, 2025, the Advisor has contractually agreed to waive its fee and/or reimburse the Fund so that the Fund’s total annual operating expenses do not exceed 1.35% for Class A shares, 2.00% for Class C shares, 1.00% for Class F shares, 1.00% for Class I shares, 1.50% for Class R shares and 1.00% for Class Z shares, subject to exclusions described in the Fund Prospectus. Class F
shares are not currently available for
purchase. |
Preferred Securities and Income Fund* |
0.70% for assets up to and including $8.5 billion; 0.65% for assets above $8.5 billion |
Through June 30, 2025, the Advisor has contractually agreed to waive its fee and/or reimburse the Fund so that the Fund’s total annual operating expenses do not exceed 1.20% for Class A shares, 1.85% for Class C shares, 0.85% for Class F shares, 0.85% for Class I shares, 1.35% for Class R shares and 0.85% for Class Z shares, subject to exclusions described in the Fund Prospectus. |
Real Assets Fund* |
0.75% |
Through June 30, 2025, the Advisor has contractually agreed to waive its fee and/or reimburse the Fund so that the Fund’s total annual operating expenses, which include the expenses |
Fund |
Advisory/Management Fee |
Waiver/ Reimbursement Arrangement |
|
|
of the subsidiary, do not exceed 1.15% for Class A shares, 1.80% for Class C shares, 0.80% for Class F shares, 0.80% for Class I shares, 1.30% for Class R shares and 0.80% for Class Z shares, subject to exclusions described in the Fund Prospectus. Class F
shares are not currently available for
purchase. |
Real Estate Securities Fund* |
0.75% for assets up to and including $1.5 billion; 0.65% for assets above $1.5 billion |
N/A |
Realty Shares |
0.75% for assets up to $8.5 billion and 0.70% of such assets in excess of $8.5 billion |
Through June 30, 2025, the Advisor has contractually agreed to waive its fee and/or reimburse the Fund so that the Fund’s total annual operating expenses, do not exceed 1.15% for Class A shares, 1.80% for Class C shares, 0.80% for Class F shares, 0.88% for Class I shares, 0.88% for Class L shares, 1.30% for Class R shares and 0.80% for Class Z shares, subject to exclusions described in the Fund Prospectus. Class F shares are
not currently available for purchase. |
|
2023 |
2022 |
2021 |
Low Duration Preferred and Income Fund |
$16,065,376
|
$18,571,560
|
$12,699,862
|
Preferred Securities and Income SMA
Shares(1) |
N/A |
N/A |
N/A |
Future of Energy Fund |
$964,490
|
$1,062,307
|
$774,501
|
Realty Shares |
$39,638,832
|
$53,124,829
|
$55,787,387
|
Institutional Realty Shares |
$44,371,396
|
$49,670,659
|
$42,732,843
|
Real Estate Securities Fund |
$47,058,405
|
$51,873,098
|
$50,250,405
|
Global Realty Shares |
$13,286,913
|
$15,099,919
|
$13,532,726
|
International Realty Fund |
$4,468,225
|
$5,129,494
|
$6,161,250
|
Global Infrastructure Fund |
$6,536,517
|
$6,838,392
|
$5,022,582
|
Preferred Securities and Income Fund |
$53,665,080
|
$69,651,763
|
$82,672,840
|
Real Assets Fund |
$6,581,318
|
$5,605,955
|
$1,764,024
|
|
2023 |
2022 |
2021 |
Low Duration Preferred and Income Fund |
$5,086,447
|
$5,615,981
|
$4,042,005
|
Preferred Securities and Income SMA Shares |
$402,971
|
$346,740
|
$353,651
|
Future of Energy Fund |
$393,664
|
$478,774
|
$473,752
|
Realty Shares |
$2,728,111
|
$3,460,440
|
$3,361,299
|
Institutional Realty Shares |
$317,351
|
$487,297
|
$803,754
|
Global Realty Shares |
$250,554
|
$339,853
|
$404,107
|
International Realty Fund |
$891,656
|
$895,321
|
$1,048,952
|
Global Infrastructure Fund |
$612,492
|
$604,859
|
$383,989
|
Preferred Securities and Income Fund |
$73,441
|
$0
|
$0
|
Real Assets Fund |
$1,707,965
|
$1,880,927
|
$886,735
|
|
2023 |
2022 |
2021 |
Low Duration Preferred and Income Fund |
$10,978,929
|
$12,955,579
|
$8,657,857
|
Preferred Securities and Income SMA Shares |
$(402,971
) |
$(346,740
) |
$(353,651
) |
Future of Energy Fund |
$570,826
|
$583,533
|
$300,749
|
Realty Shares |
$36,910,721
|
$49,664,389
|
$52,426,088
|
Institutional Realty Shares |
$44,054,045
|
$49,183,362
|
$41,929,089
|
Real Estate Securities Fund |
$47,058,405
|
$51,873,098
|
$50,250,405
|
Global Realty Shares |
$13,036,359
|
$14,760,066
|
$13,128,619
|
International Realty Fund |
$3,576,569
|
$4,234,173
|
$5,112,298
|
Global Infrastructure Fund |
$5,924,025
|
$6,233,533
|
$4,638,593
|
Preferred Securities and Income Fund |
$53,591,639
|
$69,651,763
|
$82,672,840
|
Real Assets Fund |
$4,873,353
|
$3,725,028
|
$877,289
|
Fiscal Year
Ended |
Global Infrastructure Fund |
Global Realty Shares |
International Realty
Fund |
Real Assets Fund |
Future of Energy
Fund |
2023 |
$609,341 |
$1,512,355 |
$1,346,146 |
$330,865 |
$0 |
2022 |
$641,477 |
$1,749,026 |
$1,493,077 |
$287,298 |
$0 |
2021 |
$443,893 |
$1,579,588 |
$1,637,424 |
$88,520 |
$0 |
Fiscal Year
Ended |
Global Infrastructure Fund |
Global Realty Shares |
International Realty
Fund |
Real Assets Fund |
Future of Energy
Fund |
2023 |
$313,616 |
$818,731 |
$741,643 |
$439,840 |
$0 |
2022 |
$316,390 |
$1,107,224 |
$937,620 |
$380,865 |
$0 |
2021 |
$272,339 |
$1,268,704 |
$1,298,711 |
$143,295 |
$1,678 |
|
Number of Other Accounts Managed and Assets ($mm) by Account Type | |||||
Registered Investment Companies |
Other Pooled Vehicles |
Other Accounts | ||||
Number of Accounts |
Total Assets |
Number of Accounts |
Total Assets |
Number of Accounts |
Total Assets | |
Low Duration Preferred and Income Fund |
|
|
|
|
|
|
Elaine Zaharis-Nikas |
11 |
$15,911
|
15 |
$3,205
|
20 |
$2,469
|
Jerry Dorost |
9 |
$12,579
|
15 |
$3,205
|
20 |
$2,469
|
Robert Kastoff(1)
|
3 |
$4,394
|
6 |
$765
|
4 |
$849
|
Preferred Securities and Income SMA Shares |
|
|
|
|
|
|
Elaine Zaharis-Nikas |
11 |
$16,040
|
15 |
$2,834
|
20 |
$2,365
|
Jerry Dorost |
9 |
$13,110
|
15 |
$2,834
|
20 |
$2,365
|
Future of Energy Fund |
|
|
|
|
|
|
Benjamin Morton |
4 |
$4,751
|
15 |
$1,504
|
21 |
$3,246
|
Tyler S. Rosenlicht |
3 |
$4,699
|
14 |
$1,388
|
19 |
$3,013
|
Realty Shares |
|
|
|
|
|
|
Jon Cheigh |
5 |
$9,588
|
33 |
$4,372
|
22 |
$7,178
(2) |
Jason Yablon |
11 |
$20,964
|
18 |
$8,579
|
35 |
$6,111
(3) |
Mathew Kirschner |
10 |
$19,136
|
20 |
$10,627
|
29 |
$5,624
(3) |
Ji Zhang(4) |
2 |
$2,307
|
31 |
$4,099
|
25 |
$7,463
(2) |
Institutional Realty Shares |
|
|
|
|
|
|
Jon Cheigh |
5 |
$8,782
|
33 |
$4,372
|
22 |
$7,178
(2) |
Jason Yablon |
11 |
$20,157
|
18 |
$8,579
|
35 |
$6,111
(3) |
Mathew Kirschner |
10 |
$18,330
|
20 |
$10,627
|
29 |
$5,624
(3) |
Ji Zhang(4) |
2 |
$2,307
|
31 |
$4,099
|
25 |
$7,463
(2) |
Real Estate Securities Fund |
|
|
|
|
|
|
Jason Yablon |
11 |
$19,225
|
18 |
$8,579
|
35 |
$6,111
(3) |
Mathew Kirschner |
10 |
$17,398
|
20 |
$10,627
|
29 |
$5,624
(3) |
Ji Zhang(4) |
2 |
$2,307
|
31 |
$4,099
|
25 |
$7,463
(2) |
Global Realty Shares |
|
|
|
|
|
|
Jon Cheigh |
5 |
$13,347
|
33 |
$4,372
|
22 |
$7,178
(2) |
William Leung |
1 |
$480
|
33 |
$5,804
|
18 |
$6,801
(2) |
Rogier Quirijns |
1 |
$480
|
34 |
$5,963
|
21 |
$7,283
(2) |
Jason Yablon |
11 |
$24,723
|
18 |
$8,579
|
35 |
$6,111
(3) |
Ji Zhang |
2 |
$480
|
31 |
$4,099
|
25 |
$7,463
(2) |
International Realty Fund |
|
|
|
|
|
|
Jon Cheigh |
5 |
$14,695
|
33 |
$4,372
|
22 |
$7,178
(2) |
William Leung |
1 |
$1,828
|
33 |
$5,804
|
18 |
$6,801
(2) |
Rogier Quirijns |
2 |
$1,828
|
34 |
$5,963
|
21 |
$7,283
(2) |
Ji Zhang |
2 |
$1,828
|
31 |
$4,099
|
25 |
$7,463
(2) |
Jason Yablon(5) |
12 |
$26,550
|
18 |
$8,579
|
35 |
$6,111
(3) |
Global Infrastructure Fund |
|
|
|
|
|
|
Benjamin Morton |
4 |
$4,156
|
15 |
$1,570
|
21 |
$3,373
|
Tyler S. Rosenlicht |
3 |
$4,121
|
14 |
$1,449
|
19 |
$3,157
|
Thuy Quynh Dang |
1 |
$3,154
|
14 |
$1,449
|
17 |
$3,015
|
Preferred Securities and Income Fund |
|
|
|
|
|
|
Elaine Zaharis-Nikas |
11 |
$10,087
|
15 |
$2,992
|
20 |
$2,542
|
Jerry Dorost |
9 |
$6,898
|
15 |
$2,992
|
20 |
$2,542
|
|
Number of Other Accounts Managed and Assets ($mm) by Account Type | |||||
Registered Investment Companies |
Other Pooled Vehicles |
Other Accounts | ||||
Number of Accounts |
Total Assets |
Number of Accounts |
Total Assets |
Number of Accounts |
Total Assets | |
Real Assets Fund |
|
|
|
|
|
|
Jon Cheigh |
5 |
$14,332
|
33 |
$4,372
|
22 |
$7,178
(2) |
Vincent L. Childers |
1 |
$35
|
1 |
$324
|
3 |
$450
|
Benjamin Ross |
0 |
$–0–
|
1 |
$324
|
3 |
$450
|
Nicholas Koutsoftas |
0 |
$–0–
|
1 |
$324
|
3 |
$450
|
Benjamin Morton |
4 |
$4,121
|
15 |
$1,570
|
21 |
$3,373
|
Jeffrey Palma |
2 |
$333
|
2 |
$376
|
3 |
$450
|
Tyler S. Rosenlicht |
3 |
$4,086
|
14 |
$1,449
|
19 |
$3,157
|
Jason Yablon(5) |
12 |
$26,550
|
18 |
$8,579
|
35 |
$6,111
(3) |
Portfolio Manager |
Low Duration Preferred and Income Fund |
Preferred Securities and Income SMA Shares |
Future of Energy Fund |
Realty Shares |
Institutional Realty Shares |
Real Estate Securities Fund |
Global Realty Shares |
International Realty Fund |
Global Infrastructure Fund |
Preferred Securities and Income Fund |
Real Assets Fund |
Elaine Zaharis-Nikas |
F |
A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
F |
N/A |
Jon Cheigh |
N/A |
N/A |
N/A |
A |
A |
N/A |
C |
A |
N/A |
N/A |
G |
Benjamin Morton |
N/A |
N/A |
A |
N/A |
N/A |
N/A |
N/A |
N/A |
F |
N/A |
A |
Jason Yablon(1) |
N/A |
N/A |
N/A |
F |
E |
E |
A |
A |
N/A |
N/A |
E |
Roger Quirijns |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
A |
A |
N/A |
N/A |
N/A |
William Leung |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
A |
A |
N/A |
N/A |
N/A |
Vincent Childers |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
E |
Nicholas Koutsoftas |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
A |
Benjamin Ross |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
A |
Mathew Kirschner |
N/A |
N/A |
N/A |
A |
E |
A |
N/A |
N/A |
N/A |
N/A |
N/A |
Jerry Dorost |
A |
A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
E |
N/A |
Tyler S.Rosenlicht |
N/A |
N/A |
E |
N/A |
N/A |
N/A |
N/A |
N/A |
A |
N/A |
E |
Portfolio Manager |
Low Duration Preferred and Income Fund |
Preferred Securities and Income SMA Shares |
Future of Energy Fund |
Realty Shares |
Institutional Realty Shares |
Real Estate Securities Fund |
Global Realty Shares |
International Realty Fund |
Global Infrastructure Fund |
Preferred Securities and Income Fund |
Real Assets Fund |
Ji Zhang(2) |
N/A |
N/A |
N/A |
A |
D |
A |
D |
D |
N/A |
N/A |
N/A |
Thuy Quynh Dang |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
A |
A |
N/A |
N/A |
Jeffrey Palma |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
E |
Robert Kastoff(3) |
A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
|
2023 |
2022 |
2021 |
Low Duration Preferred and Income Fund |
$1,235,798
|
$1,428,581
|
$976,912
|
Preferred Securities and Income SMA Shares |
N/A |
N/A |
N/A |
Future of Energy Fund |
$60,281
|
$66,394
|
$48,406
|
Realty Shares |
$2,114,071
|
$2,834,355
|
$2,975,768
|
Institutional Realty Shares |
N/A |
N/A |
N/A |
Real Estate Securities Fund |
$2,803,594
|
$3,099,883
|
$3,000,025
|
Global Realty Shares |
$708,635
|
$805,329
|
$721,745
|
International Realty Fund |
$188,136
|
$215,979
|
$259,421
|
Global Infrastructure Fund |
$348,614
|
$364,714
|
$267,871
|
Preferred Securities and Income Fund |
$3,835,948
|
$5,030,967
|
$6,032,526
|
Real Assets Fund |
$702,007
|
$597,969
|
$188,163
|
|
2023 |
2022 |
2021 |
Low Duration Preferred and Income Fund |
$66,837
|
$187,942
|
$49,799
|
Future of Energy Fund |
$2,636
|
$7,517
|
$6,451
|
|
2023 |
2022 |
2021 |
Realty Shares |
$16,879
|
$28,508
|
$36,968
|
Real Estate Securities Fund |
$1,643
|
$3,356
|
$7,825
|
Global Realty Shares |
$4,183
|
$7,153
|
$10,989
|
International Realty Fund |
$580
|
$408
|
$307
|
Global Infrastructure Fund |
$8,213
|
$12,625
|
$27,821
|
Preferred Securities and Income Fund |
$56,102
|
$131,866
|
$261,459
|
Real Assets Fund |
$3,414
|
$13,837
|
$1,649
|
|
2023 |
2022 |
2021 |
Low Duration Preferred and Income Fund |
$43,249
|
$17,278
|
$50,842
|
Preferred Securities and Income SMA Shares |
$46,895
|
$35,691
|
$22,746
|
Future of Energy Fund |
$168,283
|
$105,795
|
$160,931
|
Realty Shares |
$1,436,722
|
$1,876,977
|
$1,958,401
|
Real Estate Securities Fund |
$3,189,255
|
$2,300,063
|
$3,558,040
|
Institutional Realty Shares |
$1,498,831
|
$1,491,100
|
$1,690,213
|
Global Realty Shares |
$1,327,831
|
$1,479,652
|
$1,532,862
|
International Realty Fund |
$735,367
|
$723,486
|
$874,760
|
Global Infrastructure Fund |
$1,218,440
|
$942,352
|
$640,427
|
Preferred Securities and Income Fund |
$1,154,736
|
$604,146
|
$661,519
|
Real Assets Fund |
$861,427
|
$634,472
|
$181,369
|
|
2023 |
2022 |
2021 |
Low Duration Preferred and Income Fund |
$26,701
|
$11,518
|
$14,329
|
Preferred Securities and Income SMA Shares |
$32,794
|
$23,576
|
N/A |
|
2023 |
2022 |
2021 |
Future of Energy Fund |
$81,715
|
$41,526
|
$100,329
|
Realty Shares |
$635,603
|
$779,252
|
$1,276,016
|
Institutional Realty Shares |
$1,216,111
|
$604,454
|
$851,190
|
Real Estate Securities Fund |
$1,242,747
|
$698,670
|
$1,709,470
|
Global Realty Shares |
$542,318
|
$578,520
|
$597,387
|
International Realty Fund |
$294,062
|
$278,236
|
$418,487
|
Global Infrastructure Fund |
$495,798
|
$355,969
|
$96,496
|
Preferred Securities and Income Fund |
$812,957
|
$373,722
|
$443,434
|
Real Assets Fund |
$384,997
|
$296,553
|
$71,075
|
|
Dollar Value of Securities Owned |
Low Duration Preferred and Income Fund |
|
Bank of America |
$97,855,789 |
CITIGROUP Inc. |
$71,151,210 |
Wells Fargo & Co. |
$57,326,539 |
Barclays Capital Inc. |
$51,431,232 |
BNP Paribas SA |
$47,486,789 |
Societe Generale SA |
$35,178,042 |
J.P. Morgan Chase & Co. |
$30,382,520 |
UBS Group AG |
$26,410,291 |
Scotia Capital Inc. |
$20,845,647 |
Toronto Dominion Inc. |
$12,864,978 |
HSBC |
$8,756,000 |
Goldman, Sachs |
$7,534,891 |
|
Dollar Value of Securities Owned | |
Preferred Securities and Income SMA Shares |
|
|
BNP Paribas |
$15,186,541 | |
Wells Fargo Securities LLC |
$14,356,502 | |
Citibank, N.A. |
$11,183,573 | |
HSBC Bank PLC |
$10,176,277 | |
Barclays Bank PLC |
$10,098,197 |
|
Dollar Value of Securities Owned | |
UBS AG |
$8,339,268 | |
BofA Securities, Inc. / Fixed Income |
$7,934,110 | |
Credit Agricole Securities (USA) Inc. |
$6,919,407 | |
Societe Generale London Branch |
$6,797,274 | |
Deutsche Bank AG |
$5,322,096 |
|
Dollar Value of Securities Owned |
Preferred Securities and Income Fund |
|
Wells Fargo Securities LLC |
$350,605,023 |
BNP Paribas SA |
$297,017,297 |
UBS Group AG |
$295,779,786 |
Bank of America Corp. |
$283,170,133 |
Citigroup |
$221,216,167 |
HSBC Bank PLC |
$187,618,196 |
Barclays PLC |
$185,719,967 |
Societe Generale SA |
$170,233,685 |
J.P. Morgan Chase & Co. |
$123,016,117 |
Deutsche Bank AG |
$105,561,831 |
|
|
Real Assets Fund |
|
J.P. Morgan Chase & Co. |
$2,450,383 |
UBS Group AG |
$1,888,148 |
Wells Fargo Securities LLC |
$1,860,143 |
Bank of America Corp. |
$1,268,735 |
Citigroup Inc. |
$1,187,397 |
Morgan Stanley |
$1,009,083 |
Barclays PLC |
$796,499 |
|
2023 |
2022 |
2021 |
Low Duration Preferred and Income Fund |
31 % |
44 % |
44 % |
Preferred Securities and Income SMA Shares |
58 % |
72 % |
71 % |
Future of Energy Fund |
74 % |
58 % |
94 % |
Realty Shares |
35 % |
32 % |
41 % |
Institutional Realty Shares |
32 % |
34 % |
34 % |
Real Estate Securities Fund |
41 % |
34 % |
55 % |
Global Realty Shares |
52 % |
52 % |
46 % |
International Realty Fund |
86 % |
74 % |
74 % |
Global Infrastructure Fund |
101 % |
83 % |
64 % |
|
2023 |
2022 |
2021 |
Preferred Securities and Income Fund |
54 % |
42 % |
45 % |
Real Assets Fund |
104 % |
83 % |
71 % |
Fund |
Authorized Shares |
Low Duration Preferred and Income Fund |
1,400,000,000 shares |
Class A Shares |
200,000,000 |
Class C Shares |
200,000,000 |
Class F Shares |
200,000,000 |
Class I Shares |
400,000,000 |
Class R Shares |
200,000,000 |
Class Z Shares |
200,000,000 |
Preferred Securities and Income SMA Shares |
100,000,000 shares |
Future of Energy Fund |
1,400,000,000 shares |
Class A Shares |
200,000,000 |
Class C Shares |
200,000,000 |
Class F Shares |
200,000,000 |
Class I Shares |
400,000,000 |
Class R Shares |
200,000,000 |
Class Z Shares |
200,000,000 |
Global Infrastructure Fund |
400,000,000 shares |
Class A Shares |
50,000,000 |
Class C Shares |
50,000,000 |
Class F Shares |
50,000,000 |
Class I Shares |
150,000,000 |
Class R Shares |
50,000,000 |
Class Z Shares |
50,000,000 |
Global Realty Shares |
400,000,000 shares |
Class A Shares |
50,000,000 |
Class C Shares |
50,000,000 |
Class F Shares |
50,000,000 |
Class I Shares |
150,000,000 |
Class R Shares |
50,000,000 |
Class Z Shares |
50,000,000 |
Institutional Realty Shares |
250,000,000 shares |
International Realty Fund |
1,800,000,000 shares |
Class A Shares |
250,000,000 |
Class C Shares |
250,000,000 |
Class F Shares |
250,000,000 |
Class I Shares |
550,000,000 |
Class R Shares |
250,000,000 |
Class Z Shares |
250,000,000 |
Preferred Securities and Income Fund |
2,200,000,000 shares |
Class A Shares |
200,000,000 |
Class C Shares |
200,000,000 |
Fund |
Authorized Shares |
Class F Shares |
200,000,000 |
Class I Shares |
1,200,000,000 |
Class R Shares |
200,000,000 |
Class Z Shares |
200,000,000 |
Real Assets Fund |
1,400,000,000 shares |
Class A Shares |
200,000,000 |
Class C Shares |
200,000,000 |
Class F Shares |
200,000,000 |
Class I Shares |
400,000,000 |
Class R Shares |
200,000,000 |
Class Z Shares |
200,000,000 |
Real Estate Securities Fund |
1,000,000,000 shares |
Class A Shares |
100,000,000 |
Class C Shares |
50,000,000 |
Class F Shares |
100,000,000 |
Class I Shares |
550,000,000 |
Class R Shares |
50,000,000 |
Class Z Shares |
150,000,000 |
Realty Shares |
700,000,000 shares |
Class A Shares |
100,000,000 |
Class C Shares |
50,000,000 |
Class F Shares |
50,000,000 |
Class I Shares |
200,000,000 |
Class L Shares |
200,000,000 |
Class R Shares |
50,000,000 |
Class Z Shares |
50,000,000 |
Investment Amount |
Sales Charge as a % of Offering Price(1) |
Sales Charge as a % of Net Amount Invested |
Regular Dealer Reallowance as a % of Offering Price |
Less than $100,000 |
4.50 % |
4.71 % |
4.00 % |
$100,000 but less than $250,000 |
3.75 % |
3.90 % |
3.25 % |
$250,000 but less than $500,000 |
2.75 % |
2.83 % |
2.25 % |
$500,000 but less than $1 million |
2.00 % |
2.04 % |
1.75 % |
$1 million or more |
None |
None |
1.00 %† |
Investment Amount |
Sales Charge as a % of Offering Price(1) |
Sales Charge as a % of Net Amount Invested |
Regular Dealer Reallowance as a % of Offering Price |
Less than $100,000 |
3.75 % |
3.90 % |
3.25 % |
$100,000 but less than $250,000 |
2.75 % |
2.83 % |
2.25 % |
Investment Amount |
Sales Charge as a % of Offering Price(1) |
Sales Charge as a % of Net Amount Invested |
Regular Dealer Reallowance as a % of Offering Price |
$250,000 but less than $500,000 |
2.00 % |
2.04 % |
1.50 % |
$500,000 but less than $1 million |
1.00 % |
1.01 % |
1.00 % |
$1 million or more |
None |
None |
1.00 %† |
Investment Amount |
Sales Charge as a % of Offering Price(1) |
Sales Charge as a % of Net Amount Invested |
Regular Dealer Reallowance as a % of Offering Price |
Less than $100,000 |
2.00 % |
2.04 % |
1.75 % |
$100,000 but less than $250,000 |
1.75 % |
1.78 % |
1.50 % |
$250,000 but less than $500,000 |
1.25 % |
1.27 % |
1.00 % |
$500,000 or more |
None |
None |
1.00 %† |
|
Class A Shares |
Class C Shares |
Class R Shares |
Low Duration Preferred and Income Fund |
$675,876
|
$655,028
|
$1,467
|
Future of Energy Fund |
$36,730
|
$37,658
|
$1,412
|
Realty Shares |
$225,646
|
$146,147
|
$21,548
|
Real Estate Securities Fund |
$2,005,117
|
$425,545
|
$102,287
|
Global Realty Shares |
$150,357
|
$66,104
|
$5,777
|
International Realty Fund |
$69,209
|
$6,524
|
$214
|
Global Infrastructure Fund |
$149,098
|
$53,314
|
$383
|
Preferred Securities and Income Fund |
$1,997,004
|
$2,204,963
|
$7,130
|
Real Assets Fund |
$38,747
|
$53,276
|
$159
|
|
Class A Shares |
Class C Shares |
Class I Shares |
Low Duration Preferred and Income Fund |
$0
|
$0
|
$1,391,833
|
Future of Energy Fund |
$14,692
|
$12,553
|
$84,528
|
Realty Shares(1) |
$90,258
|
$48,716
|
$1,257,841
|
Real Estate Securities Fund |
$802,047
|
$141,848
|
$3,754,794
|
Global Realty Shares |
$60,143
|
$22,035
|
$1,126,704
|
International Realty Fund |
$27,683
|
$2,175
|
$384,625
|
Global Infrastructure Fund |
$59,639
|
$17,771
|
$612,492
|
Preferred Securities and Income Fund |
$798,801
|
$734,988
|
$3,517,055
|
Real Assets Fund |
$15,499
|
$17,759
|
$623,651
|