Please vote today
We need your input on an important proposal that affects your investment.
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Online www.proxyvotenow.com/jhfunds2025 | |
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Phone 855-995-1705 | |
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Sign and return the enclosed voting card | |
SCHEDULE 14A
(RULE 14a-101)
INFORMATION REQUIRED IN PROXY STATEMENT
SCHEDULE 14A INFORMATION
Proxy Statement Pursuant to Section 14(a) of the Securities
Exchange Act of 1934 (Amendment No. ______)
Filed by the Registrant ☒
Filed by Party other than the Registrant ☐
Check the appropriate box:
☐ Preliminary Proxy Statement
☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))
☒ Definitive Proxy Statement
☐ Definitive Additional Materials
☐ Soliciting Material Pursuant to §240.14a-12
JOHN HANCOCK FUNDS III
(Name of Registrant as Specified in Its Charter)
Payment of Filing Fee (Check the appropriate box):
| ☒ No fee required. |
| ☐ Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11. |
| (1) Title of each class of securities to which transaction applies: |
| (2) Aggregate number of securities to which transaction applies: |
| (3) Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (Set forth the amount on which the filing fee is calculated and state how it was determined): |
| (4) Proposed maximum aggregate value of transaction: |
| (5) Total fee paid: |
| ☐ Fee paid previously with preliminary materials. |
| ☐ Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing. |
| (1) Amount Previously Paid: |
| (2) Form, Schedule or Registration Statement No.: |
| (3) Filing Party: |
| (4) Date Filed: |
Please vote today
We need your input on an important proposal that affects your investment.
|
|
Online www.proxyvotenow.com/jhfunds2025 | |
|
|
Phone 855-995-1705 | |
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Sign and return the enclosed voting card | |
Please vote today
We need your input on an important proposal
that affects your investment.
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Online | |
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Phone | |
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Your action is required
John Hancock Bond Trust
John Hancock California Tax-Free Income Fund
John Hancock Capital Series
John Hancock Collateral Trust
John Hancock Current Interest
John Hancock Funds II
John Hancock Funds III
John Hancock Investment Trust
John Hancock Investment Trust II
John Hancock Municipal Securities Trust
John Hancock Sovereign Bond Fund
John Hancock Strategic Series
(each, a “Trust” and collectively, the “Trusts”)
September 15, 2025
Please vote today
Dear shareholder:
I am writing to ask for your assistance with an important matter involving your investment in one or more of the investment portfolios (the “Funds”) of the Trusts listed above. You are being asked to vote on one proposal affecting the Funds. To consider and vote on this matter, a special joint meeting of shareholders of the Trusts (the “meeting”) will be held on November 12, 2025, at 2:00 P.M., Eastern time, at 200 Berkeley Street, Boston, Massachusetts 02116. We encourage you to read the attached materials in their entirety.
The enclosed proxy statement sets forth one proposal on which you are being asked to vote. The proposal, a routine item, concerns the election of trustees. Routine items make no fundamental or material changes to a fund’s investment objectives, policies, or restrictions, or to the investment management contract. The proposal is summarized below.
The following is an overview of the proposal on which you are being asked to vote. Please note that this proposal is not expected to have any material effect on the manner in which any fund is managed or on its current investment objective, nor is it related to the current state of the financial markets. You will find a detailed explanation of the proposal in the enclosed proxy materials.
You are being asked to approve the following proposal:
| (1) | Election of trustees |
You are being asked to elect five trustees as members of the Board of Trustees of each Trust (the “Board”).
We need your vote of approval
After careful consideration, the Board has unanimously approved the proposal and recommends that shareholders vote FOR its approval, but the final approval requires your vote. I strongly encourage you to read the enclosed proxy statement before voting, as it contains further explanation and important details of the proposal.
How to vote
Please read the enclosed proxy statement and vote your shares as described below. While you may attend the meeting, voting today will save on the potential cost of future mailings required to obtain shareholder votes. You may vote your respective shares by proxy in one of three ways:
Online: www.proxyvotenow.com/jhfunds2025
Phone: 855-995-1705
Mail: by returning the enclosed proxy card(s)
To give voting instructions by touch-tone telephone or using the internet, follow the instructions on the voting instructions form.
I encourage you to read the enclosed proxy statement, and I thank you for acting on this matter today.
Sincerely,
Kristie M. Feinberg
President and CEO
Manulife John Hancock Investments
Head of Retail
Manulife Wealth & Asset Management
John Hancock Investment Management Distributors LLC, 200 Berkeley Street, Boston, Massachusetts 02116, Member FINRA, SIPC • John Hancock Investment Management LLC • John Hancock Signature Services, Inc.
Your action is required
John Hancock Bond Trust
John Hancock California Tax-Free Income Fund
John Hancock Capital Series
John Hancock Collateral Trust
John Hancock Current Interest
John Hancock Funds II
John Hancock Funds III
John Hancock Investment Trust
John Hancock Investment Trust II
John Hancock Municipal Securities Trust
John Hancock Sovereign Bond Fund
John Hancock Strategic Series
(each, a “Trust” and collectively, the “Trusts”)
September 15, 2025
Please vote today
Dear shareholder:
I am writing to ask for your assistance with an important matter involving your investment in one or more of the investment portfolios (the “Funds”) of the Trusts listed above. You are being asked to vote on one proposal affecting the Funds. To consider and vote on this matter, a special joint meeting of shareholders of the Trusts (the “meeting”) will be held on November 12, 2025, at 2:00 P.M., Eastern time, at 200 Berkeley Street, Boston, Massachusetts 02116. We encourage you to read the attached materials in their entirety.
The enclosed proxy statement sets forth one proposal on which you are being asked to vote. The proposal, a routine item, concerns the election of trustees. Routine items make no fundamental or material changes to a fund’s investment objectives, policies, or restrictions, or to the investment management contract. The proposal is summarized below.
The following is an overview of the proposal on which you are being asked to vote. Please note that this proposal is not expected to have any material effect on the manner in which any fund is managed or on its current investment objective, nor is it related to the current state of the financial markets. You will find a detailed explanation of the proposal in the enclosed proxy materials.
You are being asked to approve the following proposal:
(1) Election of trustees
You are being asked to elect five trustees as members of the Board of Trustees of each Trust (the “Board”).
We need your vote of approval
After careful consideration, the Board has unanimously approved the proposal and recommends that shareholders vote FOR its approval, but the final approval requires your vote. I strongly encourage you to read the enclosed proxy statement before voting, as it contains further explanation and important details of the proposal.
How to vote
Please read the enclosed proxy statement and vote your shares as described below. While you may attend the meeting, voting today will save on the potential cost of future mailings required to obtain shareholder votes. You may vote your respective shares by proxy in one of three ways:
Online:
Phone:
Mail:
To give voting instructions by touch-tone telephone or using the internet, follow the instructions on the voting instructions form.
I encourage you to read the enclosed proxy statement, and I thank you for acting on this matter today.
Sincerely,
| /s/ Kristie M. Feinberg |
| Kristie M. Feinberg |
| President and CEO |
| Manulife John Hancock Investments Head of Retail |
| Manulife Wealth & Asset Management |
John Hancock Investment Management Distributors LLC, 200 Berkeley Street, Boston, Massachusetts 02116, Member FINRA, SIPC • John Hancock Investment Management LLC • John Hancock Signature Services, Inc.
JOHN HANCOCK BOND TRUST
JOHN HANCOCK CALIFORNIA TAX-FREE INCOME FUND
JOHN HANCOCK CAPITAL SERIES
JOHN HANCOCK COLLATERAL TRUST
JOHN HANCOCK CURRENT INTEREST
JOHN HANCOCK FUNDS II
JOHN HANCOCK FUNDS III
JOHN HANCOCK INVESTMENT TRUST
JOHN HANCOCK INVESTMENT TRUST II
JOHN HANCOCK MUNICIPAL SECURITIES TRUST
JOHN HANCOCK SOVEREIGN BOND FUND
JOHN HANCOCK STRATEGIC SERIES
(each, a “Trust” and collectively, the “Trusts”)
200 Berkeley Street
Boston, Massachusetts 02116
Notice of special joint meeting of shareholders
To the Shareholders of the Trusts:
Notice is hereby given that a Special Joint Meeting of Shareholders of all of the investment portfolios (the “Funds”) of the Trusts (the “Meeting”) will be held at 200 Berkeley Street, Boston, Massachusetts 02116, on November 12, 2025 at 2:00 PM, Eastern Time. A Proxy Statement, which provides information about the purpose of the Meeting, is included with this Notice. The Funds involved in the Meeting are listed on the front cover of the Proxy Statement. As a registered shareholder, you would be voting on behalf of the Fund shares you own. The Meeting will be held for the following purpose:
Proposal 1: Election of five Trustees as members of the Board of Trustees of each of the Trusts.
All shareholders of each Trust will vote separately on the Proposal.
Any other business that may properly come before the Meeting.
The Board of Trustees of the Trusts recommends that shareholders vote “FOR” the Proposal.
Each shareholder of record at the close of business on August 27, 2025 is entitled to receive notice of, and to vote at, the Meeting, and any adjournment(s) thereof.
Important Notice Regarding the Availability of Proxy Materials for the Shareholder Meeting to be Held on November 12, 2025
The proxy statement is available at https://www.jhinvestments.com/resources/all-resources/fund-documents/proxy-documents/john-hancock-election-of-trustees-proxy-statement
I encourage you to read the enclosed proxy statement, and I thank you for acting on this matter today.
Sincerely,
Christopher Sechler
Secretary
September 15, 2025
Boston, Massachusetts
Your vote is important - Please vote your shares promptly.
Shareholders are invited to attend the Meeting in person. Any shareholder who does not expect to attend the Meeting is urged to vote by:
| (i) | completing the enclosed proxy card(s), dating and signing it, and returning it in the envelope provided, which needs no postage if mailed in the United States; |
| (ii) | following the touch-tone telephone voting instructions found below; or |
| (iii) | following the Internet voting instructions found below. |
In order to avoid unnecessary expense, we ask your cooperation in responding promptly, no matter how large or small your holdings may be.
INSTRUCTIONS FOR EXECUTING PROXY CARD(S)
The following general rules for executing proxy cards may be of assistance to you and help avoid the time and expense involved in validating your vote if you fail to execute your proxy card(s) properly.
Individual Accounts: Your name should be signed exactly as it appears on the proxy card(s).
Joint Accounts: Either party may sign, but the name of the party signing should conform exactly to a name shown on the proxy card(s).
All other accounts should show the capacity of the individual signing. This can be shown either in the form of the account registration itself or by the individual executing the proxy card(s).
INSTRUCTIONS FOR VOTING BY TOUCH-TONE TELEPHONE
Read the enclosed Proxy Statement, and have your proxy card(s) handy.
Call the toll-free number indicated on your proxy card(s).
Enter the control number found on the front of your proxy card(s).
Follow the recorded instructions to cast your vote.
INSTRUCTIONS FOR VOTING BY INTERNET
Read the enclosed Proxy Statement, and have your proxy card(s) handy.
Go to the Web site on the proxy card(s).
Enter the “control number” found on your proxy card(s).
Follow the instructions on the Web site.
JOHN HANCOCK BOND TRUST
JOHN HANCOCK CALIFORNIA TAX-FREE INCOME FUND
JOHN HANCOCK CAPITAL SERIES
JOHN HANCOCK COLLATERAL TRUST
JOHN HANCOCK CURRENT INTEREST
JOHN HANCOCK FUNDS II
JOHN HANCOCK FUNDS III
JOHN HANCOCK INVESTMENT TRUST
JOHN HANCOCK INVESTMENT TRUST II
JOHN HANCOCK MUNICIPAL SECURITIES TRUST
JOHN HANCOCK SOVEREIGN BOND FUND
JOHN HANCOCK STRATEGIC SERIES
(each, a “Trust” and, collectively, the “Trusts”)
PROXY STATEMENT
SPECIAL JOINT MEETING OF SHAREHOLDERS
TO BE HELD NOVEMBER 12, 2025
| JOHN HANCOCK BOND TRUST John Hancock High Yield Fund John Hancock Investment Grade Bond Fund John Hancock Short Duration Bond Fund
JOHN HANCOCK CALIFORNIA TAX-FREE INCOME FUND John Hancock California Municipal Bond Fund
JOHN HANCOCK CAPITAL SERIES John Hancock Classic Value Fund John Hancock U.S. Global Leaders Growth Fund
JOHN HANCOCK COLLATERAL TRUST
JOHN HANCOCK CURRENT INTEREST John Hancock Money Market Fund
JOHN HANCOCK FUNDS II 2010 Lifetime Blend Portfolio 2015 Lifetime Blend Portfolio 2020 Lifetime Blend Portfolio 2025 Lifetime Blend Portfolio 2030 Lifetime Blend Portfolio 2035 Lifetime Blend Portfolio 2040 Lifetime Blend Portfolio 2045 Lifetime Blend Portfolio 2050 Lifetime Blend Portfolio 2055 Lifetime Blend Portfolio 2060 Lifetime Blend Portfolio 2065 Lifetime Blend Portfolio 2070 Lifetime Blend Portfolio Alternative Asset Allocation Fund Blue Chip Growth Fund Capital Appreciation Value Fund Core Bond Fund Disciplined Value Emerging Markets Equity Fund Emerging Markets Debt Fund |
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Equity Income Fund Floating Rate Income Fund Fundamental All Cap Core Fund Global Equity Fund International Strategic Equity Allocation Fund Lifestyle Blend Aggressive Portfolio Lifestyle Blend Balanced Portfolio Lifestyle Blend Conservative Portfolio Lifestyle Blend Growth Portfolio Lifestyle Blend Moderate Portfolio Mid Value Fund Multi-Asset Absolute Return Fund Multi-Asset High Income Fund Multimanager 2010 Lifetime Portfolio Multimanager 2015 Lifetime Portfolio Multimanager 2020 Lifetime Portfolio Multimanager 2025 Lifetime Portfolio Multimanager 2030 Lifetime Portfolio Multimanager 2035 Lifetime Portfolio Multimanager 2040 Lifetime Portfolio Multimanager 2045 Lifetime Portfolio Multimanager 2050 Lifetime Portfolio Multimanager 2055 Lifetime Portfolio Multimanager 2060 Lifetime Portfolio Multimanager 2065 Lifetime Portfolio Multimanager 2070 Lifetime Portfolio Multimanager Lifestyle Aggressive Portfolio Multimanager Lifestyle Balanced Portfolio Multimanager Lifestyle Conservative Portfolio Multimanager Lifestyle Growth Portfolio Multimanager Lifestyle Moderate Portfolio Opportunistic Fixed Income Fund Real Estate Securities Fund Small Cap Dynamic Growth Fund Strategic Income Opportunities Fund U.S. Sector Rotation Fund |
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JOHN HANCOCK FUNDS III John Hancock Disciplined Value Fund John Hancock Disciplined Value Mid Cap Fund John Hancock Global Shareholder Yield Fund John Hancock International Growth Fund John Hancock U.S. Growth Fund
JOHN HANCOCK INVESTMENT TRUST John Hancock Balanced Fund John Hancock Disciplined Value Global Long/Short Fund John Hancock Disciplined Value International Fund John Hancock Diversified Macro Fund John Hancock Diversified Real Assets Fund John Hancock Emerging Markets Equity Fund John Hancock ESG Large Cap Core Fund John Hancock Fundamental Equity Income Fund John Hancock Fundamental Large Cap Core Fund John Hancock Global Climate Action Fund John Hancock Global Environmental Opportunities Fund John Hancock Infrastructure Fund John Hancock International Dynamic Growth Fund John Hancock Mid Cap Growth Fund John Hancock Small Cap Core Fund
JOHN HANCOCK INVESTMENT TRUST II John Hancock Financial Industries Fund John Hancock Regional Bank Fund
JOHN HANCOCK MUNICIPAL SECURITIES TRUST John Hancock High Yield Municipal Bond Fund John Hancock Municipal Opportunities Fund John Hancock Short Duration Municipal Opportunities Fund |
JOHN HANCOCK SOVEREIGN BOND FUND John Hancock Bond Fund
JOHN HANCOCK STRATEGIC SERIES John Hancock Income Fund John Hancock Managed Account Shares Bond Completion Portfolio John Hancock Managed Account Shares Investment-Grade Corporate Bond Portfolio John Hancock Managed Account Shares Non-Investment-Grade Corporate Bond Portfolio John Hancock Managed Account Shares Non-Investment-Grade Municipal Bond Portfolio John Hancock Managed Account Shares Securitized Debt Portfolio |
All Funds of the Trusts are being asked to vote on the Proposal.
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JOHN HANCOCK BOND TRUST
JOHN HANCOCK CALIFORNIA TAX-FREE INCOME FUND
JOHN HANCOCK CAPITAL SERIES
JOHN HANCOCK COLLATERAL TRUST
JOHN HANCOCK CURRENT INTEREST
JOHN HANCOCK FUNDS II
JOHN HANCOCK FUNDS III
JOHN HANCOCK INVESTMENT TRUST
JOHN HANCOCK INVESTMENT TRUST II
JOHN HANCOCK MUNICIPAL SECURITIES TRUST
JOHN HANCOCK SOVEREIGN BOND FUND
JOHN HANCOCK STRATEGIC SERIES
(each, a “Trust” and collectively, the “Trusts”)
200 Berkeley Street
Boston, Massachusetts 02116
PROXY STATEMENT
SPECIAL JOINT MEETING OF SHAREHOLDERS
TO BE HELD NOVEMBER 12, 2025
This Proxy Statement is furnished in connection with the solicitation by the Board of Trustees (the “Board” or “Trustees”) of each Trust of proxies to be used at a Special Joint Meeting of shareholders of the Trusts (the “Meeting”) to be held on November 12, 2025 at 2:00 PM Eastern Time, at 200 Berkeley Street, Boston, Massachusetts 02116. Pursuant to the Agreement and Declaration of Trust of each Trust (the “Declaration of Trust”), the Board has designated August 27, 2025 as the record date for determining shareholders eligible to vote at the Meeting (the “Record Date”). All shareholders of record at the close of business on the Record Date are entitled to one vote for each share of beneficial interest of Funds held. This Proxy Statement is first being sent to shareholders on or about September 22, 2025.
Each Trust is an open-end management investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”). The shares of each of the 12 Trusts offered as of the Record Date were divided into series corresponding to a combined total of 95 portfolios (each, a “Fund”). The respective Funds are named on the cover of this Proxy Statement.
Investment Advisor and Administrator. John Hancock Investment Management LLC (“JHIM” or the “Advisor”) serves as investment advisor and administrator for each Trust and each Fund. Pursuant to an investment advisory agreement with each Trust, the Advisor is responsible for, among other things, administering the business and affairs of the Funds and selecting, contracting with, compensating and monitoring the performance of the investment subadvisors that manage the investment and reinvestment of the assets of the Funds pursuant to subadvisory agreements with the Advisor. JHIM is registered as an investment advisor under the Investment Advisers Act of 1940, as amended (the “Advisers Act”). Each of the subadvisors to the Funds is also registered as an investment advisor under the Advisers Act.
The Distributor. John Hancock Investment Management Distributors LLC (the “Distributor”) serves as each Fund’s distributor.
The offices of JHIM and the Distributor are located at 200 Berkeley Street, Boston, Massachusetts 02116, and their ultimate parent entity is Manulife Financial Corporation (“MFC”), a publicly traded company based in Toronto, Canada. MFC and its subsidiaries operate as “Manulife Financial” in Canada and Asia and primarily as “John Hancock” in the United States.
Each Fund will furnish, without charge, a copy of its most recent annual report and semi-annual report to any shareholder upon request. To obtain a report, please contact the relevant Fund by calling 800-225-5291. Copies of these reports are also available on the Internet at www.jhinvestments.com.
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Proposal 1 — Election of Five Trustees as Members of the Board of Trustees of Each Trust
(All Funds)
The Board of Trustees of the Trusts (the “Board” and, each member thereof, a “Trustee”) currently includes twelve (12) Trustees, including ten (10) independent Trustees (“Independent Trustees”) and two (2) non-independent Trustees (“Non-Independent Trustees”). Four (4) of the Trustees (William H. Cunningham, Grace K. Fey, Deborah C. Jackson, and Hassell H. McClellan) were elected to serve on the Board at a shareholder meeting held on November 15, 2012, each as an Independent Trustee. Five (5) Trustees (Andrew G. Arnott, James R. Boyle, Noni L. Ellison, Dean C. Garfield, and Frances G. Rathke) were elected to serve on the Board at a shareholder meeting held on September 9, 2022. The Board appointed Kristie M. Feinberg to serve as a Non-Independent Trustee effective June 30, 2025. William K. Bacic and Thomas R. Wright were appointed to serve as Independent Trustees effective August 1, 2024.
Two new Trustees are being presented for election at the Meeting: Christine L. Hurtsellers and Kenneth J. Phelan. If elected by the shareholders at the Meeting, Ms. Hurtsellers and Mr. Phelan will join the Board as Independent Trustees. In addition, three current Trustees who were previously appointed to the Board are being presented for election at the Meeting: Ms. Feinberg and Messrs. Bacic and Wright. Following the shareholder election, fourteen Trustees would comprise the Board (two Non-Independent Trustees and twelve Independent Trustees), each of whom would have been elected by shareholders.
At the Meeting, only current Trustees that have not been elected by shareholders (Ms. Feinberg and Messrs. Bacic and Wright) and nominated Trustees (Ms. Hurtsellers and Mr. Phelan) will be presented for election. If approved by shareholders, this would result in all of the Trustees being elected by shareholders and would allow the Board to appoint additional trustees to fill future vacancies without requiring a shareholder vote until the number of elected Trustees drops below two-thirds of all Trustees. At that time, the Board would be required to seek shareholder approval to add an additional Trustee.
Current Trustees that are not nominated for election will continue to serve as members of the Board. No current Trustees are proposed to be replaced.
Shareholders are being asked to elect each of the individuals nominated by the Board listed below (each, a “Nominee” and collectively, the “Nominees”) as a member of the Board of Trustees of the Trusts. Three of the Nominees currently are Trustees and have served in that capacity continuously since originally appointed. Two of the Nominees, Ms. Hurtsellers and Mr. Phelan, have not served as Trustees of any Trust. Because each Trust is not required to, and does not, hold regular annual shareholder meetings, each Nominee, if elected, will hold office until his or her successor is elected and qualified or until he or she dies, retires, resigns, is removed or becomes disqualified. Trustees may be removed from a Trust (provided the aggregate number of Trustees after such removal shall not be less than one) with cause or without cause, by the action of two-thirds of the remaining Trustees or by action of two-thirds of the outstanding shares of a Trust.
On August 22, 2025, the Nominating and Governance Committee of the Board considered the proposed Trustee candidates and determined to recommend the election of the Nominees to the full Board of the Trusts. Acting on that recommendation, on August 22, 2025, the Board approved those nominations and called a meeting of shareholders to allow shareholders of the Trusts to vote on the election of the Nominees to the Board.
The persons named as proxies intend, in the absence of contrary instructions, to vote all proxies for the election of the Nominees. If, prior to the Meeting, any Nominee becomes unable to serve for any reason or for good cause will not serve, the persons named as proxies reserve the right to substitute another person or persons of their choice as nominee or nominees. All of the Nominees have consented to being named in this Proxy Statement and to serve if elected. The Trusts know of no reason why any Nominee would be unable or unwilling to serve if elected.
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The business and affairs of the Trusts, including those of the Funds, are managed under the direction of the Board. As stated above, the 12 Trusts have a combined total of 95 separate Funds, and each Trustee oversees all Funds. In addition to the Funds, some Trustees also oversee other funds advised by JHIM or JHIM’s affiliates (collectively with the Funds, the “John Hancock Fund Complex”).
Information Concerning Nominees
The following tables set forth certain information regarding the Nominees: Kristie M. Feinberg, William K. Bacic, Thomas R. Wright, Christine L. Hurtsellers, and Kenneth J. Phelan. The tables present information regarding the Nominees’ principal occupations which, unless specific dates are shown, are of at least five years’ duration. In addition, the tables include information concerning other directorships held by each Nominee in other registered investment companies or publicly traded companies. Information is listed separately for each Nominee who is a Non-Independent Trustee and the Independent Trustees. As of April 30, 2025, the “John Hancock Fund Complex” consisted of 181 funds (including separate series of series mutual funds). The address of each Nominee is 200 Berkeley Street, Boston, Massachusetts 02116.
Five Nominees Standing For Election
| Non-Independent Trustees Who Are Nominees | ||||||
| Name (Birth Year) |
Current Position(s) with the Trusts1 |
Principal Occupation(s) and Other Directorships During the Past 5 Years |
Number of Funds in John Hancock Fund Complex Overseen by Trustee/Nominee | |||
| Kristie M. (1975) |
President (Chief Executive Officer and Principal Executive Officer) (since 2023)
Trustee (since 2025) |
Head of Retail, Manulife Investment Management (since 2025); Head of Wealth & Asset Management, U.S. and Europe, for John Hancock and Manulife (2023–2025); Director and Chairman, John Hancock Investment Management LLC (since 2023); Director and Chairman, John Hancock Variable Trust Advisers LLC (since 2023); Director and Chairman, John Hancock Investment Management Distributors LLC (since 2023); CFO and Global Head of Strategy, Manulife Investment Management (2021–2023, including prior positions); CFO Americas & Global Head of Treasury, Invesco, Ltd., Invesco US (2019–2020, including prior positions); Senior Vice President, Corporate Treasurer and Business Controller, Oppenheimer Funds (2001–2019, including prior positions); President (Chief Executive Officer and Principal Executive Officer) of various trusts within the John Hancock Fund Complex (since 2023, including prior positions).
Trustee of various trusts within the John Hancock Fund Complex (since 2025). |
174 | |||
| (1) | Because each Trust is not required to and does not hold regular annual shareholder meetings, each Trustee holds office for an indefinite term until his or her successor is duly elected and qualified or until he or she dies, retires, resigns, is removed or becomes disqualified. Trustees may be removed from the Trust (provided the aggregate number of Trustees after such removal shall not be less than one) with cause or without cause, by the action of two-thirds of the remaining Trustees or by action of two-thirds of the outstanding shares of the Trust. |
| (2) | The Trustee is a Non-Independent Trustee due to current or former positions with the Advisor and certain of its affiliates. |
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| Independent Trustees Who Are Nominees
| ||||||
| Name (Birth Year) |
Current Position(s) with the Trusts1 |
Principal Occupation(s) and Other Directorships During the Past 5 Years |
Number of Funds in John Hancock Fund Complex Overseen by Trustee/Nominee | |||
| William K. Bacic (1956) |
Trustee (since 2024) |
Director, Audit Committee Chairman, and Risk Committee Member, DWS USA Corp. (formerly, Deutsche Asset Management) (2018-2024); Senior Partner, Deloitte & Touche LLP (1978- retired 2017, including prior positions), specializing in the investment management industry.
Trustee of various trusts within the John Hancock Fund Complex (since 2024). |
174 | |||
| Thomas R. Wright (1961) |
Trustee (since 2024) |
Chief Operating Officer, JMP Securities (2020-2023); Director of Equities, JMP Securities (2013-2023); Executive Committee Member, JMP Group (2013-2023); Global Head of Trading, Sanford C. Bernstein & Co. (2004-2012); and Head of European Equity Trading and Salestrading, Merrill, Lynch & Co. (1998-2004, including prior positions).
Trustee of various trusts within the John Hancock Fund Complex (since 2024). |
174 | |||
| Christine L. Hurtsellers (1963) |
Nominee for Trustee | Director, Investment Committee Chair, Chariot Re (since 2025); Board Counselor, UNICEF USA (since 2018); Board Counselor, The Carter Center (since 2010); Voya Financial, Inc., Chief Executive Officer, Voya Investment Management (2016-2024), Chief Investment Officer, Fixed Income (2009-2016); Board Governor, Investment Company Institute (2019-2024); Director, Pomona Capital, (2018-2024); Former Member, US Treasury Borrowing Advisory Committee, (2014-2022). | 174 | |||
| Kenneth J. Phelan (1959) |
Nominee for Trustee | Director, Audit, Finance & Social Responsibility Committees member, Adtalem Global Education Inc. (since 2020); Director, Risk Oversight Chair, Executive, Human Resources & Compensation Committees member, Huntington Bancshares Incorporated (since 2019); Senior Advisor, Oliver Wyman, Inc. (since 2019); Chief Risk Officer, U.S. Department of the Treasury (2014-2019). | 174 | |||
| (1) | Because each Trust is not required to and does not hold regular annual shareholder meetings, each Trustee holds office for an indefinite term until his or her successor is duly elected and qualified or until he or she dies, retires, resigns, is removed or becomes disqualified. Trustees may be removed from the Trust |
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| (provided the aggregate number of Trustees after such removal shall not be less than one) with cause or without cause, by the action of two-thirds of the remaining Trustees or by action of two-thirds of the outstanding shares of the Trust. |
Correspondence intended for any of the Nominees may be sent to the attention of the individual Nominee or to the Board at 200 Berkeley Street, Boston, Massachusetts 02116. All communications addressed to the Board or individual Nominee will be logged and sent to the Board or individual Nominee.
Information Concerning Other Trustees
The following table sets forth information concerning the Trustees of the Trusts who are not standing for election at the Meeting. The address of each Trustee who is not a Nominee is 200 Berkeley Street, Boston, Massachusetts 02116.
Trustees Not Standing For Election
| Non-Independent Trustees Who Are Not Nominees | ||||||
| Name (Birth Year) |
Current Position(s) with the Trusts1 |
Principal Occupation(s) and Other Directorships During the Past 5 Years |
Number of Funds in Trustee | |||
| Andrew G. Arnott2 (1971) |
Trustee (since 2017) |
Global Head of Institutional for Manulife (since 2025); Global Head of Retail for Manulife (2022-2025); Head of Wealth and Asset Management, United States and Europe, for John Hancock and Manulife (2018-2022); Director and Chairman, John Hancock Investment Management LLC (2005-2023, including prior positions); Director and Chairman, John Hancock Variable Trust Advisers LLC (2006-2023, including prior positions); Director and Chairman, John Hancock Investment Management Distributors LLC (2004-2023, including prior positions); President of various trusts within the John Hancock Fund Complex (since 2007, including prior positions).
Trustee of various trusts within the John Hancock Fund Complex (since 2017). |
178 | |||
| (1) | Because the Trust is not required to and does not hold regular annual shareholder meetings, each Trustee holds office for an indefinite term until his or her successor is duly elected and qualified or until he or she dies, retires, resigns, is removed or becomes disqualified. Trustees may be removed from the Trust (provided the aggregate number of Trustees after such removal shall not be less than one) with cause or without cause, by the action of two-thirds of the remaining Trustees or by action of two-thirds of the outstanding shares of the Trust. |
| (2) | The Trustee is a Non-Independent Trustee due to current or former positions with the Advisor and certain of its affiliates. |
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| Independent Trustees Who Are Not Nominees | ||||||
| Name (Birth Year) |
Current Position(s) with the Trusts1 |
Principal Occupation(s) and Other Directorships During the Past 5 Years |
Number of Funds in John Hancock Fund Complex Overseen by Trustee | |||
| James R. Boyle (1959) |
Trustee,each Trust (2005–2010, 2012–2014,and since 2015) |
Board Member, United of Omaha Life Insurance Company (since 2022); Board Member, Mutual of Omaha Investor Services, Inc. (since 2022); Foresters Financial, Chief Executive Officer (2018–2022) and board member (2017–2022); Manulife Financial and John Hancock, more than 20 years, retiring in 2012 as Chief Executive Officer, John Hancock and Senior Executive Vice President, Manulife Financial.
Trustee of various trusts within the John Hancock Fund Complex (2005–2014 and since 2015). |
174 | |||
| William H. Cunningham (1944) |
Trustee, Current Interest and Investment Trust (since 1986); Trustee, John Hancock Funds III (since 2006). | Professor, University of Texas, Austin, Texas (since 1971); former Chancellor, University of Texas System and former President of the University of Texas, Austin, Texas; Director (since 2006), Lincoln National Corporation (insurance); Chairman of the Board, Nuclein (since 2020); Director, Southwest Airlines (2000 - 2024).
Trustee of various trusts within the John Hancock Fund Complex (since 1986). |
178 | |||
| Noni L. Ellison (1971) |
Trustee, each Trust (since 2022) | Senior Vice President, General Counsel & Corporate Secretary, Tractor Supply Company (rural lifestyle retailer) (since 2021); General Counsel, Chief Compliance Officer & Corporate Secretary, Carestream Dental, L.L.C. (2017–2021); Associate General Counsel & Assistant Corporate Secretary, W.W. Grainger, Inc. (global industrial supplier) (2015–2017); Board Member, Goodwill of North Georgia, 2018 (FY2019)–2020 (FY2021); Board Member, Howard University School of Law Board of Visitors (since 2021); Board Member, University of Chicago Law School Board of Visitors (since 2016); Board member, Children’s Healthcare of Atlanta Foundation Board (2021–2023); Board Member, Congressional Black Caucus Foundation (since 2024).
Trustee of various trusts within the John Hancock Fund Complex (since 2022). |
174 | |||
| Grace K. Fey (1946) |
Trustee, each Trust (since 2012) | Chief Executive Officer, Grace Fey Advisors (since 2007); Director and Executive Vice President, Frontier Capital Management Company (1988–2007); Director, Fiduciary Trust (since 2009). | 181 | |||
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| Independent Trustees Who Are Not Nominees | ||||||
| Name (Birth Year) |
Current Position(s) with the Trusts1 |
Principal Occupation(s) and Other Directorships During the Past 5 Years |
Number of Funds in John Hancock Fund Complex Overseen by Trustee | |||
|
Trustee of various trusts within the John Hancock Fund Complex (since 2008). |
||||||
| Dean C. Garfield (1968) |
Trustee, each Trust (since 2022) | Senior Vice-President, TKO Group (a premier sports and live entertainment company) (since 2025); Vice President, Netflix, Inc. (2019–2024); President & Chief Executive Officer, Information Technology Industry Council (2009–2019); NYU School of Law Board of Trustees (since 2021); Member, U.S. Department of Transportation, Advisory Committee on Automation (since 2021); President of the United States Trade Advisory Council (2010–2018); Board Member, College for Every Student (2017–2021); Board Member, The Seed School of Washington, D.C. (2012–2017); Advisory Board Member of the Block Center for Technology and Society (since 2019).
Trustee of various trusts within the John Hancock Fund Complex (since 2022). |
174 | |||
| Deborah C. Jackson (1952) |
Trustee, each Trust (since 2008) and Vice Chairperson of the Board, each Trust (since 2025) | President, Cambridge College, Cambridge, Massachusetts (2011–2023); Board of Directors, Amwell Corporation (since 2020); Board of Directors, Massachusetts Women’s Forum (2018–2020); Board of Directors, National Association of Corporate Directors/New England (2015–2020); Chief Executive Officer, American Red Cross of Massachusetts Bay (2002–2011); Board of Directors of Eastern Bank Corporation (since 2001); Board of Directors of Eastern Bank Charitable Foundation (since 2001); Board of Directors of Boston Stock Exchange (2002–2008); Board of Directors of Harvard Pilgrim Healthcare (health benefits company) (2007–2011).
Trustee (since 2008) and Vice Chairperson of the Board (since 2025) of various trusts within the John Hancock Fund Complex. |
177 | |||
| Hassell H. McClellan (1945) |
Trustee, Current Interest and Investment Trust (since 2012), Trustee, John Hancock Funds III (2005–2006 and since 2012); Chairperson of the Board, each Trust (since 2017) | Trustee of Berklee College of Music (since 2022); Director/Trustee, Virtus Funds (2008–2020); Director, The Barnes Group (2010–2021); Associate Professor, The Wallace E. Carroll School of Management, Boston College (retired 2013).
Trustee (since 2005) and Chairperson of the Board (since 2017) of various trusts within the John Hancock Fund Complex. |
181 | |||
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| Independent Trustees Who Are Not Nominees | ||||||
| Name (Birth Year) |
Current Position(s) with the Trusts1 |
Principal Occupation(s) and Other Directorships During the Past 5 Years |
Number of Funds in John Hancock Fund Complex Overseen by Trustee | |||
| Frances G. Rathke (1960) |
Trustee, each Trust (since 2020) | Director, Audit Committee Chair, Oatly Group AB (plant-based drink company) (since 2021); Director, Audit Committee Chair and Compensation Committee Member, Green Mountain Power Corporation (since 2016); Director, Treasurer and Finance & Audit Committee Chair, Flynn Center for Performing Arts (since 2016); Director and Audit Committee Chair, Planet Fitness (since 2016); Chief Financial Officer and Treasurer, Keurig Green Mountain, Inc. (2003–retired 2015).
Trustee of various trusts within the John Hancock Fund Complex (since 2020). |
174 | |||
| (1) | Because each Trust is not required to and does not hold regular annual shareholder meetings, each Trustee holds office for an indefinite term until his or her successor is duly elected and qualified or until he or she dies, retires, resigns, is removed or becomes disqualified. Trustees may be removed from the Trust (provided the aggregate number of Trustees after such removal shall not be less than one) with cause or without cause, by the action of two-thirds of the remaining Trustees or by action of two-thirds of the outstanding shares of the Trust. |
Principal Officers Who Are Not Trustees or Nominees
The following table presents information regarding the current principal officers of the Trusts who are neither current Trustees nor Nominees, including their principal occupations which, unless specific dates are shown, are of at least five years’ duration. Each of the officers is an affiliated person of the Advisor. Each such officer’s business address is 200 Berkeley Street, Boston, Massachusetts 02116.
| Name (Birth Year) |
Current Position(s) with the Trusts1 |
Principal Occupation(s) During the Past 5 Years | ||
| Fernando A. Silva (1977) |
Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer) (since 2024) |
Director, Fund Administration and Assistant Treasurer, John Hancock Funds (2016-2020); Assistant Treasurer, John Hancock Investment Management LLC and John Hancock Variable Trust Advisers LLC (since 2020); Assistant Vice President, John Hancock Life & Health Insurance Company, John Hancock Life Insurance Company (U.S.A.) and John Hancock Life Insurance Company of New York (since 2021); Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer) of various trusts within the John Hancock Fund Complex (since 2024). | ||
| Salvatore Schiavone (1965) | Treasurer (since 2015) |
Assistant Vice President, John Hancock Financial Services (since 2007); Vice President, John Hancock Investment Management LLC and John Hancock Variable Trust Advisers LLC (since 2007); Treasurer of various trusts within the John Hancock Fund Complex (since 2007, including prior positions). | ||
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| Name (Birth Year) |
Current Position(s) with the Trusts1 |
Principal Occupation(s) During the Past 5 Years | ||
| Christopher (Kit) Sechler (1973) |
Secretary and Chief Legal Officer (since 2018) |
Vice President and Deputy Chief Counsel, John Hancock Investment Management (since 2015); Assistant Vice President and Senior Counsel (2009–2015), John Hancock Investment Management; Assistant Secretary of John Hancock Investment Management LLC and John Hancock Variable Trust Advisers LLC (since 2009); Chief Legal Officer and Secretary of various trusts within the John Hancock Fund Complex (since 2009, including prior positions). | ||
| Trevor Swanberg (1979) |
Chief Compliance Officer (since 2020) |
Chief Compliance Officer, John Hancock Investment Management LLC and John Hancock Variable Trust Advisers LLC (since 2020); Deputy Chief Compliance Officer, John Hancock Investment Management LLC and John Hancock Variable Trust Advisers LLC (2019–2020); Assistant Chief Compliance Officer, John Hancock Investment Management LLC and John Hancock Variable Trust Advisers LLC (2016–2019); Vice President, State Street Global Advisors (2015–2016); Chief Compliance Officer of various trusts within the John Hancock Fund Complex (since 2016, including prior positions). | ||
| (1) | Each officer holds office for an indefinite term until his or her successor is duly elected and qualified or until he or she dies, retires, resigns, is removed or becomes disqualified. |
Additional Information about the Trustees and Nominees
In addition to the description of each Trustee’s or Nominee’s Principal Occupation(s) and Other Directorships set forth above, the following provides further information about each Trustee’s or Nominee’s specific experience, qualifications, attributes or skills with respect to each Trust. The information in this section should not be understood to mean that any of the Trustees or Nominees is an “expert” within the meaning of the federal securities laws.
The Board believes that the different perspectives, viewpoints, professional experience, education, and individual qualities of each Trustee or Nominee represent a diversity of experiences and a variety of complementary skills and expertise. Each Trustee and Nominee has experience as a board member. Ms. Feinberg and Messrs. Bacic and Wright have experience as Trustees of John Hancock funds. Ms. Hurtsellers and Mr. Phelan each have experience serving on the boards of companies in the financial services industry. It is the Trustees’ belief that these experiences will allow the Board, as a whole, to oversee the business of the Funds and the other funds in the John Hancock Fund Complex in a manner consistent with the best interests of the Funds’ shareholders. When considering potential nominees to fill vacancies on the Board, and as part of its annual self-evaluation, the Board reviews the mix of skills and other relevant experiences of the Trustees.
Independent Trustees Standing for Election and Nominees
William K. Bacic – As a retired Certified Public Accountant, Mr. Bacic served as New England Managing Partner of a major independent registered public accounting firm, as well as a member of its U.S. Executive Committee, and has deep financial and accounting expertise. He served as the lead partner on the firm’s largest financial services companies, primarily focused on the investment management industry and mutual funds. He also has expertise in corporate governance and regulatory matters as well as prior experience serving as a board member and audit committee chair of a large global asset management company.
Thomas R. Wright – As a retired Chief Operating Officer of a significant capital markets firm and a former Director of Equities and Executive Committee Member, Mr. Wright has deep executive, investment banking, portfolio management, securities brokerage, and equity research expertise. Mr. Wright has also served as the Global Head of Trading and Head of European Equity Trading and Salestrading at an investment bank and asset manager and has substantial securities industry and international trading and markets expertise.
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Christine L. Hurtsellers – As the former Chief Executive Officer and Chief Investment Officer, Fixed Income, of Voya Investment Management and a former member of the Board of Governors of the Investment Company Institute Ms. Hurtsellers brings deep leadership, risk management, corporate strategy, operations, and regulatory expertise in the investment management, financial services, and capital markets industries. She also brings strong board leadership experience in her roles as a director of a life and annuity reinsurance business and a number of large non-profits.
Kenneth J. Phelan – Through his role as a director of a bank holding company and a public company and through his former roles as chief risk officer of the U.S. Department of the Treasury and various financial institutions, Mr. Phelan brings a strong background in risk management and oversight, legal and regulatory compliance, and corporate strategy, as well as leadership and operational experience in investment management, banking and capital markets. He also brings strong board leadership experience, including through challenging market environments.
Independent Trustees Not Standing for Election
James R. Boyle – Mr. Boyle has high-level executive, financial, operational, governance, regulatory and leadership experience in the financial services industry, including in the development and management of registered investment companies, variable annuities, retirement and insurance products. Mr. Boyle is the former President and CEO of a large international fraternal life insurance company and is the former President and CEO of multi-line life insurance and financial services companies. Mr. Boyle began his career as a Certified Public Accountant with Coopers & Lybrand.
William H. Cunningham – Mr. Cunningham has management and operational oversight experience as a former Chancellor and President of a major university. Mr. Cunningham regularly teaches a graduate course in corporate governance at the law school and at the Red McCombs School of Business at The University of Texas at Austin. He also has oversight and corporate governance experience as a current and former director of a number of operating companies, including an insurance company.
Noni L. Ellison – As a senior vice president, general counsel, and corporate secretary with over 25 years of executive leadership experience, Ms. Ellison has extensive management and business expertise in legal, regulatory, compliance, operational, quality assurance, international, finance and governance matters
Grace K. Fey – Ms. Fey has significant governance, financial services, and asset management industry expertise based on her extensive non-profit board experience, as well as her experience as a consultant to non-profit and corporate boards, and as a former director and executive of an investment management firm.
Dean C. Garfield – As a former president and chief executive officer of a leading industry organization and current Senior Vice-President of a leading international sports and live entertainment company, Mr. Garfield has significant and diverse global executive operational, governance, regulatory, and leadership experience. He also has experience as a leader overseeing and implementing global public policy matters including strategic initiatives.
Deborah C. Jackson – Ms. Jackson has leadership, governance, management, and operational oversight experience as the lead director of a large bank, former president of a college, and as the former chief executive officer of a major charitable organization. She also has expertise in financial services matters and oversight and corporate governance experience as a current and former director of various other corporate organizations, including an insurance company, a regional stock exchange, a telemedicine company, and non-profit entities.
Hassell H. McClellan – As a former professor of finance and policy in the graduate management department of a major university, a director of a public company, and as a former director of several privately held companies, Dr. McClellan has experience in corporate and financial matters. He also has experience as a director of other investment companies not affiliated with the Trusts.
Frances G. Rathke – Through her former positions in senior financial roles, as a former Certified Public Accountant, and as a consultant on strategic and financial matters, Ms. Rathke has experience as a leader overseeing, conceiving, implementing, and analyzing strategic and financial growth plans, and financial
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statements. Ms. Rathke also has experience in the auditing of financial statements and related materials. In addition, she has experience as a director of various organizations, including a publicly traded company and a non-profit entity.
Non-Independent Trustee Standing for Election
Kristie M. Feinberg – As President and CEO of John Hancock Investment Management and of various trusts within the John Hancock Fund Complex, and through prior leadership roles at Manulife Investment Management including Head of Wealth & Asset Management, U.S. and Europe and CFO and Global Head of Strategy, Ms. Feinberg brings deep expertise in financial services. Her strong background in finance, strategy, and leadership, along with a proven track record of expanding product offerings and distribution, enables her to provide strategic insight and management input to the Board.
Non-Independent Trustee Not Standing for Election
Andrew G. Arnott – As current and former President of various trusts within the John Hancock Fund Complex, and through prior leadership roles including Global Head of Retail for Manulife, and as Trustee of the John Hancock Fund Complex, Mr. Arnott has experience in the management of investments, registered investment companies, variable annuities and retirement products, enabling him to provide management input to the Board.
Duties of Trustees; Committee Structure
Each Trust is organized as a Massachusetts business trust. Under each Trust’s Declaration of Trust, the Trustees are responsible for managing the affairs of the Trust, including the appointment of advisors and subadvisors. Each Trustee and Nominee has the experience, skills, attributes or qualifications described above (see “Principal Occupation(s) and Other Directorships” and “Additional Information about the Trustees and Nominees” above). The Board appoints officers who assist in managing the day-to-day affairs of the Trust. The Board met five times during the fiscal years ended May 31, 2025 and March 31, 2025, December 31, 2024, October 31, 2024, August 31, 2024, and July 31, 2024.
The Board has appointed an Independent Trustee as Chairperson. The Chairperson presides at meetings of the Trustees and may call meetings of the Board and any Board committee whenever he deems it necessary. The Chairperson participates in the preparation of the agenda for meetings of the Board and the identification of information to be presented to the Board with respect to matters to be acted upon by the Board. The Chairperson also acts as a liaison with the Funds’ management, officers, attorneys, and other Trustees generally between meetings. The Chairperson may perform such other functions as may be requested by the Board from time to time. The Board also has designated a Vice Chairperson to serve in the absence of the Chairperson. Except for any duties specified in each Trust’s Statement of Additional Information or pursuant to each Trust’s Declaration of Trust or By-laws, or as assigned by the Board, the designation of a Trustee as Chairperson or Vice Chairperson does not impose on that Trustee any duties, obligations or liability that are greater than the duties, obligations or liability imposed on any other Trustee, generally. The Board has designated a number of standing committees as further described below, each of which has a Chairperson. The Board also may designate working groups or ad hoc committees as it deems appropriate.
The Board believes that this leadership structure is appropriate because it allows the Board to exercise informed and independent judgment over matters under its purview, and it allocates areas of responsibility among committees or working groups of Trustees and the full Board in a manner that enhances effective oversight. The Board considers leadership by an Independent Trustee as Chairperson to be integral to promoting effective independent oversight of the Funds’ operations and meaningful representation of the shareholders’ interests, given the specific characteristics and circumstances of the Funds. The Board also believes that having a super-majority of Independent Trustees is appropriate and in the best interest of the Funds’ shareholders. Nevertheless, the Board also believes that having interested persons serve on the Board brings corporate and financial viewpoints that are, in the Board’s view, helpful elements in its decision-making process. In addition, the Board believes that Ms. Feinberg and Messrs. Arnott and Boyle, as current or former senior executives of the Advisor and the Distributor (or of their parent company, MFC), and of other affiliates of the Advisor and the Distributor, provide the Board with the perspective of the Advisor and the Distributor in managing and sponsoring all of the Trust’s series. The leadership structure of the Board may be changed, at any time and in the discretion of the Board, including in response to changes in circumstances or the characteristics of each Trust.
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Board Committees
The Board has established an Audit Committee; Compliance Committee; Contracts, Legal & Risk Committee; Investment Committee; and Nominating and Governance Committee. The current membership of each committee is set forth below.
Audit Committee. The Board has a standing Audit Committee composed solely of Independent Trustees (Messrs. Bacic and Cunningham and Ms. Rathke). Ms. Rathke serves as Chairperson of this Committee. This Committee reviews the internal and external accounting and auditing procedures of the Trusts and, among other things, considers the selection of an independent registered public accounting firm for the Trusts, approves all significant services proposed to be performed by their independent registered public accounting firm(s) and considers the possible effect of such services on their independence. Ms. Rathke and Mr. Bacic have each been designated by the Board as an “audit committee financial expert,” as defined in the SEC Rules. This Committee met four times during the fiscal years ended July 31, 2024, August 31, 2024, October 31, 2024, December 31, 2024, March 31, 2025, and May 31, 2025, respectively.
Compliance Committee. The Board also has a standing Compliance Committee (Ms. Fey, Mr. Garfield and Ms. Jackson). Ms. Fey serves as Chairperson of this Committee. This Committee reviews and makes recommendations to the full Board regarding certain compliance matters relating to the Trusts. This Committee met four times during the fiscal years ended July 31, 2024, August 31, 2024, October 31, 2024, December 31, 2024, March 31, 2025, and May 31, 2025, respectively.
Contracts, Legal & Risk Committee. The Board also has a standing Contracts, Legal & Risk Committee (Mr. Boyle, Ms. Ellison, and Mr. Wright). Mr. Boyle serves as Chairperson of this Committee. This Committee oversees the initiation, operation, and renewal of the various contracts between the Trusts and other entities. These contracts include advisory and subadvisory agreements, custodial and transfer agency agreements and arrangements with other service providers. The Committee also reviews the significant legal affairs of the Funds, as well as any significant regulatory and legislative actions or proposals affecting or relating to the Funds or their service providers. The Committee also assists the Board in its oversight role with respect to the processes pursuant to which the Advisor and the subadvisors identify, manage and report the various risks that affect or could affect the Funds. This Committee met four times during the fiscal years ended July 31, 2024, August 31, 2024, October 31, 2024, December 31, 2024, March 31, 2025, and May 31, 2025, respectively.
Investment Committee. The Board also has an Investment Committee composed of all of the Trustees. The Investment Committee has four subcommittees with the Trustees divided among the four subcommittees (each an “Investment Sub-Committee”). Messrs. Boyle, and Cunningham, and Mses. Ellison and Jackson serve as Chairpersons of the Investment Sub-Committees. Each Investment Sub-Committee reviews investment matters relating to a particular group of Funds in the John Hancock Fund Complex and coordinates with the full Board regarding investment matters. This Committee met five times during the fiscal years ended July 31, 2024, August 31, 2024, October 31, 2024, December 31, 2024, March 31, 2025 and May 31 2025, respectively.
Nominating and Governance Committee. The Board also has a Nominating and Governance Committee composed of all of the Independent Trustees. Dr. McClellan serves as Chairperson of this Committee. This Committee will consider nominees recommended by Trust shareholders. Nominations should be forwarded to the attention of the Secretary of the Trust at 200 Berkeley Street, Boston, Massachusetts 02116. Any shareholder nomination must be submitted in compliance with all of the pertinent provisions of Rule 14a-8 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), in order to be considered by this Committee. This Committee met five times during the fiscal years ended July 31, 2024, August 31, 2024, October 31, 2024, December 31, 2024, March 31, 2025, and May 31, 2025, respectively.
Shareholder nominations may be submitted to the Trust who will then forward the nominations to the Chairman of the Nominating and Governance Committee. Any shareholder nomination must be submitted in compliance with all of the pertinent provisions of Rule 14a-8 under the Exchange Act in order to be considered by the Nominating and Governance Committee. In evaluating a nominee recommended by a shareholder, the Nominating and Governance Committee, in addition to the criteria discussed above, may consider the objectives of the shareholder in submitting that nomination and whether such objectives are consistent with the interests of all shareholders. If the Board determines to include a shareholder’s candidate among the slate of its designated nominees, the
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candidate’s name will be placed on the Trust’s proxy card(s). If the Board determines not to include such candidate among its designated nominees, and the shareholder has satisfied the requirements of Rule 14a-8, the shareholder’s candidate will be treated as a nominee of the shareholder who originally nominated the candidate. In that case, the candidate will not be named on the proxy card(s) distributed with the Trust’s proxy statement.
As noted in Exhibit A, while the re-nomination of existing Trustees will not be viewed as automatic, the Nominating and Governance Committee will generally favor the re-nomination of an existing Trustee rather than a new candidate if the re-nomination is consistent with the “Statement of Policy on Criteria for Selecting Independent Trustees” set forth in Annex A to Exhibit A. Consequently, while the Nominating and Governance Committee will consider nominees recommended by shareholders to serve as trustees, the Nominating and Governance Committee may only act upon such recommendations if there is a vacancy on the Board, or the Nominating and Governance Committee determines that the selection of a new or additional Trustee is in the best interests of the Trust. In the event that a vacancy arises or a change in the Board membership is determined to be advisable, the Nominating and Governance Committee will, in addition to any shareholder recommendations, consider candidates identified by other means as discussed in Exhibit A.
Annually, the Board evaluates its performance and that of its Committees, including the effectiveness of the Board’s Committee structure.
Risk Oversight
As registered investment companies, the Funds are subject to a variety of risks, including investment risks (such as, among others, market risk, credit risk and interest rate risk), financial risks (such as, among others, settlement risk, liquidity risk and valuation risk), compliance risks, and operational risks. As a part of its overall activities, the Board oversees the Funds’ risk management activities that are implemented by the Advisor, the Funds’ CCO and other service providers to the Funds. The Advisor has primary responsibility for the Funds’ risk management on a day-to-day basis as a part of its overall responsibilities. Each Fund’s subadvisor, subject to oversight of the Advisor, is primarily responsible for managing investment and financial risks as a part of its day-to-day investment responsibilities, as well as operational and compliance risks at its firm. The Advisor and the CCO also assist the Board in overseeing compliance with investment policies of the Funds and regulatory requirements and monitor the implementation of the various compliance policies and procedures approved by the Board as a part of its oversight responsibilities.
The Advisor identifies to the Board the risks that it believes may affect the Funds and develops processes and controls regarding such risks. However, risk management is a complex and dynamic undertaking and it is not always possible to comprehensively identify and/or mitigate all such risks at all times since risks are at times impacted by external events. In discharging its oversight responsibilities, the Board considers risk management issues throughout the year with the assistance of its various Committees as described below. Each Committee meets at least quarterly and presents reports to the Board, which may prompt further discussion of issues concerning the oversight of the Funds’ risk management. The Board as a whole also reviews written reports or presentations on a variety of risk issues as needed and may discuss particular risks that are not addressed in the Committee process.
The Board has established an Investment Committee, which consists of four Investment Sub-Committees. Each Investment Sub-Committee assists the Board in overseeing the significant investment policies of the relevant Funds and the performance of their subadvisors. The Advisor monitors these policies and subadvisor activities and may recommend changes in connection with the Funds to each relevant Investment Sub-Committee in response to subadvisor requests or other circumstances. On at least a quarterly basis, each Investment Sub-Committee reviews reports from the Advisor regarding the relevant Funds’ investment performance, which include information about investment and financial risks and how they are managed, and from the CCO or his/her designee regarding subadvisor compliance matters. In addition, each Investment Sub-Committee meets periodically with the portfolio managers of the Funds’ subadvisors to receive reports regarding management of the Funds, including with respect to risk management processes.
The Audit Committee assists the Board in reviewing with the independent auditors, at various times throughout the year, matters relating to the Funds’ financial reporting. In addition, this Committee oversees the process of each
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Fund’s valuation of its portfolio securities, assisted by the Advisor’s Pricing Committee (composed of officers of the Advisor), which calculates fair value determinations pursuant to procedures established by the Advisor and adopted by the Board.
With respect to valuation, the Advisor provides periodic reports to the Board and Investment Committee that enables the Board to oversee the Advisor, as each Fund’s valuation designee, in assessing, managing and reviewing material risks associated with fair valuation determinations, including material conflicts of interest. In addition, the Board reviews the Advisor’s performance of an annual valuation risk assessment under which the Advisor seeks to identify and enumerate material valuation risks which are or may be impactful to the Funds including, but not limited to (1) the types of investments held (or intended to be held) by the Funds, giving consideration to those investments’ characteristics; (2) potential market or sector shocks or dislocations which may affect the ongoing valuation operations; (3) the extent to which each fair value methodology uses unobservable inputs; (4) the proportion of each Fund’s investments that are fair valued as determined in good faith, as well as their contributions to a Fund’s returns; (5) the use of fair value methodologies that rely on inputs from third-party service providers; and (6) the appropriateness and application of the methods for determining and calculating fair value. The Advisor reports any material changes to the risk assessment, along with appropriate actions designed to manage such risks, to the Board.
The Compliance Committee assists the Board in overseeing the activities of the Trusts’ CCO with respect to the compliance programs of the Funds, the Advisor, the subadvisors, and certain of the Funds’ other service providers (the Distributor and transfer agent). This Committee and the Board receive and consider periodic reports from the CCO throughout the year, including the CCO’s annual written report, which, among other things, summarizes material compliance issues that arose during the previous year and any remedial action taken to address these issues, as well as any material changes to the compliance programs.
The Contracts, Legal & Risk Committee assists the Board in its oversight role with respect to the processes pursuant to which the Advisor and the subadvisors identify, assess, manage and report the various risks that affect or could affect the Funds. This Committee reviews reports from the Funds’ Advisor on a periodic basis regarding the risks facing the Funds, and makes recommendations to the Board concerning risks and risk oversight matters as the Committee deems appropriate. This Committee also coordinates with the other Board Committees regarding risks relevant to the other Committees, as appropriate.
The Board considers liquidity risk management issues as part of its general oversight responsibilities and oversees the Trust’s liquidity risk through, among other things, receiving periodic reporting and presentations that address liquidity matters. As required by rule 22e-4 under the 1940 Act, the Board, including a majority of the Independent Trustees, has approved the Trust’s Liquidity Risk Management Program (the “LRM Program”), which is reasonably designed to assess and manage the Trust’s liquidity risk, and has appointed the LRM Program Administrator that is responsible for administering the LRM Program. The Board receives liquidity risk management reports under the Funds’ LRM Program and reviews, no less frequently than annually, a written report prepared by the LRM Program Administrator that addresses, among other items, the operation of the LRM Program and assesses its adequacy and effectiveness of implementation as well as any material changes to the LRM Program.
As required by rule 18f-4 under the 1940 Act, Funds that engage in derivatives transactions, other than limited derivatives users, generally must adopt and implement written derivatives risk management program (the “Derivatives Risk Management Program”), that is reasonably designed to manage the Funds’ derivatives risks, while taking into account the Funds’ derivatives and other investments. This program includes risk guidelines, stress testing, internal reporting and escalation and periodic review of the program. To the extent that the Funds invest in derivatives, on a quarterly and annual, the Advisor will provide the Board with written reports that address the operation, adequacy and effectiveness of the Funds’ Derivatives Risk Management Program, which is generally designed to assess and manage derivatives risk.
In addressing issues regarding the Funds’ risk management between meetings, appropriate representatives of the Advisor communicate with the Chairperson of the Board, the relevant Committee Chair, or the Trusts’ CCO, who is directly accountable to the Board. As appropriate, the Chairperson of the Board, the Committee Chairs and the Trustees confer among themselves, with the Trusts’ CCO, the Advisor, other service providers, external fund counsel, and counsel to the Independent Trustees, to identify and review risk management issues that may be placed on the full Board’s agenda and/or that of an appropriate Committee for review and discussion.
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In addition, in its annual review of the Funds’ advisory, subadvisory and distribution agreements, the Board reviews information provided by the Advisor, the subadvisors, and the Distributor relating to their operational capabilities, financial condition, risk management processes and resources.
The Board may, at any time and in its discretion, change the manner in which it conducts its risk oversight role.
The Advisor also has its own, independent interest in risk management. In this regard, the Advisor has appointed a Risk and Investment Operations Committee, consisting of senior personnel from each of the Advisor’s functional departments. This Committee reports periodically to the Board and the Contracts, Legal & Risk Committee on risk management matters. The Advisor’s risk management program is part of the overall risk management program of John Hancock, the Advisor’s parent company. John Hancock’s Chief Risk Officer supports the Advisor’s risk management program, and at the Board’s request will report on risk management matters.
Each Trust pays fees to its Independent Trustees. Trustees are reimbursed for travel and other out-of-pocket expenses. The following tables show the compensation paid to each Independent Trustee for his or her service as a Trustee for the most recent fiscal years or periods indicated. Each Independent Trustee receives in the aggregate from the Trust and the other open-end funds in the John Hancock Fund Complex an annual retainer of $311,520 a fee of $23,795.20 for each regular meeting of the Trustees (in person or via videoconference or teleconference) and a fee of $5,000 for each special meeting of the Trustees (in person or via videoconference or teleconference). The Chairperson of the Board receives an additional retainer of $221,728. The Vice Chairperson of the Board receives an additional retainer of $20,000. The Chairperson of each of the Audit Committee, Compliance Committee, and Contracts, Legal & Risk Committee receives an additional $40,000 retainer. The Chairperson of each Investment Sub-Committee receives an additional $20,000 retainer.
The following tables provide information regarding the compensation paid by the Trusts and the other investment companies in the John Hancock Fund Complex to the Independent Trustees for their services during the most recent fiscal years. In these tables, the amount shown for each of Christine L. Hurtsellers and Kenneth J. Phelan for all periods is “None” since each of these individuals is proposed to be elected to the Board of each Trust and does not currently serve as an Independent Trustee. For all periods shown below, each Trust did not pay compensation to the current Non-Independent Trustees.
Compensation for Fiscal Year Ended July 31, 2024
| Independent Trustee | Aggregate Compensation from John Hancock Funds II - July 31 Fiscal Year End Funds ($) |
Total Compensation from the John Hancock Fund Complex($)1 | ||
| Bacic2 |
N/A | N/A | ||
| Boyle |
75,055 | 291,640 | ||
| Cunningham |
118,631 | 545,640 | ||
| Ellison |
113,085 | 450,640 | ||
| Fey |
138,161 | 703,140 | ||
| Garfield |
113,076 | 450,640 | ||
| Jackson |
118,631 | 558,140 | ||
| McClellan |
172,293 | 858,340 | ||
| Pruchansky3 |
118,631 | 470,640 | ||
| Rathke |
129,801 | 510,640 | ||
| Russo4 |
58,786 | 233,000 | ||
| Wright2 |
N/A | N/A | ||
| Hurtsellers |
None | None | ||
| Phelan |
None | None |
| (1) | There were approximately 184 series in the John Hancock Fund Complex as of July 31, 2024. |
16
| (2) | Appointed to serve as Trustee effective August 1, 2024. |
| (3) | Mr. Pruchansky retired as Trustee effective December 31, 2024. |
| (4) | Mr. Russo retired as Trustee effective August 1, 2024. |
Compensation for Fiscal Year Ended August 31, 2024
| Independent Trustee | Aggregate Compensation from John Hancock Funds II - August 31 Fiscal Year End Funds ($) |
Total Compensation from the John Hancock Fund Complex($)1 | ||
| Bacic2 |
40,719 | 169,000 | ||
| Boyle |
118,544 | 470,640 | ||
| Cunningham |
118,743 | 545,640 | ||
| Ellison |
113,190 | 450,640 | ||
| Fey |
138,290 | 703,140 | ||
| Garfield |
113,181 | 450,640 | ||
| Jackson |
118,743 | 558,140 | ||
| McClellan |
172,474 | 858,340 | ||
| Pruchansky3 |
118,743 | 470,640 | ||
| Rathke |
129,921 | 510,640 | ||
| Russo4 |
66,469 | 264,500 | ||
| Wright2 |
40,719 | 169,000 | ||
| Hurtsellers |
None | None | ||
| Phelan |
None | None |
| (1) | There were approximately 185 series in the John Hancock Fund Complex as of August 31, 2024. |
| (2) | Appointed to serve as Trustee effective August 1, 2024 |
| (3) | Mr. Pruchansky retired as Trustee effective December 31, 2024. |
| (4) | Mr. Russo retired as Trustee effective August 1, 2024. |
Compensation for Fiscal Year Ended October 31, 2024
| Independent Trustee |
Aggregate Compensation from Capital Series – October 31 Fiscal Year End Funds ($) |
Aggregate Compensation from Investment Trust – October 31 Fiscal Year End Funds ($) |
Aggregate Compensation from Investment Trust II – October 31 Fiscal Year End Funds ($) |
Total Compensation from the John Hancock Fund Complex ($)1 | ||||
| Bacic2 |
2,313 | 16,254 | 841 | 191,880 | ||||
| Boyle |
6,391 | 40,676 | 2,165 | 471,520 | ||||
| Cunningham |
6,378 | 40,706 | 2,122 | 546,520 | ||||
| Ellison |
6,082 | 38,789 | 2,021 | 451,520 | ||||
| Fey |
7,463 | 47,272 | 2,475 | 704,020 | ||||
| Garfield |
6,081 | 38,791 | 2,023 | 451,520 | ||||
| Jackson |
6,378 | 40,706 | 2,122 | 559,020 | ||||
| McClellan |
9,254 | 59,203 | 3,087 | 859,220 | ||||
| Pruchansky3 |
6,378 | 40,706 | 2,122 | 471,520 | ||||
| Rathke |
7,011 | 44,383 | 2,331 | 511,520 | ||||
| Russo4 |
3,459 | 20,615 | 1,139 | 242,500 | ||||
| Wright2 |
2,313 | 16,254 | 841 | 191,880 | ||||
| Hurtsellers |
None | None | None | None | ||||
| Phelan |
None | None | None | None |
17
| (1) | There were approximately 185 series in the John Hancock Fund Complex as of October 31, 2024. |
| (2) | Appointed to serve as Trustee effective August 1, 2024 |
| (3) | Mr. Pruchansky retired as Trustee effective December 31, 2024. |
| (4) | Mr. Russo retired as Trustee effective August 1, 2024. |
Compensation for Fiscal Year Ended December 31, 2024
| Independent Trustee | Aggregate Compensation from John Hancock Funds II - December 31 Fiscal Year End Funds ($) |
Aggregate Compensation from Collateral Trust - December 31 Fiscal Year End Funds ($) |
Total Compensation from the John Hancock Fund Complex ($)1 | |||
| Bacic2 |
53,279 | 2,200 | 214,760 | |||
| Boyle |
129,656 | 4,200 | 512,400 | |||
| Cunningham |
118,935 | 4,200 | 547,400 | |||
| Ellison |
113,382 | 4,200 | 452,400 | |||
| Fey |
131,450 | 4,200 | 679,900 | |||
| Garfield |
113,373 | 4,200 | 452,400 | |||
| Jackson |
118,935 | 4,200 | 559,900 | |||
| McClellan |
172,666 | 4,200 | 860,100 | |||
| Pruchansky3 |
118,935 | 4,200 | 472,400 | |||
| Rathke |
130,112 | 4,200 | 512,400 | |||
| Russo4 |
54,127 | 2,367 | 220,500 | |||
| Wright2 |
53,279 | 2,200 | 214,760 | |||
| Hurtsellers |
None | None | None | |||
| Phelan |
None | None | None |
| (1) | There were approximately 187 series in the John Hancock Fund Complex as of December 31, 2024. |
| (2) | Appointed to serve as Trustee effective August 1, 2024. |
| (3) | Mr. Pruchansky retired as Trustee effective December 31, 2024. |
| (4) | Mr. Russo retired as Trustee effective August 1, 2024. |
18
Compensation for Fiscal Year Ended March 31, 20251
| Independent |
Aggregate Compensation from John Hancock Funds III - March 31 Fiscal Year End Funds ($) |
Aggregate March 31 Fiscal Year |
Aggregate Compensation from Investment Trust - March 31 Fiscal Year End Funds ($) |
Total Compensation ($) | ||||
| Bacic2 | 66,040 | 1,986 | 35,364 | 414,315 | ||||
| Boyle | 92,792 | 2,777 | 49,462 | 562,955 | ||||
| Cunningham | 81,761 | 2,467 | 43,774 | 502,955 | ||||
| Ellison | 79,973 | 2,414 | 42,813 | 492,955 | ||||
| Fey | 87,523 | 2,643 | 46,884 | 535,455 | ||||
| Garfield | 78,213 | 2,359 | 41,863 | 482,955 | ||||
| Jackson | 83,537 | 2,522 | 44,726 | 512,955 | ||||
| McClellan | 116,765 | 3,543 | 62,808 | 700,419 | ||||
| Pruchansky3 | 48,447 | 1,447 | 25,886 | 293,400 | ||||
| Rathke | 85,308 | 2,576 | 45,685 | 522,955 | ||||
| Russo4 | 4,973 | 148 | 2,664 | 31,500 | ||||
| Wright2 | 66,040 | 1,986 | 35,364 | 414,315 | ||||
| Hurtsellers | None | None | None | None | ||||
| Phelan | None | None | None | None |
| (1) | There were approximately 182 series in the John Hancock Fund Complex as of March 31, 2025. |
| (2) | Appointed to serve as Trustee effective August 1, 2024. |
| (3) | Mr. Pruchansky retired as Trustee effective December 31, 2024. |
| (4) | Mr. Russo retired as Trustee effective August 1, 2024. |
Compensation for Fiscal Year Ended May 31, 2025
| Independent Trustee |
Aggregate Compensation from Bond Trust - May 31 Fiscal Year End Funds ($) |
Aggregate Compensation from California Tax - Fund - May 31 Fiscal Year End Funds ($) |
Aggregate Compensation from Municipal Securities Trust - May 31 Fiscal Year End Funds ($) |
Aggregate Compensation from Sovereign Bond Fund - May 31 Fiscal Year End Funds ($) |
Aggregate Compensation from Strategic Series - May 31 Fiscal Year End Funds ($) |
Total Compensation from the John Hancock Fund Complex ($)1 | ||||||
| Bacic2 | 8,519 | 653 | 2,217 | 36,772 | 3,361 | 414,315 | ||||||
| Boyle | 10,894 | 831 | 2,824 | 46,968 | 4,290 | 517,195 | ||||||
| Cunningham | 9,497 | 720 | 2,461 | 40,920 | 3,742 | 532,195 | ||||||
| Ellison | 9,270 | 705 | 2,406 | 39,958 | 3,658 | 447,195 | ||||||
| Fey | 10,241 | 774 | 2,650 | 44,105 | 4,030 | 652,195 | ||||||
| Garfield | 9,037 | 685 | 2,342 | 38,939 | 3,561 | 437,195 | ||||||
| Jackson | 9,729 | 739 | 2,524 | 41,937 | 3,837 | 554,695 | ||||||
| McClellan | 14,066 | 1,066 | 3,643 | 60,553 | 5,538 | 849,159 | ||||||
| Pruchansky3 | 5,150 | 359 | 1,278 | 21,878 | 1,961 | 247,640 | ||||||
| Rathke | 9,957 | 755 | 2,580 | 42,901 | 3,923 | 477,195 | ||||||
| Russo4 | 635 | 43 | 156 | 2,687 | 238 | 31,500 | ||||||
| Wright2 | 8,519 | 653 | 2,217 | 36,772 | 3,361 | 414,315 | ||||||
| Hurtsellers | None | None | None | None | None | None | ||||||
| Phelan | None | None | None | None | None | None |
| (1) | There were approximately 180 series in the John Hancock Fund Complex as of May 31, 2025. |
| (2) | Appointed to serve as Trustee effective August 1, 2024. |
| (3) | Mr. Pruchansky retired as Trustee effective December 31, 2024. |
| (4) | Mr. Russo retired as Trustee effective August 1, 2024. |
19
No Trust has a pension or retirement plan for any of its Trustees or officers.
Trustee Ownership of Shares of the Funds
The table below sets forth the dollar range of the value of the shares of each Fund, and the dollar range of the aggregate value of the shares of all funds in the John Hancock Fund Complex overseen or to be overseen by a Trustee, owned beneficially by each Trustee as of December 31, 2024. The table lists only those Funds in which one or more of the Trustees own shares. For purposes of this table, beneficial ownership is defined to mean a direct or indirect pecuniary interest. Exact dollar amounts of securities held are not listed in the table. Rather, dollar ranges are identified.
| Fund/Trustee | Arnott | Bacic | Boyle | Cunningham | Ellison | Feinberg1 | Fey | |||||||
| 2010 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | None | |||||||
| 2015 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | None | |||||||
| 2020 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | None | |||||||
| 2025 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | None | |||||||
| 2030 Lifetime Blend Portfolio |
$1– $10,000 |
None | None | None | None | N/A | None | |||||||
| 2035 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | None | |||||||
| 2040 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | None | |||||||
| 2045 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | None | |||||||
| 2050 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | None | |||||||
| 2055 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | None | |||||||
| 2060 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | None | |||||||
| 2065 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | None | |||||||
| 2070 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | None | |||||||
| Alternative Asset Allocation Fund |
None | None | None | None | None | N/A | None | |||||||
| Balanced Fund | None | None | None | None | None | N/A | None | |||||||
| Blue Chip Growth Fund |
None | None | None | None | None | N/A | None | |||||||
| Bond Fund | $50,001- $100,000 |
None | None | None | None | N/A | None | |||||||
| California Municipal Bond Fund |
None | None | None | None | None | N/A | None | |||||||
20
| Fund/Trustee | Arnott | Bacic | Boyle | Cunningham | Ellison | Feinberg1 | Fey | |||||||
| Capital Appreciation Value Fund |
None | None | None | None | None | N/A | None | |||||||
| Classic Value Fund |
None | None | over $100,000 |
None | None | N/A | None | |||||||
| Collateral Trust | None | None | None | None | None | N/A | None | |||||||
| Core Bond Fund | None | None | None | None | None | N/A | None | |||||||
| Disciplined Value Emerging Markets Equity Fund |
None | None | None | None | None | N/A | None | |||||||
| Disciplined Value Fund | over $100,000 |
None | None | None | None | N/A | None | |||||||
| Disciplined Value Global Long/Short Fund | None | None | None | None | None | N/A | None | |||||||
| Disciplined Value International Fund |
None | None | over $100,000 |
None | None | N/A | None | |||||||
| Disciplined Value Mid Cap Fund |
None | None | None | None | None | N/A | None | |||||||
| Diversified Macro Fund |
None | None | None | None | None | N/A | None | |||||||
| Diversified Real Assets Fund |
None | None | None | None | None | N/A | None | |||||||
| Emerging Markets Debt Fund |
None | None | None | None | None | N/A | None | |||||||
| Emerging Markets Equity Fund |
None | None | None | None | None | N/A | None | |||||||
|
Equity Income Fund |
None | None | None | None | None | N/A | None | |||||||
|
ESG Large Cap Core Fund |
None | None | None | None | None | N/A | None | |||||||
|
Financial Industries Fund |
None | None | None | over $100,000 |
None | N/A | None | |||||||
|
Floating Rate Income Fund |
None | None | None | None | None | N/A | None | |||||||
|
Fundamental All Cap Core Fund |
None | None | None | None | None | N/A | None | |||||||
|
Fundamental Equity Income Fund |
None | None | None | None | None | N/A | None | |||||||
|
Fundamental Large Cap Core Fund |
$1– $10,000 |
None | None | None | None | N/A | None | |||||||
21
| Fund/Trustee | Arnott | Bacic | Boyle | Cunningham | Ellison | Feinberg1 | Fey | |||||||
|
Global Climate Action Fund |
None | None | None | None | None | N/A | None | |||||||
|
Global Environmental Opportunities Fund |
None | None | None | None | None | N/A | None | |||||||
|
Global Equity Fund |
None | None | None | None | None | N/A | None | |||||||
|
Global Shareholder Yield Fund |
None | None | None | $10,001– $50,000 |
None | N/A | $10,001– $50,000 | |||||||
|
High Yield Fund |
None | None | None | None | None | N/A | None | |||||||
|
High Yield Municipal Bond Fund |
None | None | None | None | None | N/A | None | |||||||
|
Income Fund |
None | None | None | None | None | N/A | None | |||||||
|
Infrastructure Fund |
None | None | None | None | None | N/A | None | |||||||
|
International Dynamic Growth Fund |
None | None | None | None | None | N/A | None | |||||||
|
International Growth Fund |
None | None | None | None | None | N/A | None | |||||||
|
International Strategic Equity Allocation Fund |
None | None | None | None | None | N/A | None | |||||||
|
Investment Grade Bond Fund |
None | None | None | None | None | N/A | None | |||||||
|
Lifestyle Blend Aggressive Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Lifestyle Blend Balanced Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Lifestyle Blend Conservative Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Lifestyle Blend Growth Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Lifestyle Blend Moderate Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Managed Account Shares Bond Completion Portfolio |
None | None | None | None | None | N/A | None | |||||||
22
| Fund/Trustee | Arnott | Bacic | Boyle | Cunningham | Ellison | Feinberg1 | Fey | |||||||
|
Managed Account Shares Investment- Grade Corporate Bond Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Managed Account Shares Non-Investment- Grade Corporate Bond Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Managed Account Shares Non-Investment- Grade Municipal Bond Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Managed Account Shares Securitized Debt Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Mid Cap Growth Fund |
None | None | None | None | None | N/A | None | |||||||
|
Mid Value Fund |
None | None | None | None | None | N/A | None | |||||||
|
Money Market Fund |
over $100,000 |
None | None | None | None | N/A | None | |||||||
|
Multi-Asset Absolute Return Fund |
None | None | None | None | None | N/A | None | |||||||
|
Multi-Asset High Income Fund |
None | None | None | None | None | N/A | None | |||||||
|
Multimanager 2010 Lifetime Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Multimanager 2015 Lifetime Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Multimanager 2020 Lifetime Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Multimanager 2025 Lifetime Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Multimanager 2030 Lifetime Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Multimanager 2035 Lifetime Portfolio |
None | None | None | None | None | N/A | None | |||||||
23
| Fund/Trustee | Arnott | Bacic | Boyle | Cunningham | Ellison | Feinberg1 | Fey | |||||||
|
Multimanager 2040 Lifetime Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Multimanager 2045 Lifetime Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Multimanager 2050 Lifetime Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Multimanager 2055 Lifetime Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Multimanager 2060 Lifetime Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Multimanager 2065 Lifetime Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Multimanager 2070 Lifetime Portfolio |
N/A | N/A | N/A | N/A | N/A | N/A | N/A | |||||||
|
Multimanager Lifestyle Aggressive Portfolio |
None | None | None | $50,001- $100,000 |
None | N/A | None | |||||||
|
Multimanager Lifestyle Balanced Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Multimanager Lifestyle Conservative Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Multimanager Lifestyle Growth Portfolio |
None | None | None | $50,001– $100,000 |
None | N/A | $50,001– $100,000 | |||||||
|
Multimanager Lifestyle Moderate Portfolio |
None | None | None | None | None | N/A | None | |||||||
|
Municipal Opportunities Fund |
None | None | None | None | None | N/A | None | |||||||
|
Opportunistic Fixed Income Fund |
Over $100,000 |
None | None | None | None | N/A | None | |||||||
24
| Fund/Trustee | Arnott | Bacic | Boyle | Cunningham | Ellison | Feinberg1 | Fey | |||||||
|
Real Estate Securities Fund |
None | None | None | None | None | N/A | None | |||||||
|
Regional Bank Fund |
None | None | None | over $100,000 |
None | N/A | None | |||||||
|
Short Duration Bond Fund |
None | None | None | None | None | N/A | None | |||||||
|
Short Duration Municipal Opportunities Fund |
None | None | None | None | None | N/A | None | |||||||
|
Small Cap Core Fund |
None | None | None | None | None | N/A | None | |||||||
|
Small Cap Dynamic Growth Fund |
None | None | None | None | None | N/A | None | |||||||
|
Strategic Income Opportunities Fund |
None | None | None | None | None | N/A | None | |||||||
|
U. S. Global Leaders Growth Fund |
None | None | None | over $100,000 |
None | N/A | None | |||||||
|
U.S. Growth Fund |
None | None | None | None | None | N/A | None | |||||||
|
U.S. Sector Rotation Fund |
None | None | None | None | None | N/A | None | |||||||
|
John Hancock Fund Complex |
over $100,000 |
None | over $100,000 |
over $100,000 |
None | N/A | over $100,000 | |||||||
| Fund/Trustee | Garfield | Jackson | McClellan | Rathke | Wright | Hurtsellers | Phelan | |||||||
|
2010 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
2015 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
2020 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
2025 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
2030 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
2035 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
2040 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
2045 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
25
| Fund/Trustee | Garfield | Jackson | McClellan | Rathke | Wright | Hurtsellers | Phelan | |||||||
|
2050 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
2055 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
2060 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
2065 Lifetime Blend Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
2070 Lifetime Blend Portfolio |
N/A | N/A | N/A | N/A | N/A | N/A | N/A | |||||||
|
Alternative Asset Allocation Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Balanced Fund |
None | $10,001– $50,000 |
None | None | None | N/A | N/A | |||||||
|
Blue Chip Growth Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Bond Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
California Municipal Bond Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Capital Appreciation Value Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Classic Value Fund |
None | $10,001– $50,000 |
None | None | None | N/A | N/A | |||||||
|
Collateral Trust |
None | None | None | None | None | N/A | N/A | |||||||
|
Core Bond Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Disciplined Value Emerging Markets Equity Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Disciplined Value Fund |
None | $10,001– $50,000 |
None | None | None | N/A | N/A | |||||||
|
Disciplined Value Global Long/Short Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Disciplined Value International Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Disciplined Value Mid Cap Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Diversified Macro Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Diversified Real Assets Fund |
None | None | None | None | None | N/A | N/A | |||||||
26
| Fund/Trustee | Garfield | Jackson | McClellan | Rathke | Wright | Hurtsellers | Phelan | |||||||
|
Emerging Markets Debt Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Emerging Markets Equity Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Equity Income Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
ESG Large Cap Core Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Financial Industries Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Floating Rate Income Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Fundamental All Cap Core Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Fundamental Equity Income Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Fundamental Large Cap Core Fund |
None | $10,001– $50,000 |
None | None | None | N/A | N/A | |||||||
|
Global Climate Action Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Global Environmental Opportunities Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Global Equity Fund |
None | $10,001– $50,000 |
None | None | None | N/A | N/A | |||||||
|
Global Shareholder Yield Fund |
None | $1– $10,000 |
$10,001– $50,000 |
$10,001– $50,000 |
None | N/A | N/A | |||||||
|
High Yield Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
High Yield Municipal Bond Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Income Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Infrastructure Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
International Dynamic Growth Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
International Growth Fund |
None | None | None | None | None | N/A | N/A | |||||||
27
| Fund/Trustee | Garfield | Jackson | McClellan | Rathke | Wright | Hurtsellers | Phelan | |||||||
|
International Strategic Equity Allocation Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Investment Grade Bond Fund |
None | None | None | None | None | N/A | N/A | |||||||
|
Lifestyle Blend Aggressive Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
Lifestyle Blend Balanced Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
Lifestyle Blend Conservative Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
Lifestyle Blend Growth Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
Lifestyle Blend Moderate Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
Managed Account Shares Bond Completion Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
Managed Account Shares Investment- Grade Corporate Bond Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
Managed Account Shares Non-Investment- Grade Corporate Bond Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
|
Managed Account Shares Non-Investment- Grade Municipal Bond Portfolio |
None | None | None | None | None | N/A | N/A | |||||||
| Managed Account Shares Securitized Debt Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Mid Cap Growth Fund | None | None | None | None | None | N/A | N/A | |||||||
| Mid Value Fund | None | None | None | None | None | N/A | N/A | |||||||
| Money Market Fund | None | None | None | None | None | N/A | N/A | |||||||
| Multi-Asset Absolute Return Fund | None | $10,001– $50,000 |
None | None | None | N/A | N/A | |||||||
28
| Fund/Trustee | Garfield | Jackson | McClellan | Rathke | Wright | Hurtsellers | Phelan | |||||||
| Multi-Asset High Income Fund | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager 2010 Lifetime Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager 2015 Lifetime Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager 2020 Lifetime Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager 2025 Lifetime Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager 2030 Lifetime Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager 2035 Lifetime Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager 2040 Lifetime Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager 2045 Lifetime Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager 2050 Lifetime Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager 2055 Lifetime Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager 2060 Lifetime Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager 2065 Lifetime Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager 2070 Lifetime Portfolio | N/A | N/A | N/A | N/A | N/A | N/A | N/A | |||||||
| Multimanager Lifestyle Aggressive Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager Lifestyle Balanced Portfolio | None | None | None | None | None | N/A | N/A | |||||||
29
| Fund/Trustee | Garfield | Jackson | McClellan | Rathke | Wright | Hurtsellers | Phelan | |||||||
| Multimanager Lifestyle Conservative Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager Lifestyle Growth Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Multimanager Lifestyle Moderate Portfolio | None | None | None | None | None | N/A | N/A | |||||||
| Municipal Opportunities Fund | None | None | None | None | None | N/A | N/A | |||||||
| Opportunistic Fixed Income Fund | None | None | None | None | None | N/A | N/A | |||||||
| Real Estate Securities Fund | None | None | None | None | None | N/A | N/A | |||||||
| Regional Bank Fund | None | None | None | None | None | N/A | N/A | |||||||
| Short Duration Bond Fund | None | None | None | None | None | N/A | N/A | |||||||
| Short Duration Municipal Opportunities Fund | None | None | None | None | None | N/A | N/A | |||||||
| Small Cap Core Fund | None | None | None | None | None | N/A | N/A | |||||||
| Small Cap Dynamic Growth Fund | None | None | None | None | None | N/A | N/A | |||||||
| Strategic Income Opportunities Fund | None | $10,001– $50,000 |
None | None | None | N/A | N/A | |||||||
| U. S. Global Leaders Growth Fund | None | None | None | None | None | N/A | N/A | |||||||
| U.S. Growth Fund | None | $50,001 - $100,000 |
None | None | None | N/A | N/A | |||||||
| U.S. Sector Rotation Fund | None | None | None | None | None | N/A | N/A | |||||||
| John Hancock Fund Complex | None | over $100,000 |
over $100,000 |
$10,001– $50,000 |
None | N/A | N/A | |||||||
1 Ms. Feinberg was appointed Trustee effective June 30, 2025.
Material Relationships of the Independent Trustees
As of December 31, 2024, none of the Independent Trustees, nor any immediate family member, owned shares of the Advisor or a principal underwriter of the Funds, nor does any such person own shares of a company controlling, controlled by or under common control with the Advisor or a principal underwriter of the Funds.
30
There have been no transactions by the Funds since the beginning of the Funds’ last two fiscal years, nor are there any transactions currently proposed in which the amount exceeds $120,000, and in which any Independent Trustee of the Funds or any immediate family members has or will have a direct or indirect material interest, nor have any of the foregoing persons been indebted to the Funds in an amount in excess of $120,000 at any time since that date.
No Independent Trustee, nor any immediate family member, has had in the past five years, any direct or indirect interest, the value of which exceeds $120,000, in the Advisor, a principal underwriter of the Funds or in a person (other than a registered investment company) directly or indirectly controlling, controlled by or under common control with the Advisor or principal underwriter of the Funds. Moreover, no Independent Trustee or his or her immediate family member has, or has had in the last two fiscal years of the Funds, any direct or indirect relationships or material interest in any transaction or in any currently proposed transaction, in which the amount involved exceeds $120,000, in which the following persons were or are a party: the Funds, an officer of a Trust, any investment company sharing the same investment advisor or principal underwriter as the Funds or any officer of such a company, any investment advisor or principal underwriter of the Funds or any officer of such a party, any person directly or indirectly controlling, controlled by or under common control with the investment advisor or principal underwriter of the Funds, or any officer of such a person.
Within the last two completed fiscal years of the Funds, no officer of any investment advisor or principal underwriter of the Funds or of any person directly or indirectly controlling, controlled by or under common control with, the investment advisor or principal underwriter of the Funds, has served as a director on a board of a company where any of the Independent Trustees or Nominees, or immediate family members of such persons, has served as an officer.
To the best of our knowledge, there are no material pending legal proceedings to which any Trustee or affiliated person is a party adverse to the Funds or any of their affiliated persons or has a material interest adverse to the Funds or any of their affiliated persons. In addition, to the best of our knowledge, there have been no legal proceedings that are material to an evaluation of the ability or integrity of any Trustee or executive officer of the Funds within the past five years.
Trustees are elected by a plurality of the votes cast by holders of shares of each Trust present in person or represented by proxy at the Meeting. A vote of a “plurality” of shares means that a Nominee would only need to receive more “yes” votes than a competing candidate to be elected to the Board. Since each Nominee is running unopposed, each Nominee effectively needs only one vote to be elected if a quorum is present at the Meeting.
The Board, including all the Independent Trustees of each Trust, recommends that shareholders of each Trust vote “FOR” all of the Nominees.
31
Independent Registered Public Accounting Firm
The firm of PricewaterhouseCoopers LLP (“PwC”), 101 Seaport Boulevard, Suite 500, Boston, Massachusetts 02210, has been selected as the independent registered public accounting firm for each Fund for its fiscal year and served as such for the prior fiscal year.
PwC examines annual financial statements for each Fund, reviews regulatory filings that include those financial statements and provides other audit-related, non-audit, and tax-related services to each Fund. Representatives of PwC are not expected to be present at the Meeting but have been given the opportunity to make a statement, if they so desire, and will be available should any matter arise requiring their participation.
Audit Fees. These fees represent aggregate fees billed to a Fund for the last two 12-month fiscal years (the “Reporting Periods”) for professional services rendered by PwC for the audit of each Fund’s annual financial statements or services that are normally provided by the accountant in connection with statutory and regulatory filings or engagements for such period.
Audit-Related Fees. These fees represent the aggregate fees billed for the Reporting Periods for assurance and related services by PwC that are reasonably related to the performance of the audit of each Fund’s financial statements and are not reported under “Audit Fees,” below. Such fees relate to professional services rendered by PwC for separate audit reports in connection with Rule 17f-2 (under the 1940 Act) security counts and fund merger audit services.
Tax Fees. These fees represent aggregate fees billed for the Reporting Periods for professional services rendered by PwC for tax compliance, tax advice and tax planning. The tax services provided by PwC related to the review of each Fund’s federal and state income tax returns, excise tax calculations and returns and a review of each Fund’s calculations of capital gain and income distributions.
All Other Fees. These fees for the Reporting Periods relate to products and services provided by PwC other than those reported above under “Audit Fees,” “Audit-Related Fees” and “Tax Fees” above.
Fees Paid to PwC for the Last Two Fiscal Years Ended March 31
| Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||||||||||||||||
| Fund | 2024 | 2025 | 2024 | 2025 | 2024 | 2025 | 2024 | 2025 | ||||||||||||||||||||||
| Disciplined Value Fund | $43,612 | $45,316 | $629 | $695 | $6,355 | $6,483 | $369 | $0 | ||||||||||||||||||||||
| Disciplined Value Global Long/Short Fund | N/A | $69,957 | N/A | $13,847 | N/A | $14,469 | N/A | $0 | ||||||||||||||||||||||
| Disciplined Value Mid Cap Fund | $56,353 | $58,439 | $629 | $695 | $6,355 | $6,483 | $369 | $0 | ||||||||||||||||||||||
| Diversified Real Assets Fund | $56,718 | $58,815 | $629 | $695 | $4,254 | $4,382 | $369 | $0 | ||||||||||||||||||||||
| Fundamental Equity Income Fund | $30,289 | $31,593 | $629 | $695 | $4,254 | $4,382 | $369 | $0 | ||||||||||||||||||||||
| Global Climate Action Fund | $25,410 | $34,356 | $0 | $695 | $4,254 | $4,382 | $0 | $0 | ||||||||||||||||||||||
| Global Shareholder Yield Fund | $44,266 | $45,989 | $8,129 | $695 | $5,567 | $10,368 | $369 | $0 | ||||||||||||||||||||||
| International Growth Fund | $58,601 | $60,754 | $629 | $695 | $4,881 | $5,027 | $369 | $0 | ||||||||||||||||||||||
32
| Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||||||||||||||||||
| Fund | 2024 | 2025 | 2024 | 2025 | 2024 | 2025 | 2024 | 2025 | ||||||||||||||||||||||||
| Mid Cap Growth Fund | $55,219 | $57,271 | $629 | $695 | $4,254 | $4,382 | $369 | $0 | ||||||||||||||||||||||||
| Money Market Fund | $34,976 | $36,420 | $629 | $695 | $3,168 | $3,263 | $369 | $0 | ||||||||||||||||||||||||
| U.S. Growth Fund |
$45,063 | $46,810 | $629 | $695 | $4,254 | $6,483 | $369 | $0 | ||||||||||||||||||||||||
| John Hancock Fund Complex | $450,507 | $545,720 | $13,161 | $20,797 | $47,596 | $70,104 | $3,321 | $0 | ||||||||||||||||||||||||
Fees Paid to PwC for the Last Two Fiscal Years Ended May 31
| Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||||||||||||||||||
| Fund | 2024 | 2025 | 2024 | 2025 | 2024 | 2025 | 2024 | 2025 | ||||||||||||||||||||||||
| Bond Fund |
$69,467 | $72,051 | $80 | $695 | $4,254 | $4,382 | $369 | $0 | ||||||||||||||||||||||||
| California Municipal Bond Fund | $49,393 | $51,375 | $80 | $695 | $4,168 | $4,293 | $369 | $0 | ||||||||||||||||||||||||
| High Yield Fund | $85,335 | $88,395 | $80 | $2,916 | $4,254 | $4,382 | $369 | $0 | ||||||||||||||||||||||||
| High Yield Municipal Bond Fund | $47,994 | $49,934 | $80 | $695 | $4,168 | $4,293 | $369 | $0 | ||||||||||||||||||||||||
| Income Fund |
$81,454 | $84,397 | $80 | $695 | $4,368 | $4,499 | $369 | $0 | ||||||||||||||||||||||||
| Investment Grade Bond Fund | $57,441 | $59,664 | $80 | $695 | $4,254 | $4,382 | $369 | $0 | ||||||||||||||||||||||||
| Managed Account Shares Bond Completion Portfolio | $19,335 | $40,330 | $0 | $695 | $3,190 | $3,286 | $0 | $0 | ||||||||||||||||||||||||
| Managed Account Shares Investment Grade Corporate Bond Portfolio |
$38,670 | $40,330 | $80 | $695 | $3,190 | $3,286 | $369 | $0 | ||||||||||||||||||||||||
| Managed Account Shares Non- Investment Grade Corporate Bond Portfolio | $38,670 | $40,330 | $80 | $695 | $3,190 | $3,286 | $369 | $0 | ||||||||||||||||||||||||
| Managed Account Shares Non- Investment- Grade Municipal Bond Portfolio |
$29,641 | $31,030 | $80 | $695 | $3,190 | $3,286 | $369 | $0 | ||||||||||||||||||||||||
| Managed Account Shares Securitized Debt Portfolio | $38,670 | $40,330 | $80 | $695 | $3,190 | $3,286 | $369 | $0 | ||||||||||||||||||||||||
| Municipal Opportunities Fund | $44,144 | $45,969 | $80 | $695 | $4,168 | $4,293 | $369 | $0 | ||||||||||||||||||||||||
| Short Duration Bond Fund | $68,827 | $71,392 | $80 | $695 | $4,254 | $4,382 | $369 | $0 | ||||||||||||||||||||||||
| Short Duration Municipal Opportunities | $40,202 | $41,908 | $80 | $695 | $4,254 | $4,382 | $369 | $0 | ||||||||||||||||||||||||
| John Hancock Fund Complex | $ | 709,243 | $ | 757,435 | $ | 1,040 | $ | 11,951 | $ | 54,092 | $ | 55,718 | $ | 4,797 | $ | 0 | ||||||||||||||||
33
Fees Paid to PwC for the Last Two Fiscal Years Ended July 31
| Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||||||||||||||||||
| Fund | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | ||||||||||||||||||||||||
| Fundamental All Cap Core Fund |
$48,764 | $51,756 | $612 | $763 | $6,566 | $4,382 | $0 | $369 | ||||||||||||||||||||||||
|
Multi-Asset Absolute Return Fund |
$107,529 | $101,653 | $612 | $763 | $10,047 | $4,499 | $0 | $369 | ||||||||||||||||||||||||
| John Hancock Fund Complex |
$ | 156,293 | $ | 153,409 | $ | 1,224 | $ | 1,526 | $ | 16,613 | $ | 8,881 | $ | 0 | $ | 738 | ||||||||||||||||
Fees Paid to PwC for the Last Two Fiscal Years Ended August 31
| Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||
| Fund | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | ||||||||
| 2010 Lifetime Blend Portfolio | $26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| 2015 Lifetime Blend Portfolio | $26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| 2020 Lifetime Blend Portfolio | $26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| 2025 Lifetime Blend Portfolio | $26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| 2030 Lifetime Blend Portfolio | $26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| 2035 Lifetime Blend Portfolio | $26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| 2040 Lifetime Blend Portfolio | $26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| 2045 Lifetime Blend Portfolio | $26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| 2050 Lifetime Blend Portfolio | $26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| 2055 Lifetime Blend Portfolio | $26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| 2060 Lifetime Blend Portfolio | $26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| 2065 Lifetime Blend Portfolio | $20,788 | $24,692 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| 2070 Lifetime Blend Portfolio | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||
| Alternative Asset Allocation Fund |
$38,535 | $41,885 | $5,123 | $5,408 | $0 | $3,090 | $0 | $369 | ||||||||
| Blue Chip Growth Fund | $35,577 | $37,144 | $613 | $763 | $1,313 | $0 | $0 | $369 | ||||||||
| Capital Appreciation Value Fund | $34,847 | $36,363 | $6 | $12 | $0 | $0 | $0 | $369 | ||||||||
| Core Bond Fund |
$55,780 | $57,953 | $6 | $12 | $0 | $0 | $0 | $369 | ||||||||
34
| Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||
| Fund | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | ||||||||
| Disciplined Value Emerging Markets Equity Fund | $46,333 | $48,171 | $613 | $763 | $1,575 | $0 | $0 | $369 | ||||||||
| Emerging Markets Debt Fund | $79,318 | $82,197 | $613 | $763 | $0 | $0 | $0 | $369 | ||||||||
| Equity Income Fund | $35,697 | $37,268 | $613 | $763 | $0 | $0 | $0 | $369 | ||||||||
| Floating Rate Income Fund | $67,587 | $70,114 | $613 | $763 | $0 | $0 | $0 | $369 | ||||||||
| Global Equity Fund | $43,438 | $45,241 | $613 | $763 | $1,575 | $0 | $0 | $369 | ||||||||
| International Strategic Equity Allocation Fund | $51,980 | $54,006 | $6 | $12 | $0 | $0 | $0 | $369 | ||||||||
| Lifestyle Blend Aggressive Portfolio | $26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| Lifestyle Blend Balanced Portfolio | $26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| Lifestyle Blend Conservative Portfolio | $26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
|
Lifestyle Blend Growth Portfolio |
$26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| Lifestyle Blend Moderate Portfolio |
$26,012 | $30,073 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
|
Mid Value Fund |
$31,189 | $32,625 | $6 | $12 | $0 | $0 | $0 | $369 | ||||||||
| Multi-Asset High Income Fund |
$47,528 | $50,483 | $613 | $763 | $6,828 | $4,382 | $0 | $369 | ||||||||
|
Multimanager 2010 Lifetime Portfolio |
$31,118 | $35,332 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| Multimanager 2015 Lifetime Portfolio |
$31,118 | $35,332 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
|
Multimanager 2020 Lifetime Portfolio |
$31,118 | $35,332 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| Multimanager 2025 Lifetime Portfolio |
$31,118 | $35,332 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
|
Multimanager 2030 Lifetime Portfolio |
$31,118 | $35,332 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| Multimanager 2035 Lifetime Portfolio |
$31,118 | $35,332 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
|
Multimanager 2040 Lifetime Portfolio |
$31,118 | $35,332 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
35
| Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||
| Fund | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | ||||||||
| Multimanager 2045 Lifetime Portfolio |
$31,118 | $35,332 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
|
Multimanager 2050 Lifetime Portfolio |
$31,118 | $35,332 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| Multimanager 2055 Lifetime Portfolio |
$31,118 | $35,332 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
|
Multimanager 2060 Lifetime Portfolio |
$31,118 | $35,332 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
| Multimanager 2065 Lifetime Portfolio |
$24,708 | $28,730 | $7,378 | $7,731 | $0 | $3,090 | $0 | $369 | ||||||||
|
Multimanager 2070 Lifetime Portfolio |
$0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | ||||||||
| Opportunistic Fixed Income Fund |
$97,600 | $101,029 | $613 | $763 | $4,725 | $0 | $0 | $369 | ||||||||
|
Real Estate Securities Fund |
$29,952 | $31,351 | $613 | $763 | $0 | $0 | $0 | $369 | ||||||||
| Small Cap Dynamic Growth Fund |
$36,828 | $38,433 | $613 | $763 | $0 | $0 | $0 | $369 | ||||||||
|
Strategic Income Opportunities Fund |
$78,456 | $81,310 | $613 | $763 | $0 | $0 | $0 | $369 | ||||||||
| U.S. Sector Rotation Fund |
$48,744 | $50,706 | $6 | $12 | $0 | $0 | $0 | $369 | ||||||||
| John Hancock Fund Complex |
$1,663,375 | $1,819,521 | $225,858 | $238,060 | $16,016 | $97,082 | $0 | $16,974 | ||||||||
Fees Paid to PwC for the Last Two Fiscal Years Ended October 31
| Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||
| Fund | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | ||||||||
| Balanced Fund |
$48,939 | $53,346 | $628 | $684 | $6,622 | $4,382 | $0 | $369 | ||||||||
|
Classic Value Fund |
$44,224 | $47,080 | $628 | $684 | $5,253 | $4,382 | $0 | $369 | ||||||||
| Disciplined Value International Fund |
$59,068 | $63,133 | $628 | $684 | $6,622 | $6,340 | $0 | $369 | ||||||||
|
Diversified Macro Fund |
$72,469 | $76,172 | $628 | $684 | $8,566 | $4,382 | $0 | $369 | ||||||||
36
| Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||
| Fund | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | ||||||||
| Emerging Markets Equity Fund |
$46,490 | $49,414 | $628 | $684 | $5,253 | $4,382 | $0 | $369 | ||||||||
|
ESG Large Cap Core Fund |
$46,490 | $49,414 | $628 | $684 | $5,253 | $4,382 | $0 | $369 | ||||||||
| Financial Industries Fund |
$44,224 | $47,080 | $628 | $684 | $6,566 | $5,695 | $0 | $369 | ||||||||
|
Fundamental Large Cap Core Fund |
$44,224 | $47,080 | $628 | $684 | $6,566 | $5,695 | $0 | $369 | ||||||||
| Global Environmental Opportunities Fund |
$43,264 | $46,855 | $628 | $684 | $7,935 | $5,027 | $0 | $369 | ||||||||
|
Infrastructure Fund |
$44,224 | $47,080 | $628 | $684 | $5,253 | $4,382 | $0 | $369 | ||||||||
| International Dynamic Growth Fund |
$48,432 | $52,178 | $628 | $684 | $6,622 | $5,027 | $0 | $369 | ||||||||
|
Regional Bank Fund |
$44,224 | $47,080 | $628 | $684 | $6,566 | $5,695 | $0 | $369 | ||||||||
| Small Cap Core Fund |
$44,224 | $47,080 | $628 | $684 | $6,566 | $4,382 | $0 | $369 | ||||||||
|
U.S. Global Leaders Growth Fund |
$44,224 | $47,080 | $628 | $684 | $5,253 | $4,382 | $0 | $369 | ||||||||
| John Hancock Fund Complex |
$674,720 | $720,072 | $8,792 | $9,576 | $88,896 | $68,535 | $0 | $5,166 | ||||||||
Fees Paid to PwC for the Last Two Fiscal Years Ended December 31
| Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||||||||||||||||||
| Fund | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | ||||||||||||||||||||||||
| Collateral Trust |
$40,601 | $42,319 | $629 | $684 | $3,168 | $3,263 | $369 | $0 | ||||||||||||||||||||||||
|
Multimanager Lifestyle Aggressive Portfolio1 |
$33,818 | $35,332 | $7,394 | $7,652 | $0 | $6,090 | $369 | $0 | ||||||||||||||||||||||||
| Multimanager Lifestyle Balanced Portfolio1 |
$33,818 | $35,332 | $7,394 | $7,652 | $0 | $6,090 | $369 | $0 | ||||||||||||||||||||||||
|
Multimanager Lifestyle Conservative Portfolio1 |
$33,818 | $35,332 | $7,394 | $7,652 | $0 | $6,090 | $369 | $0 | ||||||||||||||||||||||||
| Multimanager Lifestyle Growth Portfolio1 |
$33,818 | $35,332 | $7,394 | $7,652 | $0 | $6,090 | $369 | $0 | ||||||||||||||||||||||||
37
| Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | |||||||||||||||||||||||||||||
| Fund | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | 2023 | 2024 | ||||||||||||||||||||||||
|
Multimanager Lifestyle Moderate Portfolio1 |
$33,818 | $35,332 | $7,394 | $7,652 | $0 | $6,090 | $369 | $0 | ||||||||||||||||||||||||
| John Hancock Fund Complex |
$209,691 | $218,979 | $37,599 | $38,944 | $3,168 | $33,713 | $2,214 | $0 | ||||||||||||||||||||||||
1 Effective August 31, 2025, the fund’s fiscal year end changed to August 31.
The SEC’s auditor independence rules require each Trust’s Audit Committee to pre-approve: (a) all audit and permissible non-audit services provided by PwC directly to the Fund; and (b) those permissible non-audit services provided by PwC to the Advisor (not including any subadvisor whose role is primarily portfolio management and is sub-contracted with or overseen by another investment advisor) and any entity controlling, controlled by or under common control with the Advisor that provides ongoing services to the Fund (the “Affiliated Service Providers”), if the services relate directly to the operations and financial reporting of the Fund. The Audit Committee has adopted policies and procedures regarding the pre-approval of audit and non-audit services by PwC. The procedures are designed to assure that these services do not impair PwC’s independence. The procedures also require the Audit Committee to pre-approve non-audit services provided by PwC to the Trust, the Advisor or any entity controlling, controlled by or under common control with the Advisor (an “Advisor Affiliate”) where such services provided have a direct impact on the operations or financial reporting of the Fund, as further assurance that such services do not impair PwC’s independence. The procedures follow two different approaches to pre-approving services: (1) proposed services may be pre-approved (“general pre-approval”); or (2) proposed services require specific pre-approval (“specific pre-approval”). Unless a type of service provided by PwC has received general pre-approval, it will require specific pre-approval by the Audit Committee. The procedures describe the audit, audit-related, tax and other non-audit services that have been pre-approved by an Audit Committee. The Audit Committee annually reviews these services and the amount of fees for each such service that have been pre-approved. The Audit Committee may delegate pre-approval authority to a subcommittee of one or more members.
The following tables show the aggregate non-audit fees billed by PwC for non-audit services rendered to the Funds, the Advisor and the Affiliated Service Providers for the indicated fiscal year and period ends.
Non-Audit Fees for Funds
| Fiscal Year End | 2023 | 2024 | 2025 | |||
|
March 31 |
N/A | $1,002,661 | $733,255 | |||
| May 31 |
N/A | $969,378 | $636,132 | |||
| July 31 |
$1,256,381 | $1,082,044 | N/A | |||
|
August 31 |
$1,418,917 | $865,338 | N/A | |||
|
October 31 |
$1,158,061 | $825,083 | N/A | |||
|
December 31 |
$1,174,050 | $669,418 | N/A |
During the Reporting Periods, PwC billed no fees that an Audit Committee was required to pre-approve pursuant to paragraph (c)(7)(i)(C) of Rule 2-01 of Regulation S-X.
The Audit Committee has considered whether the provision of non-audit services that were rendered to Affiliated Service Providers that were not pre-approved pursuant to paragraph (c)(7)(ii) of Rule 2-01 of Regulation S-X is compatible with maintaining PwC’s independence. For the Reporting Periods, there were no non-audit fees billed by PwC for services rendered to the Affiliated Service Providers.
38
Shareholders and Voting Information
Shares of the Funds, except the Collateral Trust, are offered to the public, including various institutional investors. Shares of the Collateral Trust are only offered by way of a “private placement” exempt from the registration requirements of the Securities Act of 1933 (the “1933 Act”), applicable state securities laws pursuant to Rule 506 of Regulation D under the 1933 Act and comparable state law exemptions and/or through private placement transactions that do not involve any “public offering” within the meaning of Section 4(a)(2) of the 1933 Act. Only shares of a particular Fund are entitled to vote on matters that affect only the interests of that Fund.
As of the Record Date, the Class NAV shares of the Funds, as applicable, were held principally by other funds in the John Hancock Fund Complex (collectively, the “Funds of Funds”). No Fund of Funds holding Class NAV shares of a Fund exercises any discretion in voting such shares.
For purposes of the 1940 Act, any person who owns “beneficially” more than 25% of any class of the outstanding shares of a Fund is presumed to “control” that class of shares of the Fund. Shares are generally deemed to be beneficially owned by a person who has the power to vote or dispose of the shares. Consequently, an entity that is deemed to have the power to vote or dispose of more than 25% of the shares of any class of shares of a Fund will be presumed to control that class of shares of a Fund. As currently operated, the Funds of Funds have no power to exercise any discretion in voting the shares of underlying Funds, and the power to dispose of the shares resides not with the Funds of Funds or with the Funds but rather with the subadvisor to the Fund of Funds as a result of its advisory arrangements. Under these circumstances, the Funds do not view a Fund of Funds as being the beneficial owner of shares of underlying Funds for purposes of the 1940 Act presumption of control.
Information regarding the number of shares outstanding for each Fund, and share ownership of each Fund, as of the Record Date or such other recent date as may be indicated, is set forth in Appendix B (“Outstanding Shares and Share Ownership”) to this Proxy Statement.
Each Fund will furnish, without charge, a copy of its most recent annual report and semi-annual report to any shareholder upon request. To obtain a report, please contact the relevant Fund by calling 800-225-5291. Copies of these reports are also available on the Internet at www.jhinvestments.com.
Voting Procedures
Proxies may be revoked at any time prior to the voting of the shares represented thereby by: submitting to the Trusts a written notice of revocation or a subsequently executed proxy; by calling the toll-free telephone number; or attending the Meeting and voting in person. All valid proxies will be voted in accordance with specifications thereon, or in the absence of specifications, for approval of the proposal.
Quorum. Shareholders of record at the close of business on the Record Date will be entitled to vote at the Meeting or any adjournment of the Meeting. The holders of a majority of the issued and outstanding shares of a Trust at the close of business on that date present in person or by proxy will constitute a quorum for the Meeting. A quorum, once established at a meeting, shall not be broken by the withdrawal of enough votes to leave less than a quorum.
Shareholders are entitled to one vote for each share held and fractional votes for fractional shares held. No shares have cumulative voting rights.
In the event the necessary quorum to transact business or the vote required to approve the proposal is not obtained at the Meeting, the persons named as proxies may propose one or more adjournments of the Meeting with respect to the proposal in accordance with applicable law to permit further solicitation of proxies. Any adjournment of the Meeting generally will require the affirmative vote of the holders of a majority of the shares of the Trusts cast at the Meeting, and any adjournment with respect to the Proposal will require the affirmative vote of the holders of a majority of the shares entitled to vote on the Proposal cast at the Meeting. The persons named as proxies will vote for or against any adjournment in their discretion.
39
Abstentions. Abstentions (i.e., shares held by brokers or nominees as to which: (i) instructions have not been received from the beneficial owners or the persons entitled to vote; and (ii) the broker or nominee indicates on the proxy that it does not have discretionary voting power on a particular matter) are counted as shares entitled to vote and present at the Meeting in determining whether a quorum is present but do not count as votes cast “for” the proposal. An abstention will not be counted as a vote cast on the proposal.
Broker “Non-Votes.” The Trusts understand that, under the rules of the New York Stock Exchange (the “NYSE”), broker-dealer firms that hold shares of a fund in “street name” may, for certain “routine” matters, grant discretionary authority to the proxies designated by the Board to vote without instructions from their customers and clients if no instructions have been received prior to the date specified in the broker-dealer firm’s request for voting instructions. “Broker non-votes” are shares held by brokers or nominees, typically in “street name,” for which the broker or nominee returns a completed proxy but are not voted because instructions have not been received from beneficial owners or persons entitled to vote and the broker or nominee does not have discretionary authority to vote such shares on a particular matter. Broker non-votes typically occur when both routine and non-routine proposals are being considered at a meeting. The proposal described in this Proxy Statement is considered a “routine” matter for which, under the rules of the NYSE, uninstructed shares may be voted by broker-dealers. As a result, it is expected that there will not be broker non-votes at the Meeting.
Broker-dealers who are not members of the NYSE may be subject to other rules, which may or may not permit them to vote your shares without instruction. We urge you to provide instructions to your broker or nominee so that your votes may be counted.
Cost of Preparation of Proxy Materials. The costs of the preparation of these proxy materials are expected to be approximately $300,000 and will be borne by the Funds, allocated among them on the basis of their relative net assets.
Solicitation and Distribution of Proxies. In addition to the preparation of these proxy materials, proxies will be mailed and may be solicited by telephone, by email, or in person by the Trustees, Officers and employees of the Trusts; by personnel of the Advisor, its affiliates, or by broker-dealer firms. Sodali & Co. has been retained to assist in the mailing and solicitation of proxies at a cost of approximately $5,008,524. The costs of the distribution of these proxy materials and any proxy solicitation will be borne by the Funds, allocated among them on the basis of their relative net assets.
Fund Voting. Shares of all Funds of each Trust will vote in the aggregate and not separately by Fund or class of shares with respect to the Proposal.
Telephone Voting
In addition to soliciting proxies by mail, by fax or in person, the Trusts may also arrange to have votes recorded by telephone by officers and employees of the Trusts or by the personnel of the Advisor, the transfer agent or Signature Services. The telephone voting procedure is designed to verify a shareholder’s identity, to allow a shareholder to authorize the voting of shares in accordance with the shareholder’s instructions and to confirm that the voting instructions have been properly recorded.
A shareholder will be called on a recorded line at the telephone number in a Trust’s account records and will be asked to provide certain identifying information.
The shareholder will then be given an opportunity to authorize proxies to vote his or her shares at the Meeting in accordance with the shareholder’s instructions.
Alternatively, a shareholder may call to vote by taking the following steps:
| • | Read the Proxy Statement and have your proxy card(s) at hand. |
| • | Call the toll-free-number located on your proxy card(s). |
40
| • | Enter the “control number” found on the front of your proxy card(s). |
| • | Follow recorded instructions to cast your vote. |
To ensure that the shareholder’s instructions have been recorded correctly, the shareholder will also receive a confirmation of the voting instructions. If the shareholder decides after voting by telephone to attend the Meeting, the shareholder can revoke the proxy at that time and vote the shares at the Meeting.
Internet Voting
You will also have the opportunity to submit your voting instructions via the Internet by utilizing a program provided through a vendor. Voting via the Internet will not affect your right to vote in person if you decide to attend the Meeting. Do not mail the proxy card(s) if you are voting via the Internet. To vote via the Internet, you will need the “control number” that appears on your proxy card(s). These Internet voting procedures are designed to authenticate shareholder identities, to allow shareholders to give their voting instructions and to confirm that shareholders’ instructions have been recorded properly. If you are voting via the Internet, you should understand that there may be costs associated with electronic access, such as usage charges from Internet access providers and telephone companies, which costs you must bear.
To vote via the Internet:
| ◾ | Read the Proxy Statement and have your proxy card(s) at hand. |
| ◾ | Go to the Web site on the proxy card(s). |
| ◾ | Enter the “control number” found on your proxy card(s). |
| ◾ | Follow the instructions on the website. |
To ensure that your instructions have been recorded correctly, you will receive a confirmation of your voting instructions immediately after your submission.
41
The Board does not know of any matters to be presented at the Meeting other than those described in this Proxy Statement. If any other matters properly come before the Meeting, the shares represented by proxies will be voted in accordance with the best judgment of the person or persons voting the proxies.
No Trust is required to hold annual meetings of shareholders and, therefore, it cannot be determined when the next meeting of shareholders will be held. Shareholder proposals to be presented at any future meeting of shareholders of that Trust must be received by a Trust a reasonable time before that Trust’s solicitation of proxies for that meeting in order for such proposals to be considered for inclusion in the proxy materials related to that meeting.
BY ORDER OF THE BOARD OF TRUSTEES
September 15, 2025
Boston, Massachusetts
IT IS IMPORTANT THAT PROXIES BE RETURNED PROMPTLY. THEREFORE, SHAREHOLDERS WHO DO NOT EXPECT TO ATTEND THE MEETING IN PERSON ARE URGED TO COMPLETE, SIGN, DATE AND RETURN THE PROXY CARD(S) IN THE ENCLOSED ENVELOPE OR, ALTERNATIVELY, TO VOTE BY TOUCH-TONE TELEPHONE OR THE INTERNET. IF SHAREHOLDERS DO NOT RETURN THEIR PROXIES IN SUFFICIENT NUMBERS, IT MAY RESULT IN THE NEED FOR ADDITIONAL SHAREHOLDER SOLICITATION EFFORTS.
42
Appendices
PROXY STATEMENT OF
JOHN HANCOCK BOND TRUST
JOHN HANCOCK CALIFORNIA TAX-FREE INCOME FUND
JOHN HANCOCK CAPITAL SERIES
JOHN HANCOCK COLLATERAL TRUST
JOHN HANCOCK CURRENT INTEREST
JOHN HANCOCK FUNDS II
JOHN HANCOCK FUNDS III
JOHN HANCOCK INVESTMENT TRUST
JOHN HANCOCK INVESTMENT TRUST II
JOHN HANCOCK INVESTMENT TRUST III
JOHN HANCOCK MUNICIPAL SECURITIES TRUST
JOHN HANCOCK SOVEREIGN BOND FUND
JOHN HANCOCK STRATEGIC SERIES
(each, a “Trust” and collectively, the “Trusts”)
SPECIAL JOINT MEETING OF SHAREHOLDERS TO BE HELD NOVEMBER 12, 2025
| Appendix A | John Hancock Funds Procedures for the Selection of Independent Trustees | |
| Appendix B | Outstanding Shares and Share Ownership | |
| Exhibit A | Procedures for the Selection of New Independent Trustees |
John Hancock Investment Management Distributors LLC
MEMBER FINRA / SIPC
200 Berkeley Street
Boston, Massachusetts 02116
1-800-225-5291
www.jhinvestments.com
43
Appendix A - John Hancock Funds Procedures for the Selection of Independent Trustees
1. Nominees should have a reputation for integrity, honesty and adherence to high ethical standards.
2. Nominees should have demonstrated business acumen, experience and ability to exercise sound judgments in matters that relate to the current and long-term objectives of the funds and should be willing and able to contribute positively to the decision-making process of the funds.
3. Nominees should have a commitment to understand the funds, and the responsibilities of a trustee/director of an investment company and to regularly attend and participate in meetings of the Board and its committees.
4. Nominees should have the ability to understand the sometimes conflicting interests of the various constituencies of the funds, including shareholders and the management company, and to act in the interests of all shareholders.
5. Nominees should not have, nor appear to have, a conflict of interest that would impair their ability to represent the interests of all the shareholders and to fulfill the responsibilities of a director/trustee.
Application of Criteria to Existing Trustees
The renomination of existing Trustees should not be viewed as automatic, but should be based on continuing qualification under the criteria set forth above. In addition, the Nominating and Governance Committee shall consider the existing Trustee’s performance on the Board and any committee.
A-1
Appendix B - Outstanding Shares and Share Ownership
This table shows, as of the Record Date, the number of shares of each Fund eligible to be voted at the Meeting. Certain Funds have issued Class NAV shares, which are held primarily by other investment companies managed by the Advisor or its affiliates.
| Fund Name | Share Class | Outstanding Shares | ||
| 2010 Lifetime Blend Portfolio | A | 2,059,201 | ||
| 2010 Lifetime Blend Portfolio | R4 | 4,908 | ||
| 2010 Lifetime Blend Portfolio | R6 | 1,477,696 | ||
| 2010 Lifetime Blend Portfolio | 1 | 3,372,883.344 | ||
| 2015 Lifetime Blend Portfolio | 1 | 2,625,730.507 | ||
| 2015 Lifetime Blend Portfolio | A | 3,887,706 | ||
| 2015 Lifetime Blend Portfolio | R4 | 1,978 | ||
| 2015 Lifetime Blend Portfolio | R6 | 2,368,854 | ||
| 2020 Lifetime Blend Portfolio | 1 | 8,231,700.980 | ||
| 2020 Lifetime Blend Portfolio | A | 13,712,584 | ||
| 2020 Lifetime Blend Portfolio | R4 | 114,420 | ||
| 2020 Lifetime Blend Portfolio | R6 | 5,624,544 | ||
| 2025 Lifetime Blend Portfolio | 1 | 20,862,288.126 | ||
| 2025 Lifetime Blend Portfolio | A | 28,177,708 | ||
| 2025 Lifetime Blend Portfolio | R4 | 163,114 | ||
| 2025 Lifetime Blend Portfolio | R6 | 12,446,637 | ||
| 2030 Lifetime Blend Portfolio | 1 | 35,005,694.984 | ||
| 2030 Lifetime Blend Portfolio | A | 24,332,954 | ||
| 2030 Lifetime Blend Portfolio | R4 | 466,977 | ||
| 2030 Lifetime Blend Portfolio | R6 | 19,562,390 | ||
| 2035 Lifetime Blend Portfolio | 1 | 37,564,493.591 | ||
| 2035 Lifetime Blend Portfolio | A | 20,097,999 | ||
| 2035 Lifetime Blend Portfolio | R4 | 327,194 | ||
| 2035 Lifetime Blend Portfolio | R6 | 18,092,058 | ||
| 2040 Lifetime Blend Portfolio | 1 | 31,045,067.971 | ||
| 2040 Lifetime Blend Portfolio | A | 15,811,472 | ||
| 2040 Lifetime Blend Portfolio | R4 | 68,977 | ||
| 2040 Lifetime Blend Portfolio | R6 | 15,760,961 | ||
| 2045 Lifetime Blend Portfolio | 1 | 25,973,213.433 | ||
| 2045 Lifetime Blend Portfolio | A | 14,471,629 | ||
| 2045 Lifetime Blend Portfolio | R4 | 242,597 | ||
| 2045 Lifetime Blend Portfolio | R6 | 12,015,767 | ||
| 2050 Lifetime Blend Portfolio | 1 | 20,763,657.480 | ||
| 2050 Lifetime Blend Portfolio | A | 11,777,691 | ||
| 2050 Lifetime Blend Portfolio | R4 | 119,053 | ||
| 2050 Lifetime Blend Portfolio | R6 | 10,511,542 | ||
| 2055 Lifetime Blend Portfolio | 1 | 16,726,803.386 | ||
| 2055 Lifetime Blend Portfolio | A | 8,727,296 | ||
| 2055 Lifetime Blend Portfolio | R4 | 106,858 | ||
| 2055 Lifetime Blend Portfolio | R6 | 7,921,756 | ||
| 2060 Lifetime Blend Portfolio | 1 | 9,663,102.593 | ||
| 2060 Lifetime Blend Portfolio | A | 4,232,397 | ||
| 2060 Lifetime Blend Portfolio | R4 | 88,047 | ||
| 2060 Lifetime Blend Portfolio | R6 | 4,879,684 | ||
| 2065 Lifetime Blend Portfolio | 1 | 5,414,648.492 |
B-1
| Fund Name | Share Class | Outstanding Shares | ||
| 2065 Lifetime Blend Portfolio | A | 1,111,545 | ||
| 2065 Lifetime Blend Portfolio | R4 | 5,000 | ||
| 2065 Lifetime Blend Portfolio | R6 | 1,526,770 | ||
| 2070 Lifetime Blend Portfolio | 1 | 23,091.909 | ||
| 2070 Lifetime Blend Portfolio | A | 6,198 | ||
| 2070 Lifetime Blend Portfolio | R6 | 9,817 | ||
| Alternative Asset Allocation Fund | A | 3,301,981 | ||
| Alternative Asset Allocation Fund | C | 229,291 | ||
| Alternative Asset Allocation Fund | I | 53,021,057 | ||
| Alternative Asset Allocation Fund | R2 | 15,686 | ||
| Alternative Asset Allocation Fund | R4 | 8,365 | ||
| Alternative Asset Allocation Fund | R6 | 2,120,479 | ||
| Blue Chip Growth Fund | 1 | 30,019,762.550 | ||
| Blue Chip Growth Fund | NAV | 35,741,484.237 | ||
| Blue Chip Growth Fund | A | 20,749,601 | ||
| Blue Chip Growth Fund | C | 744,417 | ||
| Capital Appreciation Value Fund | NAV | 115,690,983.124 | ||
| Core Bond Fund | 1 | 1,611,034.180 | ||
| Core Bond Fund | NAV | 150,901,963.795 | ||
| Disciplined Value Emerging Markets Equity Fund | NAV | 6,264,318.206 | ||
| Disciplined Value Emerging Markets Equity Fund | A | 3,195,783 | ||
| Disciplined Value Emerging Markets Equity Fund | C | 69,240 | ||
| Disciplined Value Emerging Markets Equity Fund | I | 2,659,037 | ||
| Disciplined Value Emerging Markets Equity Fund | R6 | 107,307 | ||
| Emerging Markets Debt Fund | NAV | 136,104,003.159 | ||
| Emerging Markets Debt Fund | A | 275,981 | ||
| Emerging Markets Debt Fund | C | 27,435 | ||
| Emerging Markets Debt Fund | I | 5,522,455 | ||
| Emerging Markets Debt Fund | R6 | 608,066 | ||
| Equity Income Fund | 1 | 22,395,151.404 | ||
| Equity Income Fund | A | 7,558,634 | ||
| Equity Income Fund | C | 42,408 | ||
| Floating Rate Income Fund | 1 | 2,072,320.782 | ||
| Floating Rate Income Fund | NAV | 76,926,684.196 | ||
| Floating Rate Income Fund | A | 14,981,423 | ||
| Floating Rate Income Fund | C | 1,310,207 | ||
| Floating Rate Income Fund | I | 26,675,817 | ||
| Floating Rate Income Fund | R6 | 8,240,431 | ||
| Fundamental All Cap Core Fund | A | 4,649,225 | ||
| Fundamental All Cap Core Fund | C | 848,528 | ||
| Fundamental All Cap Core Fund | I | 7,345,514 | ||
| Fundamental All Cap Core Fund | R2 | 4,888 | ||
| Fundamental All Cap Core Fund | R4 | 766 | ||
| Fundamental All Cap Core Fund | R6 | 2,730,773 | ||
| Global Equity Fund | 46,883,661.878 | |||
| Global Equity Fund | A | 4,877,542 |
B-2
| Fund Name | Share Class | Outstanding Shares | ||
| Global Equity Fund | C | 131,136 | ||
| Global Equity Fund | I | 1,419,940 | ||
| Global Equity Fund | R2 | 2,938 | ||
| Global Equity Fund | R4 | 1,957 | ||
| Global Equity Fund | R6 | 2,538,927 | ||
| International Strategic Equity Allocation Fund | NAV | 377,765,924.586 | ||
| John Hancock Balanced Fund | A | 122,121,232 | ||
| John Hancock Balanced Fund | C | 4,996,540 | ||
| John Hancock Balanced Fund | I | 31,260,142 | ||
| John Hancock Balanced Fund | R2 | 281,651 | ||
| John Hancock Balanced Fund | R4 | 904,992 | ||
| John Hancock Balanced Fund | R5 | 67,707 | ||
| John Hancock Balanced Fund | R6 | 34,858,774 | ||
| John Hancock Bond Fund | NAV | 309,623,042.177 | ||
| John Hancock Bond Fund | A | 137,951,843 | ||
| John Hancock Bond Fund | C | 5,328,676 | ||
| John Hancock Bond Fund | I | 498,378,919 | ||
| John Hancock Bond Fund | R2 | 3,911,489 | ||
| John Hancock Bond Fund | R4 | 1,816,260 | ||
| John Hancock Bond Fund | R6 | 1,001,700,110 | ||
| John Hancock California Municipal Bond Fund | A | 30,005,500 | ||
| John Hancock California Municipal Bond Fund | C | 326,847 | ||
| John Hancock California Municipal Bond Fund | I | 16,683,981 | ||
| John Hancock California Municipal Bond Fund | R6 | 7,085,328 | ||
| John Hancock Classic Value Fund | A | 10,132,196 | ||
| John Hancock Classic Value Fund | C | 121,986 | ||
| John Hancock Classic Value Fund | I | 9,966,837 | ||
| John Hancock Classic Value Fund | R2 | 107,834 | ||
| John Hancock Classic Value Fund | R5 | 5,731 | ||
| John Hancock Classic Value Fund | R6 | 3,534,037 | ||
| John Hancock Collateral Trust | A | 223,989,662 | ||
| John Hancock Disciplined Value Fund | NAV | 134,370,601.034 | ||
| John Hancock Disciplined Value Fund | A | 52,776,385 | ||
| John Hancock Disciplined Value Fund | C | 2,349,255 | ||
| John Hancock Disciplined Value Fund | I | 348,172,258 | ||
| John Hancock Disciplined Value Fund | R2 | 2,154,143 | ||
| John Hancock Disciplined Value Fund | R4 | 1,800,979 | ||
| John Hancock Disciplined Value Fund | R5 | 2,641,251 | ||
| John Hancock Disciplined Value Fund | R6 | 190,018,708 | ||
| John Hancock Disciplined Value Global Long/Short Fund | NAV | 5,541,852.491 | ||
| John Hancock Disciplined Value Global Long/Short Fund | A | 1,793,319 | ||
| John Hancock Disciplined Value Global Long/Short Fund | C | 54,685 | ||
| John Hancock Disciplined Value Global Long/Short Fund | I | 12,001,039 |
B-3
| Fund Name | Share Class | Outstanding Shares | ||
| John Hancock Disciplined Value Global Long/Short Fund | R6 | 797,655 | ||
| John Hancock Disciplined Value International Fund | NAV | 133,757,577.768 | ||
| John Hancock Disciplined Value International Fund | A | 13,803,798 | ||
| John Hancock Disciplined Value International Fund | C | 264,676 | ||
| John Hancock Disciplined Value International Fund | I | 127,331,287 | ||
| John Hancock Disciplined Value International Fund | R2 | 482,499 | ||
| John Hancock Disciplined Value International Fund | R4 | 52,892 | ||
| John Hancock Disciplined Value International Fund | R6 | 60,672,733 | ||
| John Hancock Disciplined Value Mid Cap Fund | A | 53,450,656 | ||
| John Hancock Disciplined Value Mid Cap Fund | C | 2,098,722 | ||
| John Hancock Disciplined Value Mid Cap Fund | I | 510,235,521 | ||
| John Hancock Disciplined Value Mid Cap Fund | R2 | 1,417,267 | ||
| John Hancock Disciplined Value Mid Cap Fund | R4 | 6,348,473 | ||
| John Hancock Disciplined Value Mid Cap Fund | R6 | 233,385,217 | ||
| John Hancock Diversified Macro Fund | NAV | 53,239,483.137 | ||
| John Hancock Diversified Macro Fund | A | 1,844,149 | ||
| John Hancock Diversified Macro Fund | C | 158,864 | ||
| John Hancock Diversified Macro Fund | I | 82,036,890 | ||
| John Hancock Diversified Macro Fund | R6 | 5,165,917 | ||
| John Hancock Diversified Real Assets Fund | NAV | 59,769,770.525 | ||
| John Hancock Emerging Markets Equity Fund | NAV | 107,218,934.995 | ||
| John Hancock Emerging Markets Equity Fund | A | 2,245,701 | ||
| John Hancock Emerging Markets Equity Fund | C | 36,238 | ||
| John Hancock Emerging Markets Equity Fund | I | 7,081,758 | ||
| John Hancock Emerging Markets Equity Fund | R2 | 12,062 | ||
| John Hancock Emerging Markets Equity Fund | R4 | 1,567 | ||
| John Hancock Emerging Markets Equity Fund | R6 | 4,721,901 | ||
| John Hancock ESG Large Cap Core Fund | A | 1,338,701 | ||
| John Hancock ESG Large Cap Core Fund | C | 190,233 | ||
| John Hancock ESG Large Cap Core Fund | I | 3,352,383 | ||
| John Hancock ESG Large Cap Core Fund | R6 | 511,866 | ||
| John Hancock Financial Industries Fund | A | 13,292,001 | ||
| John Hancock Financial Industries Fund | C | 302,217 | ||
| John Hancock Financial Industries Fund | I | 1,890,729 | ||
| John Hancock Financial Industries Fund | R6 | 288,517 | ||
| John Hancock Fundamental Equity Income | A | 8,026 | ||
| John Hancock Fundamental Equity Income | C | 4,345 | ||
| John Hancock Fundamental Equity Income | I | 979,866 | ||
| John Hancock Fundamental Equity Income | R6 | 4,357 |
B-4
| Fund Name | Share Class | Outstanding Shares | ||
| John Hancock Fundamental Large Cap Core Fund | NAV | 29,870,802.630 | ||
| John Hancock Fundamental Large Cap Core Fund | A | 32,939,891 | ||
| John Hancock Fundamental Large Cap Core Fund | C | 572,628 | ||
| John Hancock Fundamental Large Cap Core Fund | I | 10,491,681 | ||
| John Hancock Fundamental Large Cap Core Fund | R2 | 77,635 | ||
| John Hancock Fundamental Large Cap Core Fund | R4 | 1,295 | ||
| John Hancock Fundamental Large Cap Core Fund | R5 | 6,273 | ||
| John Hancock Fundamental Large Cap Core Fund | R6 | 10,795,429 | ||
| John Hancock Global Climate Action Fund | I | 532,993 | ||
| John Hancock Global Environmental Opportunities Fund | A | 1,101,910 | ||
| John Hancock Global Environmental Opportunities Fund | C | 5,011 | ||
| John Hancock Global Environmental Opportunities Fund | I | 1,950,166 | ||
| John Hancock Global Environmental Opportunities Fund | R6 | 8,199,510 | ||
| John Hancock Global Shareholder Yield Fund | A | 25,037,194 | ||
| John Hancock Global Shareholder Yield Fund | C | 336,874 | ||
| John Hancock Global Shareholder Yield Fund | I | 47,075,593 | ||
| John Hancock Global Shareholder Yield Fund | R2 | 60,390 | ||
| John Hancock Global Shareholder Yield Fund | R6 | 24,219,012 | ||
| John Hancock High Yield Fund | NAV | 271,807,076.372 | ||
| John Hancock High Yield Fund | A | 75,514,686 | ||
| John Hancock High Yield Fund | C | 1,134,197 | ||
| John Hancock High Yield Fund | I | 40,397,712 | ||
| John Hancock High Yield Fund | R6 | 80,471,374 | ||
| John Hancock High Yield Municipal Bond Fund | A | 23,591,925 | ||
| John Hancock High Yield Municipal Bond Fund | C | 1,578,561 | ||
| John Hancock High Yield Municipal Bond Fund | I | 25,774,065 | ||
| John Hancock High Yield Municipal Bond Fund | R6 | 2,109,419 | ||
| John Hancock Income Fund | A | 70,130,860 | ||
| John Hancock Income Fund | C | 924,714 | ||
| John Hancock Income Fund | I | 25,390,342 | ||
| John Hancock Income Fund | R2 | 826,005 | ||
| John Hancock Income Fund | R4 | 133,027 | ||
| John Hancock Income Fund | R5 | 743,735 | ||
| John Hancock Income Fund | R6 | 208,631,365 | ||
| John Hancock Infrastructure Fund | NAV | 1,996,717.745 | ||
| John Hancock Infrastructure Fund | A | 4,523,737 | ||
| John Hancock Infrastructure Fund | C | 692,665 |
B-5
| Fund Name | Share Class | Outstanding Shares | ||
| John Hancock Infrastructure Fund | I | 27,290,738 | ||
| John Hancock Infrastructure Fund | R6 | 5,404,896 | ||
| John Hancock International Dynamic Growth Fund | NAV | 89,672,479.702 | ||
| John Hancock International Dynamic Growth Fund | A | 1,922,299 | ||
| John Hancock International Dynamic Growth Fund | C | 55,303 | ||
| John Hancock International Dynamic Growth Fund | I | 54,606,565 | ||
| John Hancock International Dynamic Growth Fund | R6 | 22,464,383 | ||
| John Hancock International Growth Fund | 1 | 1,791,764.252 | ||
| John Hancock International Growth Fund | NAV | 6,220,488.038 | ||
| John Hancock International Growth Fund | A | 16,191,141 | ||
| John Hancock International Growth Fund | C | 764,451 | ||
| John Hancock International Growth Fund | I | 81,047,048 | ||
| John Hancock International Growth Fund | R2 | 126,136 | ||
| John Hancock International Growth Fund | R4 | 337,522 | ||
| John Hancock International Growth Fund | R6 | 56,072,046 | ||
| John Hancock Investment Grade Bond Fund | A | 69,324,912 | ||
| John Hancock Investment Grade Bond Fund | C | 1,292,633 | ||
| John Hancock Investment Grade Bond Fund | I | 196,680,960 | ||
| John Hancock Investment Grade Bond Fund | R2 | 739,924 | ||
| John Hancock Investment Grade Bond Fund | R4 | 22,435 | ||
| John Hancock Investment Grade Bond Fund | R6 | 126,545,898 | ||
| John Hancock Managed Account Shares Bond Completion Portfolio | - | 108,890 | ||
| John Hancock Managed Account Shares Investment-Grade Corporate Bond Portfolio | - | 46,121,277 | ||
| John Hancock Managed Account Shares Non-Investment-Grade Corporate Bond Portfolio | - | 17,286,682 | ||
| John Hancock Managed Account Shares Non-Investment-Grade Municipal Bond Portfolio | - | 2,007,592 | ||
| John Hancock Managed Account Shares Securitized Debt Portfolio | - | 21,639,761 | ||
| John Hancock Mid Cap Growth Fund | NAV | 47,853,497.703 | ||
| John Hancock Mid Cap Growth Fund | A | 2,450,997 | ||
| John Hancock Mid Cap Growth Fund | C | 9,694 | ||
| John Hancock Mid Cap Growth Fund | I | 319,105 | ||
| John Hancock Mid Cap Growth Fund | R6 | 13,680,325 | ||
| John Hancock Money Market Fund | A | 1,485,461,110 | ||
| John Hancock Money Market Fund | C | 5,588,285 | ||
| John Hancock Municipal Opportunities Fund | A | 64,580,149 | ||
| John Hancock Municipal Opportunities Fund | C | 680,671 | ||
| John Hancock Municipal Opportunities Fund | I | 63,865,122 | ||
| John Hancock Municipal Opportunities Fund | R6 | 19,671,024 | ||
| John Hancock Regional Bank Fund | A | 20,254,604 | ||
| John Hancock Regional Bank Fund | C | 1,195,660 | ||
| John Hancock Regional Bank Fund | I | 6,707,443 | ||
| John Hancock Regional Bank Fund | R6 | 236,903 |
B-6
| Fund Name | Share Class | Outstanding Shares | ||
| John Hancock Short Duration Bond Fund | NAV | 100,321,838.072 | ||
| John Hancock Short Duration Bond Fund | A | 13,903,056 | ||
| John Hancock Short Duration Bond Fund | C | 217,373 | ||
| John Hancock Short Duration Bond Fund | I | 24,144,439 | ||
| John Hancock Short Duration Bond Fund | R6 | 9,683,807 | ||
| John Hancock Short Duration Municipal Opportunities Fund | A | 137,955 | ||
| John Hancock Short Duration Municipal Opportunities Fund | C | 9,010 | ||
| John Hancock Short Duration Municipal Opportunities Fund | I | 3,593,131 | ||
| John Hancock Short Duration Municipal Opportunities Fund | R6 | 2,018,050 | ||
| John Hancock Small Cap Core Fund | NAV | 41,618,695.470 | ||
| John Hancock Small Cap Core Fund | A | 23,162,983 | ||
| John Hancock Small Cap Core Fund | I | 27,296,077 | ||
| John Hancock Small Cap Core Fund | R6 | 36,006,169 | ||
| John Hancock U.S. Global Leaders Growth Fund | A | 13,706,730 | ||
| John Hancock U.S. Global Leaders Growth Fund | C | 467,409 | ||
| John Hancock U.S. Global Leaders Growth Fund | I | 10,661,326 | ||
| John Hancock U.S. Global Leaders Growth Fund | R2 | 12,081 | ||
| John Hancock U.S. Global Leaders Growth Fund | R6 | 4,151,202 | ||
| John Hancock U.S. Growth Fund | NAV | 13,384,251.368 | ||
| John Hancock U.S. Growth Fund | A | 32,445,149 | ||
| John Hancock U.S. Growth Fund | C | 959,152 | ||
| John Hancock U.S. Growth Fund | I | 17,211,878 | ||
| John Hancock U.S. Growth Fund | R2 | 60,586 | ||
| John Hancock U.S. Growth Fund | R4 | 561,747 | ||
| John Hancock U.S. Growth Fund | R6 | 30,342,185 | ||
| Lifestyle Blend Aggressive Portfolio | 1 | 33,793,892.500 | ||
| Lifestyle Blend Aggressive Portfolio | A | 8,367,091 | ||
| Lifestyle Blend Aggressive Portfolio | R6 | 1,813,451 | ||
| Lifestyle Blend Balanced Portfolio | 1 | 73,191,999.707 | ||
| Lifestyle Blend Balanced Portfolio | A | 33,807,532 | ||
| Lifestyle Blend Balanced Portfolio | R6 | 3,725,587 | ||
| Lifestyle Blend Conservative Portfolio | 1 | 19,635,694.588 | ||
| Lifestyle Blend Conservative Portfolio | A | 13,930,617 | ||
| Lifestyle Blend Conservative Portfolio | R6 | 906,793 | ||
| Lifestyle Blend Growth Portfolio | 1 | 72,557,064.088 | ||
| Lifestyle Blend Growth Portfolio | A | 21,248,868 | ||
| Lifestyle Blend Growth Portfolio | R6 | 4,156,582 | ||
| Lifestyle Blend Moderate Portfolio | 1 | 23,482,439.819 | ||
| Lifestyle Blend Moderate Portfolio | A | 15,885,789 | ||
| Lifestyle Blend Moderate Portfolio | R6 | 993,225 | ||
| Mid Value Fund | NAV | 84,370,979.038 | ||
| Multi-Asset Absolute Return Fund | NAV | 10,491,765.437 | ||
| Multi-Asset Absolute Return Fund | A | 2,413,834 |
B-7
| Fund Name | Share Class | Outstanding Shares | ||
| Multi-Asset Absolute Return Fund | C | 146,943 | ||
| Multi-Asset Absolute Return Fund | I | 6,963,802 | ||
| Multi-Asset Absolute Return Fund | R2 | 90,742 | ||
| Multi-Asset Absolute Return Fund | R6 | 2,508,764 | ||
| Multi-Asset High Income Fund | NAV | 9,921,641.623 | ||
| Multi-Asset High Income Fund | A | 861,546 | ||
| Multi-Asset High Income Fund | C | 46,805 | ||
| Multi-Asset High Income Fund | I | 118,791 | ||
| Multi-Asset High Income Fund | R6 | 148,117 | ||
| Multimanager 2010 Lifetime Portfolio | 1 | 7,811,241.869 | ||
| Multimanager 2010 Lifetime Portfolio | A | 4,634,853 | ||
| Multimanager 2010 Lifetime Portfolio | I | 5,167 | ||
| Multimanager 2010 Lifetime Portfolio | R2 | 12,509 | ||
| Multimanager 2010 Lifetime Portfolio | R6 | 1,067,389 | ||
| Multimanager 2015 Lifetime Portfolio | 1 | 8,549,919.409 | ||
| Multimanager 2015 Lifetime Portfolio | A | 9,186,237 | ||
| Multimanager 2015 Lifetime Portfolio | I | 14,193 | ||
| Multimanager 2015 Lifetime Portfolio | R2 | 65,849 | ||
| Multimanager 2015 Lifetime Portfolio | R4 | 2,429 | ||
| Multimanager 2015 Lifetime Portfolio | R5 | 6,830 | ||
| Multimanager 2015 Lifetime Portfolio | R6 | 1,253,073 | ||
| Multimanager 2020 Lifetime Portfolio | 1 | 21,681,004.082 | ||
| Multimanager 2020 Lifetime Portfolio | A | 16,175,399 | ||
| Multimanager 2020 Lifetime Portfolio | I | 28,174 | ||
| Multimanager 2020 Lifetime Portfolio | R2 | 316,566 | ||
| Multimanager 2020 Lifetime Portfolio | R4 | 4,649 | ||
| Multimanager 2020 Lifetime Portfolio | R5 | 330,735 | ||
| Multimanager 2020 Lifetime Portfolio | R6 | 2,449,351 | ||
| Multimanager 2025 Lifetime Portfolio | 1 | 45,807,828.758 | ||
| Multimanager 2025 Lifetime Portfolio | A | 18,278,837 | ||
| Multimanager 2025 Lifetime Portfolio | I | 271,886 | ||
| Multimanager 2025 Lifetime Portfolio | R2 | 727,102 | ||
| Multimanager 2025 Lifetime Portfolio | R4 | 63,045 | ||
| Multimanager 2025 Lifetime Portfolio | R5 | 810,659 | ||
| Multimanager 2025 Lifetime Portfolio | R6 | 6,766,310 | ||
| Multimanager 2030 Lifetime Portfolio | 1 | 69,356,705.336 | ||
| Multimanager 2030 Lifetime Portfolio | A | 21,480,817 | ||
| Multimanager 2030 Lifetime Portfolio | I | 127,394 | ||
| Multimanager 2030 Lifetime Portfolio | R2 | 862,760 | ||
| Multimanager 2030 Lifetime Portfolio | R4 | 27,441 | ||
| Multimanager 2030 Lifetime Portfolio | R5 | 492,312 | ||
| Multimanager 2030 Lifetime Portfolio | R6 | 8,350,357 | ||
| Multimanager 2035 Lifetime Portfolio | 1 | 68,045,944.310 | ||
| Multimanager 2035 Lifetime Portfolio | A | 19,473,966 | ||
| Multimanager 2035 Lifetime Portfolio | I | 4,392 | ||
| Multimanager 2035 Lifetime Portfolio | R2 | 936,376 | ||
| Multimanager 2035 Lifetime Portfolio | R4 | 16,526 | ||
| Multimanager 2035 Lifetime Portfolio | R5 | 299,377 | ||
| Multimanager 2035 Lifetime Portfolio | R6 | 9,367,014 | ||
| Multimanager 2040 Lifetime Portfolio | 1 | 57,527,300.842 | ||
| Multimanager 2040 Lifetime Portfolio | A | 16,837,840 |
B-8
| Fund Name | Share Class | Outstanding Shares | ||
| Multimanager 2040 Lifetime Portfolio | I | 88,925 | ||
| Multimanager 2040 Lifetime Portfolio | R2 | 508,814 | ||
| Multimanager 2040 Lifetime Portfolio | R4 | 22,327 | ||
| Multimanager 2040 Lifetime Portfolio | R5 | 333,941 | ||
| Multimanager 2040 Lifetime Portfolio | R6 | 6,553,152 | ||
| Multimanager 2045 Lifetime Portfolio | 1 | 57,414,063.342 | ||
| Multimanager 2045 Lifetime Portfolio | A | 15,034,421 | ||
| Multimanager 2045 Lifetime Portfolio | I | 61,611 | ||
| Multimanager 2045 Lifetime Portfolio | R2 | 589,704 | ||
| Multimanager 2045 Lifetime Portfolio | R4 | 40,674 | ||
| Multimanager 2045 Lifetime Portfolio | R5 | 462,630 | ||
| Multimanager 2045 Lifetime Portfolio | R6 | 7,472,090 | ||
| Multimanager 2050 Lifetime Portfolio | 1 | 33,220,983.314 | ||
| Multimanager 2050 Lifetime Portfolio | A | 6,936,067 | ||
| Multimanager 2050 Lifetime Portfolio | I | 13,855 | ||
| Multimanager 2050 Lifetime Portfolio | R2 | 254,419 | ||
| Multimanager 2050 Lifetime Portfolio | R4 | 2,115 | ||
| Multimanager 2050 Lifetime Portfolio | R5 | 283,930 | ||
| Multimanager 2050 Lifetime Portfolio | R6 | 6,198,777 | ||
| Multimanager 2055 Lifetime Portfolio | 1 | 25,725,241.099 | ||
| Multimanager 2055 Lifetime Portfolio | A | 3,001,558 | ||
| Multimanager 2055 Lifetime Portfolio | I | 4,635 | ||
| Multimanager 2055 Lifetime Portfolio | R2 | 70,066 | ||
| Multimanager 2055 Lifetime Portfolio | R4 | 4,562 | ||
| Multimanager 2055 Lifetime Portfolio | R5 | 319,758 | ||
| Multimanager 2055 Lifetime Portfolio | R6 | 4,774,773 | ||
| Multimanager 2060 Lifetime Portfolio | 1 | 17,552,930.813 | ||
| Multimanager 2060 Lifetime Portfolio | A | 978,740 | ||
| Multimanager 2060 Lifetime Portfolio | I | 3,966 | ||
| Multimanager 2060 Lifetime Portfolio | R2 | 30,998 | ||
| Multimanager 2060 Lifetime Portfolio | R4 | 1,415 | ||
| Multimanager 2060 Lifetime Portfolio | R5 | 174,465 | ||
| Multimanager 2060 Lifetime Portfolio | R6 | 3,433,946 | ||
| Multimanager 2065 Lifetime Portfolio | 1 | 8,152,552.998 | ||
| Multimanager 2065 Lifetime Portfolio | A | 163,678 | ||
| Multimanager 2065 Lifetime Portfolio | I | 5,353 | ||
| Multimanager 2065 Lifetime Portfolio | R2 | 1,028 | ||
| Multimanager 2065 Lifetime Portfolio | R4 | 5,584 | ||
| Multimanager 2065 Lifetime Portfolio | R5 | 52,522 | ||
| Multimanager 2065 Lifetime Portfolio | R6 | 849,571 | ||
| Multimanager 2070 Lifetime Portfolio | 1 | 47,358.867 | ||
| Multimanager 2070 Lifetime Portfolio | A | 5,008 | ||
| Multimanager 2070 Lifetime Portfolio | R6 | 5,000 | ||
| Multimanager Lifestyle Aggressive Portfolio | 1 | 156,630,054.891 | ||
| Multimanager Lifestyle Aggressive Portfolio | A | 37,178,814 | ||
| Multimanager Lifestyle Aggressive Portfolio | C | 1,795,029 | ||
| Multimanager Lifestyle Aggressive Portfolio | I | 524,001 | ||
| Multimanager Lifestyle Aggressive Portfolio | R2 | 796,740 | ||
| Multimanager Lifestyle Aggressive Portfolio | R4 | 86,831 | ||
| Multimanager Lifestyle Aggressive Portfolio | R5 | 275,089 | ||
| Multimanager Lifestyle Aggressive Portfolio | R6 | 4,604,284 |
B-9
| Fund Name | Share Class | Outstanding Shares | ||
| Multimanager Lifestyle Balanced Portfolio | 5 | 11,456,518 | ||
| Multimanager Lifestyle Balanced Portfolio | 1 | 366,760,017.832 | ||
| Multimanager Lifestyle Balanced Portfolio | A | 117,884,504 | ||
| Multimanager Lifestyle Balanced Portfolio | C | 2,947,488 | ||
| Multimanager Lifestyle Balanced Portfolio | I | 2,242,054 | ||
| Multimanager Lifestyle Balanced Portfolio | R2 | 1,023,578 | ||
| Multimanager Lifestyle Balanced Portfolio | R4 | 251,287 | ||
| Multimanager Lifestyle Balanced Portfolio | R5 | 533,612 | ||
| Multimanager Lifestyle Balanced Portfolio | R6 | 9,935,700 | ||
| Multimanager Lifestyle Conservative Portfolio | 1 | 77,695,814.699 | ||
| Multimanager Lifestyle Conservative Portfolio | A | 46,289,661 | ||
| Multimanager Lifestyle Conservative Portfolio | C | 1,179,919 | ||
| Multimanager Lifestyle Conservative Portfolio | I | 977,993 | ||
| Multimanager Lifestyle Conservative Portfolio | R2 | 416,913 | ||
| Multimanager Lifestyle Conservative Portfolio | R4 | 199,674 | ||
| Multimanager Lifestyle Conservative Portfolio | R5 | 98,141 | ||
| Multimanager Lifestyle Conservative Portfolio | R6 | 2,364,364 | ||
| Multimanager Lifestyle Growth Portfolio | 5 | 27,176,430 | ||
| Multimanager Lifestyle Growth Portfolio | 1 | 385,287,049.774 | ||
| Multimanager Lifestyle Growth Portfolio | A | 121,390,297 | ||
| Multimanager Lifestyle Growth Portfolio | C | 4,643,825 | ||
| Multimanager Lifestyle Growth Portfolio | I | 1,916,042 | ||
| Multimanager Lifestyle Growth Portfolio | R2 | 1,487,491 | ||
| Multimanager Lifestyle Growth Portfolio | R4 | 179,321 | ||
| Multimanager Lifestyle Growth Portfolio | R5 | 472,422 | ||
| Multimanager Lifestyle Growth Portfolio | R6 | 9,230,469 | ||
| Multimanager Lifestyle Moderate Portfolio | 5 | 4,225,877 | ||
| Multimanager Lifestyle Moderate Portfolio | 1 | 100,837,530.459 | ||
| Multimanager Lifestyle Moderate Portfolio | A | 47,873,879 | ||
| Multimanager Lifestyle Moderate Portfolio | C | 1,473,513 | ||
| Multimanager Lifestyle Moderate Portfolio | I | 1,614,332 | ||
| Multimanager Lifestyle Moderate Portfolio | R2 | 570,555 | ||
| Multimanager Lifestyle Moderate Portfolio | R4 | 38,650 | ||
| Multimanager Lifestyle Moderate Portfolio | R5 | 916,647 | ||
| Multimanager Lifestyle Moderate Portfolio | R6 | 3,932,889 | ||
| Opportunistic Fixed Income Fund | 1 | 4,694,339.628 | ||
| Opportunistic Fixed Income Fund | A | 2,485,121 | ||
| Opportunistic Fixed Income Fund | C | 55,212 | ||
| Opportunistic Fixed Income Fund | I | 1,315,500 | ||
| Opportunistic Fixed Income Fund | R6 | 2,050,509 | ||
| Real Estate Securities Fund | 1 | 15,518,958.395 | ||
| Real Estate Securities Fund | A | 490,464 | ||
| Real Estate Securities Fund | C | 1,281 | ||
| Real Estate Securities Fund | I | 997,460 |
B-10
| Fund Name | Share Class | Outstanding Shares | ||
| Real Estate Securities Fund | R6 | 842,159 | ||
| Small Cap Dynamic Growth Fund | NAV | 10,291,230.783 | ||
| Small Cap Dynamic Growth Fund | A | 15,718,854 | ||
| Small Cap Dynamic Growth Fund | C | 99,246 | ||
| Small Cap Dynamic Growth Fund | I | 764,037 | ||
| Small Cap Dynamic Growth Fund | R6 | 4,688,530 | ||
| Strategic Income Opportunities Fund | NAV | 123,836,547.470 | ||
| Strategic Income Opportunities Fund | A | 23,691,591 | ||
| Strategic Income Opportunities Fund | C | 1,241,013 | ||
| Strategic Income Opportunities Fund | I | 96,523,443 | ||
| Strategic Income Opportunities Fund | R2 | 294,546 | ||
| Strategic Income Opportunities Fund | R6 | 13,635,161 | ||
| U.S. Sector Rotation Fund | NAV | 365,363,863.869 |
B-11
To the best knowledge of the Trusts, as of the Record Date, the following shareholders (principal holders) owned beneficially or of record 5% or more of the outstanding shares of the Funds and classes stated below. A shareholder who owns beneficially more than 25% of a Fund or any class of a Fund is deemed to be a control person of that Fund or that class of the Fund, as applicable, and therefore could determine the outcome of a shareholder meeting with respect to the proposal directly affecting that Fund or that share class, as applicable.
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| 2010 LIFETIME BLEND PORTFOLIO | A | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF DAVID M MCKINLEY 779 CORNELIA DR SE HUNTSVILLE AL 35802-3778 | 13.65% | BENEFICIAL | ||||
| 2010 LIFETIME BLEND PORTFOLIO | R4 | JOHN HANCOCK LIFE INSURANCE CO USA 200 BERKELEY ST BOSTON MA 02116-5022 | 96.75% | BENEFICIAL | ||||
| 2010 LIFETIME BLEND PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 64.18% | RECORD | ||||
| 2010 LIFETIME BLEND PORTFOLIO | R6 | EMPOWER TRUST FBO EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 8.58% | RECORD | ||||
| 2010 LIFETIME BLEND PORTFOLIO | R6 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 8.23% | RECORD | ||||
| 2010 LIFETIME BLEND PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 5.06% | RECORD | ||||
| 2010 LIFETIME BLEND PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 98.46% | RECORD | ||||
B-12
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| 2015 LIFETIME BLEND PORTFOLIO | A | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF RONALD L LOBERFELD 35 PRENTICE RD NEWTON CENTER MA 02459-1325 | 5.21% | BENEFICIAL | ||||
| 2015 LIFETIME BLEND PORTFOLIO | R4 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 100.00% | RECORD | ||||
| 2015 LIFETIME BLEND PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 57.19% | RECORD | ||||
| 2015 LIFETIME BLEND PORTFOLIO | R6 | EMPOWER TRUST FBO RECORDKEEPING FOR LARGE BENEFIT PL 8525 E ORCHARD RD GREENWOOD VLG CO 80111-5002 | 14.71% | RECORD | ||||
| 2015 LIFETIME BLEND PORTFOLIO | R6 | EMPOWER TRUST FBO RECORDKEEPING VARIOUS BENEFIT PL NY 8525 E ORCHARD RD C/O MUTUAL FUND TRADING GREENWOOD VILLAGE CO 80111-5002 | 7.63% | RECORD | ||||
| 2015 LIFETIME BLEND PORTFOLIO | R6 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 6.89% | RECORD | ||||
| 2015 LIFETIME BLEND PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 92.40% | RECORD | ||||
| 2015 LIFETIME BLEND PORTFOLIO | 1 | JHNY RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 7.60% | RECORD | ||||
B-13
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| 2020 LIFETIME BLEND PORTFOLIO | R4 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 70.61% | RECORD | ||||
| 2020 LIFETIME BLEND PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 29.39% | RECORD | ||||
| 2020 LIFETIME BLEND PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 71.58% | RECORD | ||||
| 2020 LIFETIME BLEND PORTFOLIO | R6 | EMPOWER TRUST FBO RECORDKEEPING FOR LARGE BENEFIT PL 8525 E ORCHARD RD GREENWOOD VLG CO 80111-5002 | 7.68% | RECORD | ||||
| 2020 LIFETIME BLEND PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 96.04% | RECORD | ||||
| 2025 LIFETIME BLEND PORTFOLIO | R4 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 52.99% | RECORD | ||||
| 2025 LIFETIME BLEND PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 47.01% | RECORD | ||||
| 2025 LIFETIME BLEND PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 70.00% | RECORD | ||||
| 2025 LIFETIME BLEND PORTFOLIO | R6 | EMPOWER TRUST FBO RECORDKEEPING FOR LARGE BENEFIT PL 8525 E ORCHARD RD GREENWOOD VLG CO 80111-5002 | 7.62% | RECORD | ||||
B-14
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| 2025 LIFETIME BLEND PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 96.31% | RECORD | ||||
| 2030 LIFETIME BLEND PORTFOLIO | R4 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 79.88% | RECORD | ||||
| 2030 LIFETIME BLEND PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 20.12% | RECORD | ||||
| 2030 LIFETIME BLEND PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 74.13% | RECORD | ||||
| 2030 LIFETIME BLEND PORTFOLIO | R6 | EMPOWER TRUST FBO RECORDKEEPING FOR LARGE BENEFIT PL 8525 E ORCHARD RD GREENWOOD VLG CO 80111-5002 | 6.96% | RECORD | ||||
| 2030 LIFETIME BLEND PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 97.10% | RECORD | ||||
| 2035 LIFETIME BLEND PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 59.60% | RECORD | ||||
| 2035 LIFETIME BLEND PORTFOLIO | R4 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 40.40% | RECORD | ||||
| 2035 LIFETIME BLEND PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 73.29% | RECORD | ||||
B-15
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| 2035 LIFETIME BLEND PORTFOLIO | R6 | EMPOWER TRUST FBO EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 5.18% | RECORD | ||||
| 2035 LIFETIME BLEND PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 97.13% | RECORD | ||||
| 2040 LIFETIME BLEND PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 58.50% | RECORD | ||||
| 2040 LIFETIME BLEND PORTFOLIO | R4 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 41.50% | RECORD | ||||
| 2040 LIFETIME BLEND PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 75.17% | RECORD | ||||
| 2040 LIFETIME BLEND PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 97.70% | RECORD | ||||
| 2045 LIFETIME BLEND PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 54.31% | RECORD | ||||
| 2045 LIFETIME BLEND PORTFOLIO | R4 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 45.69% | RECORD | ||||
| 2045 LIFETIME BLEND PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 72.48% | RECORD | ||||
B-16
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| 2045 LIFETIME BLEND PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 97.26% | RECORD | ||||
| 2050 LIFETIME BLEND PORTFOLIO | R4 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 64.15% | RECORD | ||||
| 2050 LIFETIME BLEND PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 35.85% | RECORD | ||||
| 2050 LIFETIME BLEND PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 72.87% | RECORD | ||||
| 2050 LIFETIME BLEND PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 97.02% | RECORD | ||||
| 2055 LIFETIME BLEND PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 78.60% | RECORD | ||||
| 2055 LIFETIME BLEND PORTFOLIO | R4 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 21.40% | RECORD | ||||
| 2055 LIFETIME BLEND PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 73.56% | RECORD | ||||
| 2055 LIFETIME BLEND PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 6.48% | RECORD | ||||
B-17
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| 2055 LIFETIME BLEND PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 96.50% | RECORD | ||||
| 2060 LIFETIME BLEND PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 82.57% | RECORD | ||||
| 2060 LIFETIME BLEND PORTFOLIO | R4 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 17.43% | RECORD | ||||
| 2060 LIFETIME BLEND PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 70.30% | RECORD | ||||
| 2060 LIFETIME BLEND PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 6.36% | RECORD | ||||
| 2065 LIFETIME BLEND PORTFOLIO | R4 | JOHN HANCOCK LIFE INSURANCE CO USA 200 BERKELEY ST BOSTON MA 02116-5022 | 100.00% | BENEFICIAL | ||||
| 2065 LIFETIME BLEND PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 71.87% | RECORD | ||||
| 2065 LIFETIME BLEND PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 11.25% | RECORD | ||||
| 2065 LIFETIME BLEND PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 96.97% | RECORD | ||||
B-18
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| 2070 LIFETIME BLEND PORTFOLIO | A | JOHN HANCOCK LIFE INSURANCE CO USA 200 BERKELEY ST BOSTON MA 02116-5022 | 80.67% | BENEFICIAL | ||||
| 2070 LIFETIME BLEND PORTFOLIO | A | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF JAYLA WALKER 7904 DELLWOOD AVE GLENARDEN MD 20706-1704 | 7.52% | BENEFICIAL | ||||
| 2070 LIFETIME BLEND PORTFOLIO | A | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF JOSHUA ENGELKEN 681 CHANDLER ST TEWKSBURY MA 01876-3705 | 5.50% | BENEFICIAL | ||||
| 2070 LIFETIME BLEND PORTFOLIO | R6 | JOHN HANCOCK LIFE INSURANCE CO USA 200 BERKELEY ST BOSTON MA 02116-5022 | 50.93% | BENEFICIAL | ||||
| 2070 LIFETIME BLEND PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST BOSTON MA 02116-5022 | 49.07% | RECORD | ||||
| 2070 LIFETIME BLEND PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 78.08% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 15.68% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | A | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 15.39% | RECORD | ||||
B-19
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 10.00% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | A | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 9.81% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | A | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 | 7.46% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 6.17% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 32.03% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 27.28% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 9.84% | RECORD | ||||
B-20
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 6.91% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 6.87% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 53.86% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 11.06% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 | 10.07% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 6.79% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 5.45% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R2 | ASCENSUS TRUST COMPANY FBO JASWAL PROFESSIONAL SERVICES CORP PO BOX 10758 FARGO ND 58106-0758 | 33.30% | BENEFICIAL | ||||
B-21
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R2 | MID ATLANTIC TRUST COMPANY FBO PASCACK DATA SERVICES INC 401 K PROFIT SHARING PLAN & TRUST 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 20.66% | BENEFICIAL | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R2 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 18.67% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R2 | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 7.38% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R2 | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 | 5.72% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R2 | ASCENSUS TRUST COMPANY FBO MICHAEL LEE DDS PLLC 401(K) P/S PLA 757292 PO BOX 10758 FARGO ND 58106-0758 | 5.37% | BENEFICIAL | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R2 | ASCENSUS TRUST COMPANY FBO HERR DOKTOR DOKTOR SOLO 401(K) PO BOX 10758 FARGO ND 58106-0758 | 5.05% | BENEFICIAL | ||||
B-22
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R4 | RELIANCE TRUST COMPANY TRUSTEE FBO STUART DEAN CO INC 401(K) 4350 10TH ST LONG IS CITY NY 11101-6910 | 63.40% | BENEFICIAL | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R4 | MATRIX TRUST COMPANY CUST FBO LOWELL AREA SCHOOLS 403(B) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 25.69% | BENEFICIAL | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 10.91% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY (USA) ATTN: JHRPS TRADING OPS ST6 200 BERKELEY ST BOSTON MA 02116-5022 | 16.37% | BENEFICIAL | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R6 | SEI PRIVATE TRUST COMPANY C/O UMB BANK 1 FREEDOM VALLEY DR OAKS PA 19456-9989 | 14.02% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 7.65% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R6 | EMPOWER TRUST FBO EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 6.38% | RECORD | ||||
B-23
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R6 | WELLS FARGO BANK NA FBO OMNIBUS CASH CASH PO BOX 1533 MINNEAPOLIS MN 55480-1533 | 5.77% | RECORD | ||||
| ALTERNATIVE ASSET ALLOCATION FUND | R6 | VOYA RETIREMENT INS AND ANNUITY CO 1 ORANGE WAY WINDSOR CT 06095-4773 | 5.34% | RECORD | ||||
| BALANCED FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 67.96% | RECORD | ||||
| BALANCED FUND | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 6.41% | RECORD | ||||
| BALANCED FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 23.89% | RECORD | ||||
| BALANCED FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 12.60% | RECORD | ||||
| BALANCED FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 12.48% | RECORD | ||||
B-24
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| BALANCED FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 10.35% | RECORD | ||||
| BALANCED FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 7.26% | RECORD | ||||
| BALANCED FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 6.94% | RECORD | ||||
| BALANCED FUND | C | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 5.24% | RECORD | ||||
| BALANCED FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 17.70% | RECORD | ||||
| BALANCED FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 17.29% | RECORD | ||||
| BALANCED FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 15.58% | RECORD | ||||
B-25
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| BALANCED FUND | I | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 9.41% | RECORD | ||||
| BALANCED FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 7.68% | RECORD | ||||
| BALANCED FUND | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 7.25% | RECORD | ||||
| BALANCED FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 6.10% | RECORD | ||||
| BALANCED FUND | I | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 5.49% | RECORD | ||||
| BALANCED FUND | R2 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 10.78% | RECORD | ||||
| BALANCED FUND | R2 | STEVE BERGMAN FBO BERGMAN REALTY CORP 401K PSP & TRUST 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 9.85% | BENEFICIAL | ||||
B-26
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| BALANCED FUND | R2 | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 9.36% | RECORD | ||||
| BALANCED FUND | R2 | MID ATLANTIC TRUST COMPANY FBO ABRASIVES & TOOLS OF NH INC 401(K) 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 8.11% | BENEFICIAL | ||||
| BALANCED FUND | R2 | CBNA CUST FBO HOME OF GOOD SHEPHERD 403B RET 6 RHOADS DR STE 7 UTICA NY 13502-6317 | 7.88% | BENEFICIAL | ||||
| BALANCED FUND | R2 | MID ATLANTIC TRUST COMPANY FBO PARKWAY ANIMAL CLINIC 401(K) PROFIT 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 6.06% | BENEFICIAL | ||||
| BALANCED FUND | R2 | MID ATLANTIC TRUST COMPANY FBO EXTRAORD-N-AIR INC 401(K) PROFIT SH 1251 WATERFRONT PLACE, SUITE 525 PITTSBURGH PA 15222-4228 | 5.17% | BENEFICIAL | ||||
| BALANCED FUND | R4 | JOHN HANCOCK TRUST COMPANY 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 44.27% | RECORD | ||||
| BALANCED FUND | R4 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 40.31% | RECORD | ||||
B-27
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| BALANCED FUND | R4 | MATRIX TRUST COMPANY CUST FBO L & H COMPANY INC 401 (K) PROFIT 717 17TH ST STE 1300 DENVER CO 80202-3304 | 11.61% | BENEFICIAL | ||||
| BALANCED FUND | R5 | ASCENSUS TRUST COMPANY FBO LAUDADIO POLYMERS INC 401K PS PLAN PO BOX 10577 FARGO ND 58106-0577 | 92.14% | BENEFICIAL | ||||
| BALANCED FUND | R5 | FIIOC FBO KOEHLER INSTRUMENT CO INC 401K RETIREMENT PLAN 100 MAGELLAN WAY (KW1C) COVINGTON KY 41015-1987 | 5.98% | BENEFICIAL | ||||
| BALANCED FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 84.26% | RECORD | ||||
| BLUE CHIP GROWTH FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 54.59% | RECORD | ||||
| BLUE CHIP GROWTH FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 21.53% | RECORD | ||||
| BLUE CHIP GROWTH FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 20.44% | RECORD | ||||
B-28
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| BLUE CHIP GROWTH FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 13.83% | RECORD | ||||
| BLUE CHIP GROWTH FUND | C | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 11.30% | RECORD | ||||
| BLUE CHIP GROWTH FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 8.14% | RECORD | ||||
| BLUE CHIP GROWTH FUND | C | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 8.13% | RECORD | ||||
| BLUE CHIP GROWTH FUND | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 94.38% | RECORD | ||||
| BLUE CHIP GROWTH FUND | 1 | JHNY RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 5.62% | RECORD | ||||
| BLUE CHIP GROWTH FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 20.98% | RECORD | ||||
| BLUE CHIP GROWTH FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 36.97% | RECORD | ||||
B-29
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| BLUE CHIP GROWTH FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 15.80% | RECORD | ||||
| BOND FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 63.61% | RECORD | ||||
| BOND FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.59% | RECORD | ||||
| BOND FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 21.22% | RECORD | ||||
| BOND FUND | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 13.47% | RECORD | ||||
| BOND FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 11.98% | RECORD | ||||
| BOND FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 11.65% | RECORD | ||||
B-30
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| BOND FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 8.29% | RECORD | ||||
| BOND FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 6.93% | RECORD | ||||
| BOND FUND | C | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 6.52% | RECORD | ||||
| BOND FUND | C | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 5.38% | RECORD | ||||
| BOND FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 15.52% | RECORD | ||||
| BOND FUND | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 14.70% | RECORD | ||||
| BOND FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 14.27% | RECORD | ||||
| BOND FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 13.89% | RECORD | ||||
B-31
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| BOND FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 11.16% | RECORD | ||||
| BOND FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 8.44% | RECORD | ||||
| BOND FUND | I | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 5.41% | RECORD | ||||
| BOND FUND | R2 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 33.95% | RECORD | ||||
| BOND FUND | R2 | EMPOWER TRUST COMPANY LLC FBO PLANPREMIER RTMT PLANS OMNIBUS 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 7.76% | RECORD | ||||
| BOND FUND | R2 | PRINCIPAL TRUST COMPANY FBO NORTON HEALTHCARE INC 457(B) SALARY DEFERRAL PLAN ATTN PLAN TRUSTEE 1013 CENTRE RD WILMINGTON DE 19805-1265 | 7.55% | BENEFICIAL | ||||
B-32
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| BOND FUND | R2 | EMPOWER TRUST FBO EMPOWER BENEFIT PLANS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 7.32% | RECORD | ||||
| BOND FUND | R2 | GREAT-WEST TRUST COMPANY LLC TTEE F EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 6.76% | RECORD | ||||
| BOND FUND | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 36.98% | RECORD | ||||
| BOND FUND | R4 | EMPOWER TRUST FBO EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 15.93% | RECORD | ||||
| BOND FUND | R4 | ALERUS FINANCIAL FBO WORLD ARCHITECTS 401K 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 10.69% | BENEFICIAL | ||||
| BOND FUND | R4 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 10.68% | RECORD | ||||
| BOND FUND | R4 | CHARLES SCHWAB TRUST BANK TRUST COLSA CORPORATION 401(K) PROFIT SHA ARING PLAN 2423 E LINCOLN DR PHOENIX AZ 85016-1215 | 6.02% | BENEFICIAL | ||||
B-33
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| BOND FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 67.78% | RECORD | ||||
| BOND FUND | R6 | JOHN HANCOCK TRUST COMPANY 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 6.88% | RECORD | ||||
| BOND FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 5.91% | RECORD | ||||
| BOND FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 11.50% | RECORD | ||||
| BOND FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 8.84% | RECORD | ||||
| BOND FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 6.68% | RECORD | ||||
| BOND FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 6.27% | RECORD | ||||
| BOND FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 16.52% | RECORD | ||||
| BOND FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 12.74% | RECORD | ||||
| CALIFORNIA MUNICIPAL BOND FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 49.83% | RECORD | ||||
B-34
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| CALIFORNIA MUNICIPAL BOND FUND | A | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 13.42% | RECORD | ||||
| CALIFORNIA MUNICIPAL BOND FUND | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 6.50% | RECORD | ||||
| CALIFORNIA MUNICIPAL BOND FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 19.64% | RECORD | ||||
| CALIFORNIA MUNICIPAL BOND FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 14.35% | RECORD | ||||
| CALIFORNIA MUNICIPAL BOND FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 9.61% | RECORD | ||||
| CALIFORNIA MUNICIPAL BOND FUND | C | MATTHEW A BERGMAN CAROL R STEPHENS JT WROS 21718 ELKWOOD ST CANOGA PARK CA 91304-4850 | 8.16% | BENEFICIAL | ||||
| CALIFORNIA MUNICIPAL BOND FUND | C | KYOKO O JOHNSON LARRY A JOHNSON JT WROS 271 YOUNG CIR MARINA CA 93933-2718 | 6.11% | BENEFICIAL | ||||
B-35
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| CALIFORNIA MUNICIPAL BOND FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 30.68% | RECORD | ||||
| CALIFORNIA MUNICIPAL BOND FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 22.20% | RECORD | ||||
| CALIFORNIA MUNICIPAL BOND FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 16.91% | RECORD | ||||
| CALIFORNIA MUNICIPAL BOND FUND | I | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 11.71% | RECORD | ||||
| CALIFORNIA MUNICIPAL BOND FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 5.74% | RECORD | ||||
| CALIFORNIA MUNICIPAL BOND FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 5.63% | RECORD | ||||
| CALIFORNIA MUNICIPAL BOND FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 96.58% | RECORD | ||||
| CAPITAL APPRECIATION VALUE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 7.84% | RECORD | ||||
B-36
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| CAPITAL APPRECIATION VALUE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 29.13% | RECORD | ||||
| CAPITAL APPRECIATION VALUE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 26.45% | RECORD | ||||
| CAPITAL APPRECIATION VALUE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 11.86% | RECORD | ||||
| CLASSIC VALUE FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 19.98% | RECORD | ||||
| CLASSIC VALUE FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 15.98% | RECORD | ||||
| CLASSIC VALUE FUND | A | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 6.28% | RECORD | ||||
| CLASSIC VALUE FUND | A | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 5.12% | RECORD | ||||
| CLASSIC VALUE FUND | A | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 5.04% | RECORD | ||||
B-37
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| CLASSIC VALUE FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 28.35% | RECORD | ||||
| CLASSIC VALUE FUND | C | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 12.52% | RECORD | ||||
| CLASSIC VALUE FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 6.39% | RECORD | ||||
| CLASSIC VALUE FUND | C | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 6.31% | RECORD | ||||
| CLASSIC VALUE FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 5.01% | RECORD | ||||
| CLASSIC VALUE FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 16.94% | RECORD | ||||
B-38
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| CLASSIC VALUE FUND | I | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 12.34% | RECORD | ||||
| CLASSIC VALUE FUND | I | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 12.04% | RECORD | ||||
| CLASSIC VALUE FUND | I | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 11.61% | RECORD | ||||
| CLASSIC VALUE FUND | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 8.81% | RECORD | ||||
| CLASSIC VALUE FUND | I | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 6.26% | RECORD | ||||
| CLASSIC VALUE FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 5.76% | RECORD | ||||
B-39
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| CLASSIC VALUE FUND | R2 | ASCENSUS TRUSTCO FBO AG RISK SOLUTIONS RETPLAN PO BOX 10758 FARGO ND 58106-0758 | 46.82% | BENEFICIAL | ||||
| CLASSIC VALUE FUND | R2 | ASCENSUS TRUST COMPANY FBO MAIN PO BOX 10758 FARGO ND 58106-0758 | 16.74% | BENEFICIAL | ||||
| CLASSIC VALUE FUND | R2 | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 9.43% | RECORD | ||||
| CLASSIC VALUE FUND | R5 | MID ATLANTIC TRUST COMPANY FBO ONE SOURCE OFFICE REFRESHMENT 401 K PROFIT SHARING PLAN & TRUST 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 100.00% | BENEFICIAL | ||||
| CLASSIC VALUE FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 53.07% | RECORD | ||||
| CLASSIC VALUE FUND | R6 | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 23.36% | RECORD | ||||
| CLASSIC VALUE FUND | R6 | THE NORTHERN TRUST CORPORATION AGEN FBO MODERN WOODMEN RETIREMENT PLAN PO BOX 92956 CHICAGO IL 60675-2956 | 9.46% | BENEFICIAL | ||||
B-40
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| CLASSIC VALUE FUND | R6 | EMPOWER TRUST FBO EMPLOYEE BENEFITS CLIENTS 401K - FG 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 5.26% | RECORD | ||||
| COLLATERAL TRUST | CIT | STATE STREET FBO CASH SWEEP STATE STREET BANK AND TRUST 1776 HERITAGE DR QUINCY MA 02171-2119 | 58.62% | RECORD | ||||
| COLLATERAL TRUST | CIT | JHF III DISCIPLINED VALUE MID CAP C/O JOHN HANCOCK INVESTMENT MGMT 200 BERKELEY ST BOSTON MA 02116-5022 | 13.91% | RECORD | ||||
| CORE BOND FUND | NAV | T ROWE PRICE SERVICES INC ALASKA COLLEGE SAVINGS TRUST PORTFOLIO 2025-2028 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 10.63% | BENEFICIAL | ||||
| CORE BOND FUND | NAV | T ROWE PRICE SERVICES INC ALASKA COLLEGE SAVINGS TRUST PORTFOLIO - COLLEGE 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 9.56% | BENEFICIAL | ||||
| CORE BOND FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST PORTFOLIO 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 8.97% | BENEFICIAL | ||||
| CORE BOND FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 14.39% | RECORD | ||||
| CORE BOND FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 13.02% | RECORD | ||||
B-41
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| CORE BOND FUND | NAV | FUND OF FUNDS V BOSTON, MA 02116 | 16.66% | RECORD | ||||
| CORE BOND FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 6.02% | RECORD | ||||
| CORE BOND FUND | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 100% | RECORD | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 66.79% | RECORD | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 53.24% | RECORD | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | C | JOHN HANCOCK LIFE & HEALTH INS CO DUNE VIEW GARDENS INC SIMPLE IRA FBO TIMOTHY M HURLEY PO BOX 2159 SOUTHAMPTON NY 11969-2159 | 21.23% | BENEFICIAL | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 86.08% | RECORD | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.39% | RECORD | ||||
B-42
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST BOSTON MA 02116-5022 | 37.45% | RECORD | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 22.02% | RECORD | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 10.39% | RECORD | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | R6 | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 8.25% | RECORD | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | R6 | C/O GWP US ADVISORS SEI PRIVATE TRUST COMPANY 1 FREEDOM VALLEY DR OAKS PA 19456-9989 | 7.08% | RECORD | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | R6 | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 6.91% | RECORD | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST PORTFOLIO 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 15.99% | BENEFICIAL | ||||
B-43
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST PORTFOLIO 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 13.66% | BENEFICIAL | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST PORTFOLIO 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 10.82% | BENEFICIAL | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST PORTFOLIO EQUITY 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 10.73% | BENEFICIAL | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST PORTFOLIO - COLLEGE 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 7.55% | BENEFICIAL | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST PORTFOLIO 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 7.13% | BENEFICIAL | ||||
| DISCIPLINED VALUE EMERGING MARKETS EQUITY FUND | NAV | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 32.58% | RECORD | ||||
B-44
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 50.09% | RECORD | ||||
| DISCIPLINED VALUE FUND | A | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 7.37% | RECORD | ||||
| DISCIPLINED VALUE FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.89% | RECORD | ||||
| DISCIPLINED VALUE FUND | A | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENE OF CUST ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 5.52% | RECORD | ||||
| DISCIPLINED VALUE FUND | C | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 16.08% | RECORD | ||||
| DISCIPLINED VALUE FUND | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 11.68% | RECORD | ||||
B-45
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 11.40% | RECORD | ||||
| DISCIPLINED VALUE FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 9.64% | RECORD | ||||
| DISCIPLINED VALUE FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 8.73% | RECORD | ||||
| DISCIPLINED VALUE FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 8.68% | RECORD | ||||
| DISCIPLINED VALUE FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 8.27% | RECORD | ||||
| DISCIPLINED VALUE FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 7.37% | RECORD | ||||
| DISCIPLINED VALUE FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 27.44% | RECORD | ||||
B-46
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE FUND | I | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 17.58% | RECORD | ||||
| DISCIPLINED VALUE FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 15.98% | RECORD | ||||
| DISCIPLINED VALUE FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 14.51% | RECORD | ||||
| DISCIPLINED VALUE FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 5.78% | RECORD | ||||
| DISCIPLINED VALUE FUND | R2 | JOHN HANCOCK TRUST COMPANY 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 18.60% | RECORD | ||||
| DISCIPLINED VALUE FUND | R2 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 15.26% | RECORD | ||||
| DISCIPLINED VALUE FUND | R2 | DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 | 9.95% | RECORD | ||||
B-47
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE FUND | R2 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 8.67% | RECORD | ||||
| DISCIPLINED VALUE FUND | R2 | SAMMONS FINANCIAL NETWORK LLC 8300 MILLS CIVIC PKWY WDM IA 50266-3833 | 5.56% | RECORD | ||||
| DISCIPLINED VALUE FUND | R2 | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 5.42% | RECORD | ||||
| DISCIPLINED VALUE FUND | R4 | CHARLES SCHWAB TRUST BANK TRUST COLSA CORPORATION 401(K) PROFIT SHARING PLAN 2423 E LINCOLN DR PHOENIX AZ 85016-1215 | 30.58% | BENEFICIAL | ||||
| DISCIPLINED VALUE FUND | R4 | TIAA TRUST NA CUST/TTEE FBO RETIREMENT PLANS FOR WHICH TIAA ACTS AS RECORDKEEPER ATTN TRUST OPERATIONS 211 N BROADWAY STE 1000 SAINT LOUIS MO 63102-2748 | 21.43% | RECORD | ||||
| DISCIPLINED VALUE FUND | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 7.77% | RECORD | ||||
B-48
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE FUND | R4 | NATIONWIDE TRUST COMPANY FSB FBO PARTICIPATING RETIREMENT PLANS C/O IPO PORTFOLIO ACCOUNTING NTC-PLNS PO BOX 182029 COLUMBUS OH 43218-2029 | 5.79% | RECORD | ||||
| DISCIPLINED VALUE FUND | R4 | EMPOWER TRUST FBO EMPOWER BENEFIT PLANS 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 5.57% | RECORD | ||||
| DISCIPLINED VALUE FUND | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 33.05% | RECORD | ||||
| DISCIPLINED VALUE FUND | R5 | TIAA TRUST NA CUST/TTEE FBO RETIREMENT PLANS FOR WHICH TIAA ACTS AS RECORDKEEPER ATTN TRUST OPERATIONS 211 N BROADWAY STE 1000 SAINT LOUIS MO 63102-2748 | 17.69% | RECORD | ||||
| DISCIPLINED VALUE FUND | R5 | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 17.24% | RECORD | ||||
| DISCIPLINED VALUE FUND | R5 | DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 | 14.93% | RECORD | ||||
B-49
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE FUND | R5 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 5.71% | RECORD | ||||
| DISCIPLINED VALUE FUND | R5 | MATRIX TRUST COMPANY CUST FBO PHX-MILLIMAN INC RK OMNI ACCT PO BOX 52129 PHOENIX AZ 85072-2129 | 5.58% | BENEFICIAL | ||||
| DISCIPLINED VALUE FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 20.73% | RECORD | ||||
| DISCIPLINED VALUE FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 19.18% | RECORD | ||||
| DISCIPLINED VALUE FUND | R6 | TIAA TRUST NA CUST/TTEE FBO RETIREMENT PLANS FOR WHICH TIAA ACTS AS RECORDKEEPER ATTN TRUST OPERATIONS 211 N BROADWAY STE 1000 SAINT LOUIS MO 63102-2748 | 14.99% | RECORD | ||||
| DISCIPLINED VALUE FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY (USA) ATTN: JHRPS TRADING OPS ST6 200 BERKELEY ST BOSTON MA 02116-5022 | 12.28% | BENEFICIAL | ||||
| DISCIPLINED VALUE FUND | NAV | Fund of Funds 200 BERKELEY STREET Boston, MA 02116 | 5.47% | RECORD | ||||
B-50
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE FUND | NAV | Fund of Funds 200 BERKELEY STREET Boston, MA 02116 | 8.79% | RECORD | ||||
| DISCIPLINED VALUE FUND | NAV | Fund of Funds 200 BERKELEY STREET Boston, MA 02116 | 16.38% | RECORD | ||||
| DISCIPLINED VALUE FUND | NAV | Fund of Funds 200 BERKELEY STREET Boston, MA 02116 | 28.60% | RECORD | ||||
| DISCIPLINED VALUE FUND | NAV | Fund of Funds 200 BERKELEY STREET Boston, MA 02116 | 12.76% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | A | WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 44.73% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | A | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 | 12.47% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | A | CHARLES SCHWAB & CO INC SPECIAL CUSTODY A/C FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1901 | 10.78% | RECORD | ||||
B-51
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 10.57% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 42.69% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 21.20% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | C | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 15.39% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 13.24% | RECORD | ||||
B-52
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 28.27% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | I | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 26.79% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DR SAN DIEGO CA 92121-3091 | 12.57% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEIFT OF CUSTOMERS 1 NEW YORK PLZ FL 12 NEW YORK NY 10004-1965 | 8.58% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | I | WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 6.30% | RECORD | ||||
B-53
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | R6 | MLPF&S INC FOR THE BENEFIT OF OUR CUSTOMERS 4800 DEER LAKE DR E JACKSONVILLE FL 32246-6486 | 46.73% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | R6 | SEI PRIVATE TRUST COMPANY C/O MELLON BANK ATTN MUTUAL FUNDS ADMIN 1 FREEDOM VALLEY DR OAKS PA 19456-9989 | 17.23% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | R6 | STRATEVEST CO OMNIBUS ACCOUNT PO BOX 1034 CHERRY HILL NJ 08034-0009 | 15.19% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | R6 | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 7.31% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | R6 | CAPINCO C/O US BANK NA 1555 N RIVERCENTER DR STE 302 MILWAUKEE WI 53212-3958 1555 N RIVERCENTER DR STE 302 MILWAUKEE WI 53212-3958 | 5.59% | RECORD | ||||
| DISCIPLINED VALUE GLOBAL LONG/SHORT FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 100% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 58.26% | RECORD | ||||
B-54
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | A | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENE OF CUST ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 9.30% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 20.15% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 17.60% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | C | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 16.01% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 9.42% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 7.86% | RECORD | ||||
B-55
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 43.56% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 24.59% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 11.98% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 6.68% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 6.25% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | R2 | EMPOWER TRUST FBO EMPOWER BENEFIT PLANS 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 69.63% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | R2 | FIIOC FBO SEARS MANUFACTURING CO. SALARIED RETIREMENT PLAN 100 MAGELLAN WAY (KW1C) COVINGTON KY 41015-1999 | 18.92% | BENEFICIAL | ||||
B-56
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | R4 | MATRIX TRUST COMPANY CUST FBO FAMILY CARE ASSOCIATES OF 717 17TH ST STE 1300 DENVER CO 80202-3304 | 35.69% | BENEFICIAL | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | R4 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 31.13% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | R4 | ASCENSUS TRUST COMPANY FBO DATOCWITTEN GROUP INC 401K PLAN PO BOX 10758 FARGO ND 58106-0758 | 12.69% | BENEFICIAL | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | R4 | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 10.55% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | R4 | MATRIX TRUST COMPANY CUST FBO IAMS CONSULTING LLC 401K PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 8.15% | BENEFICIAL | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 40.24% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY (USA) ATTN: JHRPS TRADING OPS ST6 200 BERKELEY ST BOSTON MA 02116-5022 | 11.61% | BENEFICIAL | ||||
B-57
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 6.79% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 20.16% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 31.85% | RECORD | ||||
| DISCIPLINED VALUE INTERNATIONAL FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 13.43% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 36.60% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | A | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENE OF CUST ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 11.34% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | A | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 10.28% | RECORD | ||||
B-58
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE MID CAP FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 7.29% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 13.78% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 13.47% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | C | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 12.44% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 12.23% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 11.55% | RECORD | ||||
B-59
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE MID CAP FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 10.91% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 8.19% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 6.23% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 24.53% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | I | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 18.73% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 14.25% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 9.00% | RECORD | ||||
B-60
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE MID CAP FUND | I | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENE OF CUST ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 7.90% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | R2 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 18.84% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | R2 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 13.65% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | R2 | DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 | 12.36% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | R2 | JOHN HANCOCK TRUST COMPANY 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 6.68% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 19.55% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | R4 | LINCOLN RETIREMENT SERVICES COMPANY FBO PRINCE WILLIAM 403B PO BOX 7876 FORT WAYNE IN 46801-7876 | 9.34% | BENEFICIAL | ||||
B-61
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DISCIPLINED VALUE MID CAP FUND | R4 | MATRIX TRUST COMPANY CUST FBO VERMEER CORPORATION 401(K) RETIREME 717 17TH ST STE 1300 DENVER CO 80202-3304 | 6.29% | BENEFICIAL | ||||
| DISCIPLINED VALUE MID CAP FUND | R4 | CHARLES SCHWAB TRUST BANK TRUST COLSA CORPORATION 401(K) PROFIT SHA ARING PLAN 2423 E LINCOLN DR PHOENIX AZ 85016-1215 | 5.71% | BENEFICIAL | ||||
| DISCIPLINED VALUE MID CAP FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 21.88% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 16.33% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | R6 | MLPF&S INC FOR THE BENEFIT OF OUR CUSTOMERS 4800 DEER LAKE DR E JACKSONVILLE FL 32246-6486 | 11.64% | RECORD | ||||
| DISCIPLINED VALUE MID CAP FUND | R6 | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 5.25% | RECORD | ||||
| DIVERSIFIED MACRO FUND | A | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 34.57% | RECORD | ||||
B-62
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DIVERSIFIED MACRO FUND | A | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENE OF CUST ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 31.85% | RECORD | ||||
| DIVERSIFIED MACRO FUND | A | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 9.03% | RECORD | ||||
| DIVERSIFIED MACRO FUND | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 51.39% | RECORD | ||||
| DIVERSIFIED MACRO FUND | C | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 16.77% | RECORD | ||||
| DIVERSIFIED MACRO FUND | C | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF JOSEPH M BATTISTA 2652 LUNDQUIST DR AURORA IL 60503-3653 | 8.82% | BENEFICIAL | ||||
| DIVERSIFIED MACRO FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 7.61% | RECORD | ||||
B-63
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DIVERSIFIED MACRO FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 6.26% | RECORD | ||||
| DIVERSIFIED MACRO FUND | I | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 29.64% | RECORD | ||||
| DIVERSIFIED MACRO FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 22.48% | RECORD | ||||
| DIVERSIFIED MACRO FUND | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 18.86% | RECORD | ||||
| DIVERSIFIED MACRO FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 11.62% | RECORD | ||||
| DIVERSIFIED MACRO FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 8.02% | RECORD | ||||
| DIVERSIFIED MACRO FUND | R6 | ATTN MUTUAL FUND OPERATIONS MAC & CO 500 GRANT ST RM 151-1010 PITTSBURGH PA 15219-2502 | 79.89% | RECORD | ||||
B-64
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| DIVERSIFIED MACRO FUND | R6 | CAPINCO C/O US BANK NA 1555 N RIVERCENTER DR STE 302 MILWAUKEE WI 53212-3958 1555 N RIVERCENTER DR STE 302 MILWAUKEE WI 53212-3958 | 9.10% | RECORD | ||||
| DIVERSIFIED MACRO FUND | R6 | IBEW LOCAL UNION #479 PENSION TRUST FUND PO BOX 20857 BEAUMONT TX 77720-0857 | 6.50% | BENEFICIAL | ||||
| DIVERSIFIED MACRO FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 17.00% | RECORD | ||||
| DIVERSIFIED MACRO FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 6.97% | RECORD | ||||
| DIVERSIFIED MACRO FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 24.54% | RECORD | ||||
| DIVERSIFIED MACRO FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 23.49% | RECORD | ||||
| DIVERSIFIED MACRO FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 5.40% | RECORD | ||||
| DIVERSIFIED REAL ASSETS FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 21.99% | RECORD | ||||
| DIVERSIFIED REAL ASSETS FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 33.72% | RECORD | ||||
| DIVERSIFIED REAL ASSETS FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 16.06% | RECORD | ||||
| DIVERSIFIED REAL ASSETS FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 6.02% | RECORD | ||||
B-65
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| EMERGING MARKETS DEBT FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 9.18% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | A | J P MORGAN SECURITIES LLC OMNIBUS ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS 575 WASHINGTON BLVD 12TH FL MUTUAL FUND DEPARTMENT JERSEY CITY NJ 07310-1616 | 8.60% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | A | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 8.24% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | A | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 8.10% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | A | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 5.21% | RECORD | ||||
B-66
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| EMERGING MARKETS DEBT FUND | C | JOHN HANCOCK LIFE & HEALTH INS CO DUNE VIEW GARDENS INC SIMPLE IRA FBO TERI A HURLEY 334 FLYING POINT RD WATER MILL NY 11976-3406 | 57.36% | BENEFICIAL | ||||
| EMERGING MARKETS DEBT FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 25.22% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | C | VICKI S THOMAS TOD SUBJECT TO (STA) TOD RULES 2143 CONWILL RD STOW OH 44224-3415 | 7.77% | BENEFICIAL | ||||
| EMERGING MARKETS DEBT FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.50% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | I | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 68.78% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 13.81% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 6.30% | RECORD | ||||
B-67
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| EMERGING MARKETS DEBT FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY (USA) ATTN: JHRPS TRADING OPS ST6 200 BERKELEY ST BOSTON MA 02116-5022 | 26.30% | BENEFICIAL | ||||
| EMERGING MARKETS DEBT FUND | R6 | MANULIFE ASSET MANAGEMENT (EUROPE) EMPLOYEE BENEFITS TRUST CSC EMPLOYEE BENEFIT TRUSTEE (JERSEY) LIMITED 44 ESPLANADE ST HELIER JERSEY JE4 9WG | 23.69% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2024 MANULIFE INVESTMENT MANAGEMENT BUCK 197 CLARENDON ST BOSTON MA 02116-5010 | 14.68% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2023 MANULIFE INVESTMENT MANAGEMENT BUCK PLAN 197 CLARENDON ST BOSTON MA 02116-5010 | 14.06% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | R6 | MANULIFE ASSET MANAGEMENT (EUROPE) LIMITED DIP RABBI TRUST CSC EMPLOYEE BENEFIT TRUSTEE (JERSEY) LIMITED 44 ESPLANADE ST HELIER JERSEY JE4 9WG | 7.58% | RECORD | ||||
B-68
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| EMERGING MARKETS DEBT FUND | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2022 MANULIFE INVESTMENT MANAGEMENT BUCK 197 CLARENDON ST BOSTON MA 02116-5010 | 6.41% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 9.41% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 9.38% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 22.12% | RECORD | ||||
| EMERGING MARKETS DEBT FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 12.69% | RECORD | ||||
| EMERGING MARKETS EQUITY FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 75.39% | RECORD | ||||
| EMERGING MARKETS EQUITY FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 52.02% | RECORD | ||||
| EMERGING MARKETS EQUITY FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 10.51% | RECORD | ||||
| EMERGING MARKETS EQUITY FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 8.07% | RECORD | ||||
B-69
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| EMERGING MARKETS EQUITY FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 91.18% | RECORD | ||||
| EMERGING MARKETS EQUITY FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.68% | RECORD | ||||
| EMERGING MARKETS EQUITY FUND | R2 | ASCENSUS TRUST COMPANY FBO BRIGHTON SMILES PC 401(K) PLAN PO BOX 10758 FARGO ND 58106-0758 | 93.01% | BENEFICIAL | ||||
| EMERGING MARKETS EQUITY FUND | R4 | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 54.20% | RECORD | ||||
| EMERGING MARKETS EQUITY FUND | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC WEBSTER CSD (NY) 403(B) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 35.33% | BENEFICIAL | ||||
| EMERGING MARKETS EQUITY FUND | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC MANCHESTER-SHORTSVILLE CSD (NY) 403 717 17TH ST STE 1300 DENVER CO 80202-3304 | 7.07% | BENEFICIAL | ||||
B-70
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| EMERGING MARKETS EQUITY FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 87.73% | RECORD | ||||
| EMERGING MARKETS EQUITY FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 9.44% | RECORD | ||||
| EMERGING MARKETS EQUITY FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 19.67% | RECORD | ||||
| EMERGING MARKETS EQUITY FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 14.53% | RECORD | ||||
| EMERGING MARKETS EQUITY FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 24.32% | RECORD | ||||
| EMERGING MARKETS EQUITY FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 12.64% | RECORD | ||||
| EQUITY INCOME FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 79.14% | RECORD | ||||
| EQUITY INCOME FUND | C | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 31.70% | RECORD | ||||
| EQUITY INCOME FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 17.08% | RECORD | ||||
B-71
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| EQUITY INCOME FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 8.13% | RECORD | ||||
| EQUITY INCOME FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 7.94% | RECORD | ||||
| EQUITY INCOME FUND | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 94.43% | RECORD | ||||
| EQUITY INCOME FUND | 1 | JHNY RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 5.57% | RECORD | ||||
| ESG LARGE CAP CORE FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 19.59% | RECORD | ||||
| ESG LARGE CAP CORE FUND | A | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 15.94% | RECORD | ||||
| ESG LARGE CAP CORE FUND | A | ING NATIONAL TRUST GORDON ELROD 1 ORANGE WAY WINDSOR CT 06095-4773 | 6.38% | RECORD | ||||
B-72
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| ESG LARGE CAP CORE FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.68% | RECORD | ||||
| ESG LARGE CAP CORE FUND | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 5.55% | RECORD | ||||
| ESG LARGE CAP CORE FUND | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 30.91% | RECORD | ||||
| ESG LARGE CAP CORE FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 20.67% | RECORD | ||||
| ESG LARGE CAP CORE FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 12.03% | RECORD | ||||
| ESG LARGE CAP CORE FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 10.60% | RECORD | ||||
| ESG LARGE CAP CORE FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 8.08% | RECORD | ||||
B-73
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| ESG LARGE CAP CORE FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 7.97% | RECORD | ||||
| ESG LARGE CAP CORE FUND | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 26.42% | RECORD | ||||
| ESG LARGE CAP CORE FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 22.22% | RECORD | ||||
| ESG LARGE CAP CORE FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 20.78% | RECORD | ||||
| ESG LARGE CAP CORE FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 12.32% | RECORD | ||||
| ESG LARGE CAP CORE FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 5.87% | RECORD | ||||
| ESG LARGE CAP CORE FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 5.80% | RECORD | ||||
B-74
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| ESG LARGE CAP CORE FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 31.09% | RECORD | ||||
| ESG LARGE CAP CORE FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY (USA) ATTN: JHRPS TRADING OPS ST6 200 BERKELEY ST BOSTON MA 02116-5022 | 30.79% | BENEFICIAL | ||||
| ESG LARGE CAP CORE FUND | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST BOSTON MA 02116-5022 | 12.26% | RECORD | ||||
| ESG LARGE CAP CORE FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 10.43% | RECORD | ||||
| ESG LARGE CAP CORE FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 8.29% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | A | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ML REF ATTN: FUND ADMINISTRATION 4800 DEER LAKE DR E FL 2 JACKSONVILLE FL 32246-6484 | 9.48% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 7.70% | RECORD | ||||
B-75
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FINANCIAL INDUSTRIES FUND | A | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 6.68% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | A | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 6.56% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | A | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 6.05% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 13.55% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 13.05% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 12.66% | RECORD | ||||
B-76
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FINANCIAL INDUSTRIES FUND | C | J P MORGAN SECURITIES LLC OMNIBUS ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS 575 WASHINGTON BLVD 12TH FL MUTUAL FUND DEPARTMENT JERSEY CITY NJ 07310-1616 | 10.79% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | C | MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEERLAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 10.67% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 8.83% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 6.66% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | C | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 5.38% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | I | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEERLAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 25.36% | RECORD | ||||
B-77
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FINANCIAL INDUSTRIES FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS ATTN: MUTUAL FUNDS DEPARTMENT 4TH FLOOR 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010 | 17.89% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 13.71% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 8.25% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 6.35% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 5.29% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST BOSTON MA 02116-5022 | 39.55% | RECORD | ||||
B-78
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FINANCIAL INDUSTRIES FUND | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2024 MANULIFE INVESTMENT MANAGEMENT BUCK 197 CLARENDON ST BOSTON MA 02116-5010 | 17.08% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2022 MANULIFE INVESTMENT MANAGEMENT BUCK 197 CLARENDON ST BOSTON MA 02116-5010 | 13.11% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2023 MANULIFE INVESTMENT MANAGEMENT BUCK PLAN 197 CLARENDON ST BOSTON MA 02116-5010 | 8.88% | RECORD | ||||
| FINANCIAL INDUSTRIES FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 7.33% | RECORD | ||||
| FLOATING RATE INCOME FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 31.37% | RECORD | ||||
| FLOATING RATE INCOME FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 8.15% | RECORD | ||||
B-79
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FLOATING RATE INCOME FUND | A | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 7.37% | RECORD | ||||
| FLOATING RATE INCOME FUND | A | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 5.83% | RECORD | ||||
| FLOATING RATE INCOME FUND | A | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 5.62% | RECORD | ||||
| FLOATING RATE INCOME FUND | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 5.61% | RECORD | ||||
| FLOATING RATE INCOME FUND | A | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 5.25% | RECORD | ||||
| FLOATING RATE INCOME FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 33.13% | RECORD | ||||
| FLOATING RATE INCOME FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 10.48% | RECORD | ||||
B-80
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FLOATING RATE INCOME FUND | C | RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING ATTN MUTUAL FUND PRODUCT GRP 250 NICOLLETT MALL STE 1800 MINNEAPOLIS MN 55401-7583 | 8.46% | RECORD | ||||
| FLOATING RATE INCOME FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 8.00% | RECORD | ||||
| FLOATING RATE INCOME FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 7.84% | RECORD | ||||
| FLOATING RATE INCOME FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 6.42% | RECORD | ||||
| FLOATING RATE INCOME FUND | C | MINDY NADELL TOD SUBJECT TO (STA) TOD RULES 28324 NAUTICA LN BONITA SPGS FL 34135-8523 | 5.19% | BENEFICIAL | ||||
| FLOATING RATE INCOME FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 27.21% | RECORD | ||||
B-81
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FLOATING RATE INCOME FUND | I | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 18.78% | RECORD | ||||
| FLOATING RATE INCOME FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 18.06% | RECORD | ||||
| FLOATING RATE INCOME FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 14.34% | RECORD | ||||
| FLOATING RATE INCOME FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 7.56% | RECORD | ||||
| FLOATING RATE INCOME FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 6.35% | RECORD | ||||
| FLOATING RATE INCOME FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 49.13% | RECORD | ||||
B-82
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FLOATING RATE INCOME FUND | R6 | SG AMERICAS SECURITIES LLC SGNY FBO BAIN CAPITAL INSURANCE DEDICATED FUND SERIES INTERESTS OF THE SALI 200 CLARENDON STREET | 20.19% | BENEFICIAL | ||||
| FLOATING RATE INCOME FUND | R6 | SG AMERICAS SECURITIES LLC SGNY FBO BAIN CAPITAL INSURANCE DEDICATED FUND II SERIES INTERESTS OF THE SALI 200 CLARENDON STREET | 15.89% | BENEFICIAL | ||||
| FLOATING RATE INCOME FUND | R6 | J P MORGAN SECURITIES LLC OMNIBUS ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS 575 WASHINGTON BLVD 12TH FL MUTUAL FUND DEPARTMENT JERSEY CITY NJ 07310-1616 | 10.02% | RECORD | ||||
| FLOATING RATE INCOME FUND | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 99.02% | RECORD | ||||
| FLOATING RATE INCOME FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 16.19% | RECORD | ||||
| FLOATING RATE INCOME FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 16.06% | RECORD | ||||
| FLOATING RATE INCOME FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 37.72% | RECORD | ||||
| FLOATING RATE INCOME FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 21.31% | RECORD | ||||
B-83
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FUNDAMENTAL ALL CAP CORE FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 30.25% | RECORD | ||||
| FUNDAMENTAL ALL CAP CORE FUND | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 11.29% | RECORD | ||||
| FUNDAMENTAL ALL CAP CORE FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 67.20% | RECORD | ||||
| FUNDAMENTAL ALL CAP CORE FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 12.45% | RECORD | ||||
| FUNDAMENTAL ALL CAP CORE FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 5.50% | RECORD | ||||
| FUNDAMENTAL ALL CAP CORE FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 59.21% | RECORD | ||||
| FUNDAMENTAL ALL CAP CORE FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 10.85% | RECORD | ||||
B-84
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FUNDAMENTAL ALL CAP CORE FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 9.36% | RECORD | ||||
| FUNDAMENTAL ALL CAP CORE FUND | I | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 7.90% | RECORD | ||||
| FUNDAMENTAL ALL CAP CORE FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 5.67% | RECORD | ||||
| FUNDAMENTAL ALL CAP CORE FUND | R2 | MID ATLANTIC TRUST COMPANY FBO GARNIERS LLC 401(K) PROFIT SHARING 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 43.67% | BENEFICIAL | ||||
| FUNDAMENTAL ALL CAP CORE FUND | R2 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 29.21% | RECORD | ||||
| FUNDAMENTAL ALL CAP CORE FUND | R2 | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 20.62% | RECORD | ||||
B-85
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FUNDAMENTAL ALL CAP CORE FUND | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC MCHENRY 403(B) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 49.52% | BENEFICIAL | ||||
| FUNDAMENTAL ALL CAP CORE FUND | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. ROMAN CATHOLIC BISHOP OF RENO 403B 717 17TH ST STE 1300 DENVER CO 80202-3304 | 42.80% | BENEFICIAL | ||||
| FUNDAMENTAL ALL CAP CORE FUND | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC CLARK COUNTY SCHOOL DISTRICT 403(B) 717 17TH ST STE 1300 DENVER CO 80202-3304 | 5.20% | BENEFICIAL | ||||
| FUNDAMENTAL ALL CAP CORE FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 72.44% | RECORD | ||||
| FUNDAMENTAL ALL CAP CORE FUND | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2023 MANULIFE INVESTMENT MANAGEMENT BUCK PLAN 197 CLARENDON ST BOSTON MA 02116-5010 | 6.37% | RECORD | ||||
B-86
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FUNDAMENTAL ALL CAP CORE FUND | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2024 MANULIFE INVESTMENT MANAGEMENT BUCK 197 CLARENDON ST BOSTON MA 02116-5010 | 5.98% | RECORD | ||||
| FUNDAMENTAL ALL CAP CORE FUND | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2022 MANULIFE INVESTMENT MANAGEMENT BUCK 197 CLARENDON ST BOSTON MA 02116-5010 | 5.31% | RECORD | ||||
| FUNDAMENTAL EQUITY INCOME FUND | A | MANULIFE REINSURANCE (BERMUDA) LTD 200 BERKELEY ST BOSTON MA 02116-5022 | 54.24% | BENEFICIAL | ||||
| FUNDAMENTAL EQUITY INCOME FUND | A | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF KIMBERLY A SOTO 11999 RIVER GROVE CT MOORPARK CA 93021-3103 | 19.61% | BENEFICIAL | ||||
| FUNDAMENTAL EQUITY INCOME FUND | A | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE ROTH IRA OF DONALEE L YENNEY 24-19 HIDDEN RANCH DR LANARK IL 61046-9654 | 17.30% | BENEFICIAL | ||||
| FUNDAMENTAL EQUITY INCOME FUND | A | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF JEAN M HEALEY 9996 W JEWELL AVE UNIT B LAKEWOOD CO 80232-6490 | 8.85% | BENEFICIAL | ||||
B-87
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FUNDAMENTAL EQUITY INCOME FUND | C | MANULIFE REINSURANCE (BERMUDA) LTD 200 BERKELEY ST BOSTON MA 02116-5022 | 100.00% | BENEFICIAL | ||||
| FUNDAMENTAL EQUITY INCOME FUND | I | MANULIFE REINSURANCE (BERMUDA) LTD 200 BERKELEY ST BOSTON MA 02116-5022 | 57.07% | BENEFICIAL | ||||
| FUNDAMENTAL EQUITY INCOME FUND | I | MANULIFE INVESTMENT MGMT (US) LLC 2022 MANULIFE INVESTMENT MANAGEMENT BUCK 197 CLARENDON ST BOSTON MA 02116-5010 | 14.44% | RECORD | ||||
| FUNDAMENTAL EQUITY INCOME FUND | I | MANULIFE INVESTMENT MGMT (US) LLC 2024 MANULIFE INVESTMENT MANAGEMENT BUCK 197 CLARENDON ST BOSTON MA 02116-5010 | 14.34% | RECORD | ||||
| FUNDAMENTAL EQUITY INCOME FUND | I | MANULIFE INVESTMENT MGMT (US) LLC 2023 MANULIFE INVESTMENT MANAGEMENT BUCK PLAN 197 CLARENDON ST BOSTON MA 02116-5010 | 13.16% | RECORD | ||||
| FUNDAMENTAL EQUITY INCOME FUND | R6 | MANULIFE REINSURANCE (BERMUDA) LTD 200 BERKELEY ST BOSTON MA 02116-5022 | 100.00% | BENEFICIAL | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 20.82% | RECORD | ||||
B-88
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.21% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 19.08% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 12.12% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 10.16% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | C | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEERLAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 10.10% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 6.89% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 5.17% | RECORD | ||||
B-89
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | I | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 15.20% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 12.39% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 11.64% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 11.53% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 11.17% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | I | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 8.59% | RECORD | ||||
B-90
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | I | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 7.89% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 5.81% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 5.69% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | R2 | SAMMONS FINANCIAL NETWORK LLC 8300 MILLS CIVIC PKWY WDM IA 50266-3833 | 18.17% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | R2 | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 14.81% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | R2 | ASCENSUS TRUST COMPANY FBO GRACE CONSULTING SOLO 401K 685032 PO BOX 10758 FARGO ND 58106-0758 | 13.68% | BENEFICIAL | ||||
B-91
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | R2 | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 10.51% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | R2 | MID ATLANTIC TRUST COMPANY FBO LEPPARD JOHNSON AND ASSOCIATES 401( 1251 WATERFRONT PLACE, SUITE 525 PITTSBURGH PA 15222-4228 | 7.41% | BENEFICIAL | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | R4 | MATRIX TRUST COMPANY CUST FBO DEER PARK COMMUNITY SD (OH) 403B 717 17TH ST STE 1300 DENVER CO 80202-3304 | 84.28% | BENEFICIAL | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | R4 | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 10.26% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. CANTON CITY SCHOOLS 403(B) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 5.47% | BENEFICIAL | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | R5 | MID ATLANTIC TRUST COMPANY FBO FARMER, FUQUA & HUFF, P C 401(K) P 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 79.64% | BENEFICIAL | ||||
B-92
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | R5 | ASCENSUS TRUST COMPANY FBO BTS RETIREMENT PLAN PO BOX 10758 FARGO ND 58106-0758 | 18.42% | BENEFICIAL | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 62.95% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY (USA) ATTN: JHRPS TRADING OPS ST6 200 BERKELEY ST BOSTON MA 02116-5022 | 28.95% | BENEFICIAL | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | NAV | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 5.41% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 12.06% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 19.60% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 12.21% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 23.10% | RECORD | ||||
| FUNDAMENTAL LARGE CAP CORE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 13.31% | RECORD | ||||
| GLOBAL CLIMATE ACTION FUND | I | MANULIFE REINSURANCE (BERMUDA) LTD 200 BERKELEY ST BOSTON MA 02116-5022 | 100.00% | BENEFICIAL | ||||
B-93
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| GLOBAL ENVIRONMENTAL OPPORTUNITIES FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 52.30% | RECORD | ||||
| GLOBAL ENVIRONMENTAL OPPORTUNITIES FUND | A | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 12.90% | RECORD | ||||
| GLOBAL ENVIRONMENTAL OPPORTUNITIES FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 6.21% | RECORD | ||||
| GLOBAL ENVIRONMENTAL OPPORTUNITIES FUND | C | MANULIFE REINSURANCE (BERMUDA) LTD 200 BERKELEY ST BOSTON MA 02116-5022 | 99.79% | BENEFICIAL | ||||
| GLOBAL ENVIRONMENTAL OPPORTUNITIES FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 36.47% | RECORD | ||||
| GLOBAL ENVIRONMENTAL OPPORTUNITIES FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 30.99% | RECORD | ||||
| GLOBAL ENVIRONMENTAL OPPORTUNITIES FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 10.30% | RECORD | ||||
| GLOBAL ENVIRONMENTAL OPPORTUNITIES FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 8.17% | RECORD | ||||
B-94
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| GLOBAL ENVIRONMENTAL OPPORTUNITIES FUND | R6 | MANULIFE REINSURANCE (BERMUDA) LTD 200 BERKELEY ST BOSTON MA 02116-5022 | 53.38% | BENEFICIAL | ||||
| GLOBAL ENVIRONMENTAL OPPORTUNITIES FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 29.05% | RECORD | ||||
| GLOBAL ENVIRONMENTAL OPPORTUNITIES FUND | R6 | BROWN BROTHERS HARRIMAN AND COMPANY AS CUSTODIAN FOR 6659361 140 BROADWAY NEW YORK NY 10005-1108 | 15.00% | RECORD | ||||
| GLOBAL EQUITY FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 13.23% | RECORD | ||||
| GLOBAL EQUITY FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 7.66% | RECORD | ||||
| GLOBAL EQUITY FUND | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 5.21% | RECORD | ||||
B-95
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| GLOBAL EQUITY FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 9.31% | RECORD | ||||
| GLOBAL EQUITY FUND | C | ASCENSUS TRUST COMPANY FBO STEINKEMPER LAW PC LLO 401K 684813 PO BOX 10758 FARGO ND 58106-0758 | 8.88% | BENEFICIAL | ||||
| GLOBAL EQUITY FUND | C | SAMUEL H NADELL PAIGE NADELL JT WROS 10 DELTA DR NEW CITY NY 10956-6705 | 8.54% | BENEFICIAL | ||||
| GLOBAL EQUITY FUND | C | ASCENSUS TRUST COMPANY FBO ROY THOMAS RETIREMENT PLAN PO BOX 10758 FARGO ND 58106-0758 | 8.50% | BENEFICIAL | ||||
| GLOBAL EQUITY FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 7.86% | RECORD | ||||
| GLOBAL EQUITY FUND | C | ASCENSUS TRUST COMPANY FBO ROBIN CARATHANASIS-ROSH 401K PLAN PO BOX 10758 FARGO ND 58106-0758 | 7.68% | BENEFICIAL | ||||
| GLOBAL EQUITY FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.39% | RECORD | ||||
B-96
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| GLOBAL EQUITY FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 36.09% | RECORD | ||||
| GLOBAL EQUITY FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 20.01% | RECORD | ||||
| GLOBAL EQUITY FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 11.22% | RECORD | ||||
| GLOBAL EQUITY FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 9.06% | RECORD | ||||
| GLOBAL EQUITY FUND | I | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 5.79% | RECORD | ||||
| GLOBAL EQUITY FUND | I | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 5.70% | RECORD | ||||
B-97
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| GLOBAL EQUITY FUND | R2 | ASCENSUS TRUST COMPANY FBO HANS J MANSETH CFP - 401K P/S PLAN PO BOX 10758 FARGO ND 58106-0758 | 46.84% | BENEFICIAL | ||||
| GLOBAL EQUITY FUND | R2 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC FORT WORTH ISD 403(B) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 28.10% | BENEFICIAL | ||||
| GLOBAL EQUITY FUND | R2 | MATRIX TRUST COMPANY CUST FBO HOQUIAM SCHOOL DISTRICT # 28 403B 717 17TH ST STE 1300 DENVER CO 80202-3304 | 20.95% | BENEFICIAL | ||||
| GLOBAL EQUITY FUND | R4 | MATRIX TRUST COMPANY CUST FBO BARBERS HILL ISD (TX) 403(B) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 70.13% | BENEFICIAL | ||||
| GLOBAL EQUITY FUND | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. VANCOUVER 403(B) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 23.70% | BENEFICIAL | ||||
| GLOBAL EQUITY FUND | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC UMC HEALTH SYSTEM 403(B) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 6.18% | BENEFICIAL | ||||
B-98
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| GLOBAL EQUITY FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 27.74% | RECORD | ||||
| GLOBAL EQUITY FUND | R6 | CAPINCO C/O US BANK NA 1555 N RIVERCENTER DR STE 302 MILWAUKEE WI 53212-3958 1555 N RIVERCENTER DR STE 302 MILWAUKEE WI 53212-3958 | 26.04% | RECORD | ||||
| GLOBAL EQUITY FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY (USA) ATTN: JHRPS TRADING OPS ST6 200 BERKELEY ST BOSTON MA 02116-5022 | 9.66% | BENEFICIAL | ||||
| GLOBAL EQUITY FUND | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2022 MANULIFE INVESTMENT MANAGEMENT BUCK 197 CLARENDON ST BOSTON MA 02116-5010 | 5.42% | RECORD | ||||
| GLOBAL EQUITY FUND | R6 | NORTHERN TRUST AS CUSTODIAN FBO MCCULLOUGH HYDE (NON-GIFT) PO BOX 92956 CHICAGO | 5.30% | BENEFICIAL | ||||
| GLOBAL EQUITY FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 8.24% | RECORD | ||||
| GLOBAL EQUITY FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 32.01% | RECORD | ||||
| GLOBAL EQUITY FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 37.87% | RECORD | ||||
B-99
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| GLOBAL SHAREHOLDER YIELD | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 71.88% | RECORD | ||||
| GLOBAL SHAREHOLDER YIELD FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 23.96% | RECORD | ||||
| GLOBAL SHAREHOLDER YIELD FUND | C | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 9.97% | RECORD | ||||
| GLOBAL SHAREHOLDER YIELD FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 9.10% | RECORD | ||||
| GLOBAL SHAREHOLDER YIELD FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 8.60% | RECORD | ||||
| GLOBAL SHAREHOLDER YIELD FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 7.84% | RECORD | ||||
B-100
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| GLOBAL SHAREHOLDER YIELD FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 6.13% | RECORD | ||||
| GLOBAL SHAREHOLDER YIELD FUND | C | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 5.22% | RECORD | ||||
| GLOBAL SHAREHOLDER YIELD FUND | I | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 46.12% | RECORD | ||||
| GLOBAL SHAREHOLDER YIELD FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 38.76% | RECORD | ||||
| GLOBAL SHAREHOLDER YIELD FUND | R2 | MID ATLANTIC TRUST COMPANY FBO WILKINSON MANUFACTURING INC 401(K) PROFIT SHARING PLAN & TRUST 1251 WATERFRONT PLACE, SUITE 525 PITTSBURGH PA 15222-4228 | 12.53% | BENEFICIAL | ||||
| GLOBAL SHAREHOLDER YIELD FUND | R2 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 5.93% | RECORD | ||||
B-101
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| GLOBAL SHAREHOLDER YIELD FUND | R2 | MATRIX TRUST COMPANY CUST FBO MULVANE SCHOOL DIST 403(B) 717 17TH ST STE 1300 DENVER CO 80202-3304 | 5.83% | BENEFICIAL | ||||
| GLOBAL SHAREHOLDER YIELD FUND | R2 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC PLYMOUTH-CANTON COMM SCHOOLS 403(B) 717 17TH ST STE 1300 DENVER CO 80202-3304 | 5.33% | BENEFICIAL | ||||
| GLOBAL SHAREHOLDER YIELD FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 93.77% | RECORD | ||||
| HIGH YIELD FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 33.32% | RECORD | ||||
| HIGH YIELD FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 7.42% | RECORD | ||||
| HIGH YIELD FUND | A | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 5.98% | RECORD | ||||
B-102
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| HIGH YIELD FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 30.59% | RECORD | ||||
| HIGH YIELD FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 21.00% | RECORD | ||||
| HIGH YIELD FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 13.26% | RECORD | ||||
| HIGH YIELD FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 26.79% | RECORD | ||||
| HIGH YIELD FUND | I | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 26.28% | RECORD | ||||
| HIGH YIELD FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 18.99% | RECORD | ||||
| HIGH YIELD FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 6.09% | RECORD | ||||
B-103
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| HIGH YIELD FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 5.93% | RECORD | ||||
| HIGH YIELD FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 5.36% | RECORD | ||||
| HIGH YIELD FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY (USA) ATTN: JHRPS TRADING OPS ST6 200 BERKELEY ST BOSTON MA 02116-5022 | 75.28% | BENEFICIAL | ||||
| HIGH YIELD FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 17.32% | RECORD | ||||
| HIGH YIELD FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 9.62% | RECORD | ||||
| HIGH YIELD FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 9.55% | RECORD | ||||
| HIGH YIELD FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 22.60% | RECORD | ||||
| HIGH YIELD FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 12.85% | RECORD | ||||
| HIGH YIELD MUNICIPAL BOND FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 54.29% | RECORD | ||||
B-104
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| HIGH YIELD MUNICIPAL BOND FUND | A | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 7.45% | RECORD | ||||
| HIGH YIELD MUNICIPAL BOND FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 6.24% | RECORD | ||||
| HIGH YIELD MUNICIPAL BOND FUND | A | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 5.12% | RECORD | ||||
| HIGH YIELD MUNICIPAL BOND FUND | C | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 48.86% | RECORD | ||||
| HIGH YIELD MUNICIPAL BOND FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 9.04% | RECORD | ||||
| HIGH YIELD MUNICIPAL BOND FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 8.75% | RECORD | ||||
B-105
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| HIGH YIELD MUNICIPAL BOND FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 8.37% | RECORD | ||||
| HIGH YIELD MUNICIPAL BOND FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 7.91% | RECORD | ||||
| HIGH YIELD MUNICIPAL BOND FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 6.76% | RECORD | ||||
| HIGH YIELD MUNICIPAL BOND FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 32.08% | RECORD | ||||
| HIGH YIELD MUNICIPAL BOND FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 22.73% | RECORD | ||||
| HIGH YIELD MUNICIPAL BOND FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 14.11% | RECORD | ||||
| HIGH YIELD MUNICIPAL BOND FUND | I | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 7.95% | RECORD | ||||
B-106
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| HIGH YIELD MUNICIPAL BOND FUND | I | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 5.45% | RECORD | ||||
| HIGH YIELD MUNICIPAL BOND FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 90.78% | RECORD | ||||
| INCOME FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 30.93% | RECORD | ||||
| INCOME FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 7.71% | RECORD | ||||
| INCOME FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 27.66% | RECORD | ||||
| INCOME FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 9.24% | RECORD | ||||
B-107
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INCOME FUND | C | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 8.59% | RECORD | ||||
| INCOME FUND | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 7.24% | RECORD | ||||
| INCOME FUND | C | ASCENSUS TRUST COMPANY FBO PRIMERATEK CONSULTING GROUP RETIREM PO BOX 10758 FARGO ND 58106-0758 | 5.38% | BENEFICIAL | ||||
| INCOME FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 20.73% | RECORD | ||||
| INCOME FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 14.21% | RECORD | ||||
| INCOME FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 9.10% | RECORD | ||||
| INCOME FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 8.66% | RECORD | ||||
B-108
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INCOME FUND | I | RELIANCE TRUST CO FBO COMERICA EB R/R PO BOX 570788 ATLANTA GA 30357-3114 | 7.21% | RECORD | ||||
| INCOME FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 6.58% | RECORD | ||||
| INCOME FUND | I | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 5.47% | RECORD | ||||
| INCOME FUND | R2 | DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 | 27.53% | RECORD | ||||
| INCOME FUND | R2 | LINCOLN RETIREMENT SERVICES CO FBO ROCHEUX INTERNATIONAL 401K PO BOX 7876 FORT WAYNE IN 46801-7876 | 5.34% | BENEFICIAL | ||||
| INCOME FUND | R4 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 42.02% | RECORD | ||||
B-109
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INCOME FUND | R4 | ASCENSUS TRUST COMPANY FBO DATOCWITTEN GROUP INC 401K PLAN PO BOX 10758 FARGO ND 58106-0758 | 22.13% | BENEFICIAL | ||||
| INCOME FUND | R4 | ASCENSUS TRUST COMPANY FBO KGA ARCHITECTURE 401K PS PO BOX 10758 FARGO ND 58106-0758 | 15.53% | BENEFICIAL | ||||
| INCOME FUND | R4 | TIAA TRUST NA CUST/TTEE FBO RETIREMENT PLANS FOR WHICH TIAA ACTS AS RECORDKEEPER ATTN TRUST OPERATIONS 211 N BROADWAY STE 1000 SAINT LOUIS MO 63102-2748 | 5.81% | RECORD | ||||
| INCOME FUND | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 73.95% | RECORD | ||||
| INCOME FUND | R5 | FIIOC FBO THE TIMBERLAND GROUP 401K 100 MAGELLAN WAY (KW1C) COVINGTON KY 41015-1987 | 6.26% | BENEFICIAL | ||||
| INCOME FUND | R6 | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 21.80% | RECORD | ||||
B-110
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INCOME FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3710 | 14.64% | RECORD | ||||
| INCOME FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY (USA) ATTN: JHRPS TRADING OPS ST6 200 BERKELEY ST BOSTON MA 02116-5022 | 13.50% | BENEFICIAL | ||||
| INCOME FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 9.46% | RECORD | ||||
| INCOME FUND | R6 | CAPINCO C/O US BANK NA 1555 N RIVERCENTER DR STE 302 MILWAUKEE WI 53212-3958 1555 N RIVERCENTER DR STE 302 MILWAUKEE WI 53212-3958 | 6.48% | RECORD | ||||
| INCOME FUND | R6 | GREAT WEST TRUST COMPANY LLC TTEE FBO BAYLOR SCOTT & WHITE HEALTH RTRMNT SVINGS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 5.16% | BENEFICIAL | ||||
| INFRASTRUCTURE FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 43.78% | RECORD | ||||
B-111
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INFRASTRUCTURE FUND | A | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 11.61% | RECORD | ||||
| INFRASTRUCTURE FUND | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 8.85% | RECORD | ||||
| INFRASTRUCTURE FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 6.33% | RECORD | ||||
| INFRASTRUCTURE FUND | A | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 5.08% | RECORD | ||||
| INFRASTRUCTURE FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 27.61% | RECORD | ||||
| INFRASTRUCTURE FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 16.74% | RECORD | ||||
| INFRASTRUCTURE FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 16.69% | RECORD | ||||
B-112
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INFRASTRUCTURE FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 11.01% | RECORD | ||||
| INFRASTRUCTURE FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 7.75% | RECORD | ||||
| INFRASTRUCTURE FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 7.39% | RECORD | ||||
| INFRASTRUCTURE FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 19.79% | RECORD | ||||
| INFRASTRUCTURE FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 15.68% | RECORD | ||||
| INFRASTRUCTURE FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 13.27% | RECORD | ||||
| INFRASTRUCTURE FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 12.56% | RECORD | ||||
B-113
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INFRASTRUCTURE FUND | I | ATTN MUTUAL FUND ADMIN C/O LAIRD NORTON BANK SEI PRIVATE TRUST COMPANY 1 FREEDOM VALLEY DR OAKS PA 19456-9989 | 12.39% | BENEFICIAL | ||||
| INFRASTRUCTURE FUND | I | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 8.22% | RECORD | ||||
| INFRASTRUCTURE FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 5.47% | RECORD | ||||
| INFRASTRUCTURE FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 76.78% | RECORD | ||||
| INFRASTRUCTURE FUND | R6 | NORTHERN TRUST AS CUSTODIAN FBO VAI INTERNAL US EQUITIES PO BOX 92956 CHICAGO IL 60675-2956 | 13.23% | BENEFICIAL | ||||
| INFRASTRUCTURE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 100% | RECORD | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 15.27% | RECORD | ||||
B-114
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 6.82% | RECORD | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 32.00% | RECORD | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 21.76% | RECORD | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 20.18% | RECORD | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 11.17% | RECORD | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 45.69% | RECORD | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 31.11% | RECORD | ||||
B-115
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 9.00% | RECORD | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 22.46% | RECORD | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | R6 | THE NORTHERN TRUST COMPANY FBO SKADDEN ARPS SLATE MEAGHER & FLOM PO BOX 92956 CHICAGO IL 60675-2956 | 11.14% | BENEFICIAL | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | R6 | SEI PRIVATE TRUST COMPANY ATTN MUTUAL FUNDS 1 FREEDOM VALLEY DR OAKS PA 19456-9989 | 10.01% | RECORD | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 8.98% | RECORD | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | R6 | CAPINCO C/O US BANK NA 1555 N RIVERCENTER DR STE 302 MILWAUKEE WI 53212-3958 1555 N RIVERCENTER DR STE 302 MILWAUKEE WI 53212-3958 | 8.96% | RECORD | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 8.87% | RECORD | ||||
B-116
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | R6 | NORTHERN TRUST CO CUST FBO UNIDEL PO BOX 92956 CHICAGO IL 60675-2956 | 8.20% | BENEFICIAL | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 22.96% | RECORD | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 35.44% | RECORD | ||||
| INTERNATIONAL DYNAMIC GROWTH FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 16.53% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 55.80% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | A | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 6.70% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 6.09% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.48% | RECORD | ||||
B-117
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INTERNATIONAL GROWTH FUND | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 17.70% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 16.12% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 12.25% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 11.86% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 10.30% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 7.08% | RECORD | ||||
B-118
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INTERNATIONAL GROWTH FUND | C | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 5.32% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 19.26% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 14.10% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 12.54% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 8.68% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 8.66% | RECORD | ||||
B-119
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INTERNATIONAL GROWTH FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 8.34% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | I | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 6.04% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | R2 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 34.69% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | R2 | DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS ATTN NPIO TRADE DESK OMNIBUS 711 HIGH ST DES MOINES IA 50392-0001 | 12.66% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 11.95% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | R2 | FIIOC FBO MCDOWELL RICE SMITH & BUCHANAN PC 401K SAVINGS PLAN 100 MAGELLAN WAY (KW1C) COVINGTON KY 41015-1987 | 11.23% | BENEFICIAL | ||||
B-120
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INTERNATIONAL GROWTH FUND | R4 | DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS ATTN NPIO TRADE DESK OMNIBUS 711 HIGH ST DES MOINES IA 50392-0001 | 27.41% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | R4 | STATE STREET BANK CUSTODIAN FBO ADP ACCESS LARGE MARKET 401K 1 LINCOLN ST BOSTON MA 02111-2901 | 25.18% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | R4 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 21.59% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 20.12% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 59.41% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | R6 | EMPOWER TRUST FBO EMPLOYEE BENEFIT CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 10.93% | RECORD | ||||
| INTERNATIONAL GROWTH FUND | R6 | MATRIX TRUST COMPANY AS AGENT FOR NEWPORT TRUST COMPANY WEA TAX SHELTERED ANNUITY TRUST 35 IRON POINT CIR STE 300 FOLSOM CA 95630-8589 | 7.26% | BENEFICIAL | ||||
B-121
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INTERNATIONAL GROWTH FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST PORTFOLIO 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 23.38% | BENEFICIAL | ||||
| INTERNATIONAL GROWTH FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST PORTFOLIO 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 20.01% | BENEFICIAL | ||||
| INTERNATIONAL GROWTH FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST EQUITY PORTFOLIO 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 16.75% | BENEFICIAL | ||||
| INTERNATIONAL GROWTH FUND | NAV | T ROWE PRICE SERVICES INC ALASKA COLLEGE SAVINGS TRUST PORTFOLIO 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 15.70% | BENEFICIAL | ||||
| INTERNATIONAL GROWTH FUND | NAV | T ROWE PRICE SERVICES INC ALASKA COLLEGE SAVINGS TRUST PORTFOLIO FOR COLLEGE 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 11.13% | BENEFICIAL | ||||
| INTERNATIONAL GROWTH FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST PORTFOLIO 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 10.63% | BENEFICIAL | ||||
B-122
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INTERNATIONAL GROWTH FUND | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 95.93% | RECORD | ||||
| INTERNATIONAL STRATEGIC EQUITY ALLOCATION FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 6.50% | RECORD | ||||
| INTERNATIONAL STRATEGIC EQUITY ALLOCATION FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 9.05% | RECORD | ||||
| INTERNATIONAL STRATEGIC EQUITY ALLOCATION FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 15.88% | RECORD | ||||
| INTERNATIONAL STRATEGIC EQUITY ALLOCATION FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 7.04% | RECORD | ||||
| INVESTMENT GRADE BOND FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 71.80% | RECORD | ||||
| INVESTMENT GRADE BOND FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 28.20% | RECORD | ||||
| INVESTMENT GRADE BOND FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 10.07% | RECORD | ||||
B-123
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INVESTMENT GRADE BOND FUND | C | WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 9.31% | RECORD | ||||
| INVESTMENT GRADE BOND FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 8.53% | RECORD | ||||
| INVESTMENT GRADE BOND FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 8.31% | RECORD | ||||
| INVESTMENT GRADE BOND FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 8.03% | RECORD | ||||
| INVESTMENT GRADE BOND FUND | C | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 6.33% | RECORD | ||||
| INVESTMENT GRADE BOND FUND | C | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 5.62% | RECORD | ||||
| INVESTMENT GRADE BOND FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 44.93% | RECORD | ||||
B-124
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INVESTMENT GRADE BOND FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 14.27% | RECORD | ||||
| INVESTMENT GRADE BOND FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 11.32% | RECORD | ||||
| INVESTMENT GRADE BOND FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 9.48% | RECORD | ||||
| INVESTMENT GRADE BOND FUND | R2 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 58.58% | RECORD | ||||
| INVESTMENT GRADE BOND FUND | R2 | WEST KNOX UTILITY DISTRICT DB PO BOX 1090 PARIS TN 38242-1090 | 13.79% | BENEFICIAL | ||||
| INVESTMENT GRADE BOND FUND | R2 | ERWIN UTILITIES PENSION PLAN PO BOX 1090 PARIS TN 38242-1090 | 12.97% | BENEFICIAL | ||||
| INVESTMENT GRADE BOND FUND | R2 | 07ND84P8 PO BOX 1090 PARIS TN 38242-1090 | 10.35% | BENEFICIAL | ||||
| INVESTMENT GRADE BOND FUND | R4 | MATRIX TRUST COMPANY CUST FBO PLEKKENPOL BUILDERS INC 717 17TH ST STE 1300 DENVER CO 80202-3304 | 14.18% | BENEFICIAL | ||||
B-125
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INVESTMENT GRADE BOND FUND | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. AMHERST SCH DIST SAU 717 17TH ST STE 1300 DENVER CO 80202-3304 | 13.68% | BENEFICIAL | ||||
| INVESTMENT GRADE BOND FUND | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC UINTA COUNTY 403(B) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 8.40% | BENEFICIAL | ||||
| INVESTMENT GRADE BOND FUND | R4 | LINCOLN RETIREMENT SERVICES COMPANY FBO LAURENS COUNTY SCHOOLS 403(B) PO BOX 7876 FORT WAYNE IN 46801-7876 | 7.85% | BENEFICIAL | ||||
| INVESTMENT GRADE BOND FUND | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. CHARLEVOIX PUBLIC SCHOOLS 403(B) 717 17TH ST STE 1300 DENVER CO 80202-3304 | 6.77% | BENEFICIAL | ||||
| INVESTMENT GRADE BOND FUND | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. RIVERVIEW SCHOOL DISTRICT #407 403B 717 17TH ST STE 1300 DENVER CO 80202-3304 | 5.89% | BENEFICIAL | ||||
| INVESTMENT GRADE BOND FUND | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. SCHOOL DISTRICT OF NH 403B 717 17TH ST STE 1300 DENVER CO 80202-3304 | 5.70% | BENEFICIAL | ||||
B-126
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| INVESTMENT GRADE BOND FUND | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC UMC HEALTH SYSTEM 403(B) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 5.18% | BENEFICIAL | ||||
| INVESTMENT GRADE BOND FUND | R4 | MATRIX TRUST COMPANY CUST FBO FRONTIER BASEMENT SYSTEMS 401(K) 717 17TH ST STE 1300 DENVER CO 80202-3304 | 5.13% | BENEFICIAL | ||||
| INVESTMENT GRADE BOND FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 76.25% | RECORD | ||||
| INVESTMENT GRADE BOND FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY (USA) ATTN: JHRPS TRADING OPS ST6 200 BERKELEY ST BOSTON MA 02116-5022 | 12.37% | BENEFICIAL | ||||
| LIFESTYLE BLEND AGGRESSIVE PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 77.43% | RECORD | ||||
| LIFESTYLE BLEND AGGRESSIVE PORTFOLIO | R6 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 20.31% | RECORD | ||||
| LIFESTYLE BLEND AGGRESSIVE PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 94.89% | RECORD | ||||
B-127
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| LIFESTYLE BLEND AGGRESSIVE PORTFOLIO | 1 | JHNY RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 5.11% | RECORD | ||||
| LIFESTYLE BLEND BALANCED PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 92.65% | RECORD | ||||
| LIFESTYLE BLEND BALANCED PORTFOLIO | R6 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 6.53% | RECORD | ||||
| LIFESTYLE BLEND BALANCED PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 93.65% | RECORD | ||||
| LIFESTYLE BLEND BALANCED PORTFOLIO | 1 | JHNY RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 6.35% | RECORD | ||||
| LIFESTYLE BLEND CONSERVATIVE PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 90.72% | RECORD | ||||
| LIFESTYLE BLEND CONSERVATIVE PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 96.04% | RECORD | ||||
| LIFESTYLE BLEND GROWTH PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 83.78% | RECORD | ||||
| LIFESTYLE BLEND GROWTH PORTFOLIO | R6 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 12.79% | RECORD | ||||
B-128
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| LIFESTYLE BLEND GROWTH PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 95.92% | RECORD | ||||
| LIFESTYLE BLEND MODERATE PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 86.03% | RECORD | ||||
| LIFESTYLE BLEND MODERATE PORTFOLIO | R6 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 12.49% | RECORD | ||||
| LIFESTYLE BLEND MODERATE PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 94.31% | RECORD | ||||
| LIFESTYLE BLEND MODERATE PORTFOLIO | 1 | JHNY RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 5.69% | RECORD | ||||
| MAS BOND COMPLETION PORTFOLIO | SMA | JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK 200 BERKELEY ST BOSTON MA 02116-5022 | 91.84% | BENEFICIAL | ||||
| MAS BOND COMPLETION PORTFOLIO | SMA | JOHN HANCOCK INVESTMENT MANAGEMENT FBO ASSET ALLOCATION MODELS -VPA 197 CLARENDON ST BOSTON MA 02116-5010 | 8.16% | BENEFICIAL | ||||
| MAS INVESTMENT GRADE CORPORATE BOND | SMA | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 56.62% | RECORD | ||||
B-129
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MAS INVESTMENT GRADE CORPORATE BOND | SMA | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 18.22% | RECORD | ||||
| MAS INVESTMENT GRADE CORPORATE BOND | SMA | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 11.94% | RECORD | ||||
| MAS INVESTMENT GRADE CORPORATE BOND | SMA | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 9.91% | RECORD | ||||
| MAS NONINVESTMENT GRADE CORPORATE BOND | SMA | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 55.59% | RECORD | ||||
| MAS NONINVESTMENT GRADE CORPORATE BOND | SMA | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 26.42% | RECORD | ||||
| MAS NONINVESTMENT GRADE CORPORATE BOND | SMA | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 12.76% | RECORD | ||||
B-130
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MAS NONINVESTMENT GRADE MUNICIPAL BOND | SMA | JOHN HANCOCK LIFE INSURANCE CO USA 200 BERKELEY ST BOSTON MA 02116-5022 | 99.62% | BENEFICIAL | ||||
| MAS SECURITIZED DEBT PORTFOLIO | SMA | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 56.66% | RECORD | ||||
| MAS SECURITIZED DEBT PORTFOLIO | SMA | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 17.76% | RECORD | ||||
| MAS SECURITIZED DEBT PORTFOLIO | SMA | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 11.89% | RECORD | ||||
| MAS SECURITIZED DEBT PORTFOLIO | SMA | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 10.50% | RECORD | ||||
| MID CAP GROWTH FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 46.47% | RECORD | ||||
| MID CAP GROWTH FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 32.64% | RECORD | ||||
B-131
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MID CAP GROWTH FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 9.79% | RECORD | ||||
| MID CAP GROWTH FUND | C | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE ROTH IRA OF SCOTT I MEUSHAW 5255 SAN PAULO ST ORLANDO FL 32807-1635 | 5.62% | BENEFICIAL | ||||
| MID CAP GROWTH FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 38.40% | RECORD | ||||
| MID CAP GROWTH FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 30.21% | RECORD | ||||
| MID CAP GROWTH FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 15.86% | RECORD | ||||
| MID CAP GROWTH FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 14.43% | RECORD | ||||
| MID CAP GROWTH FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY (USA) ATTN: JHRPS TRADING OPS ST6 200 BERKELEY ST BOSTON MA 02116-5022 | 90.78% | BENEFICIAL | ||||
B-132
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MID CAP GROWTH FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK ATTN: JHRPS TRADING OPS ST 6 200 BERKELEY ST BOSTON MA 02116-5022 | 7.15% | BENEFICIAL | ||||
| MID CAP GROWTH FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 20.93% | RECORD | ||||
| MID CAP GROWTH FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 32.77% | RECORD | ||||
| MID CAP GROWTH FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 15.18% | RECORD | ||||
| MID VALUE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 23.83% | RECORD | ||||
| MID VALUE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 36.30% | RECORD | ||||
| MID VALUE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 16.96% | RECORD | ||||
| MONEY MARKET | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 17.32% | RECORD | ||||
| MONEY MARKET | C | ASCENSUS TRUST COMPANY FBO FRANCIS JAYAKUMAR PO BOX 10758 FARGO ND 58106-0758 | 16.39% | BENEFICIAL | ||||
B-133
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MONEY MARKET | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.90% | RECORD | ||||
| MONEY MARKET | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 5.89% | RECORD | ||||
| MONEY MARKET | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 5.38% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 9.85% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 5.88% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.08% | RECORD | ||||
B-134
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 33.72% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 7.44% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | C | WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 5.97% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 19.45% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | I | MLPF&S INC FOR THE BENEFIT OF OUR CUSTOMERS 4800 DEER LAKE DR E JACKSONVILLE FL 32246-6486 | 19.32% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 15.55% | RECORD | ||||
B-135
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 10.21% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 9.38% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 7.58% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R2 | GREAT-WEST TRUST CO FBO EMPLOYEE BENEFITS CLIENTS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 20.59% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 10.75% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R2 | PENSPLAN INC TRUSTEE COUNSEL TRUST CUSTODIAN FBO EXCELL MARKETING PS & 401K & TRUST 136 N MAPLE AVE GREEN BAY WI 54303-2748 | 6.12% | BENEFICIAL | ||||
B-136
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO DAVE S CUSTOM EXTERIORS SOLO 401K PO BOX 10758 FARGO ND 58106-0758 | 5.42% | BENEFICIAL | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO LWY CONSULTING INC RETIREMENT PLA 685270 PO BOX 10758 FARGO ND 58106-0758 | 5.31% | BENEFICIAL | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 59.19% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R4 | MID ATLANTIC TRUST COMPANY FBO RUDY INC 401(K) PROFIT SHARING PLA 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 23.69% | BENEFICIAL | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R4 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 7.27% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R5 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 35.56% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 26.23% | RECORD | ||||
B-137
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R5 | ASCENSUS TRUST COMPANY FBO WINXNET 401(K) PLAN PO BOX 10758 FARGO ND 58106-0758 | 9.13% | BENEFICIAL | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R5 | CHARLES SCHWAB TRUST BANK CUST JACKSON SPRING & MFG CO INC 401( (K) PLAN 2423 E LINCOLN DR PHOENIX AZ 85016-1215 | 7.58% | BENEFICIAL | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R5 | MG TRUST COMPANY CUST FBO LOREN D STARK INC 401(K) 717 17TH ST STE 1300 DENVER CO 80202-3304 | 7.04% | BENEFICIAL | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 29.61% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R6 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 12.41% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R6 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 8.60% | RECORD | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 7.94% | RECORD | ||||
B-138
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULITMANAGER LIFESTYLE AGGRESSIVE PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 96.56% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 16.55% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | A | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 15.29% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 10.68% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | A | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 8.38% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | A | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 8.25% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | A | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 7.71% | RECORD | ||||
B-139
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | A | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 5.32% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 27.17% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 22.37% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 11.46% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 8.81% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 17.61% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 16.87% | RECORD | ||||
B-140
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | I | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 12.58% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 11.09% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 7.78% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | I | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 7.17% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | R2 | EMPOWER TRUST COMPANY LLC FBO PLANPREMIER RTMT PLANS OMNIBUS 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 20.90% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | R2 | ASCENSUS TRUST COMPANY FBO RETIREMENT SOLUTIONS, INC 401(K) P PO BOX 10758 FARGO ND 58106-0758 | 13.78% | BENEFICIAL | ||||
B-141
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | R2 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 8.95% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | R2 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 5.13% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | R6 | MARIL & CO FBO JI C/O RELIANCE TRUST COMPANY WI 4900 W BROWN DEER RD MAILCODE: BD1N ATTN: MF MILWAUKEE WI 53223-2422 | 51.62% | BENEFICIAL | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 23.10% | RECORD | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | R6 | ASCENSUS TRUST COMPANY FBO PEC SOLUTIONS LLC PROFIT SHARING A 404711 PO BOX 10758 FARGO ND 58106-0758 | 8.33% | BENEFICIAL | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | R6 | MATRIX TRUST COMPANY CUST FOR UBS VOLUNTARY INVESTMENT PLAN 35 IRON POINT CIR STE 300 FOLSOM CA 95630-8589 | 7.11% | BENEFICIAL | ||||
| MULTI-ASSET ABSOLUTE RETURN FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 100% | RECORD | ||||
B-142
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTI-ASSET HIGH INCOME | A | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 10.69% | RECORD | ||||
| MULTI-ASSET HIGH INCOME | A | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 9.37% | RECORD | ||||
| MULTI-ASSET HIGH INCOME | A | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF TODD A BORCHARDT 110 N ELM AVE ELMHURST IL 60126-2607 | 8.76% | BENEFICIAL | ||||
| MULTI-ASSET HIGH INCOME | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 38.95% | RECORD | ||||
| MULTI-ASSET HIGH INCOME | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 20.99% | RECORD | ||||
| MULTI-ASSET HIGH INCOME | C | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF ROSEMARY B FINAN 102 N 10TH ST EASTON PA 18042-3310 | 18.59% | BENEFICIAL | ||||
| MULTI-ASSET HIGH INCOME | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 10.64% | RECORD | ||||
B-143
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTI-ASSET HIGH INCOME | C | JOHN HANCOCK LIFE & HEALTH INS CO KIMBERLY D CARSON SIMPLE IRA FBO KIMBERLY D CARSON 219 ROLLING HILL FARM DR WEST NEWTON PA 15089-2812 | 5.74% | BENEFICIAL | ||||
| MULTI-ASSET HIGH INCOME | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 41.54% | RECORD | ||||
| MULTI-ASSET HIGH INCOME | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 36.33% | RECORD | ||||
| MULTI-ASSET HIGH INCOME | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 19.39% | RECORD | ||||
| MULTI-ASSET HIGH INCOME | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2024 MANULIFE INVESTMENT MANAGEMENT BUCK 197 CLARENDON ST BOSTON MA 02116-5010 | 42.26% | RECORD | ||||
| MULTI-ASSET HIGH INCOME | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2022 MANULIFE INVESTMENT MANAGEMENT BUCK 197 CLARENDON ST BOSTON MA 02116-5010 | 20.24% | RECORD | ||||
B-144
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTI-ASSET HIGH INCOME | R6 | NATHAN W THOOFT 300 HARRISON AVE UNIT 513 BOSTON MA 02118-2830 | 15.15% | BENEFICIAL | ||||
| MULTI-ASSET HIGH INCOME | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2023 MANULIFE INVESTMENT MANAGEMENT BUCK PLAN 197 CLARENDON ST BOSTON MA 02116-5010 | 14.77% | RECORD | ||||
| MULTI-ASSET HIGH INCOME | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2023 MANULIFE INVESTMENT MANAGEMENT EWM 197 CLARENDON ST BOSTON MA 02116-5010 | 7.06% | RECORD | ||||
| MULTI-ASSET HIGH INCOME | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 31.52% | RECORD | ||||
| MULTI-ASSET HIGH INCOME | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 31.44% | RECORD | ||||
| MULTI-ASSET HIGH INCOME | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 37.04% | RECORD | ||||
| MULTIMANAGER 2010 LIFETIME PORTFOLIO | A | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF KARI A ZURECK 7 SOMA LN COMMACK NY 11725-1807 | 5.88% | BENEFICIAL | ||||
| MULTIMANAGER 2010 LIFETIME PORTFOLIO | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 97.01% | RECORD | ||||
B-145
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2010 LIFETIME PORTFOLIO | R2 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 80.23% | RECORD | ||||
| MULTIMANAGER 2010 LIFETIME PORTFOLIO | R2 | MID ATLANTIC TRUST COMPANY FBO PIVOTAL RETAIL GROUP LLC 401(K) PRO 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 10.50% | BENEFICIAL | ||||
| MULTIMANAGER 2010 LIFETIME PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 36.73% | RECORD | ||||
| MULTIMANAGER 2010 LIFETIME PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 27.45% | RECORD | ||||
| MULTIMANAGER 2010 LIFETIME PORTFOLIO | R6 | MATRIX TRUST COMPANY CUST FBO SEI HEAT TREAT 401(K) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 12.90% | BENEFICIAL | ||||
| MULTIMANAGER 2010 LIFETIME PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 92.79% | RECORD | ||||
| MULTIMANAGER 2010 LIFETIME PORTFOLIO | 1 | JHNY RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 7.21% | RECORD | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 42.57% | RECORD | ||||
B-146
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 31.31% | RECORD | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 26.12% | RECORD | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 42.08% | RECORD | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | R2 | MG TRUSTCO CUST FBO GILPIN AMBULANCE 457 B PLAN 717 17TH STREET SUITE 1300 DENVER CO 80202-3304 | 11.47% | BENEFICIAL | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | R2 | MG TRUSTCO CUST FBO RENAISSANCE ELECTRONICS CORP 717 17TH ST STE 1300 DENVER CO 80202-3304 | 9.03% | BENEFICIAL | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | R2 | MG TRUSTCO CUST FBO HORTONVILLE AREA SCHOOL DIST 403B 717 17TH ST STE 1300 DENVER CO 80202-3304 | 8.75% | BENEFICIAL | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | R2 | MID ATLANTIC TRUST COMPANY FBO NATIONAL GRAPHIC SUPPLY 401(K) PROF 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 7.60% | BENEFICIAL | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | R2 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 6.18% | RECORD | ||||
B-147
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO PERMIT PLACE 401(K) PO BOX 10758 FARGO ND 58106-0758 | 6.02% | BENEFICIAL | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | R4 | JOHN HANCOCK INVESTMENT MANAGEMENT LLC 200 BERKELEY ST BOSTON MA 02116-5022 | 100.00% | BENEFICIAL | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 80.83% | RECORD | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | R5 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 16.91% | RECORD | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 46.47% | RECORD | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | R6 | MID ATLANTIC TRUST COMPANY FBO WESTON DENTAL SPECIALISTS GROU 401( 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 17.37% | BENEFICIAL | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | R6 | MID ATLANTIC TRUST COMPANY FBO HMC CORPORATION 401(K) PROFIT SHARI 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 13.17% | BENEFICIAL | ||||
B-148
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 6.73% | RECORD | ||||
| MULTIMANAGER 2015 LIFETIME PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 95.70% | RECORD | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 49.58% | RECORD | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | I | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 45.94% | RECORD | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | R2 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 29.15% | RECORD | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 21.79% | RECORD | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO DPLIVE401K PO BOX 10758 FARGO ND 58106-0758 | 9.43% | BENEFICIAL | ||||
B-149
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | R2 | MG TRUSTCO CUST FBO DOUBLE D BOLT 401K PS 717 17TH ST STE 1300 DENVER CO 80202-3304 | 6.65% | BENEFICIAL | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO SIGMOVIR BIOSYSTEMS INC 401K PLAN PO BOX 10758 FARGO ND 58106-0758 | 6.04% | BENEFICIAL | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | R2 | MATRIX TRUST COMPANY CUST FBO TESTPROS INC 401(K) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 5.05% | BENEFICIAL | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | R4 | MG TRUSTCO CUST FBO STILLWATER 403 B PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 100.00% | BENEFICIAL | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 79.02% | RECORD | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | R5 | EMPOWER TRUST FBO EMPLOYEE BENEFIT CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 20.94% | RECORD | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 52.35% | RECORD | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 14.67% | RECORD | ||||
B-150
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | R6 | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 7.54% | RECORD | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | R6 | MATRIX TRUST COMPANY AS AGENT FOR SOUTH STATE BANK N A AS CUSTODIAN CAPSTONE TROPICAL HOLDINGS INC 1101 1ST ST S WINTER HAVEN FL 33880-3908 | 5.31% | BENEFICIAL | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 91.24% | RECORD | ||||
| MULTIMANAGER 2020 LIFETIME PORTFOLIO | 1 | JHNY RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 8.76% | RECORD | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | I | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 38.98% | RECORD | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 33.54% | RECORD | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 18.94% | RECORD | ||||
B-151
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | R2 | MG TRUSTCO CUST FBO RENAISSANCE ELECTRONICS CORP 717 17TH ST STE 1300 DENVER CO 80202-3304 | 19.01% | BENEFICIAL | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 18.21% | RECORD | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO FIVE STAR PERFORMANCE LLC RETIREMENT PLAN PO BOX 10758 FARGO ND 58106-0758 | 15.86% | BENEFICIAL | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | R2 | GREAT-WEST TRUST CO FBO EMPLOYEE BENEFITS CLIENTS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 9.36% | RECORD | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO IRWIN GROSS SOLO 401K PO BOX 10758 FARGO ND 58106-0758 | 5.03% | BENEFICIAL | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | R4 | COUNSEL TRUST DBA MATC FBO PRESTONCREST CHURCH OF CHRIST 403 B PLAN 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 100.00% | BENEFICIAL | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 59.28% | RECORD | ||||
B-152
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | R5 | EMPOWER TRUST FBO EMPLOYEE BENEFIT CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 39.59% | RECORD | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 57.24% | RECORD | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 12.80% | RECORD | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | R6 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 7.55% | RECORD | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 94.05% | RECORD | ||||
| MULTIMANAGER 2025 LIFETIME PORTFOLIO | 1 | JHNY RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 5.95% | RECORD | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | I | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 35.31% | RECORD | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 29.23% | RECORD | ||||
B-153
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 19.68% | RECORD | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 7.29% | RECORD | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO PYRAMID CONSTRUCTION AND AGGREGATES PO BOX 10758 FARGO ND 58106-0758 | 16.25% | BENEFICIAL | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 11.86% | RECORD | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO SOFTWARE SCIENCES GROUP, INC 401(K PO BOX 10758 FARGO ND 58106-0758 | 9.36% | BENEFICIAL | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO FRANKS PHONE INC DBA THE PHONE GU PO BOX 10758 FARGO ND 58106-0758 | 6.12% | BENEFICIAL | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R2 | GREAT-WEST TRUST CO FBO EMPLOYEE BENEFITS CLIENTS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 5.22% | RECORD | ||||
B-154
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO DEB VANROY INDIVIDUAL 401(K) PO BOX 10758 FARGO ND 58106-0758 | 5.07% | BENEFICIAL | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R4 | COUNSEL TRUST DBA MATC FBO PRESTONCREST CHURCH OF CHRIST 403 B PLAN 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 64.47% | BENEFICIAL | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R4 | MG TRUSTCO CUST FBO STILLWATER B PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 20.04% | BENEFICIAL | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC GRANITE CITY 403(B) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 9.00% | BENEFICIAL | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R4 | ASCENSUS TRUST COMPANY FBO MUSE ARCHITECTS P C 401 K PS PLA PO BOX 10758 FARGO ND 58106-0758 | 6.49% | BENEFICIAL | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 47.10% | RECORD | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R5 | EMPOWER TRUST FBO EMPLOYEE BENEFIT CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 41.12% | RECORD | ||||
B-155
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R5 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 11.77% | RECORD | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 52.82% | RECORD | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 21.03% | RECORD | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | R6 | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 6.95% | RECORD | ||||
| MULTIMANAGER 2030 LIFETIME PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 95.66% | RECORD | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | I | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 49.07% | RECORD | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | I | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 30.09% | RECORD | ||||
B-156
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 13.96% | RECORD | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 6.87% | RECORD | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 32.00% | RECORD | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | R2 | MG TRUSTCO CUST FBO DOUBLE D BOLT 401K PS 717 17TH ST STE 1300 DENVER CO 80202-3304 | 11.98% | BENEFICIAL | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | R2 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 11.95% | RECORD | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO PYRAMID CONSTRUCTION AND AGGREGATES 404320 PO BOX 10758 FARGO ND 58106-0758 | 8.38% | BENEFICIAL | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | R4 | COUNSEL TRUST DBA MATC FBO PRESTONCREST CHURCH OF CHRIST 403 B PLAN 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 82.59% | BENEFICIAL | ||||
B-157
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC NORTH CENTRAL AREA SCHOOL (MI) 403B 717 17TH ST STE 1300 DENVER CO 80202-3304 | 11.80% | BENEFICIAL | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC LAKE TAHOE UNIFIED SCHOOL DISTRICT 717 17TH ST STE 1300 DENVER CO 80202-3304 | 5.60% | BENEFICIAL | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | R5 | EMPOWER TRUST FBO EMPLOYEE BENEFIT CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 71.85% | RECORD | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 23.76% | RECORD | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 54.91% | RECORD | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 16.80% | RECORD | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 7.22% | RECORD | ||||
B-158
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | R6 | EMPOWER TRUST FBO EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 6.40% | RECORD | ||||
| MULTIMANAGER 2035 LIFETIME PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 95.72% | RECORD | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | I | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 49.49% | RECORD | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 17.34% | RECORD | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 14.78% | RECORD | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 8.11% | RECORD | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 6.19% | RECORD | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R2 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 16.29% | RECORD | ||||
B-159
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R2 | GREAT-WEST TRUST CO FBO EMPLOYEE BENEFITS CLIENTS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 13.94% | RECORD | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO PYRAMID CONSTRUCTION AND AGGREGATES 404320 PO BOX 10758 FARGO ND 58106-0758 | 11.92% | BENEFICIAL | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 10.64% | RECORD | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO SIGMOVIR BIOSYSTEMS INC 401K PLAN PO BOX 10758 FARGO ND 58106-0758 | 8.44% | BENEFICIAL | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO LOGO MASTERS SOLO 401K PO BOX 10758 FARGO ND 58106-0758 | 7.63% | BENEFICIAL | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R4 | MG TRUSTCO CUST FBO STILLWATER 403 B PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 51.49% | BENEFICIAL | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R4 | COUNSEL TRUST DBA MATC FBO PRESTONCREST CHURCH OF CHRIST 403 B PLAN 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 23.85% | BENEFICIAL | ||||
B-160
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC CALVERT COUNTY BOE (MD) 403B PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 8.70% | BENEFICIAL | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R4 | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 7.87% | RECORD | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC NEW ULM PUBLIC SCHOOLS 403B 717 17TH ST STE 1300 DENVER CO 80202-3304 | 5.52% | BENEFICIAL | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R5 | EMPOWER TRUST FBO EMPLOYEE BENEFIT CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 61.94% | RECORD | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 19.89% | RECORD | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R5 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 16.20% | RECORD | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 56.95% | RECORD | ||||
B-161
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 20.18% | RECORD | ||||
| MULTIMANAGER 2040 LIFETIME PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 96.42% | RECORD | ||||
| MULTIMANAGER 2045 LIFETIME PORTFOLIO | I | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 97.98% | RECORD | ||||
| MULTIMANAGER 2045 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO KUAR RETIREMENT PLAN PO BOX 10758 FARGO ND 58106-0758 | 24.40% | BENEFICIAL | ||||
| MULTIMANAGER 2045 LIFETIME PORTFOLIO | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 19.99% | RECORD | ||||
| MULTIMANAGER 2045 LIFETIME PORTFOLIO | R2 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 9.62% | RECORD | ||||
| MULTIMANAGER 2045 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO PYRAMID CONSTRUCTION AND AGGREGATES PO BOX 10758 FARGO ND 58106-0758 | 8.97% | BENEFICIAL | ||||
| MULTIMANAGER 2045 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO LOGO MASTERS SOLO 401K PO BOX 10758 FARGO ND 58106-0758 | 6.74% | BENEFICIAL | ||||
B-162
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2045 LIFETIME PORTFOLIO | R4 | MG TRUSTCO CUST FBO STILLWATER 403 B PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 64.08% | BENEFICIAL | ||||
| MULTIMANAGER 2045 LIFETIME PORTFOLIO | R4 | ASCENSUS TRUST COMPANY FBO MUSE ARCHITECTS P C 401 K PS PLA PO BOX 10758 FARGO ND 58106-0758 | 35.29% | BENEFICIAL | ||||
| MULTIMANAGER 2045 LIFETIME PORTFOLIO | R5 | EMPOWER TRUST FBO EMPLOYEE BENEFIT CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 70.05% | RECORD | ||||
| MULTIMANAGER 2045 LIFETIME PORTFOLIO | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 24.43% | RECORD | ||||
| MULTIMANAGER 2045 LIFETIME PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 56.21% | RECORD | ||||
| MULTIMANAGER 2045 LIFETIME PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 21.26% | RECORD | ||||
| MULTIMANAGER 2045 LIFETIME PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 95.39% | RECORD | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 58.07% | RECORD | ||||
B-163
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | I | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST BOSTON MA 02116-5022 | 23.22% | RECORD | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 18.71% | RECORD | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 24.58% | RECORD | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | R2 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 12.02% | RECORD | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUSTCO FBO ASTRIDIA LLC 401K PO BOX 10758 FARGO ND 58106-0758 | 8.08% | BENEFICIAL | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO PHYSICIANS SURGERY CTR LG 401(K) PL ASCENSUS TRUST COMPANY PO BOX 10577 FARGO ND 58106-0577 | 7.74% | BENEFICIAL | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | R2 | MID ATLANTIC TRUST COMPANY FBO TRANSPORTATION CHILDREN S CENT 401( 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 7.70% | BENEFICIAL | ||||
B-164
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO COMMAND CAPITAL 401K RETIREMENT PLA PO BOX 10758 FARGO ND 58106-0758 | 6.35% | BENEFICIAL | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC CITY OF WYLIE 717 17TH ST STE 1300 DENVER CO 80202-3304 | 94.31% | BENEFICIAL | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC SHENANDOAH COUNTY GOVERN (VA) 457 717 17TH ST STE 1300 DENVER CO 80202-3304 | 5.69% | BENEFICIAL | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | R5 | EMPOWER TRUST FBO EMPLOYEE BENEFIT CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 81.17% | RECORD | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | R5 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 8.37% | RECORD | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 8.25% | RECORD | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 60.51% | RECORD | ||||
B-165
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 19.91% | RECORD | ||||
| MULTIMANAGER 2050 LIFETIME PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 95.65% | RECORD | ||||
| MULTIMANAGER 2055 LIFETIME PORTFOLIO | I | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 95.73% | RECORD | ||||
| MULTIMANAGER 2055 LIFETIME PORTFOLIO | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 37.00% | RECORD | ||||
| MULTIMANAGER 2055 LIFETIME PORTFOLIO | R2 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 32.28% | RECORD | ||||
| MULTIMANAGER 2055 LIFETIME PORTFOLIO | R2 | MATRIX TRUST COMPANY CUST FBO NEVADA ADVANCED PAIN SPECIALISTS 717 17TH STREET SUITE 1300 DENVER CO 80202-3304 | 16.59% | BENEFICIAL | ||||
| MULTIMANAGER 2055 LIFETIME PORTFOLIO | R2 | FIIOC CUST FBO SYKES MALLIA ASSOCIATES INC 401K PLAN 100 MAGELLAN WAY (KW1C) COVINGTON KY 41015-1987 | 8.23% | BENEFICIAL | ||||
| MULTIMANAGER 2055 LIFETIME PORTFOLIO | R4 | JOHN HANCOCK LIFE INSURANCE CO USA 200 BERKELEY ST BOSTON MA 02116-5023 | 89.48% | BENEFICIAL | ||||
B-166
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2055 LIFETIME PORTFOLIO | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC VALLEY CENTRAL SCHOOL DISTRICT 403B 717 17TH ST STE 1300 DENVER CO 80202-3304 | 7.81% | BENEFICIAL | ||||
| MULTIMANAGER 2055 LIFETIME PORTFOLIO | R5 | EMPOWER TRUST FBO EMPLOYEE BENEFIT CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 89.92% | RECORD | ||||
| MULTIMANAGER 2055 LIFETIME PORTFOLIO | R5 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 5.63% | RECORD | ||||
| MULTIMANAGER 2055 LIFETIME PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 70.75% | RECORD | ||||
| MULTIMANAGER 2055 LIFETIME PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 14.72% | RECORD | ||||
| MULTIMANAGER 2055 LIFETIME PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 96.55% | RECORD | ||||
| MULTIMANAGER 2060 LIFETIME PORTFOLIO | A | WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 6.45% | RECORD | ||||
B-167
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2060 LIFETIME PORTFOLIO | I | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 72.68% | RECORD | ||||
| MULTIMANAGER 2060 LIFETIME PORTFOLIO | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 27.32% | RECORD | ||||
| MULTIMANAGER 2060 LIFETIME PORTFOLIO | R2 | MATC FBO PERSHING LLC FBO STRATUS IP 401(K) PLAN 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 37.68% | BENEFICIAL | ||||
| MULTIMANAGER 2060 LIFETIME PORTFOLIO | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 29.08% | RECORD | ||||
| MULTIMANAGER 2060 LIFETIME PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO PHYSICIANS SURGERY CTR LG 401(K) PL ASCENSUS TRUST COMPANY PO BOX 10577 FARGO ND 58106-0577 | 17.75% | BENEFICIAL | ||||
| MULTIMANAGER 2060 LIFETIME PORTFOLIO | R2 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 13.68% | RECORD | ||||
| MULTIMANAGER 2060 LIFETIME PORTFOLIO | R4 | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 100.00% | RECORD | ||||
B-168
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2060 LIFETIME PORTFOLIO | R5 | EMPOWER TRUST FBO EMPLOYEE BENEFIT CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 82.94% | RECORD | ||||
| MULTIMANAGER 2060 LIFETIME PORTFOLIO | R5 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 12.56% | RECORD | ||||
| MULTIMANAGER 2060 LIFETIME PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 74.55% | RECORD | ||||
| MULTIMANAGER 2060 LIFETIME PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 13.04% | RECORD | ||||
| MULTIMANAGER 2060 LIFETIME PORT | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 95.79% | RECORD | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | A | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF DAVID H WU 6120 MAXIE ST UNIT C HOUSTON TX 77007-3074 | 12.27% | BENEFICIAL | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | A | PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052 | 8.23% | RECORD | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | A | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF BENNET YEUNG 1230 LAWSON COVE CIR VIRGINIA BCH VA 23455-6825 | 6.65% | BENEFICIAL | ||||
B-169
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | A | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF YUMIKO SHEARD 279 CENTRAL PARK WEST 15C NEW YORK NY 10024-3080 | 5.64% | BENEFICIAL | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | A | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF WILLIAM SCOTT BRADLEY 15242 WYANDOTTE ST VAN NUYS CA 91405-1749 | 5.13% | BENEFICIAL | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 100.00% | RECORD | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | R2 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST BOSTON MA 02116-5022 | 67.57% | RECORD | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | R2 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC WACONIA PS (MN) 403(B) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 | 32.43% | BENEFICIAL | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | R4 | JOHN HANCOCK LIFE INSURANCE CO USA 200 BERKELEY ST BOSTON MA 02116-5022 | 89.54% | BENEFICIAL | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | R4 | MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST INC RIVERBEND ED ISD (MN) 403(B) 717 17TH ST STE 1300 DENVER CO 80202-3304 | 6.39% | BENEFICIAL | ||||
B-170
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | R5 | EMPOWER TRUST FBO EMPLOYEE BENEFIT CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 98.45% | RECORD | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 71.66% | RECORD | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 17.64% | RECORD | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2022 MANULIFE INVESTMENT MANAGEMENT EWM 197 CLARENDON ST BOSTON MA 02116-5010 | 5.61% | RECORD | ||||
| MULTIMANAGER 2065 LIFETIME PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 97.06% | RECORD | ||||
| MULTIMANAGER 2070 LIFETIME PORTFOLIO | A | JOHN HANCOCK LIFE INSURANCE CO USA 200 BERKELEY ST BOSTON MA 02116-5022 | 99.84% | BENEFICIAL | ||||
| MULTIMANAGER 2070 LIFETIME PORTFOLIO | R6 | JOHN HANCOCK LIFE INSURANCE CO USA 200 BERKELEY ST BOSTON MA 02116-5022 | 100.00% | BENEFICIAL | ||||
| MULTIMANAGER 2070 LIFETIME PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 86.55% | RECORD | ||||
B-171
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | 5 | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST LIFESTYLE BALANCED 529 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 100.00% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 21.21% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 24.17% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 7.67% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 6.71% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 20.86% | RECORD | ||||
B-172
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 12.50% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 12.43% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 9.48% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 8.45% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 7.90% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | I | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 7.71% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | I | MLPF&S INC FOR THE BENEFIT OF OUR CUSTOMERS 4800 DEER LAKE DR E JACKSONVILLE FL 32246-6486 | 7.40% | RECORD | ||||
B-173
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 15.84% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R2 | GREAT-WEST TRUST CO FBO EMPLOYEE BENEFITS CLIENTS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 12.45% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R2 | GARY DE PALO FBO ALL TOOLS & FASTENERS INC 401K PSP & TRUST 7291 NW 78TH TER MEDLEY FL 33166-2225 | 9.90% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R4 | MID ATLANTIC TRUST COMPANY FBO WESTMONT CORP 401(K) PROFIT SHARING 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 64.21% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 17.62% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R4 | MATRIX TRUST COMPANY AS AGENT FOR VOYA TRUST COMPANY NUCLEUS CENTRAL, INC. DEFERRED COMP PO BOX 52129 PHOENIX AZ 85072-2129 | 6.85% | BENEFICIAL | ||||
B-174
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 45.67% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R5 | MG TRUST COMPANY CUST FBO LOREN D STARK INC 401(K) 717 17TH ST STE 1300 DENVER CO 80202-3304 | 10.42% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R5 | ASCENSUS TRUST COMPANY FBO CHRIS CHESBROUGH SOLO 401 (K) PLAN PO BOX 10758 FARGO ND 58106-0758 | 7.82% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R5 | MATRIX TRUST COMPANY TTEE FBO EPLAN SERVICES GROUP TRUST C/O MUTUAL FUNDS PO BOX 52129 PHOENIX AZ 85072-2129 | 6.57% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R5 | CHARLES SCHWAB BANK CUST THE SAN DIEGO SYMPHONY ORCHESTRA 457 DEF COMP PL 2423 E LINCOLN DR PHOENIX AZ 85016-1215 | 6.04% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 35.10% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R6 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 16.41% | RECORD | ||||
B-175
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R6 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 7.62% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | R6 | EMPOWER TRUST FBO EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 7.19% | RECORD | ||||
| MULTIMANAGER LIFESTYLE BALANCED PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 95.57% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 30.90% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 17.04% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 15.28% | RECORD | ||||
B-176
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | C | WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 14.19% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 6.58% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | C | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 5.29% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 22.09% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 14.79% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | I | MLPF&S INC FOR THE BENEFIT OF OUR CUSTOMERS 4800 DEER LAKE DR E JACKSONVILLE FL 32246-6486 | 12.02% | RECORD | ||||
B-177
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 11.73% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVTVE PORTFOLIO | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 11.00% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | I | WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 6.96% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 5.72% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R2 | CASANDRA HEADY TTEE CHEESEBURGERS RESTAURANTS INC 401K PSP & TRUST 73875 STATE ROUTE 70 PORTOLA CA 96122-7071 | 13.20% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO JOHN CICCARELLI ARCHITECT LLC RETI PO BOX 10758 FARGO ND 58106-0758 | 9.49% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R2 | GREAT-WEST TRUST CO FBO EMPLOYEE BENEFITS CLIENTS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 8.29% | RECORD | ||||
B-178
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R2 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 7.85% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R2 | MID ATLANTIC TRUST COMPANY FBO ALL AMERICAN ROOFING 401(K) PROFIT 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 5.31% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R4 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 51.32% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R4 | GREAT-WEST TRUST CO EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 23.32% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 16.60% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 6.11% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R5 | ASCENSUS TRUST COMPANY FBO WINXNET 401K PLAN PO BOX 10577 FARGO ND 58106-0577 | 34.61% | BENEFICIAL | ||||
B-179
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R5 | MATRIX TRUST COMPANY TTEE FBO EPLAN SERVICES GROUP TRUST C/O MUTUAL FUNDS PO BOX 52129 PHOENIX AZ 85072-2129 | 18.92% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 15.40% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R5 | MID ATLANTIC TRUSTCO FBO ALEXANDRE LONDON INC 401K PSP & TRUST 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 15.31% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R5 | CHARLES SCHWAB TRUST BANK CUST JACKSON SPRING & MFG CO INC 401( (K) PLAN 2423 E LINCOLN DR PHOENIX AZ 85016-1215 | 5.30% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R6 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 29.51% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 28.50% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R6 | MID ATLANTIC TRUST COMPANY FBO TRANSNET INC 401(K) PROFIT SHARING 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 5.92% | BENEFICIAL | ||||
B-180
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | R6 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 5.02% | RECORD | ||||
| MULTIMANAGER LIFESTYLE CONSERVATIVE PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 96.49% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | 5 | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST LIFESTYLE GROWTH 529 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 100.00% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 19.08% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 5.94% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.02% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 32.94% | RECORD | ||||
B-181
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 7.08% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | C | WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 5.16% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 13.52% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 13.42% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 11.94% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | I | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 11.08% | RECORD | ||||
B-182
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 9.83% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 9.71% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | I | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 6.79% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 6.43% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | I | RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING ATTN MUTUAL FUND PRODUCT GRP 250 NICOLLETT MALL STE 1800 MINNEAPOLIS MN 55401-7583 | 5.45% | RECORD | ||||
B-183
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 14.84% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R2 | GREAT-WEST TRUST CO FBO EMPLOYEE BENEFITS CLIENTS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 13.50% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R2 | ASCENSUS TRUST COMPANY FBO RCB CFP 401K PLAN PO BOX 10758 FARGO ND 58106-0758 | 7.40% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 19.49% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R4 | MATRIX TRUST COMPANY AS AGENT FOR VOYA TRUST COMPANY NUCLEUS CENTRAL, INC. DEFERRED COMP PO BOX 52129 PHOENIX AZ 85072-2129 | 18.88% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R4 | ASCENSUS TRUST COMPANY FBO SAMUEL ZAIDMAN PROFIT SHARING PLAN PO BOX 10758 FARGO ND 58106-0758 | 16.39% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R4 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 15.31% | RECORD | ||||
B-184
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R4 | MATRIX TRUST COMPANY CUST FBO NEOSHO SCHOOL DISTRICT (MO) 403(B) 717 17TH ST STE 1300 DENVER CO 80202-3304 | 7.76% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 44.85% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R5 | ASCENSUS TRUST COMPANY FBO WINXNET 401(K) PLAN PO BOX 10758 FARGO ND 58106-0758 | 16.00% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R5 | CHARLES SCHWAB TRUST BANK CUST JACKSON SPRING & MFG CO INC 401( (K) PLAN 2423 E LINCOLN DR PHOENIX AZ 85016-1215 | 11.71% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R5 | MATRIX TRUST COMPANY TTEE FBO EPLAN SERVICES GROUP TRUST C/O MUTUAL FUNDS PO BOX 52129 PHOENIX AZ 85072-2129 | 7.17% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R5 | MG TRUST COMPANY CUST FBO LOREN D STARK INC 401(K) 717 17TH ST STE 1300 DENVER CO 80202-3304 | 6.27% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R5 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 5.23% | RECORD | ||||
B-185
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 34.58% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R6 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 17.42% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R6 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 7.22% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 5.04% | RECORD | ||||
| MULTIMANAGER LIFESTYLE GROWTH PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 95.87% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | 5 | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST LIFESTYLE MODERATE 529 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 100.00% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 25.03% | RECORD | ||||
B-186
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 6.46% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 35.33% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 9.13% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.39% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 31.36% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 19.28% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | I | MLPF&S INC FOR THE BENEFIT OF OUR CUSTOMERS 4800 DEER LAKE DR E JACKSONVILLE FL 32246-6486 | 9.22% | RECORD | ||||
B-187
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 8.58% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 7.61% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | R2 | GREAT-WEST TRUST CO FBO EMPLOYEE BENEFITS CLIENTS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 26.49% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 18.03% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | R2 | MG TRUSTCO CUST FBO NEW CANEY MUNICIPAL UTILITY DISTRIC 717 17TH ST STE 1300 DENVER CO 80202-3304 | 7.54% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | R4 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 41.21% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | R4 | MID ATLANTIC TRUST COMPANY FBO RUDY INC 401(K) PROFIT SHARING PLA 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 33.50% | BENEFICIAL | ||||
B-188
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | R4 | ASCENSUS TRUST COMPANY FBO MILLHOLLAND CONRAD, INC 401(K) PROFIT SHARING PLAN PO BOX 10758 FARGO ND 58106-0758 | 21.02% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | R5 | ASCENSUS TRUST COMPANY FBO WINXNET 401K PLAN PO BOX 10577 FARGO ND 58106-0577 | 51.18% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | R5 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 16.35% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | R5 | MID ATLANTIC TRUST COMPANY FBO ROUNDABOUT ENTERTAINMENT INC 401(K) 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 | 14.66% | BENEFICIAL | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | R6 | JOHN HANCOCK TRUST COMPANY 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 35.12% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | R6 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 20.29% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | R6 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 9.19% | RECORD | ||||
B-189
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | R6 | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 7.14% | RECORD | ||||
| MULTIMANAGER LIFESTYLE MODERATE PORTFOLIO | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 95.04% | RECORD | ||||
| MUNICIPAL OPPORTUNITIES FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 53.21% | RECORD | ||||
| MUNICIPAL OPPORTUNITIES FUND | A | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 6.17% | RECORD | ||||
| MUNICIPAL OPPORTUNITIES FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 25.48% | RECORD | ||||
| MUNICIPAL OPPORTUNITIES FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 18.24% | RECORD | ||||
B-190
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MUNICIPAL OPPORTUNITIES FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 10.74% | RECORD | ||||
| MUNICIPAL OPPORTUNITIES FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 10.56% | RECORD | ||||
| MUNICIPAL OPPORTUNITIES FUND | C | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 7.75% | RECORD | ||||
| MUNICIPAL OPPORTUNITIES FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 6.69% | RECORD | ||||
| MUNICIPAL OPPORTUNITIES FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 39.36% | RECORD | ||||
| MUNICIPAL OPPORTUNITIES FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 14.00% | RECORD | ||||
B-191
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| MUNICIPAL OPPORTUNITIES FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 13.13% | RECORD | ||||
| MUNICIPAL OPPORTUNITIES FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 12.07% | RECORD | ||||
| MUNICIPAL OPPORTUNITIES FUND | I | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 8.28% | RECORD | ||||
| MUNICIPAL OPPORTUNITIES FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 97.68% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 75.60% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 5.05% | RECORD | ||||
B-192
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| OPPORTUNISTIC FIXED INCOME FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.01% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 37.53% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 29.09% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 14.72% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 9.96% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 31.87% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 31.66% | RECORD | ||||
B-193
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| OPPORTUNISTIC FIXED INCOME FUND | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 19.50% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 7.37% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 7.24% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 60.05% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 19.01% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 9.43% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 5.51% | RECORD | ||||
| OPPORTUNISTIC FIXED INCOME FUND | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 91.93% | RECORD | ||||
B-194
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| OPPORTUNISTIC FIXED INCOME FUND | 1 | JHNY RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 8.07% | RECORD | ||||
| REAL ESTATE SECURITIES FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 19.03% | RECORD | ||||
| REAL ESTATE SECURITIES FUND | A | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF KENDALL C CROOK 15039 QUINN LN WESTFIELD IN 46074-6094 | 13.50% | BENEFICIAL | ||||
| REAL ESTATE SECURITIES FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 78.18% | RECORD | ||||
| REAL ESTATE SECURITIES FUND | C | JOHN HANCOCK LIFE & HEALTH INS CO PARTNERSHIP FOR CHILDREN AND FAMILIES SIMPLE IRA FBO 116 TYVOLA ST SANFORD NC 27332-5402 | 14.66% | BENEFICIAL | ||||
| REAL ESTATE SECURITIES FUND | C | JOHN HANCOCK LIFE & HEALTH INS CO CUSTODIAN FOR THE IRA OF LOVIA DELVA 267 LAWSON ST HEMPSTEAD NY 11550-7147 | 7.16% | BENEFICIAL | ||||
B-195
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| REAL ESTATE SECURITIES FUND | I | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 84.34% | RECORD | ||||
| REAL ESTATE SECURITIES FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 7.06% | RECORD | ||||
| REAL ESTATE SECURITIES FUND | R6 | SEI PRIVATE TRUST COMPANY C/O ID 337 ATTN MUTUAL FUNDS 1 FREEDOM VALLEY DR OAKS PA 19456-9989 | 50.97% | RECORD | ||||
| REAL ESTATE SECURITIES FUND | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST STE 7 BOSTON MA 02116-5038 | 32.94% | RECORD | ||||
| REAL ESTATE SECURITIES FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 11.99% | RECORD | ||||
| REAL ESTATE SECURITIES FUND | 1 | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 93.41% | RECORD | ||||
| REAL ESTATE SECURITIES FUND | 1 | JHNY RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 6.59% | RECORD | ||||
B-196
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| REGIONAL BANK FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 11.22% | RECORD | ||||
| REGIONAL BANK FUND | A | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 7.54% | RECORD | ||||
| REGIONAL BANK FUND | A | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 7.12% | RECORD | ||||
| REGIONAL BANK FUND | A | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 6.73% | RECORD | ||||
| REGIONAL BANK FUND | A | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 6.59% | RECORD | ||||
| REGIONAL BANK FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 5.42% | RECORD | ||||
B-197
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| REGIONAL BANK FUND | A | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 5.05% | RECORD | ||||
| REGIONAL BANK FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 23.00% | RECORD | ||||
| REGIONAL BANK FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 22.63% | RECORD | ||||
| REGIONAL BANK FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 11.50% | RECORD | ||||
| REGIONAL BANK FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 11.11% | RECORD | ||||
| REGIONAL BANK FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 9.02% | RECORD | ||||
| REGIONAL BANK FUND | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 7.15% | RECORD | ||||
B-198
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| REGIONAL BANK FUND | I | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEERLAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 14.35% | RECORD | ||||
| REGIONAL BANK FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 12.95% | RECORD | ||||
| REGIONAL BANK FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 12.28% | RECORD | ||||
| REGIONAL BANK FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 11.92% | RECORD | ||||
| REGIONAL BANK FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 8.45% | RECORD | ||||
| REGIONAL BANK FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 6.93% | RECORD | ||||
| REGIONAL BANK FUND | I | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 6.86% | RECORD | ||||
B-199
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| REGIONAL BANK FUND | I | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 6.80% | RECORD | ||||
| REGIONAL BANK FUND | I | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 5.35% | RECORD | ||||
| REGIONAL BANK FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 5.11% | RECORD | ||||
| REGIONAL BANK FUND | R6 | DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS ATTN NPIO TRADE DESK OMNIBUS 711 HIGH ST DES MOINES IA 50392-0001 | 34.01% | RECORD | ||||
| REGIONAL BANK FUND | R6 | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 17.55% | RECORD | ||||
| REGIONAL BANK FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 17.16% | RECORD | ||||
B-200
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| REGIONAL BANK FUND | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2022 MANULIFE INVESTMENT MANAGEMENT BUCK 197 CLARENDON ST BOSTON MA 02116-5010 | 8.95% | RECORD | ||||
| REGIONAL BANK FUND | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2023 MANULIFE INVESTMENT MANAGEMENT BUCK PLAN 197 CLARENDON ST BOSTON MA 02116-5010 | 8.32% | RECORD | ||||
| REGIONAL BANK FUND | R6 | MANULIFE INVESTMENT MGMT (US) LLC 2024 MANULIFE INVESTMENT MANAGEMENT BUCK 197 CLARENDON ST BOSTON MA 02116-5010 | 5.95% | RECORD | ||||
| SHORT DURATION BOND FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 73.63% | RECORD | ||||
| SHORT DURATION BOND FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.72% | RECORD | ||||
| SHORT DURATION BOND FUND | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 5.00% | RECORD | ||||
B-201
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| SHORT DURATION BOND FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 36.43% | RECORD | ||||
| SHORT DURATION BOND FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 20.52% | RECORD | ||||
| SHORT DURATION BOND FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 19.18% | RECORD | ||||
| SHORT DURATION BOND FUND | C | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 10.24% | RECORD | ||||
| SHORT DURATION BOND FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 8.64% | RECORD | ||||
| SHORT DURATION BOND FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 39.49% | RECORD | ||||
| SHORT DURATION BOND FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 23.29% | RECORD | ||||
B-202
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| SHORT DURATION BOND FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 19.33% | RECORD | ||||
| SHORT DURATION BOND FUND | I | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 12.88% | RECORD | ||||
| SHORT DURATION BOND FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 64.38% | RECORD | ||||
| SHORT DURATION BOND FUND | R6 | JOHN HANCOCK TRUST COMPANY LLC 200 BERKELEY ST BOSTON MA 02116-5022 | 32.27% | RECORD | ||||
| SHORT DURATION MUNICIPAL OPPORTUNITIES FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 91.40% | RECORD | ||||
| SHORT DURATION MUNICIPAL OPPORTUNITIES FUND | C | MANULIFE REINSURANCE (BERMUDA) LTD 200 BERKELEY ST BOSTON MA 02116-5022 | 55.49% | BENEFICIAL | ||||
B-203
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| SHORT DURATION MUNICIPAL OPPORTUNITIES FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 44.51% | RECORD | ||||
| SHORT DURATION MUNICIPAL OPPORTUNITIES FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 96.77% | RECORD | ||||
| SHORT DURATION MUNICIPAL OPPORTUNITIES FUND | R6 | MANULIFE REINSURANCE (BERMUDA) LTD 200 BERKELEY ST BOSTON MA 02116-5022 | 98.36% | BENEFICIAL | ||||
| SMALL CAP CORE FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 58.72% | RECORD | ||||
| SMALL CAP CORE FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 23.22% | RECORD | ||||
| SMALL CAP CORE FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 17.65% | RECORD | ||||
| SMALL CAP CORE FUND | I | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 13.80% | RECORD | ||||
B-204
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| SMALL CAP CORE FUND | I | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR BENE OF CUST ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 12.15% | RECORD | ||||
| SMALL CAP CORE FUND | I | SEI PRIVATE TRUST COMPANY C/O CIBC PRIVATE WEALTH GROUP 1 FREEDOM VALLEY DR OAKS PA 19456-9989 | 7.87% | RECORD | ||||
| SMALL CAP CORE FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 5.33% | RECORD | ||||
| SMALL CAP CORE FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 78.51% | RECORD | ||||
| SMALL CAP CORE FUND | R6 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 6.47% | RECORD | ||||
| SMALL CAP CORE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 23.71% | RECORD | ||||
| SMALL CAP CORE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 41.73% | RECORD | ||||
| SMALL CAP CORE FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 20.20% | RECORD | ||||
B-205
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| SMALL CAP DYNAMIC GROWTH FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 6.61% | RECORD | ||||
| SMALL CAP DYNAMIC GROWTH FUND | C | ASCENSUS TRUST COMPANY FBO WILLIAM PELLEGRINO, INC 401(K) PLA PO BOX 10758 FARGO ND 58106-0758 | 5.80% | BENEFICIAL | ||||
| SMALL CAP DYNAMIC GROWTH FUND | C | ASCENSUS TRUST COMPANY FBO METHODOLOGIES INC 401(K) PLAN PO BOX 10758 FARGO ND 58106-0758 | 5.71% | BENEFICIAL | ||||
| SMALL CAP DYNAMIC GROWTH FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 5.37% | RECORD | ||||
| SMALL CAP DYNAMIC GROWTH FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 15.45% | RECORD | ||||
| SMALL CAP DYNAMIC GROWTH FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 13.50% | RECORD | ||||
| SMALL CAP DYNAMIC GROWTH FUND | I | NABANK & CO PO BOX 2180 TULSA OK 74101-2180 | 11.65% | BENEFICIAL | ||||
B-206
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| SMALL CAP DYNAMIC GROWTH FUND | I | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 10.67% | RECORD | ||||
| SMALL CAP DYNAMIC GROWTH FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 10.36% | RECORD | ||||
| SMALL CAP DYNAMIC GROWTH FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 8.45% | RECORD | ||||
| SMALL CAP DYNAMIC GROWTH FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 6.75% | RECORD | ||||
| SMALL CAP DYNAMIC GROWTH FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY (USA) ATTN: JHRPS TRADING OPS ST6 200 BERKELEY ST BOSTON MA 02116-5022 | 63.63% | BENEFICIAL | ||||
| SMALL CAP DYNAMIC GROWTH FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 5.37% | RECORD | ||||
| SMALL CAP DYNAMIC GROWTH FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 32.01% | RECORD | ||||
| SMALL CAP DYNAMIC GROWTH FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 61.14% | RECORD | ||||
B-207
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 39.50% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | A | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 10.99% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 7.55% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | A | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 5.91% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | A | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 5.69% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 32.52% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 13.42% | RECORD | ||||
B-208
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 12.94% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 9.67% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 47.85% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 17.41% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | I | CHARLES SCHWAB & CO INC MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4141 | 5.81% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | I | SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS OF UBS FINANCIAL SERVICES INC 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 | 5.29% | RECORD | ||||
B-209
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | R2 | CHARLES SCHWAB TRUST BANK TTEE DC PLAN FOR FT EES OF TOWN OF EAST HARTFORD 20060005 2423 E LINCOLN DR PHOENIX AZ 85016-1215 | 18.37% | BENEFICIAL | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | R2 | ASCENSUS TRUSTCO FBO BRIAN W DOSSETT M D LTD PROFIT SHA PO BOX 10758 FARGO ND 58106-0758 | 16.38% | BENEFICIAL | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | R2 | MID ATLANTIC TRUST COMPANY FBO SANTA BARBARA CLUB 401(K) PROFIT SH 1251 WATERFRONT PLACE, SUITE 525 PITTSBURGH PA 15222-4228 | 10.42% | BENEFICIAL | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | R2 | ASCENSUS TRUST COMPANY FBO SILVERADO FAMILY DENTAL 401(K) PLAN PO BOX 10758 FARGO ND 58106-0758 | 10.36% | BENEFICIAL | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | R2 | ASCENSUS TRUST COMPANY FBO COUNTRY LINE ELECTRICAL DISTRIBUTOR PO BOX 10758 FARGO ND 58106-0758 | 7.57% | BENEFICIAL | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | R2 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 7.13% | RECORD | ||||
B-210
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | R2 | MATRIX TRUST COMPANY CUST FBO MCKENNETT FORSBERG & VOLL PC PSP 717 17TH ST STE 1300 DENVER CO 80202-3304 | 5.11% | BENEFICIAL | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 62.63% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | R6 | EMPOWER TRUST FBO EMPLOYEE BENEFIT CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 | 11.43% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | R6 | J P MORGAN SECURITIES LLC OMNIBUS ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS 575 WASHINGTON BLVD 12TH FL MUTUAL FUND DEPARTMENT JERSEY CITY NJ 07310-1616 | 5.10% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 5.33% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 10.57% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 11.48% | RECORD | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 34.15% | RECORD | ||||
B-211
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| STRATEGIC INCOME OPPORTUNITIES FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 15.31% | RECORD | ||||
| U.S. GROWTH FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 14.30% | RECORD | ||||
| U.S. GROWTH FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 6.68% | RECORD | ||||
| U.S. GROWTH FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 25.60% | RECORD | ||||
| U.S. GROWTH FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 14.01% | RECORD | ||||
| U.S. GROWTH FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 9.71% | RECORD | ||||
| U.S. GROWTH FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 8.09% | RECORD | ||||
B-212
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| U.S. GROWTH FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 6.58% | RECORD | ||||
| U.S. GROWTH FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 5.46% | RECORD | ||||
| U.S. GROWTH FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 28.66% | RECORD | ||||
| U.S. GROWTH FUND | I | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 18.30% | RECORD | ||||
| U.S. GROWTH FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 17.02% | RECORD | ||||
| U.S. GROWTH FUND | I | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 12.15% | RECORD | ||||
| U.S. GROWTH FUND | I | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 5.71% | RECORD | ||||
B-213
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| U.S. GROWTH FUND | I | RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING ATTN MUTUAL FUND PRODUCT GRP 250 NICOLLETT MALL STE 1800 MINNEAPOLIS MN 55401-7583 | 5.63% | RECORD | ||||
| U.S. GROWTH FUND | R2 | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 32.38% | RECORD | ||||
| U.S. GROWTH FUND | R2 | ASCENSUS TRUST COMPANY FBO ILGENFRITZ CONSULTING LLC RETIREMEN PO BOX 10758 FARGO ND 58106-0758 | 17.40% | BENEFICIAL | ||||
| U.S. GROWTH FUND | R2 | ASCENSUS TRUST COMPANY FBO MAB BUSINESS SERVICES RETIREMENT PL PO BOX 10758 FARGO ND 58106-0758 | 10.15% | BENEFICIAL | ||||
| U.S. GROWTH FUND | R2 | ASCENSUS TRUST COMPANY FBO CAREY LOHRENZ PORTRAITURE INC 8 PO BOX 10758 FARGO ND 58106-0758 | 8.32% | BENEFICIAL | ||||
| U.S. GROWTH FUND | R2 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 6.30% | RECORD | ||||
B-214
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| U.S. GROWTH FUND | R2 | MG TRUST COMPANY CUST FBO BRONSON COMMUNITY SCHOOLS 403 B 717 17TH ST STE 1300 DENVER CO 80202-3304 | 5.99% | BENEFICIAL | ||||
| U.S. GROWTH FUND | R4 | STATE STREET BANK AND TRUST AS TRUSTEE AND OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 | 99.86% | RECORD | ||||
| U.S. GROWTH FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY (USA) ATTN: JHRPS TRADING OPS ST6 200 BERKELEY ST BOSTON MA 02116-5022 | 82.91% | BENEFICIAL | ||||
| U.S. GROWTH FUND | R6 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 6.97% | RECORD | ||||
| U.S. GROWTH FUND | R6 | JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK ATTN: JHRPS TRADING OPS ST 6 200 BERKELEY ST BOSTON MA 02116-5022 | 5.68% | BENEFICIAL | ||||
| U.S. GROWTH FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST US GROWTH 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 34.23% | BENEFICIAL | ||||
B-215
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| U.S. GROWTH FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST PORTFOLIO 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 10.46% | BENEFICIAL | ||||
| U.S. GROWTH FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST PORTFOLIO 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 8.90% | BENEFICIAL | ||||
| U.S. GROWTH FUND | NAV | T ROWE PRICE SERVICES INC FBO ALASKA COLLEGE SAVINGS TRUST EQUITY PORTFOLIO 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 7.50% | BENEFICIAL | ||||
| U.S. GROWTH FUND | NAV | T ROWE PRICE SERVICES INC ALASKA COLLEGE SAVINGS TRUST PORTFOLIO 2025-2028 100 E PRATT ST FL 7 BALTIMORE MD 21202-1013 | 7.05% | BENEFICIAL | ||||
| U.S. GROWTH FUND | NAV | JHUSA RET/PENS 200 BERKELEY STREET BOSTON, MASSACHUSETTS 02116 | 21.03% | RECORD | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | A | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 39.16% | RECORD | ||||
B-216
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | A | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 7.43% | RECORD | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 14.85% | RECORD | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | C | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 12.25% | RECORD | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | C | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 10.53% | RECORD | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | C | WELLS FARGO CLEARING SERVICES, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 7.08% | RECORD | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | C | PERSHING LLC 1 PERSHING PLZ JERSEY CITY NJ 07399-0001 | 6.58% | RECORD | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | C | MORGAN STANLEY SMITH BARNEY LLC FOR EXCLUSIVE BENEFIT OF CUSTOMERS 1 NEW YORK PLAZA FL. 12 NEW YORK NY 10004-1965 | 6.23% | RECORD | ||||
B-217
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | C | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT ATTN: MUTUAL FUND TRADING 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 | 5.59% | RECORD | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | I | AMERICAN ENTERPRISE INVESTMENT SVC 707 2ND AVE S MINNEAPOLIS MN 55402-2405 | 63.20% | RECORD | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | I | NATIONAL FINANCIAL SERVICES LLC FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY ST # 1WFC NEW YORK NY 10281-1015 | 9.18% | RECORD | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | R2 | MLPF& S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 2ND FL JACKSONVILLE FL 32246-6484 | 35.50% | RECORD | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | R2 | ASCENSUS TRUST COMPANY FBO CO OF WORCESTER OFFICE OF SHERIFF PO BOX 10758 FARGO ND 58106-0758 | 9.97% | BENEFICIAL | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | R2 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 8.51% | RECORD | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | R2 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 7.39% | RECORD | ||||
B-218
| Fund Name | Share Class |
Name and Address | Percentage Owned |
Type of Ownership | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | R2 | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER ROAD SAINT LOUIS MO 63131-3710 | 6.61% | RECORD | ||||
| U.S. GLOBAL LEADERS GROWTH FUND | R2 | NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 | 6.26% | RECORD | ||||
| U.S. SECTOR ROTATION FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 6.00% | RECORD | ||||
| U.S. SECTOR ROTATION FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 7.93% | RECORD | ||||
| U.S. SECTOR ROTATION FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 8.83% | RECORD | ||||
| U.S. SECTOR ROTATION FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 8.45% | RECORD | ||||
| U.S. SECTOR ROTATION FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 5.50% | RECORD | ||||
| U.S. SECTOR ROTATION FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 5.11% | RECORD | ||||
| U.S. SECTOR ROTATION FUND | NAV | FUND OF FUNDS 200 BERKELEY STREET BOSTON, MA 02116 | 5.17% | RECORD | ||||
To the best knowledge of the Trusts, as of December 31, 2024, the Trustees and officers of the Trust, in the aggregate, beneficially owned less than 1% of the outstanding shares of any class of any of the Funds.
B-219
Exhibit A - Procedures for the Selection of New Independent Trustees
(1) The Nominating and Governance Committee shall consider recommendations for nominations from a wide variety of sources, including members of the Board, business contacts, the Company’s legal counsel, community leaders and members of management. The Nominating and Governance Committee may retain a professional search firm or a consultant to assist the Nominating and Governance Committee in a search for a qualified candidate.
(2) A biography of each candidate shall be acquired and shall be reviewed by counsel to the Independent Trustees and counsel to the Trust to determine the candidate’s eligibility to serve as an Independent Trustee.
(3) The Nominating and Governance Committee will select Independent Trustee candidates in accordance with its Statement of Policy on Criteria for Selecting Independent Trustees (attached hereto as Annex A). While the re-nomination of existing Trustees will not be viewed as automatic, the Nominating and Governance Committee will generally favor the re-nomination of an existing Trustee rather than a new candidate if the re-nomination is consistent with the Statement of Policy on Criteria for Selecting Independent Trustees. The Nominating and Governance Committee in considering the re-nomination of any existing Trustee will take into account such Trustee’s performance on the Board including any Board committee.
(4) The Nominating and Governance Committee shall meet to review the materials relating to each eligible candidate and to determine whether one or more of the candidates should be interviewed in person by the Nominating and Governance Committee. If the Nominating and Governance Committee determines that any candidate should be interviewed, he or she shall be interviewed by at least a majority of the members of the Nominating and Governance Committee. After interviewing the Trustee candidate(s), the Nominating and Governance Committee shall meet to determine whether to recommend one or more of the candidates to the full Board of Trustees.
Annex A
Statement of Policy on Criteria for Selecting Independent Trustees
The Nominating and Governance Committee may take into account a wide variety of factors in considering Trustee candidates, including (but not limited to) the criteria set forth below. The Nominating and Governance Committee may determine that a candidate who does not satisfy these criteria in one or more respects should nevertheless be considered as a nominee if the Nominating and Governance Committee finds that the criteria satisfied by the candidate and the candidate’s other qualifications demonstrate substantially the same level of fitness to serve as an Independent Trustee.
1. The candidate should have unquestioned personal integrity and such other personal characteristics as a capacity for leadership and the ability to work well with others.
2. The candidate may not be an “interested person” (as defined in the Investment Company Act of 1940) of the Advisor, and should have no material relationship, whether business, professional, familial or other, that would create an appearance of a lack of independence in respect of the Advisor or affiliates.
3. The candidate should be willing and able to commit the time necessary for attendance at meetings and the performance of other duties of an Independent Trustee.
4. The candidate should have business, professional, academic or other experience and qualifications which demonstrate that he or she will make a valuable contribution as an Independent Trustee. In addition, the candidate should have sufficient financial or accounting knowledge to add value to the deliberations of the Independent Trustees.
5. The candidate should have experience on corporate or other institutional bodies having oversight responsibilities.
6. In addition, the Independent Trustees will strive to achieve a group that reflects a diversity of experiences in respect of industries, professions and other experiences, and that is diversified as to gender and race.
It is the intent of the Nominating and Governance Committee that at least one Independent Trustee be an “audit committee financial expert” as that term is defined in Item 3 of Form N-CSR.
C-1
John Hancock Investment Management Distributors LLC, Member FINRA, SIPC, 200 Berkeley Street, Boston, MA, 02116, 800-225-6020, jhinvestments.com Manulife, Manulife Investments, Stylized M Design, and Manulife Investments & Stylized M Design are trademarks Life Insurance Company and John Hancock and the Stylized John Hancock Design are trademarks of John Hancock (U.S.A.). Each are used by it and by its affiliates under license.
| 200 Berkeley Street, Boston, MA 02116, 800-852-0218, jhinvestments.com | JHDPX 09/25 |
John Hancock Investment Management Distributors LLC, Member FINRA, SIPC, 200 Berkeley Street, Boston, MA, 02116, 800-225-6020, jhinvestments.com Manulife, Manulife Investments, Stylized M Design, and Manulife Investments & Stylized M Design are trademarks Life Insurance Company and John Hancock and the Stylized John Hancock Design are trademarks of John Hancock (U.S.A.). Each are used by it and by its affiliates under license.
| 200 Berkeley Street, Boston, MA 02116, 800-852-0218, jhinvestments.com | JHSPX 09/25 |
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PO Box 211230, Eagan, MN 55121-9984 |
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VOTE ONLINE
1. Read the proxy statement.
2. Go to: www.proxyvotenow.com/jhfunds2025
3. Follow the simple instructions. |
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VOTE BY PHONE
1. Read the proxy statement and have the proxy card at hand.
2. Call toll-free: 855-995-1705
3. Follow the simple instructions. |
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VOTE BY MAIL
1. Read the proxy statement.
2. Check the appropriate box(es) on the reverse side of the proxy card.
3. Sign, date, and return the proxy card in the envelope provided. |
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TRUST NAME PRINTS HERE
FUND NAME PRINTS HERE
SPECIAL JOINT MEETING OF SHAREHOLDERS TO BE HELD NOVEMBER 12, 2025
THIS PROXY IS SOLICITED ON BEHALF OF THE BOARD OF TRUSTEES OF THE TRUST
The undersigned, revoking previous proxies, hereby appoint(s) Sarah M. Coutu, Thomas Dee, Khimmara Greer, Kinga Kapuscinski, Nicholas J. Kolokithas, Mara S.C. Moldwin, Harsha Pulluru, Christopher L. Sechler, Betsy Anne Seel and Steven Sunnerberg, with full power of substitution in each, to vote all the shares of beneficial interest of the above-referenced Fund (the “Fund”), a series of the above-referenced Trust (the “Trust”), which the undersigned is (are) entitled to vote at the Special Joint Meeting of Shareholders of the Fund (the “Meeting”) to be held at 200 Berkeley Street, Boston, Massachusetts 02116 on November 12, 2025 at 2:00 p.m., Eastern Time, and at any adjournment(s) of the Meeting. All powers may be exercised by a majority of all proxy holders or substitutes voting or acting, or, if only one votes and acts, then by that one. Receipt of the Notice of Special Joint Meeting and Proxy Statement dated September 15, 2025, is hereby acknowledged. If not revoked, this proxy shall be voted for the proposal included in the Proxy Statement.
| CONTROL NUMBER |
| AUTHORIZED SIGNATURE(S) | ||
| This section must be completed for your vote to be counted.
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| Signature(s) and Title(s), if applicable Sign in the box above | ||
| Date | ||
| Note: Please sign exactly as your name(s) appear(s) on this proxy card. If signing for estates, trusts, or other fiduciaries, your title or capacity should be stated and where more than one name appears, a majority must sign. If shares are held jointly, one or more joint owners should sign personally. If a corporation, the signature should be that of an authorized officer who should state his or her title. | ||
| 100365_JHRetail |
Important Notice Regarding the Availability of Proxy Materials for this Special Joint Meeting of Shareholders to Be Held on November 12, 2025.
The Proxy Statement for this Meeting is available at https://www.jhinvestments.com/resources/all-
resources/fund-documents/proxy-documents/john-hancock-election-of-trustees-proxy-statement
EVERY SHAREHOLDER’S VOTE IS IMPORTANT
PLEASE CAST YOUR VOTE TODAY!
YOUR SIGNATURE IS REQUIRED FOR YOUR VOTE TO BE COUNTED.
PLEASE SIGN AND DATE THIS PROXY CARD ON THE REVERSE SIDE AND RETURN IT PROMPTLY IN THE ENCLOSED ENVELOPE.
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Please detach at perforation before mailing. |
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SPECIFY YOUR DESIRED ACTION BY A CHECK MARK IN THE APPROPRIATE SPACE.
THIS PROXY WILL BE VOTED IN FAVOR OF (FOR) EACH NOMINEE IF NO SPECIFICATION IS MADE BELOW.
AS TO ANY OTHER MATTER THAT MAY PROPERLY COME BEFORE THE SPECIAL JOINT MEETING OR ANY ADJOURNMENT(S) OR
POSTPONEMENT(S) THEREOF, THE PROXY OR PROXIES WILL VOTE IN ACCORDANCE WITH THEIR BEST JUDGMENT.
TO VOTE, MARK A BOX BELOW IN BLUE OR BLACK INK AS FOLLOWS: ☒
| FOR ALL |
WITHHOLD ALL |
FOR ALL EXCEPT* | ||||||||
| 1. | Election of five Trustees as members of the Board of Trustees of the Trust: | ☐ | ☐ | ☐ | ||||||
| (01) | Kristie M. Feinberg | |||||||||
| (02) | William K. Bacic | |||||||||
| (03) | Thomas R. Wright | |||||||||
| (04) | Christine L. Hurtsellers | |||||||||
| (05) | Kenneth J. Phelan | |||||||||
| *Instructions: To withhold authority to vote for any individual nominee(s), mark the FOR ALL EXCEPT box and write the nominee(s) number(s) on the line below. | ||||||||||
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