T. Rowe Price International Index Fund, Inc. 333-44964/811-10063
T. Rowe Price International Series, Inc. 033-52171/811-07145
T. Rowe Price Limited Duration Inflation Focused Bond Fund, Inc. 333-136805/811-21919
T. Rowe Price Media & Telecommunications Fund, Inc. 333-27963/811-07075
T. Rowe Price Mid-Cap Growth Fund, Inc. 033-47806/811-6665
T. Rowe Price Mid-Cap Value Fund, Inc. 333-02993/811-07605
T. Rowe Price Multi-Sector Account Portfolios, Inc. 333-178660/811-22620
T. Rowe Price Multi-Strategy Total Return Fund, Inc. 333-218649/811-23261
T. Rowe Price New America Growth Fund, Inc. 002-99122/811-4358
T. Rowe Price New Era Fund, Inc. 002-29866/811-1710
T. Rowe Price New Horizons Fund, Inc. 002-18099/811-958
T. Rowe Price New Income Fund, Inc. 002-48848/811-2396
T. Rowe Price Personal Strategy Funds,QM U.S. Bond Index Fund, Inc. 033-53675/811-07173
T. Rowe Price Quantitative Management Funds, Inc. 333-26323/811-08203333-45018/811-10093
T. Rowe Price Real Assets Fund, Inc. 333-166395/811-22410
T. Rowe Price Real Estate Fund, Inc. 333-36137/811-08371
T. Rowe Price Reserve Investment Funds, Inc. 811-08279
T. Rowe Price Retirement Funds, Inc. 333-92380/811-21149
T. Rowe Price Science & Technology Fund, Inc. 033-16567/811-5299
T. Rowe Price Short-Term Bond Fund, Inc. 002-87568/811-3894
T. Rowe Price Small-Cap Stock Fund, Inc. 002-12171/811-696
T. Rowe Price Small-Cap Value Fund, Inc. 002-43237/811-2215811-2215-99
T. Rowe Price Spectrum Fund, Inc. 033-10992/811-4998
T. Rowe Price Spectrum Funds II, Inc. 033-53675/811-07173
T. Rowe Price State Tax-Free Funds, Inc. 033-06533/811-4521
T. Rowe Price Summit Funds, Inc. 033-50319/811-7093
T. Rowe Price Summit Municipal Funds, Inc. 033-50321/811-7095
T. Rowe Price Tax-Efficient Funds, Inc. 333-26441/811-08207
T. Rowe Price Tax-Exempt Money Fund, Inc. 002-67029/811-3055
T. Rowe Price Tax-Free High Yield Fund, Inc. 002-94641/811-4163
T. Rowe Price Tax-Free Income Fund, Inc. 002-57265/811-2684
T. Rowe Price Tax-Free Short-Intermediate Fund, Inc. 002-87059/811-3872
T. Rowe Price Total Return Fund, Inc. 333-213574/811-23180
T. Rowe Price U.S. Bond Enhanced IndexEquity Research Fund, Inc. 333-45018/811-10093033-56015/811-07225
T. Rowe Price U.S. Large-Cap Core Fund, Inc. 333-158764/811-22293
T. Rowe Price U.S. Treasury Funds, Inc. 033-30531/811-5860
T. Rowe Price Value Fund, Inc. 033-54963/811-07209
(Name of Registrant as Specified in its Charter)
(Name of Person(s) Filing Proxy Statement)
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[ ]Fee computed on table below per Exchange Act Rules 14a-6(i) and 0-11.
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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:
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Proxy Information May | ||||
This proxy material All mutual funds and exchange-traded funds sponsored and managed by T. Rowe Price Associates, Inc. (each a “Fund” and together the
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We cordially invite you to attend a joint special meeting of shareholders (the “Shareholder Meeting”) The following matters will be considered and acted upon at that time: | |||
1.Elect four (4) directorsdirector-nominees for each Fund who have not been previously elected by shareholders;Fund; and
2. Amend the investment objectives of each of the Communications & Technology, International Bond, and New Income Funds;
3. Amend the fundamental policy on commodities of each of the Dividend Growth, Institutional High Yield, Institutional Large-Cap Growth, Institutional Large-Cap Value, Institutional Mid-Cap Equity Growth, Institutional Small-Cap Stock, New America Growth, and QM U.S. Small-Cap Growth Equity Funds, and the Emerging Markets Local Multi-Sector Account Portfolio;
4. Amend the industry concentration policy of the Emerging Europe Fund;
5. Reclassify the diversification status of each of the Communications & Technology, Financial Services, Global Consumer, Global Industrials, Global Technology, Health Sciences, New Era, Real Estate, and Science & Technology Funds, and the Health Sciences Portfolio from diversified to nondiversified; and
6. To transact such other business as may properly come before the Shareholder Meeting and any adjournments or postponements thereof.
You or your proxy holder will be able to attend the meeting online, vote your shares electronically, and submit questions by visiting the portable document format (“PDF”) available at the following url: https://vote.proxyonline.com/trowe/docs/2023virtualmeetinginformation.pdf. The PDF will provide a url to attend the Shareholder Meeting. You must register prior to attending the Shareholder Meeting. You must have PDF viewing software, such as Adobe Reader, installed on your computer to view the document and attend the Shareholder Meeting. More detailed instructions are provided in the proxy materials that follow.
You are receiving these combined proxy materials for any Fund(s) you own. We hope that you will be able to attend the Shareholder Meeting and we encourage you to vote by telephone or online using the control number that appears on the enclosed proxy card prior to the Shareholder Meeting. Voting prior to the Shareholder Meeting will
reduce the time and costs associated with this proxy solicitation. Whichever method you choose, please read the enclosed proxy statement carefully before you vote.
Since the T. Rowe Price Funds’ last joint shareholder meeting in 2013, several2018, certain directors have retired one director recently passed away,or resigned and new directors have been added to replace those who have retired.them. In conjunction with these changes and more long-term succession planning, it has become necessary to seek shareholder approval to elect four directors for each Fund. If all proposed nominees are elected, each Fund’s board of directors (each a “Board,” and together, the “Boards”) will be composed of at least 75% independent directors and the same independent directors would serve on each Fund’s Board. With the exception
If you have questions, please call one of one proposed interested director, the directors standing for election already serve on the Boards of the T. Rowe Price Funds.
We are also taking this opportunity to seek shareholder approval to make changes to certain Funds’ investment objectives and policies. You are being asked to vote on those proposals only if you own shares of those Funds.
You are receiving these combined proxy materials for any Fund(s) you own. We have combined all of the above proposals into this single proxy statement to reduce Fund expenses associated with separate mailings for each impacted Fund.our service representatives at 1-800-541-5910.
We realize that it may be difficult for most shareholders to attend the Shareholder Meeting andYour participation in this vote their shares in person. However, we do need your vote in order to reach a quorum at the Shareholder Meeting with respect to each Fund. You can vote online, by telephone, or by mail, as explained in the enclosed materials.is extremely important. By voting promptly, you can help the Funds that you own avoid the expense of additional mailings.
If you have any questions or would like additional information concerning the matters proposed for action at the Shareholder Meeting, please call one of our service representatives at 1-800-541-5910. Your participation in this vote is extremely important.
In closing, I would like to note that, after thirty years at T. Rowe Price, I will retire at the end of this year. Serving as the Chair of your mutual funds’ Boards for the last 12 years has been an honor and a privilege, and I look forward to remaining a fellow shareholder for many years to come.
As always, thank you for investing with T. Rowe Price.
Sincerely,
Edward C. BernardRobert W. SharpsChairman of the BoardChief Executive Officer, T. Rowe Price Group, Inc.
Notice of Joint Special Meeting of Shareholders
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| T. Rowe Price Funds Fran M. Pollack-Matz | |
May 10, 2023 | ||
A joint special meeting of shareholders (the “Shareholder Meeting”) of the T. Rowe Price Funds will be held virtually on | ||
1.Elect four (4) 2.
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You or your proxy holder will be able to attend the meeting online, vote your shares electronically, and submit questions by visiting the portable document format (“PDF”) available at the following url: https://vote.proxyonline.com/trowe/docs/2023virtualmeetinginformation.pdf. The PDF will provide a url to attend the Shareholder Meeting. You must register prior to attending the Shareholder Meeting and vote your shares. You must have PDF viewing software, such as Adobe Reader, installed on your computer to view the document and attend the Shareholder Meeting. More detailed instructions are provided in the proxy materials that follow. If your shares are held through an intermediary (such as a brokerage account or by a bank or other holder of record), you will need to request a legal proxy to vote during the virtual Shareholder Meeting. To do so, you must submit proof of your proxy power (legal proxy) reflecting your holdings along with your name and email address to AST |
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Financial (“AST”), the proxy tabulator for the Shareholder Meeting. Requests for registration must be labeled as “Legal Proxy” and be received no later than 5:00 p.m. eastern time, on July 19, 2023. You will receive a confirmation of your registration by email that includes the control number necessary to vote during the Shareholder Meeting. Requests for registration should be directed to AST at attendameeting@equiniti.com. The Shareholder Meeting webcast will begin promptly at 12:15 p.m. eastern time. We encourage you to access the Shareholder Meeting prior to the start time in order to register to attend. For additional information on how you can vote your shares and participate in the virtual Shareholder Meeting, please see the instructions under the heading SUMMARY beginning on page 1 of the enclosed proxy materials that follow. Because the Shareholder Meeting will be a completely virtual meeting, there will be no physical location for shareholders to attend. Only shareholders of record at the close of business on Thursday, April The
FRAN M. POLLACK-MATZ |
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YOUR VOTE IS IMPORTANT |
Shareholders are urged to designate their choice on the matters to be acted upon by using one of the following 1. Vote online. · Read the enclosed proxy · Go to the · Enter the control number found on your proxy card. · Follow the instructions using your proxy card as a guide. 2. Vote by telephone. · Read the enclosed proxy · Call the toll-free number found on your proxy card. · Enter the control number found on your proxy card. · Follow the recorded instructions using your proxy card as a guide. 3. Vote by mail. · Read the enclosed proxy materials. ·Date, sign, and return the enclosed proxy card in the envelope provided, which requires no postage if mailed in the United States.
4. Attend the virtual Shareholder Meeting. ·Read the enclosed proxy materials. ·Vote your shares electronically during the live Shareholder Meeting webcast by going to the Internet voting site found on ·Enter the ·Follow the instructions using your proxy card Your prompt response will help to achieve a quorum at the Shareholder Meeting and avoid the potential for additional expenses to |
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T. Rowe Price Funds
100 East Pratt Street
Baltimore, Maryland 21202
Joint Special Meeting of Shareholders—Shareholders
Monday, July 25, 201824, 2023
JOINT PROXY STATEMENT
This proxy material relates to all of the mutual funds and exchange-traded funds (“ETFs”) sponsored and managed by T. Rowe Price Associates, Inc. (each a “Fund(“,” and together, the “T. Rowe Price Funds” or the “Funds”). A complete list of the T. Rowe Price Funds is included in Exhibit 1.1 (each a “Fund,” and together, the “T. Rowe Price Funds,” the “Price Funds,” or the “Funds”). This document provides you with the information you need in order to vote on the matters coming before the upcoming joint special meeting (the “Shareholder Meeting”) and is furnished in connection with the solicitation of proxies by the T. Rowe Price Funds. If you have any questions, please feel free to call us toll free at 1-800-541-5910. The Notice of Joint Special Meeting of Shareholders, the proxy card, and this joint proxy statement (the “Proxy Statement”) began mailing to shareholders of record on or about May 10, 2023.
How can shareholders access the virtual Shareholder Meeting?
The Shareholder Meeting will be a virtual meeting conducted exclusively via live webcast starting at 12:15 p.m. eastern time on Monday, July 24, 2023. You or your proxy holder will be able to attend the meeting online, vote your shares electronically, and submit questions by visiting the portable document format (“PDF”) available at the following url: https://vote.proxyonline.com/trowe/docs/2023virtualmeetinginformation.pdf. The PDF will provide a url to attend the Shareholder Meeting. You must register by providing your name and email address prior to attending the Shareholder Meeting. You must have PDF viewing software, such as Adobe Reader, installed on your computer to view the document and attend the Shareholder Meeting.
Because the Shareholder Meeting is completely virtual and will be conducted via live webcast, shareholders will not be able to attend the Shareholder Meeting in person. If your shares are held through a brokerage account or by a bank or other holder of record you will need to request a legal proxy to vote your shares during the virtual meeting. To do so, you must submit proof of your proxy power (“legal proxy”) reflecting your holdings as of April 27, 2023, along with your name and email address to AST. Requests for registration must be labeled as “Legal Proxy” and be received no later than 5:00 p.m. eastern time, on July 19, 2023. You will receive a confirmation of your registration by email that includes the control number necessary to vote during the Shareholder Meeting. Requests for registration should be directed to AST at attendameeting@equiniti.com.
We are pleased to offer our shareholders a completely virtual Shareholder Meeting, which provides worldwide access and communication. We are committed to ensuring that shareholders will be afforded the same rights and opportunities to participate as they would at an in-person meeting. We will reserve time at the end of the Shareholder Meeting (prior to the final vote tabulation) to answer as many shareholder-submitted
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questions as time permits; however, we reserve the right to exclude questions that are not pertinent to Shareholder Meeting matters or that are otherwise inappropriate. If substantially similar questions are received, we will group such questions together and provide a single response to avoid repetition.
Who is asking for my vote?
The Boards of Directors (each, a ““Board” Board” and together, the ““Boards”Boards”) of the T. Rowe Price Funds request that you vote on the proposals listed in the Notice of Joint Special Meeting of Shareholders, as applicable.each director nominated for election. The votes will be formally counted at the Joint SpecialShareholder Meeting of Shareholders (the “Shareholder Meeting”) on Wednesday,Monday, July 25, 2018,24, 2023, and if the Shareholder Meeting is adjourned or postponed, on the date of the adjourned or postponed meeting. Fund shareholders may vote in personelectronically at the Shareholder Meeting, and they may also vote prior to the Shareholder Meeting online, by telephone, or by returning a completed proxy card in the postage-paid envelope provided. Details can be found on the enclosed proxy insert.card. Do not mail the proxy card if you are voting online or by telephone.
The Boards, including the Funds’ independent directors, recommend that shareholders vote FOR all the proposed nominees.
Who is eligible to vote?
Shareholders of record at the close of business on Thursday, April 26, 2018,27, 2023, (the ““record date”date”) of each Fund are hereby notified of the Shareholder Meeting and are entitled to one vote for each full share and a proportionate vote for each fractional share of each Fund they held as of the record date. The Notice of Joint Special Meeting of Shareholders, the proxy card, and the Proxy Statement began mailing to shareholders of record on or about May 11, 2018. Shareholders of a Fund are entitled to vote on each proposal with respect to that Fund and not with respect to any Fund of which they do not own any shares as of the record date.
Under Maryland law, shares owned by two or more persons (whether as joint tenants, co-fiduciaries, or otherwise) will be voted as follows, unless a written instrument or court order providing to the contrary has been filed with a Fund: (1) if only one votes, that vote will bind all; (2) if more than one votes, the vote of the majority will bind all; and (3) if more than one votes and the vote is evenly divided, the vote will be cast proportionately.
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What are shareholders being asked to vote on?
At a meeting held on Monday, March 5, 2018,6, 2023, the Boards, including the independent directors, unanimously approved submitting the following proposals to the shareholders of the Funds to be considered and acted upon:
Proposal | Funds Affected |
1.Elect four (4) | All Funds |
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How can I get more information about the Funds?
A copy of each Fund’s most recent prospectus, annual and semiannual shareholder reports, and Statementstatement of Additional Information (“SAI”)additional information are available at no cost by visiting our website at troweprice.com/prospectus; by calling 1-800-541-5910; or by writing to T. Rowe Price, 4515 Painters Mill Road, Owings Mills, Maryland 21117.
PROPOSAL NO. 1 — Election of Directors– ELECTION OF DIRECTORS
Under the Investment Company Act of 1940, as amended (the “1940 Act”), a certain percentage of each Fund’s Board must be elected by shareholders. Due to the retirement or resignation of severalcertain directors over the past few years, and the recent passing of one director, it has becomeis now necessary for the Funds to hold a shareholder meeting in order to elect directors. With the exception of one proposed interested director, David Oestreicher, eachTwo of the other proposed nominees, Kellye L. Walker and Eric L. Veiel, presently servesserve as a directordirectors on the current Boards, but noneBoards. Melody Bianchetto and Mark J. Parrell do not currently serve as directors although each has served on each Board’s Advisory Board since February 24, 2023 and January 1, 2023, respectively. As discussed in further detail below, Advisory Board members serve in a consultative capacity to the Board and, in doing so, participate in Board discussions and review Board materials. None of these proposed nominees have yet been elected by shareholders.
The current directors that arewho have not beingbeen nominated for shareholder approval at the upcoming Shareholder Meeting were previously elected by each Fund’s shareholders at a shareholder meeting held on October 22, 2013.shareholders. Each of thesethe current directors who are not being nominated with the exception of Edward Bernard,for election at this time will continue to serve on the Boards following the Shareholder Meeting. Mr. Bernard plans on retiring from T. Rowe Price Associates, Inc. on December 31, 2018. As a result, heEach Board will resign from his role as a director and Chairman of the Boards of all T. Rowe Price Funds at the conclusion of the meeting of the Boards on July 25, 2018, which will immediately follow the shareholder meeting, subject to all the interested director nominees having been elected by shareholders. The Boards are in the process of further assessing long-term Board structure and succession planning. All of the current Boards arebe composed of at least 75% independent directors and that will continue to be the case if the proposed nominees are elected. Robert J. Gerrard, Jr., an independent director, currently serves as the chair of the Board. Mr. Gerrard is expected to continue serving as the chair following the Shareholder Meeting.
If all proposed nominees are elected, there will be tenseven independent directors and two interested directors on each Fund’s Board. An important benefitOnce elected, each nominee will become a director immediately.
What are the primary responsibilities of these elections is that the Boards and their committees, and how often do they meet?
The same independent directors will serve on the Boards of all of the T. Rowe Price Funds.each Board. This approach is designed to provideshared structure provides effective governance by exposing the directors to a widerwide range of business issues and market trends, allowing the directors to better share their knowledge, background, and experience, and permittingpermits the Boards to operate more efficiently, particularly with respect to matters common to all Funds.
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What are the primary responsibilities of the The Boards and how often do they meet?
The directors are responsible for the general oversight of each Fund’s business and for assuring that each Fund is managed in the best interests of its shareholders.
The directors meet regularly to review a wide variety of matters affecting or potentially affecting the Funds, including performance, investment programs, compliance matters, advisory fees and expenses, service providers, and business and regulatory affairs.
The Boards of the T. Rowe Price Funds held five regularly scheduled formal meetings during calendar year 2017.2022. The Funds are not required to hold annual meetings of shareholders.shareholder meetings. Accordingly, no annual meeting of shareholders shall be held in any year in which it is not otherwise required to be held unless the Boards determine otherwise.otherwise, the Funds do not hold
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an annual meeting of shareholders. If a shareholder meeting to elect directors is held, the policy is that all nominee directors are encouraged to attend, subject to availability.
Although the Boards have direct responsibility over various matters (such as approval of advisory contracts and review of Fund performance), each Board also exercises certain of its oversight responsibilities through several committees that it hasBoard established and which reportcommittees. Each committee reports back to the full Boards. The Boards believe that a committee structure is an effective means to permit directors to focus on particular operations or issues affecting the Funds, including risk oversight. Each BoardThe Boards currently hashave three standing committees, a Joint Nominating and Governance Committee, of Independent Directors, a Joint Audit Committee, and ana Joint Executive Committee, which are described in greater detail in the following paragraphs.
The Joint Nominating and Governance Committee of Independent Directors, which consists of all of the independent directors of the Funds,Funds. Pursuant to the Joint Nominating and Governance Committee’s charter (which is filed as an Appendix to this Proxy Statement), it is responsible for, among other things, seeking, reviewing, and selecting candidates to fill independent director vacancies on each Fund’s Board; periodically evaluating the compensation payable to the independent directors; and performing certain functions with respect to the governance of the Funds. The Lead Independent Directorchair of the Boards of the T. Rowe Price Funds serves as chairmanchair of the committee. Anthony W. Deering served as Lead Independent Director of each Board until he passed away on November 17, 2017. John G. Schreiber currently serves as the interim Lead Independent Director of each Board as the Boards assess long-term Board structure and succession planning. The committee will consider written recommendations from shareholders for possible nominees for independent directors. Nominees like current directors, will be considered based on thetheir ability to review critically, evaluate, question, and discuss information provided to them,them; to interact effectively with the Funds’ management and counsel and the various service providers to the Funds,Funds; and to exercise reasonable business judgment in the performance of their duties as directors. Nominees will be considered in lightThe Joint Nominating and Governance Committee seeks to ensure that the Boards are composed of their individual experience,independent directors who bring diverse perspectives, including diverse experiences, backgrounds, race, ethnicity, gender, qualifications, attributes, or
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skills.skills, thoughts, viewpoints, and other qualities. Nominees will also be considered based on their independence from T. Rowe Price and other principal service providers. Other than executive sessions in connection with Board meetings, the Joint Nominating and Governance Committee of Independent Directors formally met one time in 2017.2022.
The Joint Audit Committee consists of only independent directors. The current members of the committee are Bruce W. Duncan,Teresa Bryce Bazemore, Robert J. Gerrard, Jr., Paul F. McBride, Cecilia E. Rouse, and Mark R. Tercek. Mr. DuncanKellye L. Walker. Ms. Bazemore currently serves as chairmanchair of the committee and is considered an “audit committee financial expert,” as defined by the Securities and Exchange Commission (the “(“SEC”). The Joint Audit Committee oversees the pricing processes for the T. Rowe Price Funds and holds at least three regular meetings during each fiscal year. Twoyear for the specific purpose of meeting with management of the meetings includePrice Funds and the attendance of thePrice Funds’ independent registered public accounting firm of the T. Rowe Price Funds as thefirm. The Joint Audit Committee reviews: (1) the services provided; (2) the findings of the most recent audits; (3) management’s response to the findings of the most recent audits; (4) the scope of the audits to be performed; (5) the accountants’ fees; (6) the qualifications, independence, and performance of the independent registered public accounting firm; and (7) any accounting questions relating to particular areas of the T. Rowe Price Funds’ operations, accounting service provider performance, or the operations of parties dealing with the T. Rowe Price Funds, as circumstances indicate. A third meeting is devoted primarily to a review of
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The Joint Audit Committee also reviews the risk management program of the Funds’ investment adviser.adviser and valuation-related materials and reports provided by the Funds’ valuation designee. The Joint Audit Committee met threefour times in 2017.2022.
The Joint Executive Committee, which consists of each Fund’s interested directors, has been authorized by the Boards to exercise all powers of the Boards of the Funds in the intervals between regular meetings of the Boards, except for those powers prohibited by statute from being delegated. All actions of the Joint Executive Committee must be approved in advance by onethe independent chair of the Board (and if the independent chair is unavailable, consult an independent director of the Board) and reviewed after the fact by the full Board. The Joint Executive Committee for each Fund does not hold regularly scheduled meetings. The Joint Executive Committee was not called upon one time to take any action on behalf of anythe Funds during 2017.2022.
From time to time, the independent directors may create a special committee (“Special Committee”) comprisedor an ad hoc working group composed of independent directors, whose purpose is to review certain limited topics that require in-depth consideration outside of the Boards’ regular review. The Bank
In addition to the Boards and the various committees, the directors have established an Advisory Board which consists of New York Mellon (“BNY Mellon”) Special Committee was establishedMelody Bianchetto and Mark J. Parrell. Advisory Board members serve in December 2014a consultative capacity to the Boards. As such, Ms. Bianchetto and Mr. Parrell participate in Board discussions and review mattersBoard materials relating to the transition of fund accounting services from T. Rowe Price Funds. However, Advisory Board members are not eligible to BNY Mellonvote on any matter presented to the Boards and have no power to act on behalf of or bind the proposed Fund Accounting Agreement betweendirectors or any committee of the Boards.
Like other investment companies, the T. Rowe Price Funds and BNY Mellon. The members of the BNY Mellon Special Committee are Robert J. Gerrard, Paul F. McBride (chair), and Cecilia E. Rouse. The BNY Mellon Special Committee met once during 2017. The Section 15(c) Special Committee was established in August 2015 to review
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matters relating to the outsourcing to Broadridge Financial Solutions of the advisory contract renewal reporting pursuant to Section 15(c) under the 1940 Act. The members of the Section 15(c) Special Committee are Robert J. Gerrard, Paul F. McBride (chair), and John G. Schreiber. The Section 15(c) Special Committee met once during 2017.
Like other mutual funds, the Funds are subject to various risks, including, among others, investment, compliance, operational, and valuation risks, among others.risks. The Boards oversee risk as part of their oversight of the Funds. Risk oversight is addressed as part of various Board and committee activities. TheEach Board, directly or through its committees, interacts with and reviews reports from, among others, the investment adviser or its affiliates, the Funds’ Chief Compliance Officer,chief compliance officer, the adviser’s liquidity committee, the derivatives risk manager, the Funds’ independent registered public accounting firm, legal counsel, and internal auditors for T. Rowe Price or its affiliates, as appropriate, regarding risks faced by the Funds face and the risk management programs of the investment adviser and certain other service providers. Also, the Joint Audit Committee receives periodic reports from the valuation designee, chief risk officer and members of the adviser’sT. Rowe Price’s Risk Management Oversightand Operational Steering Committee on the significant risks inherent to the adviser’s business, including aggregate investment risks, reputational risk, business continuity risk, technology and cyber-securitycybersecurity risk, and operational risk. As of each Fund’s last fiscal year end, each director attended at least 75% of the aggregate meetings of the Board and any committees on which he or she served, with the exception of Mr. Tercek with respect to Funds with a fiscal year end of December 31, 2017 or February 28, 2018. Please see Exhibit 1 for each Fund’s fiscal year end. Although Mr. Tercek did not attend at least 75% of the aggregate meetings of the Boards and any committees on which he served for the T. Rowe Price Funds with fiscal years ending December 31, 2017 and February 28, 2018, Mr. Tercek did attend at least 75% of the aggregate meetings of the Boards and the committees on which he served for all other T. Rowe Price Funds. His absences during the meetings held in fiscal years ended December 31, 2017 and February 28, 2018 were due to short-term conflicts relating to other commitments.
The actual day-to-day risk management functions with respect to the Funds are subsumed within the responsibilities of the investment adviser, its affiliates that serve as investment subadvisers to the Funds, and other service providers (depending on the nature of the risk) that carry out the Funds’ investment management and business affairs. Although the risk management policies of T. Rowe Price and its affiliates, and the Funds’ other service providers, are reasonably designed to be effective, those policies and their implementation vary among service providers over time, and there is no guarantee that they will always be effective. An investment in a T. Rowe Price Fund may be negatively impacted because of the operational risks arising from factors such as processing errors and human errors, inadequate or failed internal or external processes, failures in systems and technology, changes in personnel
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and errors caused by third party service providers or trading counterparties. Although the Funds attempt to minimize such failures through controls and oversight, it is not possible to identify all
As of each Fund’s last fiscal year end, each director attended at least 75% of the operational risks that may affect a Fund or to develop processes and controls that completely eliminate or mitigate the occurrence of such failures. A Fund and its shareholders could be negatively impacted as a result. Processes and controls developed may not eliminate or mitigate the occurrence or effects of all risks, and some risks may be simply beyond any controlaggregate meetings of the Funds, T. Rowe PriceBoard and its affiliates,any committees on which he or other service providers.she served.
If a shareholder wishes to send a communication to any of the Boards, or to a specifiedparticular director, the communication should be submitted in writing to Darrell Braman,Fran M. Pollack-Matz, Secretary of the T. Rowe Price Funds, 100 East Pratt Street, Baltimore, MD 21202, who will forward such communication to the directors.
Who are the directors and director nominees?
The Boards have proposed the persons listed below for election as director, each to hold office until the next annual meeting (if any), retirement, or resignation, or until his or her successor is duly elected and qualified. Shareholders are being asked to elect the directors of their respective Fund(s) only. A shareholder using the enclosed proxy card, or voting by telephone or online, can vote for all or any of the nominees or withhold his or her vote from all or any of such nominees. If the proxy card is properly executed but unmarked, or a telephone or online vote is submitted without an election, it will be voted for all of the nominees. Each of the nominees has agreed to serve as a director if elected; however, should any nominee become unable or unwilling to accept nomination or election, the persons named in the proxy will exercise their voting power in favor of such other person or persons as the Boards may recommend. There are no family relationships among these nominees.
Independent Directors and Nominees. Teresa Bryce Bazemore, Ronald J. Daniels, Bruce W. Duncan, Robert J. Gerrard, Jr., Paul F. McBride, Cecilia E. Rouse, John G. Schreiber, and Mark R. TercekKellye L. Walker currently serve as independent directors to allon the Board of each T. Rowe Price Fund and are not considered “interested persons” of the T. Rowe Price Funds.Funds, as defined in the 1940 Act. Such persons are commonly referred to as “independent directors.” Shareholders are being asked to elect Teresa Bryce Bazemore and Ronald J. Danielsconsider electing Ms. Walker to continue serving on the Boards of all the T. Rowe Price Funds. Bruce W. Duncan, Robert J. Gerrard, Jr., Paul F. McBride, Cecilia E. Rouse, John G. Schreiber,Ms. Walker has served on the Boards since November 8, 2021, following her nomination to the Boards by the Joint Nominating and Governance Committee and her appointment by the Boards.
Shareholders are also being asked to consider electing Melody Bianchetto and Mark R. TercekJ. Parrell as independent directors. Ms. Bianchetto and Mr. Parrell do not currently serve as independent directors, although they have served on the Advisory Board since February 24, 2023 and January 1, 2023, respectively. Both Ms. Bianchetto and Mr. Parrell are not considered “interested persons” of the T. Rowe Price Funds, as defined in the 1940 Act. The Joint Nominating and Governance Committee of each Board has selected Ms. Bianchetto and Mr. Parrell to be nominated for election by shareholders and the Boards have nominated them for election. If Ms. Bianchetto and Mr. Parrell are elected by shareholders, they will no longer serve on the Advisory Board and the Advisory Board is expected to terminate.
Ms. Bazemore and Messrs. Duncan, Gerrard, and McBride were previously elected by the shareholders of all Funds in 2013 and are therefore not standing for shareholder election at this time.
Interested Directors Interested Eric Veiel and David Oestreicher currently serve as interested directors are considered as such because of their relationships withall T. Rowe Price Funds. They are considered interested because they are employed by, and serve as officers of, T. Rowe Price and/or its affiliates. They are also shareholders of T. Rowe Price Group, Inc., the parent company of the Funds’
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investment adviser. Edward C. Bernard currently serves as interested director and Chairman of the Board for all of the T. Rowe Price Funds. Mr. Bernard plans to retire from T. Rowe Price on December 31, 2018, and step down as a director and Chairman of the Boards assuming the election of all interested director nominees, with such resignation to occur at the conclusion of the upcoming July 25th meeting of the Boards. Edward A. Wiese currently serves as interested director for all of the domestic fixed income Funds. Robert W. Sharps currently serves as interested director for the domestic equity and international Funds.
Price. Shareholders are being asked to elect Mr. WieseVeiel to continue serving on the Boards of domestic fixed income Funds and to elect Mr. Sharps to continue serving on the Boards of the domestic equity and international Funds. Shareholders are also being asked to elect David Oestreicher to begin serving as an interested director on the Boards of all T. Rowe Price Funds. Mr. Bernard will resign as director uponVeiel was appointed to the election ofBoards in February, 2022. Mr. Oestreicher to ensurewas elected by shareholders of all Funds in 2018 and is therefore not standing for election at this time.
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The Boards have determined that each director, regardless of whether they are standing for election, should continue to serve on each Fund’s Board. In making this determination, the Boards considered the overall composition of the combined Board has only two interested directors.
Each director’s/nominee’sin conjunction with each individual director’s experience, qualifications, attributes, or skills, on an individual basis and in combination with those of the other directors and nominees, have led to the conclusion that each director/nominee should serve on the Boards of the T. Rowe Price Funds.skills. Attributes common to all directors/ nomineesdirectors include the ability to review critically, evaluate, question, and discuss information provided to them, to interact effectively with the Funds’ management and counsel and the various service providers to the Funds, and to exercise reasonable business judgment in the performance of their duties as a director. In addition, the actual service and commitment of the current directors during their tenure on the Funds’ Boards iswere taken into consideration in concluding that each should continue to serve.consideration. A director’s/nominee’sdirector’s ability to perform his or her duties effectively may have been attained through his or her educational background or professional training; business, consulting, public service, or academic positions; experience from service as a director of the T. Rowe Price Funds, public companies, non-profit entities, or other organizations; or other experiences. Each director/nomineedirector brings a diverse perspective to the Boards.
Each director’s/nominee’sdirector’s mailing address is 100 E. Pratt Street, Baltimore, MD 21202.
Set forth below is a brief discussion of the specific experience, qualifications, attributes, or skills of each director or director nomineedirector-nominee that led to the conclusion that he or she should serve (or continue to serve) as a director.
Edward C. Bernard (notTeresa Bryce Bazemore (independent director; not standing for election) has been an interested director and Chairman of the Board of all the T. Rowe Price Funds since 2006. Mr. Bernard has more than 25 years of experience in the investment management industry, all of which have been with T. Rowe Price. In addition to his responsibilities with T. Rowe Price and the T. Rowe Price Funds,
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Mr. Bernard served as chairman (from 2009 to 2011) and is currently the vice chairman of the Board of Governors of the Investment Company Institute (“ICI”), the national trade association for the mutual fund industry. Mr. Bernard plans to retire from T. Rowe Price on December 31, 2018 and step down as a director and Chairman of the Boards at the conclusion of the upcoming July 25th meeting of the Boards.
Teresa Bryce Bazemore (standing for election) has more than 25 years of experience as a senior executive in the mortgage banking field, including building both mortgage insurance and services businesses. From July 2008 through April 2017, Ms. Bazemore served as the President of Radian Guaranty where she oversaw the strategic planning, business development, and operations of the mortgage insurance business line. Prior to Radian Guaranty, she was Senior Vice President, General Counsel, and Secretary for Nexstar Financial Corporation, and General Counsel of the mortgage banking line of business at Bank of America. Ms. Bazemore currently serves onas president and chief executive officer (“CEO”)of the Federal Home Loan Bank of San Francisco (March 2021 to present); a director of First Industrial Realty Trust, an owner and operator of industrial properties (May 2020 to present); a director of Public Media Company (2008 to present); and a trustee of the Southern California chapter of the International Women’s Forum (January 2021 to present). She previously served as chief executive officer of Bazemore Consulting LLC (2018 to 2021); a director of Chimera Investment Corporation, a publicly traded mortgage REIT (November 2017 to February 2021); a director of the University of Virginia Foundation (July 2014 to June 2022); a member of the University of Virginia’s Center for Politics Advisory Board (October 2019 to July 2022); a president of DirectorsRadian Guaranty, a national private mortgage insurer (2008 to 2017); and a director of the Federal Home Loan Bank of Pittsburgh and of Chimera Investment Corporation.(August 2017 to February 2019). She has been an independent director of the T. Rowe Price Funds since January 2018.
Ronald J. Daniels (standing for election) is the 14th president of Johns Hopkins University, a position he has held since 2009. In that role, he serves as2018 and became the chair of the ExecutiveJoint Audit Committee of Johns Hopkins Medicinein August 2019. Ms. Bazemore has a J.D. from Columbia University and is a professor in the Department of Political Science. Previously, he was provost and professor of law atB.A. from the University of PennsylvaniaVirginia (“UVA”).
Melody Bianchetto(independent director-nominee; standing for election) is an accomplished finance professional with over 30 years of experience. She served as vice president for finance at UVA from 2015 until her retirement in February 2023, with oversight of key financial activities, including tax, accounting, financial reporting, debt and deancash management, procurement, payroll, financial planning, and enterprise risk management. Prior to that, she led UVA’s financial planning and analysis function from 1998 to 2015. Ms. Bianchetto earned a B.S. in commerce with a concentration in accounting from UVA and an M.B.A. from James M. Tory Professor of Law at the University of Toronto. HeMadison University. She is also a
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licensed Certified Public Accountant. Ms. Bianchetto has been an independent directorserved as a member of the T. Rowe Price FundsBoard’s Advisory Committee since January 2018.February 24, 2023.
Bruce W. Duncan (not(independent director; not standing for election) has substantial experience in the field of commercial real estate. Mr. Duncan served as president, CEO, and a director of CyrusOne, Inc., a real estate investment trust specializing in engineering, building, and managing data centers, from July 2020 to July 2021. He currently servesserved as chairmanchair of the Boardboard of First Industrial Realty Trust from January 2016 until July 2020, president and he served as presidentCEO from January 2009 until September 2016, and chief executive officerCEO until December 2016. Mr. Duncan served as a senior advisor to KKR from November 2018 to December 2022. In May 2016, Mr. Duncan became a member of the Board and Compensation Committeeboard of Boston Properties, and he is currently a member of the nominating and governance committee and is a member of the audit committee of Boston Properties. From September 2016 until July 2020, Mr. Duncan served as a member of the board of Marriott International, Inc. He has been an independent director of the T. Rowe Price Funds since October 2013. In2013; in September 2014, he became a member of the Joint Audit Committee until August 2019 and inserved as chair of the Joint Audit Committee from July 2017 he became the chairman of the committee. In September 2016,to August 2019. Mr. Duncan became a memberholds an M.B.A. in finance from the University of the Board and Finance Committee of Marriott International, Inc. In October 2017, Mr. Duncan became a member of the board of governors of the ICIChicago and a member of the governing board of the Independent Directors Council, a national association for mutual fund independent directors that is part of the ICI.B.A. in economics from Kenyon College.
Robert J. Gerrard, Jr. (not(independent director; not standing for election) has served as chair of the Boards of all Price Funds since July 2018. He has been an independent director of certain T. Rowe Price Funds since 2012 (and all T. Rowe Price Funds since October 2013) and, served as a chairmanthe chair of the Joint Audit
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Committee untilfrom September 2014 to July 2017.2017, and became a member of the Joint Audit Committee in August 2019. He has substantial legal and business experience in the industries relating to communications and interactive data services. He has served on the Boardboard and Compensation Committeecompensation committee for Syniverse Holdings and served as general counsel to Scripps Networks. Mr. Gerrard earned a J.D. from Harvard Law School and an A.B. from Harvard College.
Paul F. McBride (not(independent director; not standing for election) has served in various management and senior leadership roles with the Black & Decker Corporation and General Electric Company. He led businesses in the materials, industrial, and consumer durable segments, and has significant global experience. He has servedserves on the Boardsadvisory board of a number of private and nonprofit entities, including Vizzia Technologies Dunbar Armored,as well as Gilman School Living Classrooms Foundation, and Bridges Baltimore. He has been an independent director of the T. Rowe Price Funds since October 2013 and, in2013; served as a member of the Joint Audit Committee from September 2014 heto August 2019; and became a member of the Joint Audit Committee in February 2022. Mr. McBride received a B.A. in economics from Trinity College.
Mark J. Parrell (independent director-nominee; standing for election) has been CEO and a member of the Board of Trustees of Equity Residential (“EQR”) since January 2019 and president of EQR since September 2018. Mr. Parrell served as executive vice president and chief financial officer of EQR from October 2007 to September 2018. Mr. Parrell was senior vice president and treasurer of EQR from August 2005 to October 2007 and has held various positions within the EQR finance group since September 1999. He served as director of Brookdale Senior Living Inc., a leading operator of senior living communities throughout the United States, from April 2015 to July 2017, and served as a director of Aviv REIT, Inc., a real estate investment trust, from March 2013 until April 2015 when it merged with Omega
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Healthcare. Mr. Parrell serves on the Board of Directors of the Real Estate Roundtable and the 2022 Executive Board of the National Association of Real Estate Investment Trusts (“Nareit”). He is a member of the Nareit Dividends Through Diversity, Equity & Inclusion CEO Council and was chair of the Nareit 2021 Audit and Investment Committee. He is a member of the Advisory Board for the Ross Business School at University of Michigan, and is a member of the National Multifamily Housing Council and served as the chair of the Finance Committee in 2015 to 2016. Mr. Parrell also serves on the Board of Directors and is chair of the Finance Committee of the Greater Chicago Food Depository and is a member of the Economic Club of Chicago. Mr. Parrell received a B.B.A. from the University of Michigan and a J.D. from the Georgetown University Law Center. Mr. Parrell has served as a member of the Board’s Advisory Committee since January 1, 2023.
David Oestreicher (standing(interested director; not standing for election) has served as an interested director of all Price Funds since July 2018. He is the chief legalgeneral counsel for T. Rowe Price Group, Inc. and a member of the firm’s management committee. DavidMr. Oestreicher serves as a member of the Board of Governors for the Investment Company Institute (“ICI”), and previously served as the chair of the ICI’s international committee. He is on the Mutual Insurance Company Board of Governors, where he serves as a member of its executive committee and chairmanchair of its risk management committee. He also serves as a directorserved on the Boardboard of the Investment Adviser Association and previously served as the chairmanwas a past chair of its legal and regulatory committee. In addition, he previously served as the chairman of the international committee of the ICI. Before joining T. Rowe Price in 1997, Mr. Oestreicher was special counsel in the Division of Market Regulation with the SEC. Mr. Oestreicher earned a B.S. in business administration from Bucknell University and a J.D. from Villanova University School of Law.
Cecilia E. Rouse (notEric L. Veiel (interested director; standing for election) has beenserved as an independentinterested director of certain T. Roweall Price Funds since 2012 (and all T. Rowe Price Funds since October 2013)February 2022. He is the head of Global Equity and becamechief investment officer, chair of the Investment Management Steering Committee, and a member of the Joint Audit Committee in September 2014. Dr. Rouse has extensive experience in the fields of higher education and economic research. She has served in a variety of roles at Princeton University, including as a dean, professor, and leader of research in labor economics. She has also served on the Board of the National Bureau of Economic Research and MDRC, a nonprofit education and social policy organization dedicated to improving programs and policies that affect the poor, and as a member of numerous entities, including the American Economic Association, National Bureau of Economic Research, National Academy of Education, and the Association of Public PolicyManagement, Equity Steering, International Steering, Multi-Asset Steering, Product Steering, and Management Policy Council.
John G. Schreiber (not standing for election) has been an independent director of the T. Rowe Price Funds for more than 20 yearsCompensation and served as a member of the Joint Audit Committee until September 2015. He currently serves as the interim Lead Independent Director. He has significantDevelopment Committees. Mr. Veiel’s investment experience investingbegan in real estate transactions and brings substantial financial services and investment management experience to the Boards. He is the president of
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Centaur Capital Partners, Inc. and a retired partner and cofounder of Blackstone Real Estate Advisors. He previously served as chairman and chief executive officer of JMB Urban Development Co. and executive vice president of JMB Realty Corporation. Mr. Schreiber currently serves on the Boards of JMB Realty Corporation, Brixmor Property Group, Hilton Worldwide, and is a trustee of Loyola University of Chicago, and is a past Board member of Urban Shopping Centers, Inc., Host Hotels & Resorts, Inc., The Rouse Company, General Growth Properties, AMLI Residential Properties Trust, Blackstone Mortgage Trust, Invitation Homes, and Hudson Pacific Properties.
Robert W. Sharps (standing for election) has been an interested director of the domestic equity and international T. Rowe Price Funds since April 2017. Mr. Sharps served as the co-head of Global Equities at T. Rowe Price until February 2018, at which point he became the Head of Investments. He has served as the Group Chief Investment Officer for T. Rowe Price since April 2017. He is also a member of the T. Rowe Price Management Committee, Management Compensation Committee, International Steering Committee, Equity Steering Committee, Asset Allocation Committee, and Product Strategy Committee.1999. Prior to joining T. Rowe Price, in 1997, Mr. Sharps washe spent six years as a senior consultantsell-side equity analyst, covering health insurers and pharmacy benefit managers at KPMG Peat Marwick. In addition to his various offices heldWachovia Securities, Deutsche Bank Securities, and A.G. Edwards & Sons. He has been with T. Rowe Price since 2005, beginning in the Equity Division as an investment analyst covering life insurance companies, asset managers, money-centered banks, and its affiliates,investment banks. From 2010 to 2014, he was the portfolio manager of the Financial Services Equity Strategy and the financial services sector team leader. He served as a co-director of Equity Research for North America from 2014 to 2015 and co-portfolio manager of the US Equity Structured Research Strategy from 2015 to 2017. Most recently, from 2016 to 2021, he was co-head of Global Equity and head of U.S. Equity. Mr. Sharps isVeiel earned a B.B.A., magna cum laude, in finance from James Madison University and an M.B.A., with concentrations in finance and accounting, from Washington University in St. Louis, John M. Olin School of Business, where he was a Charles F. Knight Scholar. He also has earned the Chartered Financial Analyst.Analyst® designation.
Mark R. Tercek (notKellye L. Walker (independent director; standing for election) is executive vice president, chief legal officer, and corporate secretary of Eastman Chemical Company.
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She is a seasoned senior executive with over 25 years of experience helping publicly traded companies increase value through forward thinking, strategic discipline, and a focus on continuous improvement. Her experience includes leading law departments, as well as other functions including compliance; government affairs; human resources; health, safety, environment and security; and information technology. Ms. Walker received a B.S. from Louisiana Tech University and a J.D. from Emory University School of Law. Ms. Walker has beenserved as an independent director of the T. Rowe Price Funds since 2009. Mr. Tercek served as chairman of the Joint Audit Committee until September 2014 and served as a member of the committee since July 2017. He brings substantial financial services experience to the Boards. He was a managing director of Goldman Sachs and is currently president and chief executive officer of The Nature Conservancy.
Edward A. Wiese (standing for election) has been an interested director of the domestic fixed income T. Rowe Price Funds since 2015. Mr. Wiese is a Chartered Financial Analyst with over 30 years of investment experience, all of which have been with T. Rowe Price. He currently serves as the director of fixed income for T. Rowe Price and as the chairman of the T. Rowe Price Fixed Income Steering Committee, and served as a portfolio manager for various short-term bond and low duration domestic bond strategies until December 2016.November 2021.
The following table entitled “Independent Directors / Directors/Nominees” provides biographical information for the independent directors, including those who have been nominated for election as an independent director, along with their principal occupation(s) during the past five years and any directorships of public companies and other investment companies. The directors of the Funds believe it is important to have an investment in the T. Rowe Price Funds. Directors are expected to invest the equivalent of at least one year of their directors’ fees in the T. Rowe Price Funds and new directors are given at
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least three years to reach this threshold. The directors allocate their investments among the T. Rowe Price Funds based on their own investment objectives. Accordingly, the table also shows their ownership in the Funds on which they currently serve or to which they are being nominated to serve as director, as well as their total ownership in all of the T. Rowe Price Funds. The table entitled “Interested Directors / Directors/Nominees” provides similar information, except the information pertains to the interested directors, including those who have been nominated for election as an interested director.
Independent | |||
Name, Year of Birth, Position on Fund Board, and Principal Occupations and Other Directorships of Public Companies | Dollar Range of Fund Shares Beneficially Owned, Directly or Indirectly, as of 12/31/ | Total Dollar Range of Shares Owned, Directly or Indirectly, in All Funds as of 12/31/ | |
Melody Bianchetto, 1966 Advisory Board member / nominated for election as director, Vice President for Finance, University of Virginia (2015 to 2023) | None | None | None |
Teresa Bryce Bazemore, Director President Chimera Investment Corporation (2017 to 2021); First Industrial Realty Trust (2020 to present); Federal Home Loan Bank of Pittsburgh (2017 to | Blue Chip Growth Emerging Markets Local Currency Bond | Over Over | Over |
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Independent | |||
Name, Year of Birth, Position on Fund Board, and Principal Occupations and Other Directorships of Public Companies | Dollar Range of Fund Shares Beneficially Owned, Directly or Indirectly, as of 12/31/ | Total Dollar Range of Shares Owned, Directly or Indirectly, in All Funds as of 12/31/ | |
Bruce W. Duncan, Director of all T. Rowe Price Funds President, Chief Executive Officer, and Director,
| Emerging Markets Stock | Over $100,000 | Over $100,000 |
Robert J. Gerrard, Jr., 1952 Director of all T. Rowe Price Funds None | All-Cap Opportunities Blue Chip Growth Capital Appreciation China Evolution Equity Communications & Technology Diversified Mid-Cap Growth Dividend Growth Emerging Markets Corporate Bond Emerging Markets Discovery Stock Emerging Markets Stock Equity Income Extended Equity Market Index Financial Services Global Consumer Global Industrials Global Stock Global Technology GNMA Growth Stock Health Sciences Integrated U.S. Small-Mid Cap Core Equity Integrated U.S. Small-Cap Growth Equity | $50,001--$100,000 $50,001--$100,000 Over $100,000 $10,001--$50,000 Over $100,000 $10,001--$50,000 $10,001--$50,000 $1--$10,000 $10,001--$50,000 $10,001--$50,000 $10,001--$50,000 $10,001--$50,000 Over $100,000 $10,001--$50,000 $10,001--$50,000 $50,001--$100,000 Over $100,000 $1--$10,000 Over $100,000 Over $100,000 $1--$10,000 $1--$10,000 | Over $100,000 |
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Independent | |||
Name, Year of Birth, Position on Fund Board, and Principal Occupations and Other Directorships of Public Companies | Dollar Range of Fund Shares Beneficially Owned, Directly or Indirectly, as of 12/31/ | Total Dollar Range of Shares Owned, Directly or Indirectly, in All Funds as of 12/31/ | |
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International Discovery International Stock Japan
Large-Cap Value Mid-Cap Growth Mid-Cap Value New New Horizons
Retirement 2020 Retirement 2025 Retirement 2030 Retirement 2035 Retirement 2040 Retirement 2055 Retirement 2060 Science & Technology Small-Cap Stock Small-Cap Value Spectrum Moderate Allocation Spectrum Moderate Growth Allocation Target 2060 Target 2065 U.S. Equity Research U.S. Large-Cap Core Ultra Short-Term Bond Value | $
$
$ $10,001--$50,000 $ $
$
$
Over $100,000 $ $10,001--$50,000 $10,001--$50,000 $10,001--$50,000 $10,001--$50,000 $10,001--$50,000 $10,001--$50,000 $1--$10,000 $1--$10,000 $50,001--$100,000 $50,001--$100,000 $10,001--$50,000 $50,001-$100,00 $50,001--$100,000 $1--$10,000 $10,001--$50,000 $50,001--$100,000 $50,001--$100,000 $1--$10,000 Over $100,000
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Paul F. McBride, Director of all T. Rowe Price Funds Advisory Board Member, Vizzia Technologies (2015 to present); Board Member, Dunbar Armored (2012 to None | All-Cap Opportunities Capital Appreciation Health Sciences
Tax-Free High Yield |
Over $100,000 Over $100,000 Over $100,000 Over $100,000 | Over $100,000 |
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Independent | |||
Name, Year of Birth, Position on Fund Board, and Principal Occupations and Other Directorships of Public Companies | Dollar Range of Fund Shares Beneficially Owned, Directly or Indirectly, as of 12/31/ | Total Dollar Range of Shares Owned, Directly or Indirectly, in All Funds as of 12/31/ | |
Advisory Board Member / nominated for election as director, Chief Executive Officer (2019 to present) and President, EQR (2018 to present); Executive Vice President and Chief Financial Officer, EQR (2007 to 2018); Senior Vice President and Treasurer, EQR (2005 to 2007); Member, Nareit Dividends Through Diversity, Equity & Inclusion CEO Council and Chair, Nareit 2021 Audit and Investment Committee (2021); Advisory Board, Ross Business School at University of Michigan (2015 to 2016); Member, National Multifamily Housing Council and served as the Chair of the Finance Committee, (2015 to 2016),
| International Value Equity Value | $50,001--$100,000(a) $10,001--$50,000(a) | Over $100,000(a) |
Kellye L. Walker, 1966 Director/Nominee of all T. Rowe Price Funds
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Equity Index 500 Floating Rate Global Stock Inflation Protected Bond Mid-Cap Growth Overseas Stock Small-Cap Value Total Return | Over $100,000
$50,001--$100,000 $10,001--$50,000 $50,001--$100,000 $10,001--$50,000 $10,001--$50,000 $50,001--$100,000 $10,001--$50,000 $10,001--$50,000 | Over $100,000 |
PAGE 18(a)Holdings information for Mr. Parrell is as of February 28, 2023.
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Name, Year of Birth, Position on Fund Board, and Principal Occupations and Other Directorships of Public Companies | Dollar Range of Fund Shares Beneficially Owned, Directly or Indirectly, as of 12/31/ | Total Dollar Range of Shares Owned, Directly or Indirectly, in All Funds as of 12/31/ | |
Director of all T. Rowe Price Funds
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(a) Holdings information for Ms. Bazemore is as of February 28, 2018.
(b) William J. Stromberg, President and Chief Executive Officer of T. Rowe Price Group, Inc. (the parent company of the T. Rowe Price Funds’ investment adviser), has served on the Board of Trustees of Johns Hopkins University since 2014 and is a member of the Johns Hopkins University’s Board’s Compensation Committee.
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Vice President, all T. Rowe Price Funds
None | Blue Chip Growth Equity Income Government Money
New
Retirement 2025
U.S. Treasury Money | $ $50,001--$100,000 $50,001--$100,000 $10,001--$50,000
$ $50,001--$100,000 Over $100,000 $ $10,001--$50,000 $1--$10,000 Over $100,000
| Over $100,000 |
Director/Nominee of Director and Vice President, T. Rowe Price; Vice President, T. Rowe Price
None |
Dividend Growth
Floating Rate
U.S. Treasury Money
| Over $100,000 Over $100,000 Over $100,000 Over $100,000 $
Over $100,000 | Over $100,000 |
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The following table entitled “Term of T. Rowe Price Funds Directorship” shows the year from which each current director has served on each Fund’s Board (or that of the corporation of which the Fund is a part). Please note that Mr. Oestreicher is not shown in the table because he does not currently serve on the Board of any T. Rowe Price Fund.
Term of T. Rowe Price Funds Directorship
Corporation | Bazemore | Daniels | Duncan | Gerrard | McBride | Rouse | Sharps | Schreiber | Tercek | Wiese | Bazemore | Duncan | Gerrard | McBride | Oestreicher | Veiel | Walker |
All-Cap Opportunities Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 | ||||||||||
Balanced Fund | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 | |
Blue Chip Growth Fund | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 | |
Capital Appreciation Fund | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 | |
Capital Appreciation & Income Fund | 2018 | 2017 | 2017 | 2017 | — | ||||||||||||
Capital Opportunity Fund | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — | ||||||||
Communications & Technology Fund | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 | |
Corporate Income Fund | 2018 | 2013 | — | 1995 | 2009 | 2015 | 2018 | 2013 | 2018 | 2022 | 2021 | ||||||
Credit Opportunities Fund | 2018 | 2014 | — | 2014 | 2015 | 2018 | 2014 | 2018 | 2022 | 2021 | |||||||
Diversified Mid-Cap Growth Fund | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2003 | 2009 | — | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 | |
Dividend Growth Fund | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 | |
Equity Funds | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 | ||||||||||
Equity Income Fund | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 | |
Equity Series | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 | |
Exchange-Traded Funds | 2019 | 2022 | 2021 | ||||||||||||||
Financial Services Fund | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 | |
Fixed Income Series | 2018 | 2013 | — | 1994 | 2009 | 2015 | 2018 | 2013 | 2018 | 2022 | 2021 | ||||||
Floating Rate Fund | 2018 | 2013 | — | 2011 | 2015 | 2018 | 2013 | 2018 | 2022 | 2021 | |||||||
Global Allocation Fund | 2018 | 2013 | 2017 | 2013 | — | 2018 | 2013 | 2018 | 2022 | 2021 | |||||||
Global Funds | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 | ||||||||||
Global Multi-Sector Bond Fund | 2018 | 2013 | — | 2008 | 2009 | 2015 | 2018 | 2013 | 2018 | 2022 | 2021 | ||||||
Global Real Estate Fund | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2008 | 2009 | — | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 | |
Global Technology Fund | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 | |
GNMA Fund | 2018 | 2013 | — | 1992 | 2009 | 2015 | 2018 | 2013 | 2018 | 2022 | 2021 | ||||||
Government Money Fund | 2018 | 2013 | — | 1992 | 2009 | 2015 | 2018 | 2013 | 2018 | 2022 | 2021 | ||||||
Growth & Income Fund | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — | ||||||||
Growth Stock Fund | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — | ||||||||
PAGE 2319
Corporation | Bazemore | Daniels | Duncan | Gerrard | McBride | Rouse | Sharps | Schreiber | Tercek | Wiese |
Health Sciences Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
High Yield Fund | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 1992 | 2009 | 2015 |
Index Trust | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
Inflation Protected Bond Fund | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 2002 | 2009 | 2015 |
Institutional Equity Funds | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
Institutional Income Funds | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 2002 | 2009 | 2015 |
Institutional International Funds | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
Intermediate Tax-Free High Yield Fund | 2018 | 2018 | 2014 | 2014 | 2014 | 2014 | — | 2014 | 2014 | 2015 |
International Funds | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
International Index Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
International Series | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
Limited Duration Inflation Focused Bond Fund | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 2006 | 2009 | 2015 |
Mid-Cap Growth Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
Mid-Cap Value Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
Multi-Sector Account Portfolios | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 2012 | 2012 | 2015 |
Multi-Strategy Total Return Fund | 2018 | 2018 | 2017 | 2017 | 2017 | 2017 | 2017 | 2017 | 2017 | — |
New America Growth Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
New Era Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
New Horizons Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
New Income Fund | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 1992 | 2009 | 2015 |
Personal Strategy Funds | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
Quantitative Management Funds | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
Real Assets Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2010 | 2010 | — |
Real Estate Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
PAGE 24
Corporation | Bazemore | Duncan | Gerrard | McBride | Oestreicher | Veiel | Walker |
Growth Stock Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Health Sciences Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
High Yield Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Index Trust | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Inflation Protected Bond Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Institutional Income Funds | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Integrated Equity Funds | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Intermediate Tax-Free High Yield Fund | 2018 | 2014 | 2014 | 2014 | 2018 | 2022 | 2021 |
International Funds | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
International Index Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
International Series | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Limited Duration Inflation Focused Bond Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Mid-Cap Growth Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Mid-Cap Value Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Multi-Sector Account Portfolios | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Multi-Strategy Total Return Fund | 2018 | 2017 | 2017 | 2017 | 2018 | 2022 | 2021 |
New Era Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
New Horizons Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
New Income Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
QM U.S. Bond Index Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Real Assets Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Real Estate Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Reserve Investment Funds | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Retirement Funds | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Science & Technology Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Short-Term Bond Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Small-Cap Stock Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
20
Corporation | Bazemore | Daniels | Duncan | Gerrard | McBride | Rouse | Sharps | Schreiber | Tercek | Wiese |
TRP Reserve Investment Funds | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 1997 | 2009 | 2015 |
Retirement Funds | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2002 | 2009 | — |
Science & Technology Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
Short-Term Bond Fund | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 1992 | 2009 | 2015 |
Small-Cap Stock Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
Small-Cap Value Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
Spectrum Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
State Tax-Free Funds | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 1992 | 2009 | 2015 |
Summit Income Funds | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 1993 | 2009 | 2015 |
Summit Municipal Funds | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 1993 | 2009 | 2015 |
Tax-Efficient Funds | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
Tax-Exempt Money Fund | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 1992 | 2009 | 2015 |
Tax-Free High Yield Fund | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 1992 | 2009 | 2015 |
Tax-Free Income Fund | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 1992 | 2009 | 2015 |
Tax-Free Short-Intermediate Fund | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 1992 | 2009 | 2015 |
Total Return Fund | 2018 | 2018 | 2016 | 2016 | 2016 | 2016 | — | 2016 | 2016 | 2016 |
U.S. Bond Enhanced Index Fund | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 2000 | 2009 | 2015 |
U.S. Large-Cap Core Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2009 | 2009 | — |
U.S. Treasury Funds | 2018 | 2018 | 2013 | 2013 | 2013 | 2013 | — | 1992 | 2009 | 2015 |
Value Fund | 2018 | 2018 | 2013 | 2012 | 2013 | 2012 | 2017 | 2001 | 2009 | — |
PAGE 25
Corporation | Bazemore | Duncan | Gerrard | McBride | Oestreicher | Veiel | Walker |
Small-Cap Value Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Spectrum Funds | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Spectrum Funds II | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
State Tax-Free Funds | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Summit Income Funds | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Summit Municipal Funds | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Tax-Efficient Funds | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Tax-Exempt Money Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Tax-Free High Yield Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Tax-Free Income Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Tax-Free Short-Intermediate Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Total Return Fund | 2018 | 2016 | 2016 | 2016 | 2018 | 2022 | 2021 |
U.S. Equity Research Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
U.S. Large-Cap Core Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
U.S. Treasury Funds | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Value Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
21
What are the directors paid for their services to the Funds?
Messrs. Oestreicher (if elected), Sharps, and WeiseVeiel are considered “interested persons” of the Funds because they are employed by, and also serve as officers of, T. Rowe Price andand/or its affiliates. The officers of the Funds and interested directors do not receive any compensation or benefits from the Funds for their service.
As of January 1, 2018, theEach independent directors aredirector and Advisory Board member is paid $310,000$375,000 annually for theirhis or her service on the Boards.Boards or Advisory Board, as applicable. The Lead Independent Directorchair of the Boards, an independent director, receives an additional $150,000$165,000 annually for serving in this capacity. An independent director serving on the Joint Audit Committee receives an additional $30,000 annually for his/his or her service and the chairmanchair of the Joint Audit Committee receives an additional $10,000$35,000 for his/his or her service. An independent director serving as a member of a Special Committee of the Independent Directors receives an additional $1,500 per meeting of the Special Committee.Committee (currently, no Special Committees have been assigned by the Boards). All of these fees are allocated to each Fund on a pro-rata basis based on each Fund’s net assets relative to the other Funds.
The following table entitled “Compensation” shows the accrued amounts paid by each Fund, and the total compensation that was paid from all of the Funds to all of the independent directors for the 20172022 calendar year. The fees are allocated to each Fund on a pro rata basis based on each Fund’s net assets relative to the other Funds. The independent directors of the Funds do not receive any pension or retirement benefits from the Funds or T. Rowe Price.
Compensation
Fund | Aggregate Compensation From | |||||||
Bazemore* | Daniels* | Duncan | Gerrard | McBride | Rouse | Schreiber | Tercek | |
Africa & Middle East | — | — | $59 | $58 | $59 | $59 | $54 | $56 |
Asia Opportunities | — | — | 21 | 20 | 21 | 21 | 19 | 20 |
Balanced | — | — | 1,723 | 1,683 | 1,717 | 1,710 | 1,555 | 1,611 |
Blue Chip Growth | — | — | 16,835 | 16,388 | 16,772 | 16,688 | 15,186 | 15,768 |
Blue Chip Growth Portfolio | — | — | 443 | 430 | 441 | 439 | 399 | 415 |
California Tax-Free Bond | — | — | 271 | 265 | 270 | 269 | 245 | 253 |
California Tax-Free Money | — | — | 22 | 21 | 21 | 21 | 19 | 20 |
Capital Appreciation | — | — | 12,265 | 11,982 | 12,222 | 12,168 | 11,066 | 11,467 |
Capital Appreciation & Income(a) | — | — | — | — | — | — | — | — |
Capital Opportunity | — | — | 241 | 235 | 240 | 239 | 217 | 225 |
Cash Reserves | — | — | 975 | 953 | 971 | 967 | 880 | 911 |
Communications & Technology | — | — | 1,888 | 1,839 | 1,881 | 1,872 | 1,703 | 1,768 |
Corporate Income | — | — | 406 | 397 | 405 | 403 | 366 | 380 |
Credit Opportunities | — | — | 20 | 19 | 20 | 20 | 18 | 19 |
Diversified Mid-Cap Growth | — | — | 313 | 305 | 312 | 311 | 283 | 293 |
Dividend Growth | — | — | 3,369 | 3,286 | 3,357 | 3,341 | 3,040 | 3,153 |
Dynamic Global Bond | — | — | 179 | 172 | 179 | 176 | 162 | 169 |
Emerging Europe | — | — | 77 | 75 | 77 | 76 | 69 | 72 |
Fund | Aggregate Compensation From Fund | ||||
Bazemore | Duncan | Gerrard | McBride | Walker | |
Africa & Middle East Fund | $74 | $63 | $96 | $68 | $63 |
All-Cap Opportunities Fund | 3,745 | 3,191 | 4,851 | 3,427 | 3,191 |
All-Cap Opportunities Portfolio | 184 | 157 | 238 | 168 | 157 |
Asia Opportunities Fund | 82 | 70 | 106 | 75 | 70 |
Balanced Fund | 2,176 | 1,855 | 2,819 | 1,991 | 1,855 |
Blue Chip Growth ETF (a) | — | — | — | — | — |
Blue Chip Growth Fund | 34,533 | 29,435 | 44,760 | 31,555 | 29,435 |
Blue Chip Growth Portfolio | 913 | 778 | 1,184 | 835 | 778 |
California Tax-Free Bond Fund | 309 | 263 | 400 | 282 | 263 |
Capital Appreciation Fund | 23,332 | 19,885 | 30,221 | 21,355 | 19,885 |
Cash Reserves Fund | 1,930 | 1,644 | 2,499 | 1,768 | 1,644 |
China Evolution Equity Fund | 31 | 27 | 40 | 29 | 27 |
Communications & Technology Fund | 3,862 | 3,292 | 5,006 | 3,529 | 3,292 |
Corporate Income Fund | 295 | 251 | 382 | 270 | 251 |
Credit Opportunities Fund | 44 | 37 | 57 | 40 | 37 |
Diversified Mid-Cap Growth Fund | 926 | 790 | 1,200 | 847 | 790 |
Dividend Growth ETF (a) | — | — | — | — | — |
Dividend Growth Fund | 9,706 | 8,272 | 12,573 | 8,884 | 8,272 |
Dynamic Credit Fund | 18 | 15 | 23 | 16 | 15 |
Dynamic Global Bond Fund | 2,229 | 1,900 | 2,887 | 2,042 | 1,900 |
Emerging Europe Fund | 26 | 22 | 34 | 24 | 22 |
Emerging Markets Bond Fund | 1,943 | 1,656 | 2,517 | 1,777 | 1,656 |
Emerging Markets Corporate Bond Fund | 316 | 269 | 409 | 289 | 269 |
PAGE 2622
Fund | Aggregate Compensation From | |||||||
Bazemore* | Daniels* | Duncan | Gerrard | McBride | Rouse | Schreiber | Tercek | |
Emerging Markets Bond | — | — | 2,876 | 2,812 | 2,866 | 2,854 | 2,595 | 2,688 |
Emerging Markets Corporate Bond | — | — | 26 | 25 | 26 | 26 | 23 | 24 |
Emerging Markets Corporate Multi-Sector Account Portfolio(b) | — | — | 14 | 13 | 13 | 13 | 12 | 13 |
Emerging Markets Local Currency Bond | — | — | 136 | 132 | 135 | 134 | 122 | 127 |
Emerging Markets Local Multi-Sector Account Portfolio(b) | — | — | 13 | 13 | 13 | 13 | 12 | 13 |
Emerging Markets Stock | — | — | 3,887 | 3,780 | 3,872 | 3,851 | 3,507 | 3,642 |
Emerging Markets Value Stock | — | — | 14 | 14 | 14 | 14 | 13 | 13 |
Equity Income | — | — | 9,761 | 9,570 | 9,732 | 9,692 | 8,811 | 9,112 |
Equity Income Portfolio | — | — | 321 | 314 | 320 | 318 | 289 | 300 |
Equity Index 500 | — | — | 12,797 | 12,540 | 12,759 | 12,705 | 11,551 | 11,949 |
Equity Index 500 Portfolio | — | — | 8 | 8 | 8 | 8 | 7 | 8 |
European Stock | — | — | 474 | 462 | 472 | 470 | 427 | 444 |
Extended Equity Market Index | — | — | 357 | 349 | 356 | 354 | 322 | 333 |
Financial Services | — | — | 335 | 329 | 334 | 333 | 303 | 313 |
Floating Rate | — | — | 414 | 403 | 412 | 410 | 373 | 387 |
Floating Rate Multi-Sector Account Portfolio(b) | — | — | 32 | 31 | 32 | 32 | 29 | 30 |
Georgia Tax-Free Bond | — | — | 139 | 136 | 138 | 138 | 125 | 130 |
Global Allocation | — | — | 108 | 105 | 107 | 107 | 97 | 101 |
Global Consumer | — | — | 5 | 5 | 5 | 5 | 5 | 5 |
Global Growth Stock | — | — | 53 | 51 | 53 | 53 | 48 | 50 |
Global High Income Bond | — | — | 32 | 31 | 32 | 32 | 29 | 30 |
Global Industrials | — | — | 9 | 9 | 9 | 9 | 9 | 9 |
Global Multi-Sector Bond | — | — | 189 | 183 | 188 | 187 | 170 | 177 |
Global Real Estate | — | — | 93 | 91 | 92 | 92 | 84 | 86 |
Global Stock | — | — | 304 | 295 | 303 | 301 | 274 | 285 |
Global Technology | — | — | 2,042 | 1,976 | 2,034 | 2,022 | 1,841 | 1,918 |
GNMA | — | — | 628 | 615 | 626 | 623 | 567 | 586 |
Government Money | — | — | 3,638 | 3,558 | 3,626 | 3,610 | 3,283 | 3,400 |
Government Money Portfolio | — | — | 12 | 11 | 12 | 12 | 11 | 11 |
Government Reserve | — | — | 7,511 | 7,340 | 7,480 | 7,451 | 6,774 | 7,019 |
Growth & Income | — | — | 773 | 755 | 771 | 767 | 698 | 723 |
Growth Stock | — | — | 21,657 | 21,152 | 21,582 | 21,485 | 19,541 | 20,252 |
Health Sciences | — | — | 4,818 | 4,701 | 4,800 | 4,779 | 4,347 | 4,507 |
Health Sciences Portfolio | — | — | 275 | 269 | 274 | 273 | 248 | 258 |
High Yield | — | — | 4,189 | 4,105 | 4,175 | 4,159 | 3,780 | 3,910 |
High Yield Multi-Sector Account Portfolio(b) | — | — | 8 | 8 | 8 | 8 | 7 | 7 |
PAGE 27
Fund | Aggregate Compensation From Fund | ||||
Bazemore | Duncan | Gerrard | McBride | Walker | |
Emerging Markets Corporate Multi-Sector Account Portfolio (a) | — | — | — | — | — |
Emerging Markets Discovery Stock Fund | 1,945 | 1,657 | 2,517 | 1,781 | 1,657 |
Emerging Markets Local Currency Bond Fund | 182 | 155 | 236 | 167 | 155 |
Emerging Markets Local Multi-Sector Account Portfolio (a) | — | — | — | — | — |
Emerging Markets Stock Fund | 4,027 | 3,432 | 5,216 | 3,682 | 3,432 |
Equity Income ETF (a) | — | — | — | — | — |
Equity Income Fund | 8,663 | 7,383 | 11,218 | 7,930 | 7,383 |
Equity Income Portfolio | 354 | 302 | 459 | 324 | 302 |
Equity Index 500 Fund | 12,741 | 10,859 | 16,508 | 11,651 | 10,859 |
Equity Index 500 Portfolio | 12 | 10 | 16 | 11 | 10 |
European Stock Fund | 483 | 412 | 626 | 441 | 412 |
Extended Equity Market Index Fund | 469 | 400 | 608 | 429 | 400 |
Financial Services Fund | 856 | 730 | 1,108 | 784 | 730 |
Floating Rate ETF (a) | — | — | — | — | — |
Floating Rate Fund | 2,274 | 1,938 | 2,942 | 2,084 | 1,938 |
Floating Rate Multi-Sector Account Portfolio (a) | — | — | — | — | — |
Georgia Tax-Free Bond Fund | 212 | 180 | 274 | 194 | 180 |
Global Allocation Fund | 508 | 433 | 658 | 465 | 433 |
Global Consumer Fund | 34 | 29 | 43 | 31 | 29 |
Global Growth Stock Fund | 563 | 480 | 730 | 515 | 480 |
Global High Income Bond Fund | 135 | 115 | 175 | 124 | 115 |
Global Impact Equity Fund | 8 | 7 | 11 | 8 | 7 |
Global Industrials Fund | 87 | 74 | 113 | 80 | 74 |
Global Multi-Sector Bond Fund | 751 | 640 | 972 | 687 | 640 |
Global Real Estate Fund | 49 | 42 | 63 | 45 | 42 |
Global Stock Fund | 2,774 | 2,365 | 3,595 | 2,536 | 2,365 |
Global Technology Fund | 2,359 | 2,011 | 3,059 | 2,152 | 2,011 |
Global Value Equity Fund | 18 | 15 | 23 | 16 | 15 |
GNMA Fund | 479 | 408 | 620 | 438 | 408 |
Government Money Fund | 4,819 | 4,108 | 6,246 | 4,410 | 4,108 |
Government Money Portfolio | 9,181 | 7,823 | 11,882 | 8,402 | 7,823 |
Government Reserve Fund | 508 | 433 | 658 | 465 | 433 |
Growth Stock ETF (a) | — | — | — | — | — |
Growth Stock Fund | 25,701 | 21,907 | 36,293 | 23,065 | 21,907 |
Health Sciences Fund | 7,864 | 6,703 | 10,190 | 7,196 | 6,703 |
Health Sciences Portfolio | 355 | 302 | 459 | 324 | 302 |
High Yield Fund | 3,530 | 3,009 | 4,573 | 3,230 | 3,009 |
High Yield Multi-Sector Account Portfolio (a) | — | — | — | — | — |
Inflation Protected Bond Fund | 353 | 301 | 457 | 323 | 301 |
Institutional Emerging Markets Bond Fund | 192 | 164 | 228 | 145 | 164 |
Institutional Emerging Markets Equity Fund | 615 | 524 | 796 | 561 | 524 |
Institutional Floating Rate Fund | 3,012 | 2,566 | 3,898 | 2,758 | 2,566 |
Institutional High Yield Fund | 834 | 711 | 1,080 | 763 | 711 |
Institutional International Disciplined Equity Fund | 148 | 126 | 191 | 135 | 126 |
23
Fund | Aggregate Compensation From | |||||||
Bazemore* | Daniels* | Duncan | Gerrard | McBride | Rouse | Schreiber | Tercek | |
Inflation Protected Bond | — | — | 211 | 206 | 210 | 209 | 190 | 197 |
Institutional Africa & Middle East | — | — | 76 | 74 | 75 | 75 | 68 | 71 |
Institutional Cash Reserves | — | — | 18 | 18 | 18 | 18 | 17 | 17 |
Institutional Core Plus | — | — | 226 | 221 | 225 | 224 | 203 | 211 |
Institutional Credit Opportunities | — | — | 11 | 11 | 11 | 11 | 10 | 10 |
Institutional Emerging Markets Bond | — | — | 144 | 140 | 143 | 142 | 130 | 135 |
Institutional Emerging Markets Equity | — | — | 572 | 554 | 569 | 566 | 515 | 537 |
Institutional Floating Rate | — | — | 2,189 | 2,138 | 2,181 | 2,171 | 1,975 | 2,046 |
Institutional Frontier Markets Equity | — | — | 24 | 24 | 24 | 24 | 22 | 23 |
Institutional Global Focused Growth Equity | — | — | 18 | 18 | 18 | 18 | 16 | 17 |
Institutional Global Growth Equity | — | — | 174 | 170 | 174 | 173 | 157 | 163 |
Institutional Global Multi-Sector Bond | — | — | 13 | 13 | 13 | 13 | 12 | 12 |
Institutional Global Value Equity | — | — | 5 | 4 | 5 | 5 | 4 | 4 |
Institutional High Yield | — | — | 776 | 759 | 773 | 770 | 700 | 725 |
Institutional International Bond | — | — | 158 | 154 | 157 | 157 | 142 | 148 |
Institutional International Concentrated Equity | — | — | 200 | 194 | 199 | 198 | 180 | 187 |
Institutional International Core Equity | — | — | 69 | 68 | 69 | 69 | 63 | 65 |
Institutional International Growth Equity | — | — | 24 | 23 | 24 | 23 | 21 | 22 |
Institutional Large-Cap Core Growth | — | — | 1,179 | 1,149 | 1,175 | 1,169 | 1,064 | 1,104 |
Institutional Large-Cap Growth | — | — | 6,086 | 5,934 | 6,064 | 6,035 | 5,491 | 5,696 |
Institutional Large-Cap Value | — | — | 1,518 | 1,481 | 1,513 | 1,505 | 1,370 | 1,420 |
Institutional Long Duration Credit | — | — | 16 | 16 | 16 | 16 | 15 | 15 |
Institutional Mid-Cap Equity Growth | — | — | 2,772 | 2,704 | 2,762 | 2,749 | 2,501 | 2,594 |
Institutional Small-Cap Stock | — | — | 1,671 | 1,629 | 1,664 | 1,657 | 1,507 | 1,563 |
Institutional U.S. Structured Research | — | — | 273 | 267 | 272 | 271 | 246 | 255 |
Intermediate Tax-Free High Yield | — | — | 23 | 22 | 23 | 23 | 21 | 21 |
International Bond | — | — | 2,154 | 2,101 | 2,146 | 2,137 | 1,942 | 2,015 |
International Bond(USD Hedged) | — | — | 24 | 22 | 24 | 23 | 22 | 23 |
PAGE 28
Fund | Aggregate Compensation From | |||||||
Bazemore* | Daniels* | Duncan | Gerrard | McBride | Rouse | Schreiber | Tercek | |
International Concentrated Equity | — | — | 9 | 9 | 9 | 9 | 8 | 8 |
International Discovery | — | — | 2,688 | 2,607 | 2,677 | 2,663 | 2,424 | 2,522 |
International Equity Index | — | — | 238 | 232 | 238 | 236 | 215 | 223 |
International Stock | — | — | 6,827 | 6,675 | 6,803 | 6,774 | 6,160 | 6,380 |
International Stock Portfolio | — | — | 153 | 149 | 152 | 151 | 138 | 143 |
International Value Equity | — | — | 5,663 | 5,529 | 5,644 | 5,618 | 5,109 | 5,297 |
Investment-Grade Corporate Multi-Sector Account Portfolio(b) | — | — | 44 | 43 | 44 | 43 | 39 | 41 |
Japan | — | — | 247 | 240 | 246 | 244 | 223 | 231 |
Latin America | — | — | 287 | 279 | 285 | 284 | 258 | 268 |
Limited Duration Inflation Focused Bond | — | — | 3,530 | 3,449 | 3,517 | 3,502 | 3,185 | 3,300 |
Limited-Term Bond Portfolio | — | — | 181 | 177 | 180 | 179 | 163 | 169 |
Maryland Short-Term Tax-Free Bond | — | — | 86 | 84 | 86 | 85 | 77 | 80 |
Maryland Tax-Free Bond | — | — | 980 | 958 | 977 | 972 | 884 | 916 |
Maryland Tax-Free Money | — | — | 35 | 35 | 35 | 35 | 32 | 33 |
Mid-Cap Growth | — | — | 12,028 | 11,736 | 11,985 | 11,930 | 10,851 | 11,253 |
Mid-Cap Growth Portfolio | — | — | 191 | 187 | 190 | 189 | 172 | 179 |
Mid-Cap Index | — | — | 3 | 3 | 3 | 3 | 2 | 2 |
Mid-Cap Value | — | — | 5,910 | 5,784 | 5,890 | 5,865 | 5,333 | 5,521 |
Mortgage-Backed Securities Multi-Sector Account Portfolio(b) | — | — | 53 | 52 | 53 | 53 | 48 | 50 |
Multi-Strategy Total Return(c) | 3 | 3 | 4 | 3 | 4 | 4 | 5 | 4 |
New America Growth | — | — | 1,712 | 1,669 | 1,706 | 1,698 | 1,544 | 1,602 |
New America Growth Portfolio | — | — | 85 | 83 | 85 | 85 | 77 | 80 |
New Asia | — | — | 1,232 | 1,200 | 1,227 | 1,221 | 1,111 | 1,153 |
New Era | — | — | 1,567 | 1,532 | 1,562 | 1,555 | 1,414 | 1,464 |
New Horizons | — | — | 8,466 | 8,250 | 8,435 | 8,395 | 7,637 | 7,926 |
New Income | — | — | 14,896 | 14,544 | 14,841 | 14,779 | 13,435 | 13,930 |
New Jersey Tax-Free Bond | — | — | 167 | 163 | 167 | 166 | 151 | 156 |
New York Tax-Free Bond | — | — | 208 | 203 | 207 | 206 | 187 | 194 |
New York Tax-Free Money | — | — | 25 | 24 | 24 | 24 | 22 | 23 |
Overseas Stock | — | — | 6,173 | 6,014 | 6,150 | 6,122 | 5,568 | 5,780 |
Personal Strategy Balanced | — | — | 955 | 933 | 952 | 947 | 862 | 893 |
Personal Strategy Balanced Portfolio | — | — | 73 | 72 | 73 | 73 | 66 | 69 |
Personal Strategy Growth | — | — | 844 | 822 | 841 | 837 | 762 | 791 |
PAGE 31
Fund | Aggregate Compensation From | |||||||
Bazemore* | Daniels* | Duncan | Gerrard | McBride | Rouse | Schreiber | Tercek | |
Personal Strategy Income | — | — | 806 | 786 | 803 | 800 | 728 | 755 |
QM Global Equity | — | — | 6 | 6 | 6 | 6 | 6 | 6 |
QM U.S. Small & Mid-Cap Core Equity | — | — | 17 | 16 | 17 | 17 | 15 | 16 |
QM U.S. Small-Cap Growth Equity | — | — | 1,910 | 1,850 | 1,902 | 1,891 | 1,722 | 1,793 |
QM U.S. Value Equity | — | — | 8 | 8 | 8 | 8 | 7 | 7 |
Real Assets | — | — | 1,471 | 1,442 | 1,467 | 1,461 | 1,328 | 1,373 |
Real Estate | — | — | 2,759 | 2,701 | 2,750 | 2,738 | 2,490 | 2,577 |
Retirement 2005 | — | — | 779 | 762 | 776 | 773 | 703 | 727 |
Retirement 2010 | — | — | 2,385 | 2,337 | 2,377 | 2,367 | 2,152 | 2,226 |
Retirement 2015 | — | — | 4,052 | 3,971 | 4,039 | 4,023 | 3,657 | 3,782 |
Retirement 2020 | — | — | 11,229 | 10,999 | 11,193 | 11,147 | 10,134 | 10,486 |
Retirement 2025 | — | — | 9,305 | 9,104 | 9,275 | 9,235 | 8,397 | 8,694 |
Retirement 2030 | — | — | 11,890 | 11,633 | 11,851 | 11,801 | 10,729 | 11,109 |
Retirement 2035 | — | — | 7,117 | 6,960 | 7,093 | 7,063 | 6,422 | 6,651 |
Retirement 2040 | — | — | 8,359 | 8,176 | 8,332 | 8,296 | 7,543 | 7,812 |
Retirement 2045 | — | — | 4,417 | 4,317 | 4,402 | 4,383 | 3,986 | 4,129 |
Retirement 2050 | — | — | 3,531 | 3,448 | 3,519 | 3,503 | 3,186 | 3,302 |
Retirement 2055 | — | — | 1,499 | 1,463 | 1,494 | 1,487 | 1,353 | 1,403 |
Retirement 2060 | — | — | 116 | 112 | 116 | 115 | 105 | 110 |
Retirement Balanced | — | — | 1,216 | 1,191 | 1,212 | 1,207 | 1,097 | 1,136 |
Retirement I 2005 Fund—I Class | — | — | 34 | 32 | 34 | 33 | 30 | 32 |
Retirement I 2010 Fund—I Class | — | — | 129 | 125 | 128 | 128 | 116 | 121 |
Retirement I 2015 Fund—I Class | — | — | 232 | 225 | 231 | 230 | 209 | 218 |
Retirement I 2020 Fund—I Class | — | — | 768 | 742 | 764 | 760 | 692 | 722 |
Retirement I 2025 Fund—I Class | — | — | 626 | 603 | 623 | 619 | 564 | 589 |
Retirement I 2030 Fund—I Class | — | — | 921 | 889 | 917 | 912 | 830 | 867 |
Retirement I 2035 Fund—I Class | — | — | 523 | 503 | 520 | 517 | 471 | 492 |
Retirement I 2040 Fund—I Class | — | — | 707 | 682 | 703 | 699 | 637 | 665 |
Retirement I 2045 Fund—I Class | — | — | 342 | 329 | 341 | 339 | 308 | 322 |
Retirement I 2050 Fund—I Class | — | — | 371 | 358 | 369 | 367 | 334 | 349 |
Retirement I 2055 Fund—I Class | — | — | 121 | 116 | 120 | 119 | 109 | 114 |
Retirement I 2060 Fund—I Class | — | — | 17 | 16 | 16 | 16 | 15 | 16 |
Retirement Balanced I Fund—I Class | — | — | 73 | 71 | 73 | 72 | 66 | 69 |
Retirement Income 2020 | — | — | 2 | 1 | 2 | 2 | 1 | 2 |
Science & Technology | — | — | 2,033 | 1,981 | 2,026 | 2,016 | 1,834 | 1,904 |
Short-Term | — | — | 1,154 | 1,143 | 1,153 | 1,149 | 1,043 | 1,072 |
Short-Term Bond | — | — | 2,184 | 2,139 | 2,177 | 2,168 | 1,971 | 2,040 |
Short-Term Government | — | — | 0 | 0 | 0 | 0 | 0 | 0 |
Small-Cap Index | — | — | 3 | 3 | 3 | 3 | 2 | 3 |
PAGE 32
Fund | Aggregate Compensation From | |||||||
Bazemore* | Daniels* | Duncan | Gerrard | McBride | Rouse | Schreiber | Tercek | |
Small-Cap Stock | — | — | 4,160 | 4,076 | 4,147 | 4,130 | 3,755 | 3,884 |
Small-Cap Value | — | — | 4,308 | 4,214 | 4,294 | 4,275 | 3,888 | 4,025 |
Spectrum Growth | — | — | 1,589 | 1,553 | 1,584 | 1,577 | 1,434 | 1,486 |
Spectrum Income | — | — | 2,869 | 2,804 | 2,859 | 2,846 | 2,589 | 2,682 |
Spectrum International | — | — | 585 | 569 | 582 | 580 | 527 | 547 |
Summit Municipal Income | — | — | 558 | 545 | 556 | 553 | 503 | 522 |
Summit Municipal Intermediate | — | — | 2,026 | 1,975 | 2,019 | 2,009 | 1,828 | 1,897 |
Summit Municipal Money Market | — | — | 55 | 54 | 55 | 55 | 50 | 51 |
Target 2005 | — | — | 14 | 13 | 13 | 13 | 12 | 13 |
Target 2010 | — | — | 28 | 27 | 28 | 27 | 25 | 26 |
Target 2015 | — | — | 79 | 77 | 78 | 78 | 71 | 74 |
Target 2020 | — | — | 106 | 103 | 106 | 105 | 96 | 99 |
Target 2025 | — | — | 89 | 87 | 89 | 88 | 80 | 83 |
Target 2030 | — | — | 91 | 89 | 91 | 91 | 82 | 86 |
Target 2035 | — | — | 55 | 53 | 55 | 54 | 49 | 51 |
Target 2040 | — | — | 47 | 46 | 47 | 46 | 42 | 44 |
Target 2045 | — | — | 32 | 31 | 32 | 31 | 29 | 30 |
Target 2050 | — | — | 22 | 22 | 22 | 22 | 20 | 21 |
Target 2055 | — | — | 12 | 12 | 12 | 12 | 11 | 12 |
Target 2060 | — | — | 3 | 3 | 3 | 3 | 3 | 3 |
Tax-Efficient Equity | — | — | 107 | 105 | 107 | 107 | 97 | 101 |
Tax-Exempt Money | — | — | 159 | 156 | 159 | 158 | 144 | 149 |
Tax-Free High Yield | — | — | 2,086 | 2,036 | 2,078 | 2,069 | 1,882 | 1,951 |
Tax-Free Income | — | — | 1,143 | 1,117 | 1,139 | 1,134 | 1,032 | 1,069 |
Tax-Free Short-Intermediate | — | — | 882 | 863 | 879 | 875 | 796 | 824 |
Total Equity Market Index | — | — | 679 | 663 | 676 | 673 | 612 | 635 |
Total Return | — | — | 13 | 13 | 13 | 13 | 12 | 13 |
Treasury Reserve | — | — | 1,595 | 1,560 | 1,591 | 1,583 | 1,441 | 1,492 |
U.S. Bond Enhanced Index | — | — | 296 | 289 | 295 | 294 | 267 | 277 |
U.S. High Yield | — | — | 20 | 18 | 19 | 19 | 18 | 19 |
U.S. Large-Cap Core | — | — | 179 | 174 | 178 | 177 | 161 | 168 |
U.S. Treasury Intermediate | — | — | 176 | 171 | 175 | 174 | 159 | 165 |
U.S. Treasury Long-Term | — | — | 236 | 228 | 237 | 233 | 215 | 223 |
U.S. Treasury Money | — | — | 2,463 | 2,389 | 2,451 | 2,438 | 2,221 | 2,310 |
Ultra Short-Term Bond | — | — | 157 | 153 | 156 | 156 | 142 | 147 |
Value | — | — | 10,843 | 10,600 | 10,806 | 10,758 | 9,785 | 10,135 |
Virginia Tax-Free Bond | — | — | 524 | 512 | 522 | 520 | 473 | 490 |
* Effective January 1, 2018, Ms. Bazemore and Mr. Daniels were elected as independent directors of the T. Rowe Price Funds.
(a) Prior to commencement of operations.
(b) Directors’ fees were paid by T. Rowe Price on behalf of the Fund.
(c) Estimated for the period February 24, 2018, through December 31, 2018.
PAGE 33
What vote is required to elect the directors?
Four directors have been nominated for shareholder approval for each Board. Proposal 1 requires the affirmative vote of a plurality of the shares present and entitled to vote at the meeting to elect the Board members of that Fund. All shareholders of each corporation, regardless of whether the corporation consists of one or multiple series and/or classes vote together. Thus, if a quorum is present at the Shareholder Meeting for each corporation, the proposal to elect the director nominees will be approved with respect to those director nominees who receive the largest number of votes, with no majority approval requirement.
The Boards of Directors, including the Funds’ independent directors, recommend that shareholders vote FOR all of the proposed nominees.
PROPOSAL NO. 2 — Amend the Investment Objective for each of the Communications & Technology, International Bond, and New Income Funds
Communications & Technology Fund
The Communications & Technology Fund’s current investment objective is as follows:
“The fund seeks to provide long-term capital growth through the common stocks of media, technology, and telecommunications companies.”
The Fund, which was formerly the Media & Telecommunications Fund, changed its name on May 1, 2018. The Fund’s new name is more reflective of the Fund’s portfolio and how the Fund is currently managed. The investment universe available to the Fund has evolved since the Fund adopted its former name in 1997 and its current investment objective in 1999, and Internet-related securities now represent a much more significant portion of the Fund’s holdings while media and telecommunications companies are less significant.
The Board proposes that the Communications & Technology Fund’s investment objective be changed to the following:
“The fund seeks to provide long-term capital growth.”
The proposed investment objective is more general and does not include references to investments in companies in specific industries or sectors, which is intended to provide the Fund with more long-term flexibility. In addition, the reference to media companies has been removed from the proposed investment objective in order to avoid confusion in light of the Fund’s name change. The Board, upon recommendation by the Fund’s investment adviser, believes that shareholders will benefit from the proposed investment objective
PAGE 34
as it will allow the portfolio manager greater flexibility to execute the Fund’s investment program in the future, as the Fund’s investments and the industries and sectors in which it invests continue to evolve.
There will be no material changes to the Fund’s current investment program, or to the Fund’s overall risk profile, as a result of the proposed change to the Fund’s investment objective. The Fund’s current policy of normally investing at least 80% of its net assets (including any borrowings for investment purposes) in securities of communications and technology companies, which is required due to the Fund’s name, will not change. The Fund’s investments in communications and technology companies include those that are involved in a variety of industries, including, but not limited to, Internet-related industries such as e-commerce and digital products and services; media, including publishing, advertising, broadcasting, and cable and satellite TV; movies and entertainment; telecommunication and wireless telecommunication services; computer hardware, software, and networking services; and components and equipment.
Fund | Aggregate Compensation From Fund | ||||
Bazemore | Duncan | Gerrard | McBride | Walker | |
Institutional Large-Cap Core Growth Fund | 2,171 | 1,850 | 2,813 | 1,984 | 1,850 |
Institutional Long Duration Credit Fund | 13 | 11 | 17 | 12 | 11 |
Institutional Mid-Cap Equity Growth Fund | 2,622 | 2,235 | 3,399 | 2,397 | 2,235 |
Institutional Small-Cap Stock Fund | 2,395 | 2,042 | 3,103 | 2,192 | 2,042 |
Integrated Global Equity Fund | 11 | 10 | 15 | 10 | 10 |
Integrated U.S. Large-Cap Value Equity Fund | 19 | 17 | 25 | 18 | 17 |
Integrated U.S. Small-Cap Growth Equity Fund | 3,602 | 3,070 | 4,667 | 3,294 | 3,070 |
Integrated U.S. Small-Mid Cap Core Equity Fund | 138 | 117 | 178 | 126 | 117 |
Intermediate Tax-Free High Yield Fund | 31 | 27 | 41 | 29 | 27 |
International Bond Fund |
|
|
|
|
|
| 2,690 | 2,293 | 3,484 | 2,462 | 2,293 |
International Disciplined Equity Fund | 149 | 127 | 193 | 136 | 127 |
International Discovery Fund | 3,605 | 3,072 | 4,671 | 3,294 | 3,072 |
International Equity Index Fund | 313 | 267 | 405 | 286 | 267 |
International Stock Fund | 6,171 | 5,259 | 7,993 | 5,646 | 5,259 |
International Stock Portfolio | 115 | 98 | 149 | 105 | 98 |
International Value Equity Fund | 5,361 | 4,568 | 6,942 | 4,904 | 4,568 |
Investment-Grade Corporate Multi-Sector Account Portfolio (a) | — | — | — | — | — |
Japan Fund | 280 | 239 | 363 | 256 | 239 |
Latin America Fund | 191 | 163 | 248 | 175 | 163 |
Large-Cap Growth Fund | 8,671 | 7,391 | 11,238 | 7,925 | 7,391 |
Large-Cap Value Fund | 1,670 | 1,423 | 2,164 | 1,528 | 1,423 |
Limited Duration Inflation Focused Bond Fund | 4,101 | 3,495 | 5,310 | 3,752 | 3,495 |
Limited-Term Bond Portfolio | 86 | 74 | 112 | 79 | 74 |
Maryland Short-Term Tax-Free Bond Fund |
| 67 | 102 | 72 | 67 |
Maryland Tax-Free Bond Fund | 1,174 | 1,001 | 1,521 | 1,074 | 1,001 |
Maryland Tax-Free Money Fund | 48 | 41 | 62 | 44 | 41 |
Mid-Cap Growth Fund | 14,417 | 12,287 | 18,680 | 13,186 | 12,287 |
Mid-Cap Growth Portfolio | 247 | 210 | 320 | 226 | 210 |
Mid-Cap Index Fund | 44 | 37 | 57 | 40 | 37 |
Mid-Cap Value Fund | 6,653 | 5,670 | 8,616 | 6,090 | 5,670 |
Moderate Allocation Portfolio | 85 | 72 | 110 | 77 | 72 |
Mortgage-Backed Securities Multi-Sector Account Portfolio (a) | — | — | — | — | — |
Multi-Strategy Total Return Fund | 178 | 151 | 230 | 163 | 151 |
New Asia Fund | 1,461 | 1,246 | 1,893 | 1,336 | 1,246 |
New Era Fund | 1,520 | 1,295 | 1,967 | 1,392 | 1,295 |
New Horizons Fund | 12,994 | 11,076 | 16,840 | 11,877 | 11,076 |
New Income Fund |
| 7,125 | 10,829 | 7,647 | 7,125 |
New
| 197 | 168 | 256 | 181 | 168 |
New York Tax-Free Bond Fund | 222 | 189 | 288 | 203 | 189 |
Overseas Stock Fund |
|
|
| 8,771 | 8,169 |
|
|
| — | — |
|
24
Fund | Aggregate Compensation From Fund | ||||
Bazemore | Duncan | Gerrard | McBride | Walker | |
QM U.S. Bond Index Fund | 619 | 527 | 801 | 566 | 527 |
Real Assets Fund | 2,764 | 2,355 | 3,579 | 2,533 | 2,355 |
Real Estate Fund | 704 | 600 | 912 | 644 | 600 |
Retirement 2005 Fund | 524 | 447 | 679 | 479 | 447 |
Retirement 2010 Fund | 1,451 | 1,237 | 1,880 | 1,327 | 1,237 |
Retirement 2015 Fund | 2,213 | 1,886 | 2,867 | 2,024 | 1,886 |
Retirement 2020 Fund | 5,838 | 4,976 | 7,865 | 5,340 | 4,976 |
Retirement 2025 Fund | 6,444 | 5,492 | 8,347 | 5,894 | 5,492 |
Retirement 2030 Fund | 8,598 | 7,327 | 11,138 | 7,865 | 7,327 |
Retirement 2035 Fund | 5,521 | 4,705 | 7,152 | 5,051 | 4,705 |
Retirement 2040 Fund | 6,202 | 5,286 | 8,035 | 5,674 | 5,286 |
Retirement 2045 Fund | 3,685 | 3,140 | 4,773 | 3,371 | 3,140 |
Retirement 2050 Fund | 3,231 | 2,754 | 4,185 | 2,956 | 2,754 |
Retirement 2055 Fund | 1,881 | 1,603 | 2,436 | 1,721 | 1,603 |
Retirement 2060 Fund | 673 | 573 | 871 | 616 | 573 |
Retirement 2065 Fund | 42 | 36 | 54 | 39 | 36 |
Retirement Balanced Fund | 910 | 775 | 1,178 | 832 | 775 |
Retirement Blend 2005 Fund | 2 | 2 | 2 | 2 | 2 |
Retirement Blend 2010 Fund | 2 | 2 | 3 | 2 | 2 |
Retirement Blend 2015 Fund | 4 | 3 | 5 | 4 | 3 |
Retirement Blend 2020 Fund | 13 | 11 | 17 | 12 | 11 |
Retirement Blend 2025 Fund | 21 | 18 | 28 | 20 | 18 |
Retirement Blend 2030 Fund | 18 | 16 | 24 | 17 | 16 |
Retirement Blend 2035 Fund | 20 | 17 | 26 | 18 | 17 |
Retirement Blend 2040 Fund | 17 | 15 | 22 | 16 | 15 |
Retirement Blend 2045 Fund | 13 | 11 | 17 | 12 | 11 |
Retirement Blend 2050 Fund | 9 | 7 | 11 | 8 | 7 |
Retirement Blend 2055 Fund | 5 | 4 | 6 | 4 | 4 |
Retirement Blend 2060 Fund | 2 | 1 | 2 | 2 | 1 |
Retirement Blend 2065 Fund | 1 | 1 | 1 | 1 | 1 |
Retirement I 2005 Fund—I Class | 148 | 126 | 192 | 136 | 126 |
Retirement I 2010 Fund—I Class | 444 | 379 | 575 | 407 | 379 |
Retirement I 2015 Fund—I Class | 785 | 669 | 1,016 | 718 | 669 |
Retirement I 2020 Fund—I Class | 2,627 | 2,239 | 3,402 | 2,404 | 2,239 |
Retirement I 2025 Fund—I Class | 3,667 | 3,125 | 4,749 | 3,356 | 3,125 |
Retirement I 2030 Fund—I Class | 4,910 | 4,184 | 6,359 | 4,494 | 4,184 |
Retirement I 2035 Fund—I Class | 3,595 | 3,064 | 4,657 | 3,291 | 3,064 |
Retirement I 2040 Fund—I Class | 3,934 | 3,352 | 5,095 | 3,600 | 3,352 |
Retirement I 2045 Fund—I Class | 2,783 | 2,372 | 3,605 | 2,548 | 2,372 |
Retirement I 2050 Fund—I Class | 2,645 | 2,255 | 3,427 | 2,422 | 2,255 |
Retirement I 2055 Fund—I Class | 1,510 | 1,287 | 1,956 | 1,382 | 1,287 |
Retirement I 2060 Fund—I Class | 673 | 574 | 872 | 617 | 574 |
Retirement I 2065 Fund—I Class | 36 | 31 | 47 | 33 | 31 |
Retirement Balanced I Fund—I Class | 248 | 211 | 321 | 227 | 211 |
Retirement Income 2020 Fund | 62 | 53 | 81 | 57 | 53 |
Science & Technology Fund | 3,068 | 2,615 | 3,975 | 2,803 | 2,615 |
Short Duration Income Fund | 23 | 20 | 30 | 21 | 20 |
Short-Term Fund | 0 | 0 | 0 | 0 | 0 |
Short-Term Bond Fund | 2,465 | 2,100 | 3,192 | 2,256 | 2,100 |
Short-Term Government Fund | — | — | — | — | — |
Small-Cap Index Fund | 45 | 38 | 58 | 41 | 38 |
Small-Cap Stock Fund | 4,521 | 3,853 | 5,857 | 4,136 | 3,853 |
Small-Cap Value Fund | 5,657 | 4,821 | 7,328 | 5176, | 4,821 |
25
Fund | Aggregate Compensation From Fund | ||||
Bazemore | Duncan | Gerrard | McBride | Walker | |
Spectrum Conservative Allocation Fund | 1,103 | 940 | 1,429 | 1,009 | 940 |
Spectrum Diversified Equity Fund | 1,817 | 1,548 | 2,354 | 1,662 | 1,548 |
Spectrum Income Fund | 3,058 | 2,607 | 3,961 | 2,799 | 2,607 |
Spectrum International Equity Fund | 801 | 683 | 1,037 | 732 | 683 |
Spectrum Moderate Allocation Fund | 1,133 | 966 | 1,468 | 1,037 | 966 |
Spectrum Moderate Growth Allocation Fund | 1,601 | 1,364 | 2,074 | 1,464 | 1,364 |
Summit Municipal Income Fund | 1,148 | 978 | 1,487 | 1,050 | 978 |
Summit Municipal Intermediate Fund | 2,896 | 2,468 | 3,751 | 2,649 | 2,468 |
Target 2005 Fund | 27 | 23 | 35 | 25 | 23 |
Target 2010 Fund | 36 | 31 | 47 | 33 | 31 |
Target 2015 Fund | 89 | 76 | 115 | 81 | 76 |
Target 2020 Fund | 164 | 140 | 212 | 150 | 140 |
Target 2025 Fund | 239 | 204 | 310 | 219 | 204 |
Target 2030 Fund | 261 | 222 | 338 | 239 | 222 |
Target 2035 Fund | 204 | 174 | 264 | 186 | 174 |
Target 2040 Fund | 176 | 150 | 228 | 161 | 150 |
Target 2045 Fund | 156 | 133 | 202 | 143 | 133 |
Target 2050 Fund | 119 | 102 | 154 | 109 | 102 |
Target 2055 Fund | 83 | 71 | 108 | 76 | 71 |
Target 2060 Fund | 40 | 34 | 52 | 37 | 34 |
Target 2065 Fund | 4 | 4 | 6 | 4 | 4 |
Tax-Efficient Equity Fund | 367 | 312 | 475 | 335 | 312 |
Tax-Exempt Money Fund | 300 | 256 | 389 | 275 | 256 |
Tax-Free High Yield Fund | 2,242 | 1,911 | 2,905 | 2,051 | 1,911 |
Tax-Free Income Fund | 1,145 | 976 | 1,483 | 1,047 | 976 |
Tax-Free Short-Intermediate Fund | 949 | 809 | 1,229 | 868 | 809 |
Total Equity Market Index Fund | 1,001 | 853 | 1,298 | 915 | 853 |
Total Return ETF (a) | — | — | — | — | — |
Total Return Fund | 304 | 259 | 393 | 278 | 259 |
Transition Fund | — | — | — | — | — |
Treasury Reserve Fund | 1,502 | 1,280 | 1,945 | 1,376 | 1,280 |
U.S. Equity Research ETF (a) | — | — | — | — | — |
U.S. Equity Research Fund | 5,382 | 4,586 | 6,967 | 4,934 | 4,586 |
U.S. High Yield ETF (a) | — | — | — | — | — |
U.S. High Yield Fund | 240 | 204 | 311 | 219 | 204 |
U.S. Large-Cap Core Fund | 3,240 | 2,762 | 4,198 | 2,968 | 2,762 |
U.S. Limited Duration TIPS Index Fund | 754 | 643 | 976 | 690 | 643 |
U.S. Treasury Intermediate Index Fund | 394 | 335 | 510 | 360 | 335 |
U.S. Treasury Long-Term Index Fund | 1,975 | 1,683 | 2,558 | 1,810 | 1,683 |
U.S. Treasury Money Fund | 5,916 | 5,042 | 7,661 | 5,421 | 5,042 |
Ultra Short-Term Bond ETF (a) | — | — | — | — | — |
Ultra Short-Term Bond Fund | 1,722 | 1,467 | 2,230 | 1,574 | 1,467 |
Value Fund | 15,445 | 13,163 | 20,007 | 14,130 | 13,163 |
Virginia Tax-Free Bond Fund | 701 | 598 | 909 | 642 | 598 |
(a)Directors’ fees were paid by T. Rowe Price on behalf of the fund.
26
FURTHER INFORMATION ABOUT VOTING AND THE SHAREHOLDER MEETING
Who is eligible to vote?
Shareholders of record of each Fund at the close of business on Thursday, April 27, 2023, (the “record date”) are entitled to one vote for each full share and a proportionate vote for each fractional share of the Fund they held on April 27, 2023.
The Notice of Joint Meeting of Shareholders, the proxy card, and this Proxy Statement were first mailed to shareholders of record on or about Wednesday, May 10, 2023.
Under Maryland law, shares owned by two or more persons (whether as joint tenants, co-fiduciaries, or otherwise) will be voted as follows, unless a written instrument or court order providing to the contrary has been filed with the Fund: (1) if only one votes, that vote will bind all; (2) if more than one votes, the vote of the majority will bind all; and (3) if more than one votes and the vote is evenly divided, the vote will be cast proportionately.
What is the required quorum?
To hold a shareholder meeting for a T. Rowe Price Fund, one-third of a Fund’s shares entitled to be voted must have been received by proxy or be present at the virtual meeting. In the event that a quorum is present but sufficient votes in favor of a proposal are not received by the Shareholder Meeting date, the persons named as proxies may propose one or more adjournments to permit further solicitation of proxies. Any such adjournment will require the affirmative vote of a majority of the shares present in person or by proxy at the Shareholder Meeting to be adjourned. Shares withheld will be voted against the proposed adjournment. The persons named as proxies will vote in favor of such adjournment if they determine that additional solicitation is reasonable and in the interests of a Fund’s shareholders.
What vote is required to elect the directors?
Four directors have been nominated for shareholder approval for each Board. The proposal requires the affirmative vote of a plurality of the shares present and entitled to vote at the meeting to elect the Board members of that Fund. All shareholders of each corporation, regardless of whether the corporation consists of one or multiple series and/or classes vote together. Thus, if a quorum is present at the Shareholder Meeting for each corporation, the proposal to elect the director nominees will be approved with respect to those director nominees who receive the largest number of votes, with no majority approval requirement.
How are the votes counted?
The individuals named as proxies (or their substitutes) on the enclosed proxy card (or cards, if you have multiple Funds or accounts) will vote according to your directions if your proxy is received properly executed, or in accordance with your instructions given when voting by telephone or online. You may direct the proxy holders to vote your shares with respect to each director-nominee by checking the appropriate box “FOR,” or instruct them not to vote those shares for each director-nominee by checking the “WITHHOLD” box. Alternatively, you may simply sign, date, and return your proxy
27
card(s) with no specific instructions as to the proposals. If you properly execute your proxy card, or submit your vote via the telephone or online, and give no voting instructions with respect to the election of directors, your shares will be voted FOR ALL NOMINEES.
Abstentions and “broker nonvotes” (as described below) are counted for purposes of determining whether a quorum is present for purposes of convening the Shareholder Meeting. Broker nonvotes are shares held by a broker or nominee for which an executed proxy is received by the Fund but are not voted as to one or more proposals because instructions have not been received from the beneficial owners or persons entitled to vote, and the broker or nominee does not have discretionary voting power. Since the proposal must be approved by a plurality vote, abstentions and broker nonvotes will have no effect on the result of the vote.
For shares of a Fund held in an individual retirement account (“IRA”) or Coverdell education savings account (“ESA”) that is sponsored by T. Rowe Price Trust Company and for which T. Rowe Price Trust Company serves as custodian, T. Rowe Price Trust Company shall, without written direction from the investor, vote shares for which no voting instructions are timely received in the same proportion as shares for which voting instructions from other shareholders are timely received.
For shares of the Funds that are series of T. Rowe Price Equity Series, Inc., T. Rowe Price Fixed Income Series, Inc., and T. Rowe Price International Series, Inc. (collectively, the “Variable Insurance Portfolios”) held by insurance company separate accounts for which the insurance company has not received timely voting instructions, as well as shares the insurance company owns, those shares shall be voted in the same proportion as shares for which voting instructions from contract holders are timely received.
Shares of the T. Rowe Price Funds that are held by other T. Rowe Price Funds will be voted in the same proportion as shares for which voting instructions from other shareholders are timely received.
Can additional matters be acted upon at the Shareholder Meeting?
T. Rowe Price knows of no other business that may come before the Shareholder Meeting. However, if any additional matters are properly presented at the Shareholder Meeting, it is intended that the persons named in the enclosed proxy, or their substitutes, will vote on such matters in accordance with their judgment.
Are the T. Rowe Price Funds required to hold annual meetings?
Under Maryland law, each T. Rowe Price Fund is not required to hold an annual meeting of shareholders. The Boards have determined that the Funds will take advantage of this Maryland law provision to avoid the significant expenses associated with holding an annual meeting of shareholders, including legal, accounting, printing, and mailing fees incurred in preparing proxy materials. Accordingly, no annual meeting of shareholders shall be held in any year in which a meeting is not otherwise required to be held under the 1940 Act or Maryland law, unless the Boards determine otherwise. However, special meetings of shareholders will be held in accordance with applicable law or when otherwise determined by the Boards.
28
If a shareholder wishes to present a proposal to be included in a proxy statement for a subsequent shareholder meeting, the proposal must be submitted in writing and received by Fran M. Pollack-Matz, Secretary of the T. Rowe Price Funds, 100 East Pratt Street, Baltimore, Maryland 21202, within a reasonable time before a Fund begins to print and mail its proxy materials for the meeting. The timely submission of a proposal does not guarantee its consideration at the meeting.
How are proxies delivered and votes recorded?
This Proxy Statement (or a notice indicating that the Proxy Statement is available) includes instructions on how to vote your shares online, by telephone, by mailing the proxy card, or electronically at the virtual Shareholder Meeting. T. Rowe Price has retained AST to tabulate the votes. The telephone and online voting procedures are reasonably designed to authenticate shareholders’ identities, to allow shareholders to authorize the voting of their shares in accordance with their instructions, and to confirm that their instructions have been properly recorded. AST is also responsible for assisting T. Rowe Price in determining whether quorum is achieved for a particular Fund and whether sufficient votes are received to approve a proposal.
Some shareholders will not automatically receive a copy of these proxy materials in the mail but will instead receive a notice that informs them of how to access all the proxy materials on a publicly available website (commonly referred to as “notice and access”). Shareholders who receive such a notice can follow the instructions on the notice to access the proxy materials and vote their shares. They may also request a paper or email copy of the proxy materials at no charge.
The SEC has adopted rules that permit investment companies such as the T. Rowe Price Funds and intermediaries to satisfy the delivery requirements for proxy statements with respect to two or more shareholders sharing the same address by delivering a single proxy statement addressed to those shareholders. This process, which is commonly referred to as “householding,” could be convenient for certain shareholders and may result in cost savings for the Funds and their shareholders. Unless a Fund has received contrary instructions, only one copy of these proxy materials will be mailed to two or more shareholders who share an address. If you invest directly in the T. Rowe Price Funds and need additional copies, do not want your mailings to be “householded,” or would like to request a single copy if multiple copies are being received, please call 1-800-225-5132 or write us at P.O. Box 17630, Baltimore, Maryland 21297-1630. If you own your Funds through an intermediary, please contact your intermediary.
How can proxies be solicited?
Directors and officers of a Fund, or employees of T. Rowe Price (and its affiliates) may solicit proxies by mail, in person, electronically (assuming that applicable requirements are met) or by telephone. If votes are solicited by telephone, shareholders will be called at the telephone number T. Rowe Price (or the applicable intermediary) has in its records for their accounts, and would be asked for certain identifying information, such as their address. The shareholders will then be given an opportunity to authorize proxies to vote their shares at the Shareholder Meeting in accordance with their instructions. To ensure that shareholders’ instructions have been recorded correctly,
29
shareholders will be mailed a confirmation of their instructions and will also be provided with a special toll-free number to call in case the information contained in the confirmation is incorrect.
The Funds will use the solicitation services of AST to assist them in soliciting proxies and managing the Funds’ overall proxy campaign. AST is also responsible for assisting T. Rowe Price in determining whether quorum is achieved and whether sufficient votes are received to approve a proposal.
Who pays for the costs involved with the proxy?
For managing the T. Rowe Price Funds’ overall proxy campaign, AST will receive a fee plus reimbursement for out-of-pocket expenses. AST will also receive fees in connection with the printing, preparing, assembling, mailing, and transmitting of proxy materials on behalf of the T. Rowe Price Funds, tabulating those votes that are received, hosting the virtual Shareholder Meeting, and any solicitation of additional votes. The fees received by AST will vary based on the level of additional solicitation necessary to achieve quorum and shareholder approval. In addition to the fees paid to AST, securities brokers, custodians, fiduciaries, and other persons holding shares as nominees will be reimbursed, upon request, for their reasonable expenses in sending solicitation materials to the principals of the accounts. The fees for these services, along with printing, postage and solicitation services are estimated to be approximately $12.7 million. All costs of the Shareholder Meeting and the proxy campaign, including the use of AST and the reimbursement to brokers for solicitation and the preparation of proxy materials, will be paid for by each Fund in proportion to its relative asset size at the time of the Shareholder Meeting. For any Funds subject to contractual expense limitations or all-inclusive management fee rates, the proxy expenses over and above any contractually stated fee rate will be borne by T. Rowe Price.
Can I change my vote after I mail my proxy?
Any vote or voting instruction, including those given online or by telephone, may be revoked at any time before the votes have been submitted for tabulation at the Shareholder Meeting by filing a written notice of revocation with a Fund, by delivering a properly executed proxy bearing a later date, or by attending the Shareholder Meeting and voting electronically at the Shareholder Meeting.
T. Rowe Price currently expects that the Fund will likely concentrate in the banking industry if the proposal is approved, as the banking industry currently represents a significant portion of the emerging European universe and the Fund’s current benchmark. To the extent that the Fund has significant investments in the banking industry, the Fund will be particularly sensitive to the risks of the banking industry. Risks associated with banks and financial companies are already disclosed in the Fund’s prospectus as follows:
To the extent the fund has significant investments in banking companies, it is more susceptible to adverse developments affecting such companies and may perform poorly during a downturn in the banking industry. Banks can be adversely affected by, among other things, regulatory changes, interest rate movements, the availability of capital and the cost to borrow, and the rate of debt defaults. Banks are often subject to extensive governmental regulation and intervention, and the potential for additional regulation could reduce profit margins and adversely affect the scope of their activities, and the amount of capital they must maintain, and limit the amounts and types of loans and other financial commitments they can make. In addition, companies in the banking industry may also be adversely affected by decreases in the availability of money or asset valuations, credit rating downgrades, increased competition, and adverse conditions in other related markets.
The oversight of, and regulations applicable to, banks in emerging European markets may be ineffective when compared with the regulatory frameworks for banks in developed markets. Banks in emerging markets may have significantly less access to capital than banks in more developed markets, leading them to be more likely to fail under adverse economic conditions. In addition, the impact of future regulation on any individual
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bank, or on the financial services sector as a whole, can be very difficult to predict.
What vote is required to revise the Emerging Europe Fund’s industry concentration policy?
Proposal No. 4 requires the affirmative vote of the lesser of: (1) 67% or more of the Fund’s shares represented at the Shareholder Meeting if the holders of more than 50% of the outstanding shares are present in person or by proxy; or (2) more than 50% of the fund’s outstanding shares. Shareholders of all classes of the Emerging Europe Fund vote together on Proposal No. 4. If Proposal No. 4 is not approved by shareholders of the Fund, the Fund’s current fundamental investment policy regarding industry concentration will remain in effect.
If the proposed amendment to the fundamental policy is approved by shareholders, it is expected to become effective on or about August 1, 2018, and the Fund’s prospectus and SAI will be revised accordingly.
The Boards of Directors, including the Fund’s independent directors, recommend that shareholders of the Fund vote FOR Proposal No. 4.
PROPOSAL NO. 5 — Reclassify the diversification status of each of the Communications & Technology, Financial Services, Global Consumer, Global Industrials, Global Technology, Health Sciences, New Era, Real Estate, and Science & Technology Funds, and the Health Sciences Portfolio from diversified to nondiversified
If Proposal No. 5 is approved, each of the Communications & Technology Fund, Financial Services Fund, Global Consumer Fund, Global Industrials Fund, Global Technology Fund, Health Sciences Fund, Health Sciences Portfolio, New Era Fund, Real Estate Fund, and Science & Technology Fund (together, the “Sector Funds”) would no longer be subject to the following policy:
Each may not (1) purchase a security if, as a result, with respect to 75% of the value of the fund’s total assets, more than 5% of the value of the fund’s total assets would be invested in the securities of a single issuer, except for cash, securities issued or guaranteed by the U.S. government, its agencies, or instrumentalities, and securities of other investment companies; and (2) purchase a security if, as a result, with respect to 75% of the value of the fund’s total assets, more than 10% of the outstanding voting securities of any issuer would be held by the fund (other than obligations issued or guaranteed by the U.S. government, its agencies, or instrumentalities).
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Section 5(b) of the 1940 Act requires mutual funds to be classified as either diversified or nondiversified, and a Fund’s diversification status is considered a fundamental policy. Diversified Funds are subject to the restrictions included in the above policy and nondiversified Funds are not. As a result, a nondiversified Fund is permitted to hold a greater percentage of its assets in the securities of a single issuer. In addition, under the 1940 Act, a nondiversified Fund is permitted to operate as a diversified Fund, but a diversified Fund cannot become nondiversified unless shareholders approve the change. Under applicable SEC guidance, if a nondiversified Fund operates for more than three years as diversified, it is considered diversified for SEC diversification purposes, and T. Rowe Price would need to present the change to the Board and then shareholders for approval if it wanted to switch back to nondiversified.
Sector Funds tend to have more concentrated benchmarks with limited investable opportunity sets. As a result, many mutual funds from other sponsors that focus on particular sectors operate as nondiversified Funds. With respect to the T. Rowe Price Funds, the Communications & Technology and Global Technology Funds, in particular, have historically been constrained by operating as diversified since they tend to have more than 5% or greater positions in their portfolio companies than other more broadly diversified Funds. The proposed change to the diversification policy will provide each Sector Fund with greater flexibility in executing its investment program, but will not substantially affect the way each Fund is managed.
If the proposal is approved, each Sector Fund would continue to be subject to diversification tests under Subchapter M of the Internal Revenue Code that apply to regulated investment companies. To qualify, among other requirements, each Fund must limit its investment so that, at the close of each quarter of the taxable year, (1) not more than 25% of the Fund’s total assets will be invested in the securities of a single issuer, and (2) with respect to 50% of its total assets, not more than 5% of its total assets will be invested in the securities of a single issuer and the Fund will not own more than 10% of the outstanding voting securities of a single issuer.
What vote is required to reclassify the diversification status of each Sector Fund from diversified to nondiversified?
Proposal No. 5 requires the affirmative vote of the lesser of: (1) 67% or more of the relevant Fund’s shares represented at the Shareholder Meeting if the holders of more than 50% of the outstanding shares are present in person or by proxy; or (2) more than 50% of the Fund’s outstanding shares. Shareholders of all classes of a particular Fund vote together on the proposal affecting that Fund. If Proposal No. 5 is not approved by shareholders of a Fund, the Fund will remain diversified. In addition, the approval to reclassify
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a particular Fund to nondiversified is not contingent upon obtaining approval to reclassify the diversification status for any of the other Sector Funds under this proposal.
If the proposed amendment to the fundamental policy is approved by shareholders, it is expected to become effective on or about August 1, 2018, and each Sector Fund’s prospectus and SAI will be revised accordingly.
The Boards of Directors of the Sector Funds, including the Sector Funds’ independent directors, recommend that shareholders of the relevant Fund vote FOR Proposal No. 5 with respect to their Fund.
FURTHER INFORMATION ABOUT VOTING AND THE SHAREHOLDER MEETING
What is the required quorum?
To hold a shareholders meeting for the T. Rowe Price Funds, one-third of a Fund’s shares entitled to be voted must have been received by proxy or be present in person at the meeting. In the event that a quorum is present but sufficient votes in favor of a proposal are not received by the Shareholder Meeting date, the persons named as proxies may propose one or more adjournments to permit further solicitation of proxies. Any such adjournment will require the affirmative vote of a majority of the shares present in person or by proxy at the Shareholder Meeting to be adjourned. Shares voted against a proposal will be voted against the proposed adjournment. The persons named as proxies will vote in favor of such adjournment if they determine that additional solicitation is reasonable and in the interests of a Fund’s shareholders.
How are the votes counted?
The individuals named as proxies (or their substitutes) on the enclosed proxy card (or cards, if you have multiple Funds or accounts) will vote according to your directions if your proxy is received properly executed, or in accordance with your instructions given when voting by telephone or online. With respect to Proposal No. 1 to elect directors, you may direct the proxy holders to vote your shares on the proposal by checking the appropriate box “FOR ALL NOMINEES” or “FOR ALL EXCEPT,” or instruct them not to vote those shares on the proposal by checking the “WITHHOLD AUTHORITY” box.
With respect to Proposal Nos. 2, 3, 4, and 5, you may direct the proxy holders to vote FOR or AGAINST or ABSTAIN. Alternatively, you may simply sign, date, and return your proxy card(s) with no specific instructions as to the proposals. If you properly execute your proxy card, or submit your vote
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via the telephone or online, and give no voting instructions with respect to the election of directors or any of the other proposals, your shares will be voted FOR ALL NOMINEES and FOR all of the other proposals on which you are entitled to vote.
Abstentions and “broker nonvotes” (as described below) are counted for purposes of determining whether a quorum is present for purposes of convening the Shareholder Meeting. Broker nonvotes are shares held by a broker or nominee for which an executed proxy is received by the Fund but are not voted as to one or more proposals because instructions have not been received from the beneficial owners or persons entitled to vote, and the broker or nominee does not have discretionary voting power. Since Proposal No. 1 must be approved by a plurality vote, abstentions and broker nonvotes will have no effect on the result of the vote. Because Proposal Nos. 2, 3, 4, and 5 must be approved by a percentage of voting securities present at the meeting or a majority of the Fund’s outstanding shares, abstentions and broker nonvotes will be considered to be voting securities that are present and will have the effect of being counted as votes against the applicable proposal.
For shares of a Fund held in an individual retirement account (“IRA”) or Coverdell education savings account (“ESA”) that is sponsored by T. Rowe Price Trust Company and for which T. Rowe Price Trust Company serves as custodian, T. Rowe Price Trust Company shall, without written direction from the investor, vote shares for which no voting instructions are timely received in the same proportion as shares for which voting instructions from other shareholders are timely received.
For shares of the Funds that are series of T. Rowe Price Equity Series, Inc., T. Rowe Price Fixed Income Series, Inc., and T. Rowe Price International Series, Inc. (collectively, the “Variable Insurance Portfolios”) held by insurance company separate accounts for which the insurance company has not received timely voting instructions, as well as shares the insurance company owns, those shares shall be voted in the same proportion as shares for which voting instructions from contract holders are timely received.
Shares of the T. Rowe Price Funds that are held by other T. Rowe Price Funds will be voted in the same proportion as shares for which voting instructions from other shareholders are timely received.
Can additional matters be acted upon at the Shareholder Meeting?
T. Rowe Price knows of no other business that may come before the Shareholder Meeting. However, if any additional matters are properly presented at the Shareholder Meeting, it is intended that the persons named in the enclosed proxy, or their substitutes, will vote on such matters in accordance with their judgment.
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Are the T. Rowe Price Funds required to hold annual meetings?
Under Maryland law, each T. Rowe Price Fund is not required to hold an annual meeting of shareholders. The Boards have determined that the Funds will take advantage of this Maryland law provision to avoid the significant expenses associated with holding an annual meeting of shareholders, including legal, accounting, printing, and mailing fees incurred in preparing proxy materials. Accordingly, no annual meeting of shareholders shall be held in any year in which a meeting is not otherwise required to be held under the 1940 Act or Maryland law, unless the Boards determine otherwise. However, special meetings of shareholders will be held in accordance with applicable law or when otherwise determined by the Boards.
If a shareholder wishes to present a proposal to be included in a proxy statement for a subsequent shareholder meeting, the proposal must be submitted in writing and received by Darrell Braman, Secretary of the T. Rowe Price Funds, 100 East Pratt Street, Baltimore, Maryland 21202, within a reasonable time before a Fund begins to print and mail its proxy materials for the meeting. The timely submission of a proposal does not guarantee its consideration at the meeting.
How are proxies delivered and votes recorded?
This Proxy Statement was mailed along with a proxy voting card and prepaid envelope. You may record your votes on the enclosed proxy card and mail it in the accompanying prepaid envelope to Proxy Tabulator, P.O. Box 808002, Louisville, KY 40233-9893. Any mailed proxies sent to this address will be delivered to Computershare Limited (“Computershare”), which T. Rowe Price has retained to tabulate the votes. In addition, the Funds have arranged through Computershare to have votes recorded through online or by telephone. The telephone and online voting procedures are reasonably designed to authenticate shareholders’ identities, to allow shareholders to authorize the voting of their shares in accordance with their instructions, and to confirm that their instructions have been properly recorded. Computershare is also responsible for assisting T. Rowe Price in determining whether quorum is achieved for a particular Fund and whether sufficient votes are received to approve a proposal.
Some shareholders will not automatically receive a copy of this entire Proxy Statement in the mail, but will instead receive a notice that informs them of how to access all of the proxy materials on a publicly available website (commonly referred to as “notice and access”). Shareholders who receive such a notice will not be able to return the notice to have their vote recorded. However, they can access the proxy materials at www.proxydirect.com/trp-29734 to vote eligible shares or may use the instructions on the notice to request a paper or email copy of the proxy materials at no charge.
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The SEC has adopted rules that permit investment companies, such as the T. Rowe Price Funds, and intermediaries to satisfy the delivery requirements for proxy statements with respect to two or more shareholders sharing the same address by delivering a single proxy statement addressed to those shareholders. This process, which is commonly referred to as “householding,” could result in extra convenience and cost savings for the Funds and their shareholders. Unless a Fund has received contrary instructions, only one copy of this Proxy Statement will be mailed to two or more shareholders who share an address. If you need additional copies, do not want your mailings to be “householded,” or would like to request a single copy if multiple copies are being received, please call 1-800-225-5132 or write us at P.O. Box 17630, Baltimore, Maryland 21297-1630.
How can proxies be solicited, and who pays for the costs involved with the proxy?
Directors and officers of a Fund, or employees of T. Rowe Price (and its affiliates) may solicit proxies by mail, in person, electronically (assuming that applicable requirements are met) or by telephone. In the event that votes are solicited by telephone, shareholders would be called at the telephone number T. Rowe Price has in its records for their accounts, and would be asked for certain identifying information, such as their address. The shareholders would then be given an opportunity to authorize proxies to vote their shares at the Shareholder Meeting in accordance with their instructions. To ensure that shareholders’ instructions have been recorded correctly, confirmation of the instructions is also mailed and a special toll-free number provided in case the information contained in the confirmation is incorrect.
To help ensure that sufficient shares of common stock are represented at the Shareholder Meeting to permit approval of the proposals outlined in the Proxy Statement, the Funds will also use the solicitation services of Computershare to assist them in soliciting proxies.
Who pays for the costs involved with the proxy?
For managing the T. Rowe Price Funds’ overall proxy campaign, Computershare will receive a fee plus reimbursement for out-of-pocket expenses. Computershare will also receive fees in connection with the printing, preparing, assembling, mailing, and transmitting of proxy materials on behalf of the T. Rowe Price Funds, tabulating those votes that are received, and any solicitation of additional votes. The fees received by Computershare will vary based on the level of additional solicitation necessary to achieve quorum and shareholder approval. In addition to the fees paid to Computershare, securities brokers, custodians, fiduciaries, and other persons holding shares as nominees will be reimbursed, upon request, for their reasonable expenses in sending solicitation materials to the principals of the
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accounts. The fees for these services, along with printing, postage and solicitation services are estimated to range between $13.5 and $15 million. All costs of the Shareholder Meeting and the proxy campaign, including the use of Computershare and the reimbursement to brokers for solicitation and the preparation of proxy materials, will be paid for by each Fund in proportion to its relative asset size at the time of the Shareholder Meeting (except for the Multi-Sector Account Portfolios). For any Funds subject to contractual expense limitations or all-inclusive management fee rates, the proxy expenses over and above any contractually stated fee rate will be borne by T. Rowe Price.
Can I change my vote after I mail my proxy?
Any proxy, including those given online or by telephone, may be revoked at any time before the votes have been submitted for tabulation at the Shareholder Meeting by filing a written notice of revocation with a Fund, by delivering a properly executed proxy bearing a later date, or by attending the Shareholder Meeting and voting in person. If you vote via telephone or online, you can change your vote up until 7:59 a.m. on July 25, 2018.
GENERAL INFORMATION ABOUT THE FUNDS
Who are the Funds’ investment adviser, principal underwriter, and other service providers?
T. Rowe Price serves as investment adviser to all of the T. Rowe Price Funds and provides the Funds with investment management services. T. Rowe Price is a wholly owned subsidiary of T. Rowe Price Group, Inc. While T. Rowe Price is responsible for supervising and overseeing the Funds’ investment programs, T. Rowe Price has entered into investment subadvisory agreements with T. Rowe Price Hong Kong Limited (“Price Hong Kong”), T. Rowe Price International Ltd (“Price International”), T. Rowe Price Investment Management, Inc. (“Price Investment Management”), T. Rowe Price Japan, Inc. (“Price Japan”), and/or T. Rowe Price Japan, Inc.Singapore (“Price JapanSingapore”) on behalf of certain T. Rowe Price Funds. Price Hong Kong, Price Japan,
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and Price JapanSingapore are wholly owned subsidiaries of Price International. Price International and Price Investment Management are wholly owned subsidiaries of T. Rowe Price International, and T. Rowe Price International is a wholly owned subsidiary of T. Rowe Price.
Each Fund also(except the ETFs) has fund accounting agreements with T. Rowe Price and The Bank of New York Mellon;Mellon and the ETFs have a fund accounting agreement with State Street Bank and Trust Company and T. Rowe Price. Each Fund also has an underwriting agreement with T. Rowe Price Investment Services, Inc. (“Investment Services”); and a transfer agency agreement with T. Rowe Price Services, Inc. (“Price Services”). The taxable Funds also have a transfer agency agreement with T. Rowe Price Retirement Plan Services, Inc. (“RPS”). Investment Services, Price Services, and RPS are wholly owned subsidiaries of T. Rowe Price.
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T. Rowe Price Trust Company serves as trustee and/or custodian for certain IRAs, ESAs, and small business retirement plans that utilize the Funds as investment options, and is a wholly owned subsidiary of T. Rowe Price.
The address for T. Rowe Price, Investment Services, and T. Rowe Price Trust Company is 100 East Pratt Street, Baltimore, MDMaryland 21202. The address for Price Services and RPS is 4515 Painters Mill Road, Owings Mills, MDMaryland 21117. The address for Price Hong Kong is 6/F Charter House 8 Connaught Road, Central, Hong Kong. The address for Price International is 60 Queen Victoria Street, London, United Kingdom EC4N 4TZ. The address for Price Investment Management is 100 East Pratt Street, Baltimore, Maryland 21202. The address for Price Japan is 9-2 Marunouchi 1-Chome, Chiyoda-Ku, Tokyo, Japan 100-6610. The address for Price Singapore is 501 Orchard Road, #10-02 Wheelock Place, Singapore 238880. The address for The Bank of New York Mellon is 225 Liberty Street, New York, New York 10286. The address for State Street Bank and Trust Company is One Lincoln Street, Boston, Massachusetts 02111.
The Funds have a policy to not pay any commissions to affiliated broker-dealers.
As of March 31, 2023, none of the independent directors, independent director nominees or their immediate family members owned beneficially or of record any securities of T. Rowe Price (the Funds’ investment adviser), Investment Services (the Funds’ distributor), or any person controlling, controlled by, or under common control with T. Rowe Price or Investment Services.
Who are the Funds’ executive officers?
John R. GilnerArmando (Dino) Capasso serves as Chief Compliance Officer for the T. Rowe Price Funds. In addition, Mr. GilnerCapasso is the Chief Compliance Officer and a Vice President of T. Rowe Price and Price Investment Management, as well as a Vice President of T. Rowe Price Group, Inc. Catherine D. MathewsAlan S. Dupski serves as Treasurer for the T. Rowe Price Funds. Ms. MathewsMr. Dupski is a Vice President of T. Rowe Price, Price Investment Management, T. Rowe Price Trust Company, and T. Rowe Price Group, Inc. Darrell N. BramanFran M. Pollack-Matz serves as Secretary for the T. Rowe Price Funds. Mr. BramanMs. Pollack-Matz is a Vice President of T. Rowe Price, and T. Rowe Price Group, Inc., Investment Services, and Price Services.
The following table, entitled “Executive Officers of the Funds,” lists the other executive officers of the Funds covered by this Proxy Statement and their positions with each
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Fund, T. Rowe Price, and T. Rowe Price Group, Inc., as of April 6, 2018.February 1, 2023. Each executive officer has been an officer of T. Rowe Price, T. Rowe Price Group, Inc., and the Funds for at least the last five years unless otherwise indicated.
Executive Officers of the Funds | ||||
Officer, Year of Birth | Position With Fund | Position With T. Rowe Price | Position With T. Rowe Price Group, Inc. | |
All-Cap Opportunities Fund | ||||
Justin P. White, 1981 | President | Vice President | Vice President | |
Balanced Fund | ||||
Charles M. Shriver, 1967 Toby M. Thompson, 1971 | Co-President Co-President | Vice President Vice President | Vice President | Vice President |
Blue Chip Growth Fund | ||||
| President | Vice President | Vice President | |
Capital Appreciation Fund | ||||
David R. Giroux, 1975 | President |
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Communications & Technology Fund | ||||
| President | Vice President | Vice President | |
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Corporate Income Fund | |||
Lauren T. Wagandt, 1984 |
| Vice President Vice President
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Vice President Vice President |
Credit Opportunities Fund | |||
Rodney M. Rayburn, 1970 | President | Vice President | Vice President |
Diversified Mid-Cap Growth Fund | |||
Donald J. Peters, 1959
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| Vice President
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Vice President |
Dividend Growth Fund | |||
Thomas J. Huber, 1966 | President | Vice President | Vice President |
Equity Funds | |||
Stephon Jackson, 1962 Joshua Nelson, 1977 Francisco Alonso, 1978 Brian W.H. Berghuis, 1958 Paul Greene II, 1978 John D. Linehan, 1965 Gabriel Solomon, 1977 Taymour R. Tamaddon, 1976 | Co-President Co-President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President — — Vice President Vice President Vice President Vice President | — Vice President Vice President Vice President Vice President Vice President Vice President Vice President |
Equity Income Fund | |||
John D. Linehan, 1965 | President | Vice President | Vice President |
Equity Series | |||
Joshua Nelson, 1977 Ziad Bakri, 1980 Brian W.H. Berghuis, 1958 Paul Greene II, 1978 John D. Linehan, 1965
Charles M. Shriver, 1967
Toby M. Thompson, 1971 Justin P. White, 1981 | Co-President Co-President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President — Vice President Vice President Vice President — Vice President Vice President | — Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President |
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Executive Officers of the Funds | |||
Officer, Year of Birth | Position With Fund | Position With T. Rowe Price | Position With T. Rowe Price Group, Inc. |
Exchange-Traded Funds | |||
Stephon Jackson, 1962 Joshua Nelson, 1977 Christopher P. Brown, 1977 David Corris, 1975 Timothy Coyne, 1967 Vincent Michael DeAugustino, 1983 Anna Alexandra Dreyer, 1981 Shawn T. Driscoll, 1975 Joseph B. Fath, 1971 David R. Giroux, 1975 Paul Greene II, 1978 Ann M. Holcomb, 1972 Thomas J. Huber, 1966 Prashant G. Jeyaganesh, 1983 Vidya Kadiyam, 1980 Robert M. Larkins, 1973 John D. Linehan, 1965 Kevin Patrick Loome, 1967 a Jodi Love, 1977 Paul M. Massaro, 1975b Colin McQueen, 1967 Jason Nogueira, 1974 Alexander S. Obaza, 1981 Donald J. Peters, 1959 Jason Benjamin Polun, 1974 Jordan S. Pryor, 1991 Sebastian Schrott, 1977 Gabriel Solomon, 1977 Peter Stournaras, 1973 Taymour R. Tamaddon, 1976 | Co-President Co-President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President — Vice President Vice President Vice President Vice President Vice President Vice President Vice President — Vice President Vice President — Vice President Vice President Vice President Vice President Vice President — Vice President Vice President Vice President | — Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President ice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President |
Financial Services Fund | |||
| President | Vice President | Vice President |
Fixed Income Series | |||
| President
| Vice President
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Vice President |
Floating Rate Fund | |||
Paul M. Massaro, 1975 | President | Vice President | Vice President |
Global Allocation Fund | |||
Charles M. Shriver, 1967 Toby M. Thompson, 1971 | Co-President Co-President | Vice President Vice President | Vice President Vice President |
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Executive Officers of the Funds | ||||
Officer, Year of Birth | Position With Fund | Position With T. Rowe Price | Position With T. Rowe Price Group, Inc. | |
Global Funds | ||||
Justin Thomson, 1968 Malik Sarmad Asif, 1981 Oliver Douglas Martin Bell, 1969 Robert Scott Berg, 1972 Richard N. Clattenburg, 1979 David J. Eiswert, 1972 Sebastien Mallet, 1974 Raymond A. Mills, 1960 Eric C. Moffett, 1974 Samy B. Muaddi, 1984 Joshua Nelson, 1977 Jason Nogueira, 1974 Federico Santilli, 1974 | President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | — — — Vice President Vice President Vice President — Vice President — Vice President Vice President Vice President — | Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President | |
Global Multi-Sector Bond Fund | ||||
Kenneth | President
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Global Real Estate Fund | ||||
| President |
| Vice President | |
Global Technology Fund | ||||
Alan Tu, 1985 | Co-President Co-President | — Vice President | Vice President | Vice President |
GNMA Fund | ||||
| President | Vice President | Vice President | |
Government Money Fund | ||||
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| President | Vice President | Vice President | |
Growth Stock Fund | ||||
Joseph B. Fath, 1971 | President | Vice President | Vice President | |
Health Sciences Fund | ||||
Ziad Bakri, 1980 | President | Vice President | Vice President | |
High Yield Fund | ||||
Andrew C. McCormick, 1960 Kevin
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Co-President Executive Vice President Executive Vice President | Vice President Vice President — Vice President | — Vice President Vice President Vice President | |
Index Trust | ||||
Michael K. Sewell, 1982 | President Executive Vice President | — Vice President | Vice President Vice President | |
Inflation Protected Bond Fund | ||||
Michael K. Sewell, 1982 | President | Vice President | Vice President | |
Institutional Income Funds | ||||
Andrew C. McCormick, 1960 Robert M. Larkins, 1973 Paul M. Massaro, 1975 Rodney M. Rayburn, 1970 | President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President Vice President | Vice President Vice President Vice President Vice President | |
Integrated Equity Funds | ||||
Peter Stournaras, 1973d David Corris, 1975e Prashant G. Jeyaganesh, 1983 Vidya Kadiyam, 1980 Sudhir Nanda, 1959 Jordan S. Pryor, 1991 | President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President Vice President Vice President Vice President | Vice President Vice President Vice President Vice President Vice President Vice President | |
PAGE 5334
Executive Officers of the Funds | ||||
Officer, Year of Birth | Position With Fund | Position With T. Rowe Price | Position With T. Rowe Price Group, Inc. | |
| ||||
Ralph Lee Arnold, Jr., 1970 Colin T. Bando, 1987 |
|
|
| |
| ||||
|
Executive Vice President Executive Vice President | Vice President Vice President Vice President
| Vice President Vice President Vice President
| |
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| |
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PAGE 54
| ||||
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| |
International Funds | ||||
Jason Adams, 1979 Ulle Adamson, 1979
Archibald Ciganer Albeniz, 1976 Richard N. Clattenburg, 1979 Michael Michael Della Vedova, 1969 David J. Eiswert, 1972 Benjamin Griffiths, 1977 Arif Husain, 1972 Andrew J. Keirle, 1974 Anh Thi Lu, 1968
Raymond A. Mills, 1960 Jihong Min, 1979 Eric C. Moffett, 1979 Samy B. Muaddi, 1984
Kenneth
Federico Santilli, 1974
Verena Ernest C. Yeung, 1979 Wenli Zheng, 1979 | President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | — Vice President — — — Vice President —
Vice President Vice President — Vice President — — — — — Vice President — — Vice President — — — — Vice President Vice President Vice President — — — |
Vice President
| Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President |
International Index Fund | ||||
Neil Smith, 1972 | President | — | Vice President | |
International Series | ||||
Richard N. Clattenburg, 1979 | President Executive Vice President | — Vice President | Vice President Vice President | |
Limited Duration Inflation Focused Bond Fund | ||||
| President | Vice President | Vice President | |
Mid-Cap Growth Fund | ||||
Brian W.H. Berghuis, 1958 John F. Wakeman, 1962 | President Executive Vice President |
| Vice President Vice President | |
Mid-Cap Value Fund | ||||
Heather K. McPherson, 1967 | President Executive Vice President | Vice President Vice President | Vice President Vice President | |
35
Executive Officers of the Funds | |||
Officer, Year of Birth | Position With Fund | Position With T. Rowe Price | Position With T. Rowe Price Group, Inc. |
Multi-Sector Account Portfolios | |||
Michael F. Connelly, 1977 Stephen M. Finamore, 1976 Keir R. Joyce, 1972 Andrew J. Keirle, 1974
Samy B. Muaddi, 1984
| President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President
Vice President Vice President — Vice President Vice President | Vice President Vice President Vice President Vice President Vice President Vice President Vice President |
Multi-Strategy Total Return Fund | |||
Richard de los Reyes, 1975 Stefan Hubrich, 1974 | Co-President Co-President | Vice President Vice President | Vice President Vice President |
New | |||
| President | Vice President | Vice President |
New | |||
|
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|
PAGE 55
| |||
|
|
|
|
| |||
| President | Vice President | Vice President |
New Income Fund | |||
Stephen L. Bartolini, 1977 | President |
| Vice President |
QM U.S. Bond Index Fund | |||
Robert M. Larkins, 1973 | President | Vice President | Vice President |
Real Assets Fund | |||
Richard Coghlan, 1961 Christopher Faulkner-MacDonagh, 1969 | Co-President Co-President | Vice President Vice President | Vice President Vice President |
| |||
|
|
|
|
| |||
|
|
|
|
| |||
|
|
|
|
Real Estate Fund | |||
| President | Vice President | Vice President |
TRP Reserve Investment Funds | |||
Matthew W. Novak, 1983 Bradley R. Raglin, 1982 | President Executive Vice President Executive Vice President | Vice President Vice President Vice President | Vice President Vice President — |
Retirement Funds | |||
Andrew G. Jacobs Van Merlen, 1978 Wyatt A. Lee, 1971 |
Co-President | Vice President Vice President Vice President | Vice President Vice President Vice President |
Science & Technology Fund | |||
Kennard W. Allen, 1977 | President | Vice President | Vice President |
Short-Term Bond Fund | |||
Cheryl A. Mickel, 1967
Alexander S. Obaza, 1981 Michael F. Reinartz, 1973 |
|
|
|
| |||
|
|
|
|
| |||
|
|
|
|
| |||
|
|
|
|
| |||
| President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President Vice President | Vice President Vice President Vice President Vice President |
| |||
Francisco Alonso, 1978 | President | — | Vice President |
Small-Cap Value Fund | |||
John David Wagner, 1974 | President | — | Vice President |
Spectrum Funds | |||
Toby M. Thompson, 1971 | Co-President Co-President | Vice President Vice President | Vice President Vice President |
Spectrum Funds II | |||
Charles M. Shriver, 1967 Toby M. Thompson, 1971 | Co-President Co-President | Vice President Vice President | Vice President Vice President |
36
Executive Officers of the Funds | ||||
Officer, Year of Birth | Position With Fund | Position With T. Rowe Price | Position With T. Rowe Price Group, Inc. | |
State Tax-Free Fund | ||||
James M. Murphy, 1967 Austin Applegate, 1974 Charles B. Hill, 1961 Konstantine B. Mallas, 1963 Douglas D. Spratley, 1969 Timothy G. Taylor, 1975 | President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President Vice President Vice President Vice President | Vice President Vice President Vice President Vice President Vice President Vice President | |
Summit Income Funds | ||||
Douglas D. Spratley, 1969 | President | Vice President | Vice President | |
Summit Municipal Funds | ||||
Austin Applegate, 1974 Charles B. Hill, 1961
Konstantine B. Mallas, 1963 | President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President Vice President | Vice President Vice President Vice President Vice President | |
Tax-Efficient Funds | ||||
Donald J. Peters, 1959 | President | Vice President | Vice President | |
Tax-Exempt Money Fund | ||||
| President | Vice President | Vice President | |
Tax-Free High Yield Fund | ||||
James M. Murphy, 1967
Colin T. Bando, 1987 | President Executive Vice President Executive Vice President | Vice President Vice President Vice President | Vice President Vice President Vice President | |
Tax-Free Income Fund | ||||
Konstantine B. Mallas, 1963 Timothy G. Taylor, 1975 | Co-President Co-President | Vice President Vice President | Vice President | Vice President |
Tax-Free Short-Intermediate Fund | ||||
Charles B. Hill, 1961 | President | Vice President | Vice President | |
PAGE 56
| ||||
|
|
|
| |
Total Return Fund | ||||
Christopher P. Brown, Anna Alexandra Dreyer, 1981 |
| Vice President Vice President | Vice President Vice President | |
U.S. | ||||
Jason Nogueira, 1974 Jason Benjamin Polun, 1974 | Co-President Co-President Co-President | Vice President Vice President Vice President | Vice President | Vice President Vice President |
U.S. Large-Cap Core Fund | ||||
| President | Vice President | Vice President | |
U.S. Treasury Funds | ||||
Douglas D. Spratley, 1969 | President Executive Vice President Executive Vice President | Vice President Vice President Vice President | Vice President Vice President Vice President | |
Value Fund | ||||
| President | Vice President | Vice President | |
aEffective October 1, 2022, Mr. Loome was appointed as Executive Vice President of the T. Rowe Price Exchange-Traded Funds, Inc.
bEffective November 1, 2022, Mr. Massaro was appointed as Executive Vice President of the T. Rowe Price Exchange-Traded Funds, Inc.
cPrior to 2014, Rodney M. Rayburn2019, Colin McQueen was Managing Director of Värde Partners.a Senior Investment Manager at Sanlam FOUR Investments UK Limited.
b dPrior to 2017, Kevin P. Loome2020, Peter Stournaras was a Chief Portfolio Strategist at JP Morgan Private Bank. Prior to 2018, he was a Private Consultant and Advisor at Pteleos Consulting.
ePrior to 2021, David Corris was Head of U.S. CreditDisciplined Equities and Portfolio Manager at HendersonBank of Montreal Global Investors and prior to 2013, he was Head of High Yield and Bank Loans at Delaware Investments.Asset Management.
37
As of February 28, 2018,March 31, 2023, the directors, Advisory Board members, and executive officers of the T. Rowe Price Funds, as a group, owned less than 1% of the outstanding shares of any fund,Fund, except as shown in the following table.
Fund | % |
|
|
|
|
Credit Opportunities |
|
Dynamic Credit | 3.65 |
Emerging Markets |
|
Global |
|
Integrated Global |
|
|
|
|
|
|
|
|
|
Intermediate Tax-Free High Yield |
|
Maryland Short-Term Tax-Free Bond |
|
Maryland Tax-Free Bond | 2.28 |
Maryland Tax-Free Money |
|
|
|
|
|
|
|
|
|
U.S. |
|
How many outstanding shares are there of each Fund?
The following table, entitled “Outstanding Shares of Capital Stock,” sets forth the outstanding shares of capital stock of each Fund and class, as applicable, as of February 28, 2018.March 31, 2023.
Outstanding Shares of Capital Stock
Fund | Outstanding Shares |
Africa & Middle East Fund |
|
Africa & Middle East Fund—I Class |
|
Africa & Middle East Fund—Z Class | 793,972.945 |
All-Cap Opportunities Fund | 88,686,812.631 |
All-Cap Opportunities Fund—Advisor Class | 2,779,741.082 |
All-Cap Opportunities Fund—I Class | 61,921,186.328 |
All-Cap Opportunities Portfolio | 12,217,092.114 |
Asia Opportunities |
|
PAGE 57
Fund |
|
Asia Opportunities Fund—Advisor Class |
|
Asia Opportunities Fund—I Class |
|
Balanced Fund |
|
Balanced Fund—I Class |
|
Blue Chip Growth ETF |
|
Blue Chip Growth Fund | 217,872,104.905 |
Blue Chip Growth Fund—Advisor Class |
|
Blue Chip Growth Fund—I Class |
|
Blue Chip Growth Fund—R Class |
|
Blue Chip Growth Fund—Z Class | 3,043,954.257 |
Blue Chip Growth Portfolio |
|
Blue Chip Growth Portfolio—II |
|
California Tax-Free Bond Fund |
|
California Tax-Free Bond Fund—I Class |
|
|
|
|
|
Capital Appreciation |
|
Capital Appreciation |
|
|
|
|
|
Capital Appreciation Fund—Advisor Class |
|
38
Fund | Outstanding Shares |
Capital Appreciation Fund—I Class |
|
|
|
|
|
|
|
|
|
|
|
Communications & Technology |
|
Communications & Technology Fund—I |
|
Corporate Income Fund |
|
Corporate Income Fund—I Class |
|
Corporate Income Fund—Z Class | 32,954,419.863 |
Credit Opportunities Fund |
|
Credit Opportunities Fund—Advisor Class |
|
Credit Opportunities Fund—I Class |
|
Diversified Mid-Cap Growth Fund |
|
Diversified Mid-Cap Growth Fund—I Class |
|
Dividend Growth ETF |
|
Dividend Growth Fund | 174,519,614.011 |
Dividend Growth Fund—Advisor Class |
|
Dividend Growth Fund—I Class |
|
Dividend Growth Fund—Z Class | 6,735,642.101 |
Dynamic Credit Fund | 3,422,122.110 |
Dynamic Credit Fund—I Class | 575,593.309 |
Dynamic Global Bond Fund |
|
Dynamic Global Bond Fund—Advisor Class |
|
Dynamic Global Bond Fund—I Class |
|
Dynamic Global Bond Fund—Z Class | 375,417,326.068 |
Emerging Europe Fund |
|
Emerging Europe Fund—I Class |
|
Emerging Europe Fund—Z Class | 776,838.905 |
Emerging Markets Bond Fund |
|
Emerging Markets Bond Fund—Advisor Class |
|
Emerging Markets Bond Fund—I Class |
|
Emerging Markets Bond Fund—Z Class | 347,703,834.843 |
Emerging Markets Corporate Bond Fund |
|
Emerging Markets Corporate Bond Fund—Advisor Class |
|
Emerging Markets Corporate Bond Fund—I Class |
|
Emerging Markets Corporate Multi-Sector Account Portfolio |
|
Emerging Markets Discovery Stock Fund | 5,839,671.143 |
Emerging Markets Discovery Stock Fund—Advisor Class | 4,739.263 |
Emerging Markets Discovery Stock Fund—I Class | 26,231,163.440 |
Emerging Markets Discovery Stock Fund—Z Class | 306,068,092.321 |
Emerging Markets Local Currency Bond Fund |
|
Emerging Markets Local Currency Bond Fund—Advisor Class |
|
Emerging Markets Local Currency Bond Fund—I Class |
|
Emerging Markets Local Currency Bond Fund—Z Class | 51,664,276.725 |
Emerging Markets Local Multi-Sector Account Portfolio |
|
Emerging Markets Stock |
|
PAGE 58
Fund |
|
Emerging Markets Stock Fund—I Class |
|
Emerging Markets |
|
|
|
|
|
Equity Income ETF |
|
Equity Income Fund | 259,123,825.331 |
Equity Income Fund—Advisor Class |
|
Equity Income Fund—I Class |
|
Equity Income Fund—R Class |
|
39
Fund | Outstanding Shares |
Equity Income Fund—Z Class | 31,386,796.587 |
Equity Income Portfolio |
|
Equity Income Portfolio—II |
|
Equity Index 500 Fund |
|
Equity Index 500 Fund—I Class |
|
Equity Index 500 Fund—Z Class | 113,085,256.804 |
Equity Index 500 Portfolio |
|
European Stock Fund |
|
European Stock Fund—I Class |
|
European Stock Fund—Z Class | 10,220,546.725 |
Extended Equity Market Index Fund |
|
Financial Services Fund |
|
Financial Services Fund—I Class |
|
Floating Rate ETF |
|
Floating Rate Fund | 167,482,333.529 |
Floating Rate Fund—Advisor Class |
|
Floating Rate Fund—I Class |
|
Floating Rate Fund—Z Class | 166,294,535.974 |
Floating Rate Multi-Sector Account Portfolio |
|
Georgia Tax-Free Bond Fund |
|
Georgia Tax-Free Bond Fund—I Class |
|
Global Allocation Fund |
|
Global Allocation Fund—Advisor Class |
|
Global Allocation Fund—I Class |
|
Global Consumer Fund |
|
Global Growth Stock Fund |
|
Global Growth Stock Fund—Advisor Class |
|
Global Growth Stock Fund—I Class |
|
Global High Income Bond Fund |
|
Global High Income Bond Fund—Advisor Class |
|
Global High Income Bond Fund—I Class |
|
Global Impact Equity Fund | 1,314,398.910 |
Global Impact Equity Fund—I Class | 769,936.998 |
Global Industrials Fund |
|
Global Industrials Fund—I Class |
|
Global Multi-Sector Bond Fund |
|
Global Multi-Sector Bond Fund—Advisor Class |
|
Global Multi-Sector Bond Fund—I Class |
|
Global Real Estate Fund |
|
Global Real Estate Fund—Advisor Class |
|
Global Real Estate Fund—I Class |
|
Global Stock Fund |
|
Global Stock Fund—Advisor Class |
|
Global Stock Fund—I Class |
|
Global Technology Fund |
|
Global Technology Fund—I Class |
|
Global Value Equity Fund | 6,031,990.850 |
Global Value Equity Fund—I Class | 1,386,751.381 |
GNMA Fund |
|
GNMA Fund—I Class |
|
GNMA Fund—Z Class | 65,466,661.170 |
Government Money Fund |
|
Government Money Fund—I Class |
|
|
|
|
|
|
|
PAGE 5940
Fund | Outstanding Shares |
Government Reserve Fund | 14,498,236,201.720 |
Growth |
|
Growth Stock ETF |
|
Growth Stock Fund | 166,979,514.011 |
Growth Stock Fund—Advisor Class |
|
Growth Stock Fund—I Class |
|
Growth Stock Fund—R Class |
|
Growth Stock Fund—Z Class | 270,574,330.014 |
Health Sciences Fund |
|
Health Sciences Fund—I Class |
|
Health Sciences Portfolio |
|
Health Sciences Portfolio—II |
|
High Yield Fund |
|
High Yield Fund—Advisor Class |
|
High Yield Fund—I Class |
|
High Yield Fund—Z Class | 567,816,339.291 |
High Yield Multi-Sector Account Portfolio |
|
|
|
|
|
|
|
|
|
|
|
|
|
Institutional Emerging Markets Bond Fund |
|
Institutional Emerging Markets Equity Fund |
|
Institutional Floating Rate Fund |
|
Institutional Floating Rate Fund—F Class |
|
Institutional |
|
|
|
|
|
|
|
|
|
Institutional High Yield Fund |
|
Institutional High Yield Fund—Z Class | -- |
Institutional International |
|
|
|
|
|
|
|
Institutional Large-Cap Core Growth Fund |
|
|
|
|
|
Institutional Long Duration Credit Fund |
|
Institutional Mid-Cap Equity Growth Fund |
|
Institutional Small-Cap Stock Fund |
|
|
|
Integrated Global Equity Fund—Advisor Class | 25,000.000 |
Integrated Global Equity Fund—I Class | 933,499.128 |
Integrated U.S. Large-Cap Value Equity Fund | 1,269,963.203 |
Integrated U.S. Large-Cap Value Equity Fund—Advisor Class | 17,483.728 |
Integrated U.S. Large-Cap Value Equity Fund—I Class | 799,256.750 |
Integrated U.S. Small-Cap Growth Equity Fund | 97,659,826.027 |
Integrated U.S. Small-Cap Growth Equity Fund—Advisor Class | 502,175.952 |
Integrated U.S. Small-Cap Growth Equity Fund—I Class | 94,011,082.895 |
Integrated U.S. Small-Mid Cap Core Equity Fund | 7,347,608.469 |
Integrated U.S. Small-Mid Cap Core Equity Fund—Advisor Class | 24,243.556 |
Integrated U.S. Small-Mid Cap Core Equity Fund—I Class | 10,699,867.867 |
Intermediate Tax-Free High Yield Fund |
|
Intermediate Tax-Free High Yield Fund—Advisor Class |
|
Intermediate Tax-Free High Yield Fund—I Class |
|
International Bond Fund |
|
International Bond Fund—Advisor Class |
|
International Bond Fund—I Class |
|
International Bond |
|
International Bond Fund (USD Hedged) | 9,826,667.574 |
International Bond Fund (USD Hedged)—Advisor Class |
|
41
Fund | Outstanding Shares |
International Bond Fund (USD Hedged)—I Class |
|
International |
|
International | 6,546,775.432 |
International Disciplined Equity Fund—Advisor Class |
|
International |
|
International Discovery Fund |
|
International Discovery Fund—I Class |
|
PAGE 60
|
|
International Equity ETF | -- |
International Equity Index Fund |
|
International Equity Index Fund—Z Class | 4,763,499.337 |
International Stock Fund |
|
International Stock Fund—Advisor Class |
|
International Stock Fund—I Class |
|
International Stock Fund—R Class |
|
International Stock Fund—Z Class | 498,270,398.092 |
International Stock Portfolio |
|
International Value Equity Fund |
|
International Value Equity Fund—Advisor Class |
|
International Value Equity Fund—I Class |
|
International Value Equity Fund—R Class |
|
International Value Equity Fund—Z Class | 616,027,386.498 |
Investment-Grade Corporate Multi-Sector Account Portfolio |
|
Japan Fund |
|
Japan Fund—I Class |
|
Japan Fund—Z Class | 6,597,694.522 |
Large-Cap Growth Fund | 4,832,580.783 |
Large-Cap Growth Fund—I Class | 298,699,522.984 |
Large-Cap Value Fund | 4,525,874.965 |
Large-Cap Value Fund—I Class | 144,226,580.047 |
Latin America Fund |
|
Latin America Fund—I Class |
|
Latin America Fund—Z Class | 843,772.028 |
Limited Duration Inflation Focused Bond Fund |
|
Limited Duration Inflation Focused Bond Fund—I Class |
|
Limited Duration Inflation Focused Bond Fund—Z Class | 1,297,218,518.772 |
Limited-Term Bond Portfolio |
|
Limited-Term Bond Portfolio—II |
|
Maryland Short-Term Tax-Free Bond Fund |
|
Maryland Short-Term Tax-Free Bond Fund—I Class |
|
Maryland Tax-Free Bond Fund |
|
Maryland Tax-Free Bond Fund—I Class |
|
Maryland Tax-Free Money Fund |
|
Maryland Tax-Free Money Fund—I Class |
|
Mid-Cap Growth Fund |
|
Mid-Cap Growth Fund—Advisor Class |
|
Mid-Cap Growth Fund—I Class |
|
Mid-Cap Growth Fund—R Class |
|
Mid-Cap Growth Fund—Z Class | 50,427,476.184 |
Mid-Cap Growth Portfolio |
|
Mid-Cap Growth Portfolio—II |
|
Mid-Cap Index Fund |
|
Mid-Cap Index Fund—I Class |
|
42
Fund | Outstanding Shares |
Mid-Cap Index Fund—Z Class | 1,166,107.529 |
Mid-Cap Value Fund |
|
Mid-Cap Value Fund—Advisor Class |
|
Mid-Cap Value Fund—I Class |
|
Mid-Cap Value Fund—R Class |
|
Mid-Cap Value Fund—Z Class | 149,506,368.997 |
Moderate Allocation Portfolio | 8,931,373.834 |
Mortgage-Backed Securities Multi-Sector Account Portfolio |
|
|
|
|
|
|
|
|
|
New Asia Fund |
|
New Asia Fund—I Class |
|
New Asia Fund—Z Class | 11,060,510.632 |
New Era Fund |
|
New Era Fund—I Class |
|
New Horizons Fund |
|
New Horizons Fund—I Class |
|
New Horizons Fund—Z Class | 40,791,698.018 |
New Income Fund |
|
New Income Fund—Advisor Class |
|
New Income Fund—I Class |
|
New Income Fund—R Class |
|
New Income Fund—Z Class | 1,485,224,356.263 |
New Jersey Tax-Free Bond Fund |
|
New Jersey Tax-Free Bond Fund—I Class |
|
PAGE 61
|
|
New York Tax-Free Bond Fund |
|
New York Tax-Free Bond Fund—I Class |
|
|
|
|
|
Overseas Stock Fund |
|
Overseas Stock Fund—Advisor Class |
|
Overseas Stock Fund—I Class |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
QM U.S. |
|
QM U.S. |
|
QM U.S. |
|
QM U.S. |
|
|
|
|
|
|
|
|
|
|
|
Real Assets Fund |
|
Real Assets Fund—I Class |
|
Real Assets Fund—Z Class | 422,070,624.337 |
Real Estate Fund |
|
Real Estate Fund—Advisor Class |
|
Real Estate Fund—I Class |
|
Retirement 2005 Fund |
|
Retirement 2005 Fund—Advisor Class |
|
Retirement 2005 Fund—R Class |
|
Retirement 2010 Fund |
|
Retirement 2010 Fund—Advisor Class |
|
Retirement 2010 Fund—R Class |
|
Retirement 2015 Fund |
|
Retirement 2015 Fund—Advisor Class |
|
Retirement 2015 Fund—R Class |
|
Retirement 2020 Fund |
|
Retirement 2020 Fund—Advisor Class |
|
43
Fund | Outstanding Shares |
Retirement 2020 Fund—R Class |
|
Retirement 2025 Fund |
|
Retirement 2025 Fund—Advisor Class |
|
Retirement 2025 Fund—R Class |
|
Retirement 2030 Fund |
|
Retirement 2030 Fund—Advisor Class |
|
Retirement 2030 Fund—R Class |
|
Retirement 2035 Fund |
|
Retirement 2035 Fund—Advisor Class |
|
Retirement 2035 Fund—R Class |
|
Retirement 2040 Fund |
|
Retirement 2040 Fund—Advisor Class |
|
PAGE 62
|
|
Retirement 2040 Fund—R Class |
|
Retirement 2045 Fund |
|
Retirement 2045 Fund—Advisor Class |
|
Retirement 2045 Fund—R Class |
|
Retirement 2050 Fund |
|
Retirement 2050 Fund—Advisor Class |
|
Retirement 2050 Fund—R Class |
|
Retirement 2055 Fund |
|
Retirement 2055 Fund—Advisor Class |
|
Retirement 2055 Fund—R Class |
|
Retirement 2060 Fund |
|
Retirement 2060 Fund—Advisor Class |
|
Retirement 2060 Fund—R Class |
|
Retirement 2065 Fund | 12,435,047.665 |
Retirement 2065 Fund—Advisor Class | 665,809.713 |
Retirement 2065 Fund—R Class | 400,411.149 |
Retirement Balanced Fund |
|
Retirement Balanced Fund—Advisor Class |
|
Retirement Balanced Fund—R Class |
|
Retirement Blend 2005 Fund | 205,668.560 |
Retirement Blend 2005 Fund—I Class | 729,635.642 |
Retirement Blend 2010 Fund | 373,095.599 |
Retirement Blend 2010 Fund—I Class | 358,434.445 |
Retirement Blend 2015 Fund | 675,402.639 |
Retirement Blend 2015 Fund—I Class | 1,289,685.022 |
Retirement Blend 2020 Fund | 2,645,363.033 |
Retirement Blend 2020 Fund—I Class | 4,536,850.497 |
Retirement Blend 2025 Fund | 5,007,086.612 |
Retirement Blend 2025 Fund—I Class | 5,578,998.509 |
Retirement Blend 2030 Fund | 4,791,589.198 |
Retirement Blend 2030 Fund—I Class | 5,760,326.974 |
Retirement Blend 2035 Fund | 4,880,247.980 |
Retirement Blend 2035 Fund—I Class | 5,734,215.533 |
Retirement Blend 2040 Fund | 4,955,678.413 |
Retirement Blend 2040 Fund—I Class | 4,454,451.979 |
Retirement Blend 2045 Fund | 3,589,464.233 |
Retirement Blend 2045 Fund—I Class | 3,620,599.416 |
Retirement Blend 2050 Fund | 2,580,719.577 |
Retirement Blend 2050 Fund—I Class | 3,398,895.070 |
Retirement Blend 2055 Fund | 1,381,824.444 |
Retirement Blend 2055 Fund—I Class | 1,627,848.803 |
44
Fund | Outstanding Shares |
Retirement Blend 2060 Fund | 557,359.552 |
Retirement Blend 2060 Fund—I Class | 921,442.023 |
Retirement Blend 2065 Fund | 275,056.614 |
Retirement Blend 2065 Fund—I Class | 624,378.033 |
Retirement I 2005 Fund—I Class |
|
Retirement I 2010 Fund—I Class |
|
Retirement I 2015 Fund—I Class |
|
Retirement I 2020 Fund—I Class |
|
Retirement I 2025 Fund—I Class |
|
Retirement I 2030 Fund—I Class |
|
Retirement I 2035 Fund—I Class |
|
Retirement I 2040 Fund—I Class |
|
Retirement I 2045 Fund—I Class |
|
Retirement I 2050 Fund—I Class |
|
Retirement I 2055 Fund—I Class |
|
Retirement I 2060 Fund—I Class |
|
Retirement I 2065 Fund—I Class | 17,132,499.881 |
Retirement Balanced I Fund—I Class |
|
Retirement Income 2020 Fund |
|
Science & Technology Fund |
|
Science & Technology Fund—Advisor Class |
|
Science & Technology Fund—I Class |
|
Short Duration Income Fund | 3,152,192.212 |
Short Duration Income Fund—I Class | 1,866,369.564 |
Short-Term Fund | -- |
Short-Term Bond Fund |
|
Short-Term Bond Fund—Advisor Class |
|
Short-Term Bond Fund—I Class |
|
Short-Term Bond Fund—Z Class |
|
Short-Term Government Fund |
|
Small-Cap Index Fund |
|
Small-Cap Index Fund—I Class |
|
Small-Cap Index Fund—Z Class | 1,327,372.572 |
Small-Cap Stock Fund |
|
Small-Cap Stock Fund—Advisor Class |
|
Small-Cap Stock Fund—I Class |
|
Small-Cap Stock Fund—Z Class | 57,894,074.914 |
Small-Cap Value Fund |
|
Small-Cap Value Fund—Advisor Class |
|
Small-Cap Value Fund—I Class |
|
Small-Cap Value Fund—Z Class | 56,856,800.727 |
Small-Mid Cap ETF | -- |
Spectrum |
|
Spectrum Conservative Allocation Fund—I Class | 55,426,180.297 |
Spectrum Diversified Equity Fund | 89,805,328.129 |
Spectrum Diversified Equity Fund—I Class | 76,285,037.767 |
Spectrum Income Fund |
|
Spectrum Income Fund—I Class | 360,338,381.422 |
Spectrum International Equity Fund |
|
Spectrum International Equity Fund—I Class | 63,917,240.219 |
Spectrum Moderate Allocation Fund | 51,044,066.591 |
Spectrum Moderate Allocation Fund—I Class | 46,224,247.254 |
Spectrum Moderate Growth Allocation Fund | 41,183,438.910 |
45
Fund | Outstanding Shares |
Spectrum Moderate Growth Allocation Fund—I Class | 49,969,891.557 |
Summit Municipal Income Fund |
|
Summit Municipal Income Fund—Advisor Class |
|
Summit Municipal Income Fund—I Class | 114,948,246.330 |
Summit Municipal Intermediate Fund |
|
Summit Municipal Intermediate Fund—Advisor Class |
|
Summit Municipal |
|
PAGE 63
|
|
Target 2005 Fund |
|
Target 2005 Fund—Advisor Class |
|
Target 2005 Fund—I Class |
|
Target 2010 Fund |
|
Target 2010 Fund—Advisor Class |
|
Target 2010 Fund—I Class |
|
Target 2015 Fund |
|
Target 2015 Fund—Advisor Class |
|
Target 2015 Fund—I Class |
|
Target 2020 Fund |
|
Target 2020 Fund—Advisor Class |
|
Target 2020 Fund—I Class |
|
Target 2025 Fund |
|
Target 2025 Fund—Advisor Class |
|
Target 2025 Fund—I Class |
|
Target 2030 Fund |
|
Target 2030 Fund—Advisor Class |
|
Target 2030 Fund—I Class |
|
Target 2035 Fund |
|
Target 2035 Fund—Advisor Class |
|
Target 2035 Fund—I Class |
|
Target 2040 Fund |
|
Target 2040 Fund—Advisor Class |
|
Target 2040 Fund—I Class |
|
Target 2045 Fund |
|
Target 2045 Fund—Advisor Class |
|
Target 2045 Fund—I Class |
|
Target 2050 Fund |
|
Target 2050 Fund—Advisor Class |
|
Target 2050 Fund—I Class |
|
Target 2055 Fund |
|
Target 2055 Fund—Advisor Class |
|
Target 2055 Fund—I Class |
|
Target 2060 Fund |
|
Target 2060 Fund—Advisor Class |
|
Target 2060 Fund—I Class |
|
Target 2065 Fund | 443,376.768 |
Target 2065 Fund—Advisor Class | 11,803.895 |
Target 2065 Fund—I Class | 887,388.325 |
Tax-Efficient Equity Fund |
|
Tax-Efficient Equity Fund—I Class |
|
Tax-Exempt Money Fund |
|
Tax-Exempt Money Fund—I Class |
|
Tax-Free High Yield Fund |
|
Tax-Free High Yield Fund—Advisor Class |
|
Tax-Free High Yield Fund—I Class |
|
46
Fund | Outstanding Shares |
Tax-Free Income Fund |
|
Tax-Free Income Fund—Advisor Class |
|
Tax-Free Income Fund—I Class |
|
Tax-Free Short-Intermediate Fund |
|
Tax-Free Short-Intermediate Fund—Advisor Class |
|
Tax-Free Short-Intermediate Fund—I Class |
|
Total Equity Market Index Fund |
|
Total Return ETF |
|
Total Return Fund | 10,158,746.156 |
Total Return Fund—Advisor Class |
|
Total Return Fund—I Class |
|
Transition Fund | 212,275.512 |
Treasury Reserve |
|
PAGE 64
Fund |
|
U.S. |
|
U.S. Equity Research Fund | 82,243,097.075 |
U.S. Equity Research Fund—Advisor Class | 981,848.262 |
U.S. Equity Research Fund—I Class | 105,337,568.715 |
U.S. Equity Research Fund—R Class | 2,234,740.687 |
U.S. Equity Research Fund—Z Class | 109,710,487.598 |
U.S. High Yield ETF |
|
U.S. High Yield Fund | 27,170,028.724 |
U.S. High Yield Fund—Advisor Class |
|
U.S. High Yield Fund—I Class |
|
U.S. Large-Cap Core Fund |
|
U.S. Large-Cap Core Fund—Advisor Class |
|
U.S. Large-Cap Core Fund—I Class |
|
U.S. |
|
U.S. Limited Duration TIPS Index Fund | 1,703,626.627 |
U.S. Limited Duration TIPS Index Fund—I Class | 160,269,383.965 |
U.S. Limited Duration TIPS Index Fund—Z Class | 2,179,858.287 |
U.S. Treasury Intermediate |
|
U.S. Treasury |
|
U.S. Treasury Intermediate Index Fund—Z Class | 91,375.825 |
U.S. Treasury Long-Term Index Fund | 27,002,867.750 |
U.S. Treasury Long-Term Index Fund—I Class |
|
U.S. Treasury Long-Term Index Fund—Z Class | 491,847,139.904 |
U.S. Treasury Money Fund |
|
U.S. Treasury Money Fund—I Class |
|
U.S. Treasury Money Fund—Z Class | 4,719,972,723.100 |
Ultra Short-Term Bond ETF |
|
Ultra Short-Term Bond Fund | 314,003,447.463 |
Ultra Short-Term Bond Fund—I Class |
|
Ultra Short-Term Bond Fund—Z Class | 19,607.843 |
Value ETF |
|
Value Fund | 91,338,964.594 |
Value Fund—Advisor Class |
|
Value Fund—I Class |
|
Value Fund—Z Class | 504,154,958.959 |
Virginia Tax-Free Bond Fund |
|
Virginia Tax-Free Bond Fund—I Class |
|
*On February 28, 2018, the Fund's name was the Media & Telecommunications Fund.47
Who are the principal holders of the Funds’ shares?
The following table, entitled “Principal Holders of Fund Shares,” provides the shareholders of record that owned more than 5% of the indicated Funds and/or classes, as of February 28, 2018.March 31, 2023.
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
AFRICA & MIDDLE EAST | NATIONAL FINANCIAL SERVICES JERSEY CITY NJ 07310-2010 | 2,750,567 | 18.42 |
| SPECTRUM INTERNATIONAL FUND | 811,200 | 5.43 |
| T ROWE PRICE ASSOCIATES BALTIMORE MD 21202-1009 |
| |
AFRICA & MIDDLE EAST FUND— | TRUSTEES OF T ROWE PRICE | 750,256 | 93.02(a) |
I CLASS | U.S. RETIREMENT PROGRAM BALTIMORE MD 21289-0001 |
| |
ASIA OPPORTUNITIES | NATIONAL FINANCIAL SERVICES | 1,244,145 | 15.32 |
ASIA OPPORTUNITIES FUND— | NATIONAL FINANCIAL SERVICES | 12,717 | 28.98(b) |
ADVISOR CLASS | PERSHING LLC JERSEY CITY NJ 07399-0002 | 3,623 | 8.25 |
| T ROWE PRICE ASSOCIATES | 25,000 | 56.97(c) |
ASIA OPPORTUNITIES FUND—I CLASS | CHARLES SCHWAB & CO INC SAN FRANCISCO CA 94105-1905 | 115,036 | 18.89 |
| ERIC C MOFFETT | 135,087 | 22.18 |
| PERSHING LLC | 58,728 | 9.64 |
| ROBERT S KAPLAN | 38,243 | 6.28 |
| JAMIE SCHUVAL JT TEN |
| |
| TRUSTEES OF T ROWE PRICE | 126,362 | 20.75 |
| U.S. RETIREMENT PROGRAM |
| |
| WELLS FARGO CLEARING SERVICES LLC SAINT LOUIS MO 63103-2523 | 113,416 | 18.62 |
PAGE Principal Holders of Fund Shares
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
AFRICA & MIDDLE EAST | CHARLES SCHWAB & CO INC | 378,511.07 | 5.63 | |
FUND | REINVEST ACCOUNT | |||
ATTN MUTUAL FUND DEPT | ||||
| SAN FRANCISCO CA 94105-1905 | |||
| NATIONAL FINANCIAL SERVICES | 463,313.51 | 6.89 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| JERSEY CITY NJ 07310-2010 | |||
AFRICA & MIDDLE EAST | T ROWE PRICE RPS INC | 571,250.07 | 19.42 | |
FUND—I CLASS | FBO TRP PLAN | |||
| TRP AFRICA & MIDDLE EAST I | |||
| BALTIMORE MD 21297-1215 | |||
| TD AMERITRADE INC FBO | 171,598.11 | 5.83 | |
| OUR CUSTOMERS | |||
| OMAHA NE 68103-2226 | |||
AFRICA & MIDDLE EAST | SPECTRUM INTERNATIONAL EQUITY | 793,236.24 | 100.00(a) | |
FUND—Z CLASS | FUND | |||
ATTN FUND ACCOUNTING DEPT | ||||
T ROWE PRICE ASSOCIATES |
| |||
| BALTIMORE MD 21202-1009 |
| ||
ALL-CAP OPPORTUNITIES | CHARLES SCHWAB & CO INC | 11,195,275.46 | 12.64 | |
FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 17,368,098.91 | 19.60 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
ALL-CAP OPPORTUNITIES | CHARLES SCHWAB & CO INC | 384,139.10 | 13.82 | |
FUND—ADVISOR CLASS | REINVEST ACCOUNT |
| ||
| EMPOWER TRUST COMPANY LLC | 145,306.02 | 5.23 | |
| VARIOUS FASCORE LLC RECORDKEPT |
| ||
| C/O FASCORE LLC |
| ||
| GREENWOOD VLG CO 80111-5002 |
| ||
| EMPOWER TRUST FBO | 615,252.54 | 22.14 | |
| FBO: SANTA BARBARA COUNTY DCP |
| ||
| GREENWOOD VLG CO 80111-5002 |
| ||
| NATIONAL FINANCIAL SERVICES | 237,308.55 | 8.54 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
ALL-CAP OPPORTUNITIES | CHARLES SCHWAB & CO INC | 8,047,359.38 | 13.01 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 11,789,817.69 | 19.06 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
48
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
ALL-CAP OPPORTUNITIES | MODERN WOODMEN OF AMERICA | 1,882,705.49 | 15.39 | |
PORTFOLIO | TOPEKA KS 66636-0001 |
| ||
| NATIONWIDE INSURANCE COMPANY | 1,855,482.40 | 15.16 | |
| C/O IPO PORTFOLIO ACCOUNTING |
| ||
COLUMBUS OH 43218-2029 | ||||
| NATIONWIDE LIFE INSURANCE COMPANY | 3,114,441.34 | 25.45(d) | |
COLUMBUS OH 43218-2029 | ||||
| PARAGON LIFE INSURANCE CO | 732,972.25 | 5.99 | |
SAINT LOUIS MO 63128-3499 | ||||
| SECURITY BENEFIT LIFE INS CO | 1,676,147.52 | 13.70 | |
FBO T ROWE PRICE NO LOAD V A | ||||
| ATTN MARK YOUNG |
| ||
| TOPEKA KS 66636-0001 |
| ||
ASIA OPPORTUNITIES | CHARLES SCHWAB & CO INC | 307,399.54 | 7.38 | |
FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 615,885.79 | 14.79 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 248,063.50 | 5.96 | |
| JERSEY CITY NJ 07399-0002 |
| ||
ASIA OPPORTUNITIES | NATIONAL FINANCIAL SERVICES | 2,342.06 | 49.95(b) | |
FUND—ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 857.134 | 18.28 | |
| VANTAGEPOINT ROTH IRA | 237.496 | 5.06 | |
| C/O MISSIONSQUARE RETIREMENT |
| ||
| WASHINGTON DC 20002-4239 |
| ||
| WELLS FARGO CLEARING SERVICES LLC | 908.065 | 19.37 | |
| SPECIAL CUSTODY ACCT FOR THE |
| ||
| EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
| SAINT LOUIS MO 63103-2523 |
| ||
ASIA OPPORTUNITIES | CHARLES SCHWAB & CO INC | 906,469.77 | 25.23(b) | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 321,381.36 | 8.94 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE ASSOCIATES | 477,067.73 | 13.28 | |
| ATTN FINANCIAL REPORTING DEPT |
| ||
| BALTIMORE MD 21202-1009 |
| ||
BALANCED FUND | NATIONAL FINANCIAL SERVICES | 8,362,455.32 | 8.19 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE TRUST CO INC | 19,973,899.01 | 19.56 | |
| ATTN TRPS INST CONTROL DEPT |
| ||
| BALTIMORE MD 21297-1215 |
| ||
BALANCED FUND—I CLASS | CHARLES SCHWAB & CO INC | 7,906,231.76 | 10.62 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 3,945,849.98 | 5.30 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
49
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
BLUE CHIP GROWTH ETF | CHARLES SCHWAB & CO INC | 2,605,399 | 18.91 | |
| NATIONAL FINANCIAL SERVICES LLC | 1,742,470 | 12.65 | |
| PERSHING LLC | 2,409,154 | 17.49 | |
| RELIANCE TRUST COMPANY | 934,003 | 6.78 | |
ATLANTA, GA 30328 | ||||
| TD AMERITRADE CLEARING, INC. | 2,808,577 | 20.39 | |
OMAHA, NE 68154-2631 | ||||
BLUE CHIP GROWTH FUND | CHARLES SCHWAB & CO INC | 16,103,285.73 | 7.39 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 33,043,695.41 | 15.17 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 11,666,660.87 | 5.35 | |
| WELLS FARGO CLEARING SERVICES LLC | 31,881,816.10 | 14.63 | |
| SPECIAL CUSTODY ACCT FOR THE |
| ||
| EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
BLUE CHIP GROWTH | EMPOWER TRUST FBO | 655,482.33 | 5.55 | |
FUND—ADVISOR CLASS | GREAT WEST IRA ADVANTAGE |
| ||
| EMPOWER TRUST FBO | 758,637.19 | 6.42 | |
| EMPLOYEE BENEFITS CLIENTS 401K |
| ||
| NATIONAL FINANCIAL SERVICES | 2,554,759.12 | 21.63 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
BLUE CHIP GROWTH | CHARLES SCHWAB & CO INC | 15,057,992.80 | 7.53 | |
FUND—I CLASS | EDWARD D JONES & CO | 21,778,011.51 | 10.89 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| SAINT LOUIS MO 63131-3729 |
| ||
| NATIONAL FINANCIAL SERVICES | 29,828,220.10 | 14.92 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
BLUE CHIP GROWTH | DCGT AS TTEE AND/OR CUST | 381,363.94 | 6.13 | |
FUND—R CLASS | ATTN NPIO TRADE DESK |
| ||
| FBO PLIC VARIOUS RETIREMENT PLANS |
| ||
| DES MOINES IA 50392-0001 |
| ||
| NATIONWIDE LIFE INSURANCE COMPANY | 372,256.08 | 5.98 | |
| NATIONWIDE LIFE INSURANCE COMPANY | 557,401.02 | 8.96 | |
| SAMMONS FINANCIAL NETWORK LLC | 1,558,298.45 | 25.05(b) | |
| WEST DES MOINES IA 50266-5911 |
| ||
| STATE STREET BANK AND TRUST AS | 896,381.43 | 14.41 | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
| BOSTON MA 02111-2901 |
| ||
BLUE CHIP GROWTH | SPECTRUM DIVERSIFIED EQUITY | 3,044,533.34 | 100.00(a) | |
FUND—Z CLASS | T. ROWE PRICE ASSOCIATES |
|
50
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
BLUE CHIP GROWTH | EMPOWER ANNUITY INSURANCE | 2,762,898.14 | 8.61 | |
PORTFOLIO | COMPANY OF AMERICA |
| ||
CLIENT PLANS | ||||
GREAT-WEST LIFE & ANNUITY INS CO | ||||
ENGLEWOOD CO 80111-5002 | ||||
| MID ATLANTIC TRUST COMPANY FBO | 3,778,292.76 | 11.77 | |
MUTUAL OF AMERICA SEPARATE |
| |||
ACCT#1 | ||||
PITTSBURGH PA 15222-4228 | ||||
| MID ATLANTIC TRUST COMPANY FBO | 8,083,296.76 | 25.18(d) | |
| MUTUAL OF AMERICA SEPARATE |
| ||
ACCT#2 | ||||
| NATIONWIDE INSURANCE COMPANY | 2,769,190.56 | 8.63 | |
| NATIONWIDE LIFE INSURANCE COMPANY | 3,794,908.07 | 11.82 | |
| NYLIAC | 3,056,822.89 | 9.52 | |
ATTN ASHESH UPADHYAY |
| |||
NYLIM CENTER | ||||
| JERSEY CITY NJ 07302-4600 |
| ||
BLUE CHIP GROWTH | AMERITAS LIFE INSURANCE CORP | 1,361,377.37 | 9.14 | |
PORTFOLIO—II | AMERITAS VARIABLE SEP ACCT VA |
| ||
| ATTN VARIABLE TRADES |
| ||
LINCOLN NE 68510-2234 | ||||
| JEFFERSON NATIONAL LIFE INS CO | 1,989,868.16 | 13.35 | |
LOUISVILLE KY 40223-6178 |
| |||
| MIDLAND NATIONAL LIFE INSURANCE CO | 1,603,596.09 | 10.76 | |
| WEST DES MOINES IA 50266-1036 |
| ||
| NATIONWIDE LIFE INSURANCE COMPANY | 1,483,094.62 | 9.95 | |
| PACIFIC SELECT EXEC | 3,996,414.03 | 26.82(d) | |
SEPARATE ACCOUNT OF PACIFIC LIFE |
| |||
ATTN VARIABLE PRODUCTS ACCOUNTING | ||||
| NEWPORT BEACH CA 92660-6307 |
| ||
CALIFORNIA TAX-FREE | CHARLES SCHWAB & CO INC | 3,580,057.34 | 10.71 | |
BOND FUND | REINVEST ACCOUNT |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 1,806,743.51 | 5.40 | |
| ITS CUSTOMERS |
| ||
| JACKSONVILLE FL 32246-6484 |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 2,269,304.62 | 6.79 | |
| FOR THE EXCLSIVE BENE OF ITS CUST |
| ||
| NEW YORK NY 10004-1932 |
| ||
| NATIONAL FINANCIAL SERVICES | 12,323,398.65 | 36.86(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
CALIFORNIA TAX-FREE | CHARLES SCHWAB & CO INC | 3,348,130.25 | 11.27 | |
BOND FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
CAPITAL APPRECIATION | CHARLES SCHWAB & CO INC | 61,771,470.84 | 7.07 | |
FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 156,149,577.20 | 17.87 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| ATTN MUTUAL FUND TRADING |
| ||
| SAN DIEGO CA 92121-3091 |
| ||
| NATIONAL FINANCIAL SERVICES | 137,231,057.44 | 15.71 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 59,387,743.35 | 6.80 | |
| TD AMERITRADE INC FBO | 53,900,199.02 | 6.17 | |
| OUR CUSTOMERS |
|
51
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
CAPITAL APPRECIATION | CHARLES SCHWAB & CO INC | 2,732,347.98 | 12.38 | |
FUND—ADVISOR CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 2,044,397.35 | 9.26 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| UMB BANK N/A | 7,058,782.26 | 31.97(b) | |
| FBO FIDUCIARY FOR TAX DEFERRED |
| ||
| ACCOUNTS |
| ||
| TOPEKA KS 66636-0001 |
| ||
CAPITAL APPRECIATION | CHARLES SCHWAB & CO INC | 108,483,246.06 | 17.04 | |
FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 97,236,205.51 | 15.27 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 44,349,194.76 | 6.97 | |
| OUR CUSTOMERS |
| ||
CHINA EVOLUTION EQUITY | CHARLES SCHWAB & CO INC | 155,662.36 | 7.25 | |
FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 117,570.35 | 5.47 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| WENLI ZHENG | 142,279.47 | 6.62 | |
CHINA EVOLUTION EQUITY | CHARLES SCHWAB & CO INC | 548,176.18 | 17.15 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| T ROWE PRICE ASSOCIATES | 597,924.27 | 18.70 | |
| T ROWE PRICE RPS INC | 428,596.46 | 13.41 | |
| FBO TRP PLAN |
| ||
| TRP CHINA EVOLUTION EQUITY I |
| ||
| WENLI ZHENG | 263,051.35 | 8.23 | |
COMMUNICATIONS & | CHARLES SCHWAB & CO INC | 2,242,836.17 | 5.83 | |
TECHNOLOGY FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 2,329,389.84 | 6.06 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 5,174,167.25 | 13.46 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE TRUST CO INC | 2,189,303.11 | 5.69 | |
| MEDIA & TELECOMMUNICATION FUND |
| ||
CORPORATE INCOME | T ROWE PRICE RPS INC | 1,108,372.28 | 5.96 | |
FUND—I CLASS | FBO TRP PLAN |
| ||
| T ROWE PRICE CORP INCOME I |
| ||
CORPORATE INCOME | SPECTRUM INCOME FUND | 32,829,052.95 | 100.00(a) | |
FUND—Z CLASS | T. ROWE PRICE ASSOCIATES |
| ||
CREDIT OPPORTUNITIES | CHARLES SCHWAB & CO INC | 1,440,200.47 | 25.25(b) | |
FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 528,256.35 | 9.26 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 473,098.16 | 8.29 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
CREDIT OPPORTUNITIES | CHARLES SCHWAB & CO INC | 3,576.93 | 31.02(b) | |
FUND—ADVISOR CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| PERSHING LLC | 7,565.41 | 65.60(b) | |
CREDIT OPPORTUNITIES | CHARLES SCHWAB & CO INC | 1,733,766.37 | 20.65 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| T ROWE PRICE ASSOCIATES | 2,484,688.89 | 29.59(c) |
52
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
DIVERSIFIED MID-CAP | LPL FINANCIAL | 1,512,800.25 | 6.06 | |
GROWTH FUND | OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 3,490,463.68 | 13.99 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 1,408,538.96 | 5.65 | |
DIVERSIFIED MID-CAP | NATIONAL FINANCIAL SERVICES | 3,114,456.86 | 12.76 | |
GROWTH FUND—I CLASS | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PIMS/PRUDENTIAL RETIREMENT | 2,984,517.57 | 12.22 | |
| AS NOMINEE FOR THE TTEE/CUST PL |
| ||
| STATE OF CONNECTICUT DEFERRED |
| ||
| HARTFORD CT 06106-1659 |
| ||
DIVIDEND GROWTH ETF | CITIGROUP GLOBAL MARKETS INC. | 600,000 | 6.27 | |
NEW YORK, NY 10013 | ||||
| CHARLES SCHWAB & CO INC | 1,408,033 | 14.72 | |
| NATIONAL FINANCIAL SERVICES LLC | 2,200,654 | 23.01 | |
| PERSHING LLC | 1,444,611 | 15.10 | |
| TD AMERITRADE CLEARING, INC. | 2,427,226 | 25.38(f) | |
DIVIDEND GROWTH FUND | CHARLES SCHWAB & CO INC | 17,389,099.39 | 9.97 | |
| REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 21,955,087.46 | 12.59 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 12,940,646.44 | 7.42 | |
| ITS CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 35,198,856.86 | 20.19 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 10,051,502.04 | 5.76 | |
DIVIDEND GROWTH | EMPOWER TRUST FBO | 462,466.95 | 8.20 | |
FUND—ADVISOR CLASS | GREAT WEST IRA ADVANTAGE |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 289,870.11 | 5.14 | |
| ITS CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 2,552,445.28 | 45.24(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
DIVIDEND GROWTH | CHARLES SCHWAB & CO INC | 12,455,987.43 | 8.87 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| EDWARD D JONES & CO | 32,693,902.48 | 23.27 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 22,562,554.68 | 16.06 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
DIVIDEND GROWTH | SPECTRUM DIVERSIFIED EQUITY | 6,736,996.90 | 100.00(a) | |
FUND—Z CLASS | T. ROWE PRICE ASSOCIATES |
| ||
DYNAMIC CREDIT FUND | NATIONAL FINANCIAL SERVICES | 317,995.05 | 9.31 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE ASSOCIATES | 2,475,000.00 | 72.44(c) | |
DYNAMIC CREDIT | ANDREW C MC CORMICK | 61,150.65 | 10.70 | |
FUND—I CLASS | LYN R. MC CORMICK JT TEN |
| ||
| JOHN D BESSON T O D | 58,609.24 | 10.25 | |
| T ROWE PRICE RPS INC | 125,538.81 | 21.96 | |
| FBO TRP PLAN |
| ||
| TRP DYNAMIC CRED I CL |
|
53
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
DYNAMIC GLOBAL BOND | CHARLES SCHWAB & CO INC | 5,411,039.65 | 8.33 | |
FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 10,023,491.66 | 15.44 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 26,702,272.90 | 41.13(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 4,642,010.35 | 7.15 | |
| RAYMOND JAMES | 5,863,293.84 | 9.03 | |
| OMNIBUS FOR MUTUAL FUNDS |
| ||
| ATTN COURTNEY WALLER |
| ||
DYNAMIC GLOBAL BOND | CHARLES SCHWAB & CO INC | 13,927.06 | 19.95 | |
FUND—ADVISOR CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 21,067.26 | 30.17(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 16,348.14 | 23.42 | |
| T ROWE PRICE ASSOCIATES | 10,730.00 | 15.37 | |
DYNAMIC GLOBAL BOND | CHARLES SCHWAB & CO INC | 15,238,083.54 | 18.24 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| LADYBIRD & CO | 14,368,173.45 | 17.20 | |
| C/O T ROWE PRICE ASSOC |
| ||
| BALTIMORE MD 21202-1009 |
| ||
| LADYBUG & CO | 7,325,413.21 | 8.77 | |
| C/O T ROWE PRICE ASSOC |
| ||
| BALTIMORE MD 21202-1009 |
| ||
| MAC & CO | 5,699,199.39 | 6.82 | |
| ATTN MUTUAL FUND OPERATIONS |
| ||
| PITTSBURGH PA 15219-2502 |
| ||
| PERSHING LLC | 6,899,735.96 | 8.26 | |
DYNAMIC GLOBAL BOND | RETIREMENT I 2020 FUND | 21,316,264.39 | 5.71 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2025 FUND | 28,395,481.10 | 7.60 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2030 FUND | 31,175,962.15 | 8.35 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2020 | 43,559,968.44 | 11.66 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 43,663,440.92 | 11.69 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 47,643,565.49 | 12.75 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 20,751,273.30 | 5.55 | |
| T ROWE PRICE ASSOCIATES |
| ||
| SPECTRUM INCOME FUND | 29,245,242.76 | 7.83 | |
| T. ROWE PRICE ASSOCIATES |
| ||
EMERGING EUROPE FUND | NATIONAL FINANCIAL SERVICES | 683,973.33 | 6.83 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 618,246.05 | 6.17 | |
| T ROWE PRICE RPS INC | 519,726.74 | 5.19 | |
| OMNIBUS PLAN |
| ||
| NEW BUSINESS-CONV ASSTS |
|
54
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
EMERGING EUROPE | CHRISTOPHER HADDAD | 152,201.33 | 9.61 | |
FUND—I CLASS | LYNN HADDAD JT TEN |
| ||
| KATHRYN A FOLEY T O D | 105,630.12 | 6.67 | |
| KEVIN M STEPHENSON | 88,346.77 | 5.58 | |
| KAREN S STEPHENSON JT TEN |
| ||
| T ROWE PRICE RPS INC | 257,378.87 | 16.24 | |
| FBO TRP PLAN |
| ||
| TRP EMERGING EUROPE I |
| ||
| T ROWE PRICE TRUST CO | 89,494.54 | 5.65 | |
| CUST FOR THE ROLLOVER IRA OF |
| ||
| DAVY SHIAN |
| ||
EMERGING EUROPE | SPECTRUM INTERNATIONAL EQUITY | 776,838.91 | 100.00(a) | |
FUND—Z CLASS | FUND | |||
T ROWE PRICE ASSOCIATES |
| |||
EMERGING MARKETS | NATIONAL FINANCIAL SERVICES | 22,109,318.94 | 33.20(b) | |
BOND FUND | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 5,210.29 | 41.33(b) | |
BOND FUND— | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
ADVISOR CLASS | MATRIX TRUST COMPANY CUST FBO | 4,031.81 | 31.98(b) | |
| MODERN FOUNDATIONS, INC 401(K) PSP |
| ||
| DENVER CO 80202-3304 |
| ||
| MID ATLANTIC TRUST COMPANY FBO | 2,905.28 | 23.05 | |
| CFD LEASING, INC 401(K) PLAN |
| ||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 3,542,265.64 | 6.84 | |
BOND FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| CHARLES SCHWAB & CO INC | 4,309,243.62 | 8.32 | |
| REINVEST ACCOUNT |
| ||
| EDWARD D JONES & CO | 14,086,081.06 | 27.20(b) | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
EMERGING MARKETS | RETIREMENT I 2020 FUND | 21,441,018.49 | 6.23 | |
BOND FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2025 FUND | 25,598,667.34 | 7.43 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2030 FUND | 23,520,082.18 | 6.83 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2015 | 17,730,863.02 | 5.15 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2020 | 43,571,832.83 | 12.65 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 39,578,971.47 | 11.49 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 35,741,134.99 | 10.38 | |
| T ROWE PRICE ASSOCIATES |
| ||
| SPECTRUM INCOME FUND | 59,786,842.33 | 17.36 | |
| T. ROWE PRICE ASSOCIATES |
| ||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 2,746,495.79 | 25.65(b) | |
CORPORATE BOND FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 1,130,579.66 | 10.56 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 4,455,855.13 | 41.61(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
55
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 6,498.15 | 41.51(b) | |
CORPORATE BOND | REINVEST ACCOUNT |
| ||
FUND—ADVISOR CLASS | LPL FINANCIAL | 3,076.37 | 19.65 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 2,118.44 | 13.53 | |
| ITS CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 3,790.86 | 24.22 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 26,901,526.38 | 82.92(b) | |
CORPORATE BOND | REINVEST ACCOUNT |
| ||
FUND—I CLASS |
| |||
EMERGING MARKETS | BALTIMORE EQUITABLE SOCIETY | 63,971.94 | 13.59 | |
CORPORATE MULTI- | ATTN MARY HARLEE |
| ||
SECTOR ACCOUNT | BALTIMORE MD 21201-3808 |
| ||
PORTFOLIO | GENERAL DYNAMICS CORP 401K | 320,537.30 | 68.11(b) | |
| PLAN MASTER TRUST CP |
| ||
| FALLS CHURCH VA 22042-4541 |
| ||
| ILLINOIS STUDENT ASSISTANCE | 86,122.67 | 18.30 | |
| COMMISSION |
| ||
| ATTN ROGER ROJAS |
| ||
| DEERFIELD IL 60015-5209 |
| ||
EMERGING MARKETS | LPL FINANCIAL | 494,868.72 | 8.48 | |
DISCOVERY STOCK FUND | OMNIBUS CUSTOMER ACCOUNT |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 465,924.29 | 7.99 | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 607,310.67 | 10.41 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| VANGUARD BROKERAGE SERVICES | 631,378.96 | 10.83 | |
| VALLEY FORGE PA 19482-1170 |
| ||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 778.738 | 16.43 | |
DISCOVERY STOCK | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
FUND—ADVISOR CLASS | MATRIX TRUST COMPANY AS AGENT | 985.178 | 20.79 | |
| FOR ADVISOR TRUST, INC. |
| ||
| CRESTWOOD SD (PA) 403(B) |
| ||
| PERSHING LLC | 2,867.61 | 60.51(b) | |
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 1,510,346.74 | 5.76 | |
DISCOVERY STOCK | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
FUND—I CLASS | LINCOLN INVESTMENT PLANNING, LLC | 3,571,791.33 | 13.62 | |
| FBO LINCOLN CUSTOMERS |
| ||
| FORT WASHINGTON PA 19034-3275 |
| ||
| MARYLAND COLLEGE INVESTMENT | 1,313,578.55 | 5.01 | |
| PLAN PORTFOLIO 2027 |
| ||
| ATTN FUND ACCOUNTING |
| ||
| BALTIMORE MD 21202-1013 |
| ||
| MARYLAND COLLEGE INVESTMENT | 1,346,598.68 | 5.13 | |
| PLAN PORTFOLIO 2030 |
| ||
| MARYLAND COLLEGE INVESTMENT | 1,789,515.26 | 6.82 | |
| PLAN EQUITY PORTFOLIO |
| ||
| T ROWE PRICE FUND ACCOUNTING |
| ||
| NATIONAL FINANCIAL SERVICES | 1,847,414.54 | 7.04 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
56
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
EMERGING MARKETS | RETIREMENT I 2030 FUND | 19,277,260.20 | 6.30 | |
DISCOVERY STOCK | T ROWE PRICE ASSOCIATES |
| ||
FUND—Z CLASS | RETIREMENT I 2035 FUND | 16,886,604.9 | 5.52 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 20,343,384.34 | 6.65 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2045 FUND | 15,297,425.98 | 5.00 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 27,269,256.64 | 8.92 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 18,303,087.50 | 5.98 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 29,369,045.82 | 9.60 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 22,091,009.63 | 7.22 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 17,275,344.63 | 5.65 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 15,463,411.55 | 5.06 | |
| T ROWE PRICE ASSOCIATES |
| ||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 710,217.59 | 14.50 | |
LOCAL CURRENCY | REINVEST ACCOUNT |
| ||
BOND FUND | NATIONAL FINANCIAL SERVICES | 1,426,668.89 | 29.13(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
EMERGING MARKETS | NATIONAL FINANCIAL SERVICES | 559.215 | 19.31 | |
LOCAL CURRENCY BOND | FOR THE EXCLUSIVE BENEFIT |
| ||
FUND—ADVISOR CLASS | OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 1,890.33 | 65.28(b) | |
| TD AMERITRADE INC FBO | 445.099 | 15.37 | |
| OUR CUSTOMERS |
| ||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 1,367,096.38 | 7.09 | |
LOCAL CURRENCY BOND | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
FUND—I CLASS | CHARLES SCHWAB & CO INC | 5,607,130.43 | 29.09(b) | |
| REINVEST ACCOUNT |
| ||
| HORIZONDECK & CO | 5,066,077.03 | 26.28(a) | |
| C/O T ROWE PRICE ASSOC |
| ||
| ATTN GLOBAL ALLOCATION FUND |
| ||
| BALTIMORE MD 21202-1009 |
| ||
| PERSHING LLC | 4,295,611.44 | 22.28 | |
EMERGING MARKETS | SPECTRUM INCOME FUND | 51,344,674.53 | 100.00(a) | |
LOCAL CURRENCY | T. ROWE PRICE ASSOCIATES |
| ||
BOND FUND—Z CLASS |
| |||
EMERGING MARKETS | T ROWE PRICE ASSOCIATES | 28,074.30 | 100.00(c) | |
LOCAL MULTI-SECTOR | ||||
ACCOUNT PORTFOLIO |
| |||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 2,963,602.56 | 8.45 | |
STOCK FUND | REINVEST ACCOUNT |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 1,973,385.85 | 5.62 | |
| ITS CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 3,302,547.56 | 9.41 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 6,924,270.42 | 19.73 |
57
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 3,058,883.79 | 6.30 | |
STOCK FUND—I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 13,472,171.32 | 27.74(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 3,475,271.07 | 7.16 | |
| OUR CUSTOMERS |
| ||
EMERGING MARKETS | RETIREMENT I 2030 FUND | 5,868,503.92 | 6.17 | |
STOCK FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2035 FUND | 5,058,314.93 | 5.32 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 6,067,971.47 | 6.38 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 8,441,331.36 | 8.88 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 5,544,611.73 | 5.83 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 8,998,791.02 | 9.46 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 6,801,727.15 | 7.15 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 5,361,013.96 | 5.64 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 4,780,719.42 | 5.03 | |
| T ROWE PRICE ASSOCIATES |
| ||
EQUITY INCOME ETF | CITIGROUP GLOBAL MARKETS INC. | 600,000 | 19,39 | |
| CHARLES SCHWAB & CO INC | 704,186 | 22.75 | |
| NATIONAL FINANCIAL SERVICES LLC | 332,462 | 10.74 | |
| PERSHING LLC | 595,232 | 19.23 | |
| TD AMERITRADE CLEARING, INC. | 543,413 | 17.56 | |
EQUITY INCOME FUND | NATIONAL FINANCIAL SERVICES | 30,172,211.74 | 11.65 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE TRUST CO INC | 19,843,837.10 | 7.66 | |
EQUITY INCOME FUND— | MORGAN STANLEY SMITH BARNEY LLC | 290,507.50 | 6.07 | |
ADVISOR CLASS | FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 2,352,187.33 | 49.15(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
EQUITY INCOME FUND— | EDWARD D JONES & CO | 14,994,901.22 | 6.76 | |
I CLASS | FOR THE BENEFIT OF CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 14,301,886.86 | 6.44 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
58
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
EQUITY INCOME FUND— | AMERICAN UNITED LIFE | 134,773.00 | 10.03 | |
R CLASS | AMERICAN UNIT TRUST |
| ||
| ATTN SEPARATE ACCOUNTS |
| ||
| INDIANAPOLIS IN 46206-0368 |
| ||
| AMERICAN UNITED LIFE | 196,034.31 | 14.59 | |
| SEPARATE ACCOUNT II |
| ||
| AXA EQUITABLE FOR SA | 68,606.87 | 5.11 | |
| SECAUCUS NJ 07094-3619 |
| ||
| DCGT AS TTEE AND/OR CUST | 74,073.55 | 5.51 | |
| FBO PLIC VARIOUS RETIREMENT PLANS |
| ||
| HARTFORD LIFE INSURANCE CO | 136,796.89 | 10.18 | |
| SEPARATE ACCOUNT |
| ||
| ATTN UNIT OPERATIONS |
| ||
| HARTFORD CT 06104-2999 |
| ||
| NATIONWIDE TRUST CO FSB | 125,548.78 | 9.35 | |
EQUITY INCOME FUND— | SPECTRUM DIVERSIFIED EQUITY | 11,106,676.41 | 35.37(a) | |
Z CLASS | T. ROWE PRICE ASSOCIATES |
| ||
| SPECTRUM INCOME FUND | 20,290,412.59 | 64.63(a) | |
| T. ROWE PRICE ASSOCIATES |
| ||
EQUITY INCOME | AMERICAN UNITED LIFE | 1,049,633.11 | 6.67 | |
PORTFOLIO | AMERICAN UNIT TRUST |
| ||
| AMERICAN UNITED LIFE | 1,328,741.27 | 8.44 | |
SEPARATE ACCOUNT II | ||||
| LINCOLN BENEFIT LIFE CO | 1,117,948.04 | 7.10 | |
LINCOLN BENEFIT VARIABLE LIFE | ||||
PALATINE IL 60094-4210 | ||||
| MASS MUTUAL LIFE INS CO | 794,427.79 | 5.05 | |
ATTN RS FUND OPERATIONS | ||||
SPRINGFIELD MA 01111-0001 | ||||
| PRUCO LIFE INSURANCE COMPANY | 1,491,039.61 | 9.47 | |
FLEXIBLE PREMIUM | ||||
VARIABLE ANNUITY ACCOUNT | ||||
ATTN SEPARATE ACCTS | ||||
NEWARK NJ 07102-2917 | ||||
| SECURITY BENEFIT LIFE INS CO | 2,469,630.94 | 15.68 | |
| FBO T ROWE PRICE NO LOAD V A |
| ||
EQUITY INCOME | JEFFERSON NATIONAL LIFE INS CO | 786,703.88 | 7.45 | |
PORTFOLIO—II | NATIONWIDE INSURANCE COMPANY | 576,830.20 | 5.46 | |
| NATIOWIDE LIFE INSURANCE COMPANY | 1,924,726.78 | 18.23 | |
| PACIFIC SELECT EXEC | 3,370,509.10 | 31.93(d) | |
SEPARATE ACCOUNT OF PACIFIC LIFE | ||||
| SEPARATE ACCOUNT 70 OF THE | 1,149,102.62 | 10.88 | |
AXA EQUITABLE LIFE INSURANCE CO | ||||
NEW YORK NY 10104-1472 | ||||
| SEPARATE ACCOUNT FP OF THE | 813,265.57 | 7.70 | |
AXA EQUITABLE LIFE INSURANCE CO | ||||
EQUITY INDEX 500 FUND | T ROWE PRICE TRUST CO INC | 6,443,733.98 | 11.49 | |
| ATTN RPS CONTROL DEPT |
| ||
| OWINGS MILLS MD 21117-4842 |
| ||
| TD AMERITRADE INC FBO | 4,166,214.60 | 7.43 | |
| OUR CUSTOMERS |
| ||
EQUITY INDEX 500 | MARYLAND COLLEGE INVESTMENT PLAN | 3,794,915.64 | 6.28 | |
FUND—I CLASS | EQUITY INDEX 500 PORTFOLIO |
59
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
EQUITY INDEX 500 | RETIREMENT I 2030 FUND | 7,163,073.57 | 6.34 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2035 FUND | 6,227,308.21 | 5.51 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 7,529,771.97 | 6.66 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2045 FUND | 5,835,536.65 | 5.16 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2050 FUND | 5,757,971.45 | 5.10 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 10,242,360.09 | 9.06 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 6,673,278.23 | 5.91 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 10,913,093.08 | 9.66 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 8,392,075.09 | 7.43 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 6,662,517.09 | 5.90 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 5,982,457.80 | 5.29 | |
| T ROWE PRICE ASSOCIATES |
| ||
EQUITY INDEX 500 | NYLIAC | 57,653.53 | 6.05 | |
PORTFOLIO | NYLIM CENTER |
| ||
| SECURITY BENEFIT LIFE INS CO | 848,810.17 | 89.00(d) | |
| FBO T ROWE PRICE NO LOAD V A |
| ||
EUROPEAN STOCK FUND | CHARLES SCHWAB & CO INC | 2,846,578.51 | 12.73 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 2,328,206.64 | 10.41 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
EUROPEAN STOCK | CHARLES SCHWAB & CO INC | 861,631.05 | 8.77 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
EUROPEAN STOCK | SPECTRUM INTERNATIONAL EQUITY | 10,211,169.81 | 100.00(a) | |
FUND—Z CLASS | FUND | |||
| T ROWE PRICE ASSOCIATES |
| ||
EXTENDED EQUITY | TD AMERITRADE INC FBO | 1,850,813.75 | 5.70 | |
MARKET INDEX FUND | OUR CUSTOMERS |
| ||
FINANCIAL SERVICES | CHARLES SCHWAB & CO INC | 2,276,464.14 | 8.63 | |
FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 2,406,928.82 | 9.12 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 3,856,446.25 | 14.61 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 1,985,070.54 | 7.52 | |
FINANCIAL SERVICES | AFFILIATED FM INSURANCE CO. | 2,921,891.89 | 16.09 | |
FUND—I CLASS | JOHNSTON RI 02919-4923 |
| ||
| CHARLES SCHWAB & CO INC | 1,193,597.18 | 6.57 | |
| REINVEST ACCOUNT |
| ||
| T ROWE PRICE SERVICES INC FBO | 1,988,920.56 | 10.95 | |
| EDUCATION TRUST OF ALASKA |
| ||
| PORTFOLIO FUTURE TRENDS |
| ||
| ATTN DAWN WAGNER FIXED INCOME |
| ||
BALTIMORE MD 21202-1013 |
60
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
FLOATING RATE ETF | CITIGROUP GLOBAL MARKETS INC. | 400,000 | 72.73(f) | |
| TD AMERITRADE CLEARING, INC. | 107,496 | 19.54 | |
FLOATING RATE FUND | CHARLES SCHWAB & CO INC | 12,224,627.14 | 7.35 | |
| SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| LPL FINANCIAL | 16,545,531.69 | 9.95 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 10,507,082.31 | 6.32 | |
| ITS CUSTOMERS |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 13,190,497.61 | 7.93 | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 31,128,237.91 | 18.72 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 9,712,136.49 | 5.84 | |
| UBS WM USA | 14,904,994.01 | 8.96 | |
| SPEC CDY A/C EXL BEN CUSTOMERS |
| ||
| OF UBSFI |
| ||
| WEEHAWKEN NJ 07086-6761 |
| ||
| WELLS FARGO CLEARING SERVICES LLC | 18,357,837.69 | 11.04 | |
| SPECIAL CUSTODY ACCT FOR THE |
| ||
| EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
FLOATING RATE FUND— | CHARLES SCHWAB & CO INC | 166,803.25 | 8.72 | |
ADVISOR CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 776,032.06 | 40.55(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 134,477.68 | 7.03 | |
| TD AMERITRADE INC FBO | 602,802.78 | 31.50(b) | |
| OUR CUSTOMERS |
| ||
FLOATING RATE FUND— | CHARLES SCHWAB & CO INC | 29,339,197.73 | 33.74(b) | |
I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 7,560,676.96 | 8.69 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 6,137,519.33 | 7.06 | |
| T ROWE PRICE ASSOCIATES | 7,058,854.14 | 8.12 | |
| TD AMERITRADE INC FBO | 6,480,267.48 | 7.45 | |
| OUR CUSTOMERS |
| ||
FLOATING RATE | RETIREMENT I 2020 FUND | 8,472,282.98 | 5.14 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2025 FUND | 10,634,062.55 | 6.45 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2030 FUND | 10,616,850.79 | 6.44 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2020 | 17,240,191.38 | 10.46 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 16,418,660.65 | 9.96 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 16,251,576.56 | 9.86 | |
| T ROWE PRICE ASSOCIATES |
| ||
| SPECTRUM INCOME FUND | 43,694,097.98 | 26.51(a) | |
| T. ROWE PRICE ASSOCIATES |
|
61
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
FLOATING RATE MULTI- | BALTIMORE EQUITABLE SOCIETY | 83,280.08 | 7.20 | |
SECTOR ACCOUNT | ATTN MARY HARLEE |
| ||
PORTFOLIO | GENERAL DYNAMICS CORP 401K | 401,494.66 | 34.70(b) | |
| PLAN MASTER TRUST CP |
| ||
| ILLINOIS STUDENT ASSISTANCE | 112,437.57 | 9.72 | |
| COMMISSION |
| ||
| ATTN ROGER ROJAS |
| ||
| T ROWE PRICE ASSOCIATES | 402,363.02 | 34.77(c) | |
| XCEL ENERGY INC. | 157,616.56 | 13.62 | |
| ATTN GREG ZICK |
| ||
| MINNEAPOLIS MN 55401-1993 |
| ||
GEORGIA TAX-FREE | CHARLES SCHWAB & CO INC | 1,889,446.57 | 10.26 | |
BOND FUND | REINVEST ACCOUNT |
| ||
| MARIL & CO FBO | 1,228,911.01 | 6.67 | |
| C/O RELIANCE TRUST COMPANY WI |
| ||
| MILWAUKEE WI 53223-2422 |
| ||
| NATIONAL FINANCIAL SERVICES | 6,311,162.81 | 34.27(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
GEORGIA TAX-FREE | CHARLES SCHWAB & CO INC | 2,595,689.12 | 13.17 | |
BOND FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| SEI PRIVATE TRUST COMPANY | 7,684,542.11 | 38.98(b) | |
| C/O TRUST |
| ||
| OAKS PA 19456-9989 |
| ||
GLOBAL ALLOCATION | LPL FINANCIAL | 9,215,544.53 | 16.77 | |
FUND | OMNIBUS CUSTOMER ACCOUNT |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 3,596,712.46 | 6.54 | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 5,795,909.76 | 10.55 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 3,432,158.12 | 6.24 | |
| T ROWE PRICE ASSOCIATES | 15,533,327.83 | 28.26(c) | |
| UBS WM USA | 2,824,039.49 | 5.14 | |
| SPEC CDY A/C EXL BEN CUSTOMERS |
| ||
| OF UBSFI |
| ||
GLOBAL ALLOCATION | CHARLES SCHWAB & CO INC | 25,602.22 | 6.99 | |
FUND—ADVISOR CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 22,568.70 | 6.17 | |
| ITS CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 187,113.97 | 51.12(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 49,693.93 | 13.58 | |
GLOBAL ALLOCATION | CHARLES SCHWAB & CO INC | 1,513,166.92 | 8.37 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| CHARLES SCHWAB & CO INC | 4,676,093.31 | 25.87(b) | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 2,216,817.24 | 12.26 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 1,114,918.80 | 6.17 | |
| OUR CUSTOMERS |
| ||
GLOBAL CONSUMER | NATIONAL FINANCIAL SERVICES | 923,191.82 | 26.63(b) | |
FUND | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
62
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
GLOBAL GROWTH | CHARLES SCHWAB & CO INC | 694,722.96 | 6.39 | |
STOCK FUND | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 1,430,971.80 | 13.16 | |
| ITS CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 1,796,523.11 | 16.52 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 707,572.93 | 6.51 | |
GLOBAL GROWTH STOCK | ASCENSUS TRUST COMPANY FBO | 45,101.49 | 10.41 | |
FUND—ADVISOR CLASS | FARMINGTON ACUTE CARE |
| ||
EMERGENCY SPE | ||||
| FARGO ND 58106-0758 |
| ||
| NATIONAL FINANCIAL SERVICES | 232,792.19 | 53.74(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 66,548.25 | 15.36 | |
GLOBAL GROWTH STOCK | CTC FBO | 2,707,946.74 | 14.40 | |
FUND—I CLASS | TEXAS TUITION PROMISE FUND 529 |
| ||
| OMAHA NE 68130-2033 |
| ||
| NATIONAL FINANCIAL SERVICES | 6,152,102.00 | 32.72(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| WASHINGTON SUBURBAN SANITARY | 981,497.15 | 5.22 | |
| COMMISSION RETIREE OTHER POST |
| ||
| EMPLOYMENT BENEFIT TRUST |
| ||
| LAUREL MD 20707-5901 |
| ||
GLOBAL HIGH INCOME | CHARLES SCHWAB & CO INC | 703,467.40 | 10.28 | |
BOND FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 1,236,507.31 | 18.06 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 539,662.47 | 7.88 | |
| OUR CUSTOMERS |
| ||
GLOBAL HIGH INCOME | CHARLES SCHWAB & CO INC | 5,744.50 | 13.82 | |
BOND FUND— | REINVEST ACCOUNT |
| ||
ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 10,644.52 | 25.60(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 19,051.26 | 45.82(b) | |
| TD AMERITRADE INC FBO | 6,130.71 | 14.75 | |
| OUR CUSTOMERS |
| ||
GLOBAL HIGH INCOME | CHARLES SCHWAB & CO INC | 2,827,327.74 | 11.71 | |
BOND FUND—I CLASS | MAC & CO | 1,441,581.89 | 5.97 | |
| MAC & CO | 2,018,706.80 | 8.36 | |
| MAC & CO | 1,330,055.63 | 5.51 | |
| MAC & CO | 1,605,848.22 | 6.65 | |
| BLK SMA |
| ||
| NATIONAL FINANCIAL SERVICES | 6,527,369.56 | 27.04(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
GLOBAL IMPACT EQUITY | NATIONAL FINANCIAL SERVICES | 93,713.55 | 7.13 | |
FUND | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE ASSOCIATES | 675,000.00 | 51.35(c) |
63
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
GLOBAL IMPACT EQUITY | EDUCATION TRUST OF ALASKA | 190,945.37 | 24.81 | |
FUND—I CLASS | GLOBAL IMPACT EQUITY PORTFOLIO |
| ||
| C/O T ROWE PRICE ASSOCIATES |
| ||
| ATTN FIXED INCOME |
| ||
| ERIC C MOFFETT | 142,573.66 | 18.52 | |
| MIRI C MOFFETT JT TEN |
| ||
| T ROWE PRICE RPS INC | 55,285.07 | 7.18 | |
| FBO TRP PLAN |
| ||
| GLOBAL IMPACT EQUITY-I |
| ||
GLOBAL INDUSTRIALS | CHARLES SCHWAB & CO INC | 595,850.75 | 11.46 | |
FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 697,974.31 | 13.42 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 896,784.50 | 17.24 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 265,548.08 | 5.11 | |
| UBS WM USA | 830,647.16 | 15.97 | |
| SPEC CDY A/C EXL BEN CUSTOMERS |
| ||
| OF UBSFI |
| ||
GLOBAL INDUSTRIALS | NATIONAL FINANCIAL SERVICES | 1,671,125.16 | 30.52(b) | |
FUND—I CLASS | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| SUTTER HEALTH | 2,185,118.62 | 39.91(b) | |
| SACRAMENTO CA 95833-4134 |
| ||
GLOBAL MULTI-SECTOR | CHARLES SCHWAB & CO INC | 6,108,617.25 | 8.78 | |
BOND FUND | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| LPL FINANCIAL | 5,551,320.32 | 7.98 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 6,334,385.96 | 9.11 | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 8,911,164.25 | 12.81 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 5,723,130.76 | 8.23 | |
| RAYMOND JAMES | 4,520,817.35 | 6.50 | |
| OMNIBUS FOR MUTUAL FUNDS |
| ||
| TD AMERITRADE INC FBO | 3,925,371.48 | 5.64 | |
| OUR CUSTOMERS |
| ||
GLOBAL MULTI-SECTOR | CHARLES SCHWAB & CO INC | 76,098.99 | 5.53 | |
BOND FUND— ADVISOR | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
CLASS | NATIONAL FINANCIAL SERVICES | 811,131.83 | 58.91(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
GLOBAL MULTI-SECTOR | CHARLES SCHWAB & CO INC | 11,061,367.82 | 19.14 | |
BOND FUND—I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 5,344,163.22 | 9.25 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 8,229,495.04 | 14.24 |
64
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
GLOBAL REAL ESTATE | CHARLES SCHWAB & CO INC | 321,068.05 | 10.09 | |
FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 187,111.08 | 5.88 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 375,945.15 | 11.82 | |
| OUR CUSTOMERS |
| ||
GLOBAL REAL ESTATE | EMPOWER ANNUITY INSURANCE | 43,661.41 | 16.80 | |
FUND—ADVISOR CLASS | FBO FUTURE FUNDS II |
| ||
| GREENWOOD VLG CO 80111-5002 |
| ||
| EMPOWER TRUST FBO | 15,113.34 | 5.81 | |
| EMPLOYEE BENEFITS CLIENTS 401K - FG |
| ||
| EMPOWER TRUST FBO | 104,181.94 | 40.08(b) | |
| EMPLOYEE BENEFITS CLIENTS 401K |
| ||
| LINCOLN RETIREMENT SERVICES | 14,717.20 | 5.66 | |
COMPANY | ||||
| FORT WAYNE IN 46801-7876 |
| ||
| LINCOLN RETIREMENT SERVICES | 15,644.75 | 6.02 | |
COMPANY | ||||
| FBO PAL DEFERRED COMPENSATION |
| ||
PLAN | ||||
GLOBAL REAL ESTATE | CHARLES SCHWAB & CO INC | 96,972.80 | 5.72 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 176,092.78 | 10.39 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE RPS INC | 115,328.57 | 6.80 | |
| FBO TRP PLAN |
| ||
| TRP GLOBAL REAL ESTATE I |
| ||
GLOBAL STOCK FUND | CHARLES SCHWAB & CO INC | 2,795,957.17 | 5.20 | |
| REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 5,058,028.96 | 9.41 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 4,781,162.25 | 8.89 | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 13,026,600.29 | 24.23 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 8,266,313.04 | 15.38 | |
GLOBAL STOCK FUND— | MORGAN STANLEY SMITH BARNEY LLC | 47,258.93 | 5.37 | |
ADVISOR CLASS | FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| UMB BANK N/A | 607,057.75 | 68.92(b) | |
| FBO FIDUCIARY FOR VARIOUS |
| ||
| RETIREMENT PROGRAMS |
| ||
GLOBAL STOCK FUND— | AFFILIATED FM INSURANCE CO. | 2,990,295.34 | 6.14 | |
I CLASS | CHARLES SCHWAB & CO INC | 5,251,057.46 | 10.78 | |
| REINVEST ACCOUNT |
| ||
| EDWARD D JONES & CO | 7,156,924.87 | 14.70 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| FACTORY MUTUAL INSURANCE CO | 5,732,816.32 | 11.77 | |
| JOHNSTON RI 02919-4923 |
| ||
| NATIONAL FINANCIAL SERVICES | 5,753,220.11 | 11.82 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 3,723,862.55 | 7.65 | |
| OUR CUSTOMERS |
|
65
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
BALANCED | NATIONAL FINANCIAL SERVICES | 10,728,207 | 7.06 |
| T ROWE PRICE TRUST CO INC BALTIMORE MD 21297-1215 | 37,873,966 | 24.92 |
BALANCED FUND—I CLASS | NORTHERN TRUST CO AS TRUSTEE CHICAGO IL 60675-2994 | 2,738,905 | 17.89 |
| T ROWE PRICE RPS INC BALTIMORE MD 21297-1215 | 1,329,400 | 8.68 |
| UBATCO & CO | 2,017,304 | 13.18 |
| FBO COLLEGE SAVINGS GROUP LINCOLN NE 68501-2535 |
| |
| UBATCO & CO FBO ACES TRUST FUND LINCOLN NE 68512-4823 | 2,277,558 | 14.88 |
BLUE CHIP GROWTH | CHARLES SCHWAB & CO INC | 25,490,611 | 7.30 |
| NATIONAL FINANCIAL SERVICES | 53,332,686 | 15.27 |
| T ROWE PRICE RPS INC | 23,461,404 | 6.72 |
| WELLS FARGO CLEARING SERVICES LLC | 37,043,055 | 10.61 |
BLUE CHIP GROWTH FUND—ADVISOR | CHARLES SCHWAB & CO INC | 2,573,759 | 7.08 |
CLASS | GREAT-WEST TRUST COMPANY LLC FBO | 2,142,592 | 5.90 |
| EMPLOYEE BENEFITS CLIENTS 401K GREENWOOD VLG CO 80111-5002 |
| |
| NATIONAL FINANCIAL SERVICES | 5,752,557 | 15.83 |
| RELIANCE TRUST COMPANY FBO | 2,516,573 | 6.93 |
| INSPER 401K ATLANTA GA 30358-0004 |
|
|
BLUE CHIP GROWTH FUND—I CLASS | CHARLES SCHWAB & CO INC | 6,574,025 | 6.99 |
| EDWARD D JONES & CO SAINT LOUIS MO 63131-3729 | 18,284,871 | 19.45 |
| J.P. MORGAN SECURITIES LLC BROOKLYN NY 11245-0003 | 5,310,931 | 5.65 |
| NATIONAL FINANCIAL SERVICES | 15,619,872 | 16.62 |
| WELLS FARGO BANK NA MINNEAPOLIS, MN 55480-1533 | 5,355,442 | 5.70 |
BLUE CHIP GROWTH FUND—R CLASS | DCGT AS TTEE AND/OR CUST | 679,914 | 8.05 |
| FBO PLIC VARIOUS RETIREMENT PLANS DES MOINES IA 50392-0001 |
| |
| NFS LLC FEBO | 451,900 | 5.35 |
| STATE STREET BANK TRUST CO |
| |
| TTEE VARIOUS RETIREMENT PLANS HARRISON NY 10528-2418 |
| |
| SAMMONS FINANCIAL NETWORK LLC | 657,741 | 7.79 |
| STATE STREET BANK AND TRUST AS | 1,568,813 | 18.57 |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT BOSTON MA 02111-2901 |
|
|
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
GLOBAL TECHNOLOGY | CHARLES SCHWAB & CO INC | 12,670,201.14 | 7.15 | |
FUND | REINVEST ACCOUNT |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 10,129,652.60 | 5.72 | |
| FOR THE EXCLSIVE BENE OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 20,540,497.63 | 11.60 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 9,388,543.63 | 5.30 | |
| OUR CUSTOMERS |
| ||
GLOBAL TECHNOLOGY | NATIONAL FINANCIAL SERVICES | 6,770,722.97 | 7.03 | |
FUND—I CLASS | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
GLOBAL VALUE EQUITY | CHARLES SCHWAB & CO INC | 311,294.31 | 5.16 | |
FUND | REINVEST ACCOUNT |
| ||
| PERSHING LLC | 5,047,819.42 | 83.69(b) | |
GLOBAL VALUE EQUITY | CHARLES SCHWAB & CO INC | 124,018.91 | 8.95 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| T ROWE PRICE ASSOCIATES | 679,149.29 | 48.99(c) | |
| T ROWE PRICE RPS INC | 200,295.07 | 14.45 | |
| FBO TRP PLAN |
| ||
| GLOBAL VALUE EQUITY I CLASS |
| ||
GNMA FUND | CHARLES SCHWAB & CO INC | 1,903,325.25 | 5.60 | |
| REINVEST ACCOUNT |
| ||
GNMA FUND—Z CLASS | SPECTRUM INCOME FUND | 65,285,403.11 | 100.00(a) | |
| T. ROWE PRICE ASSOCIATES |
| ||
GOVERNMENT MONEY | T ROWE PRICE ASSOCIATES INC | 744,000,228.28 | 9.85 | |
FUND |
| |||
GOVERNMENT RESERVE | JPMORGAN CHASE BANK AS AGENT | 1,843,608,869.70 | 12.55 | |
FUND | FOR INSTITUTIONAL FUNDS |
| ||
| ATTN AMANDA MORLEY |
| ||
| NEWARK DE 19713-2105 |
| ||
| SEAMILE & CO | 2,256,461,426.15 | 15.36 | |
| C/O T ROWE PRICE ASSOC |
| ||
| ATTN CAPITAL APPREC FUND |
| ||
| BALTIMORE MD 21202-1009 |
| ||
| SHERBET & CO | 842,116,283.37 | 5.73 | |
| C/O T ROWE PRICE ASSOC |
| ||
| ATTN DIVIDEND GROWTH FUND |
| ||
| BALTIMORE MD 21202-1009 |
| ||
| TUNA & COMPANY | 1,247,376,595.90 | 8.49 | |
| C/O T ROWE PRICE ASSOC |
| ||
| ATTN NEW INCOME FUND |
| ||
| BALTIMORE MD 21202-1009 |
| ||
GROWTH STOCK ETF | CITIGROUP GLOBAL MARKETS INC. | 600,000 | 34.29(f) | |
| CHARLES SCHWAB & CO INC | 327,029 | 18.69 | |
| NATIONAL FINANCIAL SERVICES LLC | 138,430 | 7.91 | |
| PERSHING LLC | 327,012 | 18.69 | |
| TD AMERITRADE CLEARING, INC. | 116,213 | 6.64 | |
GROWTH STOCK FUND | CHARLES SCHWAB & CO INC | 12,538,089.69 | 7.51 | |
| REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 9,728,335.08 | 5.82 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 23,154,997.30 | 13.86 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE TRUST CO INC | 22,706,523.00 | 13.59 |
66
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
BLUE CHIP GROWTH PORTFOLIO | AUL | 1,366,805 | 5.11 |
| AMERICAN INDIVDUAL VARIABLE |
| |
| ANNUITY UNIT TRUST 1 INDIANAPOLIS IN 46206-0368 |
| |
| GREAT-WEST LIFE & ANNUITY | 2,154,958 | 8.05 |
| CLIENT PLANS ENGLEWOOD, CO 80111-5002 |
| |
| MUTUAL OF AMERICA SEPARATE | 3,146,265 | 11.76 |
| ACCOUNT NO 1 NEW YORK NY 10022-6839 |
| |
| MUTUAL OF AMERICA SEPARATE | 5,942,179 | 22.20 |
| ACCOUNT NO 2 |
| |
| NATIONWIDE INSURANCE COMPANY COLUMBUS OH 43218-2029 | 2,091,258 | 7.81 |
NATIONWIDE LIFE INSURANCE COMPANY COLUMBUS OH 43218-2029 | 2,706,745 | 10.11 | |
| NYLIAC JERSEY CITY NJ 07302-4600 | 2,924,560 | 10.93 |
BLUE CHIP GROWTH PORTFOLIO—II | AMERITAS LIFE INSURANCE CORP | 1,843,631 | 12.14 |
| AMERITAS VARIABLE SEP ACCT VA-2 LINCOLN NE 68510-2234 |
| |
| GUARDIAN INSURANCE & ANNUITY CO | 1,479,498 | 9.74 |
| RETIREMENT SOLUTIONS FM&C NRO BETHLEHEM PA 18017-9464 |
| |
| JEFFERSON NATIONAL LIFE INS CO LOUISVILLE KY 40223-6178 | 1,958,175 | 12.89 |
| NATIONWIDE LIFE INSURANCE COMPANY | 1,593,176 | 10.49 |
| PACIFIC SELECT EXEC | 3,549,527 | 23.37 |
| SEPARATE ACCOUNT OF PACIFIC LIFE NEWPORT BEACH CA 92660-6307 |
| |
CALIFORNIA TAX-FREE BOND | CHARLES SCHWAB & CO INC | 3,838,853 | 6.96 |
| NATIONAL FINANCIAL SERVICES | 11,506,130 | 20.87 |
CALIFORNIA TAX-FREE BOND FUND—I CLASS | ANTON YERGAT LIVING TRUST NEWPORT BEACH CA 92658-5000 | 230,146 | 23.39 |
CHARLES SCHWAB & CO INC | 153,299 | 15.58 | |
| DANIEL E. RAMIREZ | 121,576 | 12.35 |
| DANIEL G JENSON & EVELYN H JENSON FAM TRUST | 97,477 | 9.90 |
| ELLEN B MILLER AGENT/POA | 61,612 | 6.26 |
| ALICE N BESSMAN OR ELLEN |
| |
| BESSMAN MILLER TR THE BESSMAN |
| |
| TRUST AGRMNT |
|
|
CALIFORNIA TAX-FREE MONEY | MARK A WALSH T O D | 9,497,000 | 16.14 |
CALIFORNIA TAX-FREE MONEY FUND— | T ROWE PRICE ASSOCIATES | 250,000 | 100.00(c) |
I CLASS |
|
| |
CAPITAL APPRECIATION & INCOME | T ROWE PRICE ASSOCIATES | 10,000 | 100.00(c) |
CAPITAL APPRECIATION | CHARLES SCHWAB & CO INC | 91,392,760 | 10.14 |
| NATIONAL FINANCIAL SERVICES | 111,345,006 | 12.36 |
| PERSHING LLC | 48,749,310 | 5.41 |
| TD AMERITRADE INC OMAHA NE 68103-2226 | 54,545,091 | 6.05 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
GROWTH STOCK FUND— | NATIONAL FINANCIAL SERVICES | 1,804,746.18 | 7.47 | |
ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| NATIONWIDE LIFE INSURANCE CO | 1,764,012.29 | 7.30 | |
| NATIONWIDE LIFE INSURANCE CO | 3,718,556.51 | 15.39 | |
| VANTAGETRUST - UNITIZED | 7,710,208.12 | 31.91(b) | |
| C/O ICMA RETIREMENT CORPORATION |
| ||
| WASHINGTON DC 20002-4239 |
| ||
GROWTH STOCK FUND— | CHARLES SCHWAB & CO INC | 10,140,312.29 | 5.53 | |
I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| CHARLES SCHWAB & CO INC | 12,791,483.24 | 6.97 | |
| SAN FRANCISCO CA 94104-4151 |
| ||
| NATIONAL FINANCIAL SERVICES | 17,861,435.85 | 9.74 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
GROWTH STOCK FUND— | AXA EQUITABLE FOR SA | 1,031,639.26 | 10.81 | |
R CLASS | HARTFORD LIFE INSURANCE CO | 661,295.24 | 6.93 | |
| SEPARATE ACCOUNT |
| ||
| STATE STREET BANK AND TRUST AS | 1,426,639.91 | 14.95 | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
| UMB BANK N/A | 1,210,372.48 | 12.68 | |
| FBO FIDUCIARY FOR TAX DEFERRED |
| ||
| ACCOUNTS |
| ||
| UMB BANK N/A | 1,198,626.21 | 12.56 | |
| FBO FIDUCIARY FOR TAX DEFERRED |
| ||
| ACCOUNTS GROUP |
| ||
GROWTH STOCK | RETIREMENT I 2030 FUND | 17,186,945.25 | 6.35 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2035 FUND | 15,034,930.31 | 5.56 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 17,937,437.38 | 6.63 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2045 FUND | 13,582,877.67 | 5.02 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 24,221,407.29 | 8.95 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 16,126,347.64 | 5.96 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 26,110,004.52 | 9.65 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 19,682,772.60 | 7.28 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 15,569,334.28 | 5.76 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 14,112,977.94 | 5.22 | |
| T ROWE PRICE ASSOCIATES |
|
67
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
CAPITAL APPRECIATION FUND— | AMERITAS LIFE INSURANCE CORP | 2,529,632 | 6.86 |
ADVISOR CLASS | SEPARATE ACCOUNT G |
| |
| CHARLES SCHWAB & CO INC | 7,101,268 | 19.26 |
| NATIONAL FINANCIAL SERVICES | 7,920,233 | 21.48 |
| UMB BANK | 3,612,678 | 9.80 |
| FBO FIDUCIARY FOR TAX DEFERRED |
| |
| ACCOUNTS TOPEKA, KS 66636-0001 |
|
|
CAPITAL APPRECIATION FUND—I CLASS | CHARLES SCHWAB & CO INC | 19,169,706 | 20.75 |
| NATIONAL FINANCIAL SERVICES | 17,452,229 | 18.89 |
| PERSHING LLC | 4,933,227 | 5.34 |
| TD AMERITRADE INC | 9,131,047 | 9.88 |
CAPITAL OPPORTUNITY | LVIP BLENDED CORE EQUITY | 4,179,653 | 19.17 |
| MANAGED VOLATILITY FUND FORT WAYNE IN 46802-3506 |
| |
| NATIONAL FINANCIAL SERVICES | 3,430,328 | 15.74 |
CAPITAL OPPORTUNITY FUND— | CHARLES SCHWAB & CO INC | 123,623 | 25.44(b) |
ADVISOR CLASS | DCGT AS TTEE AND/OR CUST | 27,231 | 5.60 |
| FBO PLIC VARIOUS RETIREMENT PLANS |
| |
| FIIOC AS AGENT FBO | 113,104 | 23.27 |
| SHEPHERD ELECTRIC COMPANY INC |
| |
| 401K AND PROFIT SHARING PLAN COVINGTON KY 41015-1987 |
| |
| NATIONAL FINANCIAL SERVICES | 28,462 | 5.86 |
| TD AMERITRADE INC | 66,728 | 13.73 |
CAPITAL OPPORTUNITY FUND—I CLASS | COMFORT & CO | 167,168 | 9.63 |
| FBO OLD POINT FINANCIAL 401(K) PSP NEWPORT NEWS VA 23606-1926 |
| |
| NATIONWIDE TRUST COMPANY COLUMBUS, OH 43218-2029 | 1,118,914 | 64.47(b) |
CAPITAL OPPORTUNITY FUND— | CAPITAL BANK & TRUST COMPANY TTEE | 33,527 | 15.11 |
R CLASS | JEFF WYLER AUTO FAMILY INC RSP 401K GREENWOOD VLG CO 80111-5002 |
| |
| CAPITAL BANK & TRUST COMPANY TTEE | 44,597 | 20.10 |
| MACHINERY SYSTEMS INC EMPLOYEES PSP |
| |
| DCGT AS TTEE AND/OR CUST | 17,430 | 7.86 |
| FBO PLIC VARIOUS RETIREMENT PLANS |
| |
| NATIONWIDE TRUST CO FSB COLUMBUS OH 43218-2029 | 20,267 | 9.13 |
| RELIANCE TRUST CO., CUSTODIAN | 12,789 | 5.76 |
| FBO MASSMUTUAL OMNIBUS PPL/SMF ATLANTA, GA 30362-1529 |
| |
| RELIANCE TRUST COMPANY FBO | 12,739 | 5.74 |
| MTRMLS INC ATLANTA GA 30358-0004 |
|
|
COMMUNICATIONS & TECHNOLOGY | CHARLES SCHWAB & CO INC | 2,447,508 | 5.01 |
NATIONAL FINANCIAL SERVICES | 3,230,224 | 6.61 | |
| T ROWE PRICE TRUST CO INC | 2,942,591 | 6.02 |
| MEDIA & TELECOMMUNICATION FUND |
|
|
COMMUNICATIONS & TECHNOLOGY | KAMAEHU L P | 81,545 | 5.49 |
FUND—I CLASS | TD AMERITRADE INC | 82,479 | 5.56 |
| TRUSTEES OF T ROWE PRICE | 595,845 | 40.14(a) |
| U.S. RETIREMENT PROGRAM |
| |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
HEALTH SCIENCES FUND | CHARLES SCHWAB & CO INC | 6,968,808.02 | 6.27 | |
| REINVEST ACCOUNT |
| ||
| JOHN HANCOCK LIFE | 5,958,976.24 | 5.36 | |
| INSURANCE CO USA |
| ||
| ATTN JHRPS TRADING OPS |
| ||
| BOSTON MA 02116-5022 |
| ||
| LPL FINANCIAL | 6,765,132.92 | 6.08 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 14,405,193.00 | 12.95 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 6,699,794.34 | 6.02 | |
HEALTH SCIENCES | CHARLES SCHWAB & CO INC | 4,631,541.70 | 7.06 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 3,779,537.20 | 5.76 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
HEALTH SCIENCES | AMERICAN NATIONAL GROUP | 148,395.96 | 5.37 | |
PORTFOLIO | UNALLOCATED VA CORP |
| ||
ATTN JOHN BURCHETT | ||||
8TH FLOOR CONTROLLERS DEPT | ||||
GALVESTON TX 77550-7947 | ||||
| MODERN WOODMEN OF AMERICA | 683,504.42 | 24.73(d) | |
ATTN MUTUAL FUNDS ACCTG | ||||
| NATIONWIDE LIFE AND ANNUITY | 800,115.58 | 28.95(d) | |
| INSURANCE COMPANY |
| ||
COLUMBUS OH 43218-2029 | ||||
SECURITY BENEFIT LIFE INS CO | 568,773.76 | 20.58(d) | ||
FBO T ROWE PRICE NO LOAD V A | ||||
HEALTH SCIENCES | MIDLAND NATIONAL LIFE INSURANCE CO | 546,487.82 | 5.11 | |
PORTFOLIO—II | NATIONWIDE LIFE INSURANCE COMPANY | 549,500.90 | 5.14 | |
| NATIONWIDE LIFE INSURANCE COMPANY | 639,781.92 | 5.98 | |
NATIONWIDE LIFE INSURANCE COMPANY | 5,812,545.74 | 54.32(d) | ||
HIGH YIELD FUND | CHARLES SCHWAB & CO INC | 13,728,427.31 | 7.05 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 16,677,419.34 | 8.57 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
HIGH YIELD FUND— | CHARLES SCHWAB & CO INC | 223,275.32 | 7.12 | |
ADVISOR CLASS | REINVEST ACCOUNT |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 161,761.18 | 5.16 | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 1,653,554.56 | 52.75(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| VOYA INSTITUTIONAL TRUST COMPANY | 181,376.16 | 5.79 | |
| WINDSOR CT 06095-4774 |
| ||
HIGH YIELD FUND— | EDWARD D JONES & CO | 220,842,279.23 | 49.29(b) | |
I CLASS | FOR THE BENEFIT OF CUSTOMERS |
| ||
| FUBON LIFE INSURANCE CO. | 30,158,160.42 | 6.73 | |
| LTD.-FIXED INCOME |
| ||
| TAIPEI, 105 |
|
68
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
CORPORATE INCOME | SPECTRUM INCOME FUND | 47,312,270 | 49.77(d) |
| T. ROWE PRICE ASSOCIATES |
| |
CORPORATE INCOME FUND—I CLASS | KB INSURANCE CO LTD | 3,104,913 | 52.54(b) |
| SEOUL, 06134 REPUBLIC OF KOREA |
| |
| PERSHING LLC | 852,138 | 14.42 |
| ROBERT W SMITH | 516,950 | 8.75 |
| TERESA O SMITH |
| |
| TRUSTEES OF T ROWE PRICE | 689,432 | 11.67 |
| U.S. RETIREMENT PROGRAM |
| |
CREDIT OPPORTUNITIES | T ROWE PRICE ASSOCIATES | 2,475,000 | 47.52(c) |
CREDIT OPPORTUNITIES FUND— | CHARLES SCHWAB & CO INC | 6,553 | 20.53 |
ADVISOR CLASS | T ROWE PRICE ASSOCIATES | 25,000 | 78.30(c) |
CREDIT OPPORTUNITIES FUND— | T ROWE PRICE ASSOCIATES | 29,412 | 100.00(c) |
I CLASS |
|
| |
DIVERSIFIED MID-CAP GROWTH | NATIONAL FINANCIAL SERVICES | 2,065,135 | 7.19 |
PERSHING LLC | 1,550,914 | 5.40 | |
DIVERSIFIED MID-CAP GROWTH | BONNIE G MAIER TR | 51,336 | 6.89 |
FUND—I CLASS | JULIA LAMB MAIER IRREVOCABLE TRUST WILMINGTON DE 19810-4344 |
| |
| EDUARD GORDON | 49,750 | 6.68 |
| INNA GORDON JT TEN T O D |
| |
| NATIONAL FINANCIAL SERVICES | 296,036 | 39.73(b) |
| TRUSTEES OF T ROWE PRICE | 284,386 | 38.16(a) |
| U.S. RETIREMENT PROGRAM |
| |
DIVIDEND GROWTH | LPL FINANCIAL SAN DIEGO CA 92121-3091 | 9,313,156 | 6.50 |
| MLPF&S FOR THE SOLE BENEFIT OF | 9,985,392 | 6.97 |
| ITS CUSTOMERS JACKSONVILLE FL 32246-6484 |
| |
| NATIONAL FINANCIAL SERVICES | 24,522,273 | 17.12 |
| PERSHING LLC | 8,350,792 | 5.83 |
DIVIDEND GROWTH FUND— | CHARLES SCHWAB & CO INC | 550,907 | 6.54 |
ADVISOR CLASS | GREAT-WEST TRUST COMPANY LLC FBO | 509,873 | 6.05 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| JOHN HANCOCK TRUST COMPANY WESTWOOD MA 02090-2321 | 439,384 | 5.21 |
| MATRIX TRUST COMPANY TRUSTEE FBO | 497,549 | 5.90 |
| VISTA 401(K) RETIREMENT PLAN PHOENIX AZ 85072-2129 |
| |
| NATIONAL FINANCIAL SERVICES | 3,892,795 | 46.19(b) |
DIVIDEND GROWTH FUND—I CLASS | EDWARD D JONES & CO | 20,814,079 | 38.24(b) |
| NATIONAL FINANCIAL SERVICES | 18,973,444 | 34.86(b) |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
HIGH YIELD FUND— | RETIREMENT I 2020 FUND | 28,826,322.96 | 5.13 | |
Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2025 FUND | 35,004,960.63 | 6.22 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2030 FUND | 34,095,399.92 | 6.06 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2020 | 58,590,313.39 | 10.42 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 54,231,213.52 | 9.64 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 51,885,875.02 | 9.23 | |
| T ROWE PRICE ASSOCIATES |
| ||
| SPECTRUM INCOME FUND | 161,387,992.75 | 28.70(a) | |
| T. ROWE PRICE ASSOCIATES |
| ||
HIGH YIELD MULTI-SECTOR | BALTIMORE EQUITABLE SOCIETY | 114,323.21 | 11.24 | |
ACCOUNT PORTFOLIO | ATTN MARY HARLEE |
| ||
| GENERAL DYNAMICS CORP 401K | 562,884.28 | 55.37(b) | |
| PLAN MASTER TRUST CP |
| ||
| ILLINOIS STUDENT ASSISTANCE | 154,149.19 | 15.16 | |
| COMMISSION |
| ||
| ATTN ROGER ROJAS |
| ||
| T ROWE PRICE ASSOCIATES | 185,314.46 | 18.23 | |
INFLATION PROTECTED | NATIONAL FINANCIAL SERVICES | 6,008,551.46 | 22.55 | |
BOND FUND | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE RPS INC | 1,530,503.34 | 5.74 | |
| OMNIBUS ACCOUNT |
| ||
| INFLATION PROTECTED BOND |
| ||
INFLATION PROTECTED | CHARLES SCHWAB & CO INC | 1,448,481.37 | 6.11 | |
BOND FUND—I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 1,283,358.53 | 5.41 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
INFLATION PROTECTED | T ROWE PRICE ASSOCIATES | 7,722.01 | 100.00(c) | |
BOND FUND—Z CLASS |
| |||
INSTITUTIONAL EMERGING | CAPINCO C/O US BANK NA | 4,766,711.72 | 8.58 | |
MARKETS BOND FUND | MILWAUKEE WI 53212-3958 |
| ||
| EMPOWER TRUST FBO | 6,428,168.88 | 11.58 | |
| RECORDKEEPING FOR VARIOUS BENEFIT |
| ||
| HORIZONDECK & CO | 6,151,413.69 | 11.08 | |
| C/O T ROWE PRICE ASSOC |
| ||
| ATTN GLOBAL ALLOCATION FUND |
| ||
| LADYBIRD & CO | 16,987,601.38 | 30.59(a) | |
| LADYBUG & CO | 10,375,093.05 | 18.68 | |
| LAKESIDE & CO | 6,008,743.82 | 10.82 | |
| C/O T ROWE PRICE ASSOC |
| ||
| BALTIMORE MD 21202-1009 |
|
69
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
DYNAMIC GLOBAL BOND | T ROWE PRICE ASSOCIATES | 18,709,605 | 5.99 |
| RETIREMENT PORTFOLIO 2010 |
| |
| T ROWE PRICE ASSOCIATES | 22,526,474 | 7.22 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 28,181,200 | 9.03 |
| RETIREMENT PORTFOLIO 2015 |
| |
| T ROWE PRICE ASSOCIATES | 69,844,651 | 22.38 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 52,890,194 | 16.94 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 53,492,630 | 17.14 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE ASSOCIATES | 26,245,816 | 8.41 |
| RETIREMENT PORTFOLIO 2035 |
| |
DYNAMIC GLOBAL BOND FUND— | LPL FINANCIAL | 7,393 | 19.57 |
ADVISOR CLASS | PERSHING LLC | 5,109 | 13.53 |
| T ROWE PRICE ASSOCIATES | 25,000 | 66.19(c) |
DYNAMIC GLOBAL BOND FUND—I CLASS | LADYBIRD & CO BALTIMORE MD 21202-1009 | 17,360,348 | 18.96 |
LADYBUG & CO BALTIMORE MD 21202-1009 | 10,535,431 | 11.51 | |
| MAC & CO PITTSBURGH PA 15219-2502 | 5,083,633 | 5.55 |
| T ROWE PRICE ASSOCIATES | 10,028,042 | 10.95 |
| RETIREMENT I 2020 FUND |
| |
| T ROWE PRICE ASSOCIATES | 7,864,731 | 8.59 |
| RETIREMENT I 2025 FUND |
| |
| T ROWE PRICE ASSOCIATES | 8,309,397 | 9.07 |
| RETIREMENT I 2030 FUND |
| |
EMERGING EUROPE | NATIONAL FINANCIAL SERVICES | 788,991 | 6.59 |
| SPECTRUM INTERNATIONAL FUND | 651,321 | 5.44 |
| T ROWE PRICE ASSOCIATES |
| |
| TD AMERITRADE INC | 628,486 | 5.25 |
EMERGING EUROPE FUND—I CLASS | T ROWE PRICE ASSOCIATES | 18,911 | 5.45 |
| TRUSTEES OF T ROWE PRICE | 325,445 | 93.77(a) |
| U.S. RETIREMENT PROGRAM |
| |
EMERGING MARKETS BOND | SPECTRUM INCOME FUND | 36,092,242 | 9.31 |
| T. ROWE PRICE ASSOCIATES |
| |
| T ROWE PRICE ASSOCIATES | 24,544,733 | 6.33 |
| RETIREMENT PORTFOLIO 2015 |
| |
| T ROWE PRICE ASSOCIATES | 58,546,443 | 15.11 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 42,213,260 | 10.89 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 40,260,900 | 10.39 |
| RETIREMENT PORTFOLIO 2030 |
| |
EMERGING MARKETS BOND FUND— | PERSHING LLC | 57,313 | 29.62(b) |
ADVISOR CLASS | T ROWE PRICE ASSOCIATES | 21,459 | 11.09 |
EMERGING MARKETS BOND FUND— | J.P. MORGAN SECURITIES LLC | 38,828,535 | 43.04(b) |
I CLASS | T ROWE PRICE ASSOCIATES | 8,402,334 | 9.31 |
| RETIREMENT I 2020 FUND |
| |
| T ROWE PRICE ASSOCIATES | 6,343,826 | 7.03 |
| RETIREMENT I 2025 FUND |
| |
| T ROWE PRICE ASSOCIATES | 6,334,430 | 7.02 |
| RETIREMENT I 2030 FUND |
| |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INSTITUTIONAL EMERGING | GOLDMAN SACHS & CO | 5,378,243.33 | 19.94 | |
MARKETS EQUITY FUND | EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
| NEW YORK NY 10004-2434 |
| ||
| LADYBIRD & CO | 1,745,466.15 | 6.47 | |
| LADYBUG & CO | 2,711,268.08 | 10.05 | |
| LAKESIDE & CO | 5,417,693.74 | 20.09 | |
| NATIONAL FINANCIAL SERVICES | 2,536,643.45 | 9.41 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| WELLS FARGO BANK NA FBO | 3,015,961.51 | 11.18 | |
| OMNIBUS ACCOUNT CASH/CASH |
| ||
| MINNEAPOLIS MN 55480-1533 |
| ||
INSTITUTIONAL FLOATING | CHARLES SCHWAB & CO INC | 49,607,753.24 | 11.83 | |
RATE FUND | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 84,520,464.97 | 20.16 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| SEAMILE & CO | 82,709,340.66 | 19.73 | |
| C/O T ROWE PRICE ASSOC |
| ||
| ATTN CAPITAL APPREC FUND |
| ||
| WELLS FARGO BANK NA FBO | 33,987,087.66 | 8.11 | |
| OMNIBUS ACCOUNT CASH/CASH |
| ||
INSTITUTIONAL FLOATING | LPL FINANCIAL | 5,104,111.52 | 11.40 | |
RATE FUND—F CLASS | OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 30,791,374.99 | 68.78(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 3,878,800.70 | 8.66 | |
| OUR CUSTOMERS |
| ||
INSTITUTIONAL FLOATING | TUNA AND COMPANY | 4,403,801.92 | 100.00(b) | |
RATE FUND—Z CLASS | C/O T ROWE PRICE ASSOCIATES INC |
| ||
| ATTN NEW INCOME FUND |
| ||
INSTITUTIONAL HIGH | BREAD & CO | 26,831,678.98 | 12.57 | |
YIELD FUND | C/O T ROWE PRICE ASSOC |
| ||
| ATTN BALANCED FUND |
| ||
| BALTIMORE MD 21202-1009 |
| ||
| FACTORY MUTUAL INSURANCE CO | 20,871,738.24 | 9.78 | |
| GOLDMAN SACHS & CO | 16,375,646.56 | 7.67 | |
| EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
| LADYBIRD & CO | 11,832,302.23 | 5.54 | |
| NATIONAL FINANCIAL SERVICES | 45,232,347.37 | 21.19 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
INSTITUTIONAL | CHARLES SCHWAB & CO INC | 3,175,795.04 | 17.81 | |
INTERNATIONAL | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
DISCIPLINED EQUITY FUND | COLUMBIA TRUST PARTNERS | 1,175,668.31 | 6.59 | |
| SALEM OR 97308-1012 |
| ||
| J.P. MORGAN SECURITIES LLC | 1,016,028.49 | 5.70 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| BROOKLYN NY 11245-0003 |
| ||
| NATIONAL FINANCIAL SERVICES | 9,264,980.88 | 51.94(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
70
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
EMERGING MARKETS CORPORATE | T ROWE PRICE ASSOCIATES | 2,271,697 | 42.40(c) |
BOND | TD AMERITRADE INC | 440,410 | 8.22 |
EMERGING MARKETS CORPORATE | LPL FINANCIAL | 17,032 | 10.66 |
BOND FUND—ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 101,473 | 63.49(b) |
| T ROWE PRICE ASSOCIATES | 25,117 | 15.71 |
EMERGING MARKETS CORPORATE | CHARLES A MORRIS | 100,840 | 15.35 |
BOND FUND—I CLASS | ELISE D MORRIS JT TEN T O D |
| |
| CHARLES SCHWAB & CO INC | 419,637 | 63.87(b) |
| TRUSTEES OF T ROWE PRICE | 86,339 | 13.14 |
| U.S. RETIREMENT PROGRAM |
| |
EMERGING MARKETS CORPORATE | CBE OF NEW BRUNSWICK | 1,420,963 | 42.11(b) |
MULTI-SECTOR ACCOUNT PORTFOLIO | EM BOND MAP FREDERICTON NB E3B 5H8 CANADA |
| |
| GENERAL DYNAMICS CORP 401K | 413,744 | 12.26 |
| PLAN MASTER TRUST CP FALLS CHURCH VA 22042-4541 |
| |
| T ROWE PRICE ASSOCIATES | 1,200,000 | 35.56(c) |
EMERGING MARKETS LOCAL | PERSHING LLC | 3,428,894 | 5.83 |
CURRENCY BOND | SPECTRUM INCOME FUND | 48,736,125 | 82.91(d) |
| T. ROWE PRICE ASSOCIATES | ||
EMERGING MARKETS LOCAL | CHARLES SCHWAB & CO INC | 7,812 | 21.72 |
CURRENCY BOND FUND—ADVISOR | T ROWE PRICE ASSOCIATES | 25,084 | 69.73(c) |
CLASS |
| ||
EMERGING MARKETS LOCAL CURRENCY BOND FUND—I CLASS | THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY MILWAUKEE WI 53202-4703 | 22,886,308 | 91.66(b) |
EMERGING MARKETS LOCAL MULTI- | CBE OF NEW BRUNSWICK | 4,278,201 | 77.42(b) |
SECTOR ACCOUNT PORTFOLIO | T ROWE PRICE ASSOCIATES | 1,200,000 | 21.72 |
EMERGING MARKETS STOCK | MLPF&S FOR THE SOLE BENEFIT OF | 22,168,413 | 11.53 |
| ITS CUSTOMERS |
| |
| NATIONAL FINANCIAL SERVICES | 10,138,885 | 5.27 |
| T ROWE PRICE ASSOCIATES | 15,216,540 | 7.91 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 13,443,456 | 6.99 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 13,227,015 | 6.88 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 18,846,907 | 9.80 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE ASSOCIATES | 12,269,893 | 6.38 |
| RETIREMENT PORTFOLIO 2035 |
| |
EMERGING MARKETS STOCK FUND— | NATIONAL FINANCIAL SERVICES | 18,481,195 | 31.36(b) |
I CLASS | TD AMERITRADE INC | 3,416,272 | 5.80 |
| VANGUARD FIDUCIARY TRUST COMPANY VALLEY FORGE PA 19482-2600 | 4,691,086 | 7.96 |
EMERGING MARKETS VALUE STOCK | CHARLES SCHWAB & CO INC | 194,101 | 5.13 |
T ROWE PRICE ASSOCIATES | 675,000 | 17.82 | |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INSTITUTIONAL LARGE-CAP | MAC & CO | 3,566,471.80 | 5.63 | |
CORE GROWTH FUND | FBO HIGHMARK HEALTH AHN |
| ||
| NATIONAL FINANCIAL SERV CORP | 20,292,521.62 | 32.02(b) | |
| FOR EXCLUSIVE BENEFIT OF OUR |
| ||
| CUSTOMERS |
| ||
| RUSS LENNON |
| ||
| VANGUARD FIDUCIARY TRUST COMPANY | 3,994,627.56 | 6.30 | |
| T ROWE INSTITUTIONAL CLASS |
| ||
| ATTN OUTSIDE FUNDS/SCOTT GELLERT |
| ||
| VALLEY FORGE PA 19482-2600 |
| ||
INSTITUTIONAL LONG | BAND & CO C/O US BANK NA | 1,025,197.45 | 19.01 | |
DURATION CREDIT FUND | MILWAUKEE WI 53212-3958 |
| ||
| CHARLES SCHWAB & CO INC | 3,170,218.88 | 58.78(b) | |
| REINVEST ACCOUNT |
| ||
| CHILDRENS HOME SOCIETY OF NJ | 858,286.04 | 15.91 | |
| PENSION FUND |
| ||
| C/O BRUNO CELLUCCI |
| ||
| TRENTON NJ 08611-1831 |
| ||
INSTITUTIONAL MID-CAP | CHARLES SCHWAB & CO INC | 7,008,728.60 | 8.31 | |
EQUITY GROWTH FUND | REINVEST ACCOUNT |
| ||
| KY PUBLIC EMP DEF COMP AUTHORITY | 6,189,030.46 | 7.34 | |
| C/O NATIONWIDE AS CUSTODIAN & |
| ||
| RECORDKEEPER |
| ||
| IPO PORTFOLIO ACCOUNTING |
| ||
| COLUMBUS OH 43218-2029 |
| ||
| NATIONAL FINANCIAL SERVICES | 24,340,002.00 | 28.87(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| THE STATE OF WISC DEF COMP BRD TTEE | 8,555,576.16 | 10.15 | |
| STATE OF WISCONSIN DCP |
| ||
| C/O FASCORE |
| ||
| GREENWOOD VLG CO 80111-5002 |
| ||
| VANGUARD FIDUCIARY TRUST COMPANY | 6,425,052.80 | 7.62 | |
| T ROWE INSTITUTIONAL CLASS |
| ||
INSTITUTIONAL SMALL-CAP | NATIONAL FINANCIAL SERVICES | 45,386,900.34 | 25.34(b) | |
STOCK FUND | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| NORTHERN TRUST COMPANY TR | 19,742,827.04 | 11.02 | |
| FBO PFIZER SAVINGS AND |
| ||
| INVESTMENT PLAN |
| ||
| CHICAGO IL 60675-0001 |
| ||
| STATE OF MINNESOTA | 33,476,288.60 | 18.69 | |
| FBO MINNESOTA STATE RETIREMENT |
| ||
SYST | ||||
| GREENWOOD VLG CO 80111-5002 |
| ||
| T ROWE PRICE RPS INC. | 17,393,376.82 | 9.71 | |
| OMNIBUS |
| ||
| INSTL SMALL CAP STOCK |
| ||
| VANGUARD FIDUCIARY TRUST COMPANY | 30,573,883.57 | 17.07 | |
| T ROWE INSTITUTIONAL CLASS |
| ||
INTEGRATED GLOBAL | CHARLES SCHWAB & CO INC | 172,192.80 | 19.19 | |
EQUITY FUND | REINVEST ACCOUNT | |||
| T ROWE PRICE ASSOCIATES | 359,799.55 | 40.09(c) | |
INTEGRATED GLOBAL | T ROWE PRICE ASSOCIATES | 25,000.00 | 100.00(c) | |
EQUITY FUND— | ||||
ADVISOR CLASS |
71
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
EMERGING MARKETS VALUE STOCK FUND—ADVISOR CLASS | E TRADE SECURITIES LLC JERSEY CITY NJ 07303-0484 | 9,732 | 24.88 |
T ROWE PRICE ASSOCIATES | 25,000 | 63.89(c) | |
EMERGING MARKETS VALUE STOCK FUND—I CLASS | ERIC C MOFFETT MIRI C MOFFETT | 71,403 | 25.87(b) |
| T ROWE PRICE ASSOCIATES | 21,259 | 7.70 |
| T ROWE PRICE TRUST CO INC | 82,291 | 29.82(e) |
| CUST FOR THE IRA OF JAMES D HARLAN |
| |
| TRUSTEES OF T ROWE PRICE | 92,296 | 33.44(a) |
| U.S. RETIREMENT PROGRAM |
| |
EQUITY INCOME | NATIONAL FINANCIAL SERVICES | 42,458,256 | 8.26 |
| T ROWE PRICE TRUST CO INC | 34,299,600 | 6.68 |
EQUITY INCOME FUND—ADVISOR | CHARLES SCHWAB & CO INC | 703,416 | 5.70 |
CLASS | NATIONAL FINANCIAL SERVICES | 7,608,950 | 61.63(b) |
EQUITY INCOME FUND—I CLASS | EDWARD D JONES & CO | 63,557,943 | 50.41(b) |
| NATIONAL FINANCIAL SERVICES | 15,370,653 | 12.19 |
| T ROWE PRICE RPS INC | 8,926,392 | 7.08 |
| TD AMERITRADE INC | 11,724,235 | 9.30 |
EQUITY INCOME FUND—R CLASS | AMERICAN UNITED LIFE | 235,187 | 8.49 |
| AMERICAN UNIT INVESTMENT TRUST |
| |
| AMERICAN UNITED LIFE | 520,597 | 18.79 |
| SEPARATE ACCOUNT II |
| |
| DCGT AS TTEE AND/OR CUST | 152,821 | 5.52 |
| FBO PLIC VARIOUS RETIREMENT PLANS |
| |
| HARTFORD LIFE INSURANCE CO | 315,651 | 11.39 |
| SEPARATE ACCOUNT HARTFORD CT 06104-2999 |
| |
| NATIONWIDE TRUST CO FSB | 204,412 | 7.38 |
EQUITY INCOME PORTFOLIO | AMERICAN UNITED LIFE | 1,560,738 | 8.67 |
| AMERICAN UNIT INVESTMENT TRUST INDIANAPOLIS IN 46206-0368 |
| |
| AMERICAN UNITED LIFE | 2,497,339 | 13.87 |
| SEPARATE ACCOUNT II |
| |
| LINCOLN BENEFIT LIFE CO | 941,640 | 5.23 |
| LINCOLN BENEFIT VARIABLE LIFE PALATINE IL 60094-4210 |
| |
| PRUCO LIFE INSURANCE COMPANY | 2,179,850 | 12.10 |
| FLEXIBLE PREMIUM |
| |
| VARIABLE ANNUITY ACCOUNT NEWARK NJ 07102-2917 |
| |
| SECURITY BENEFIT LIFE INS CO | 2,372,097 | 13.17 |
| FBO T ROWE PRICE NO LOAD V A TOPEKA KS 66636-0001 |
| |
EQUITY INCOME PORTFOLIO—II | AXA EQUITABLE LIFE INSURANCE CO NEW YORK NY 10104-0101 | 473,716 | 6.66 |
| JEFFERSON NATIONAL LIFE INS CO | 518,814 | 7.29 |
| LINCOLN BENEFIT LIFE CO LINCOLN BENEFIT VARIABLE ANNUITY TOPEKA KS 66636-0001 | 366,889 | 5.15 |
| NATIONWIDE INSURANCE COMPANY | 861,985 | 12.11 |
| NATIONWIDE INSURANCE COMPANY | 869,661 | 12.22 |
| PACIFIC SELECT EXEC | 2,361,218 | 33.17(f) |
| SEPARATE ACCOUNT OF PACIFIC LIFE |
| |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INTEGRATED GLOBAL | PORT OF SEATTLE POLICE RMT 401 PLAN | 51,743.62 | 5.55 | |
EQUITY FUND—I CLASS | C/O ICMA RETIREMENT CORPORATION | |||
| WASHINGTON DC 20002-4239 | |||
| PORT OF SEATTLE WA | 389,434.26 | 41.75(b) | |
| C/O ICMA RETIREMENT CORPORATION | |||
| WASHINGTON DC 20002-4239 | |||
| T ROWE PRICE RPS INC | 47,151.73 | 5.05 | |
| FBO TRP PLAN |
| ||
| QM GLOBAL EQUITY FUND I |
| ||
INTEGRATED U.S. LARGE- | CHARLES SCHWAB & CO INC | 318,932.68 | 25.11(b) | |
CAP VALUE EQUITY FUND | REINVEST ACCOUNT | |||
INTEGRATED U.S. LARGE- | PERSHING LLC | 6,433.73 | 36.80(b) | |
CAP VALUE EQUITY FUND— | T ROWE PRICE ASSOCIATES | 11,050.00 | 63.20(c) | |
ADVISOR CLASS | ||||
INTEGRATED U.S. LARGE- | T ROWE PRICE RPS INC | 114,112.58 | 14.28 | |
CAP VALUE EQUITY | FBO TRP PLAN |
| ||
FUND—I CLASS | QM US VALUE EQUITY FUND I |
| ||
INTEGRATED U.S. SMALL- | LPL FINANCIAL | 9,770,644.30 | 10.01 | |
CAP GROWTH EQUITY | OMNIBUS CUSTOMER ACCOUNT | |||
FUND | MLPF&S FOR THE SOLE BENEFIT OF | 5,332,856.26 | 5.46 | |
| ITS CUSTOMERS | |||
| MORGAN STANLEY SMITH BARNEY LLC | 10,925,255.93 | 11.19 | |
| FOR THE EXCL BENEFIT OF ITS CUST | |||
| NATIONAL FINANCIAL SERVICES | 15,540,687.09 | 15.92 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 5,992,538.37 | 6.14 | |
| WELLS FARGO CLEARING SERVICES LLC | 6,462,646.36 | 6.62 | |
| SPECIAL CUSTODY ACCT FOR THE | |||
| EXCLUSIVE BENEFIT OF CUSTOMERS | |||
INTEGRATED U.S. SMALL- | JOHN HANCOCK TRUST COMPANY LLC | 118,386.69 | 23.57 | |
CAP GROWTH EQUITY | BOSTON MA 02116-5022 | |||
FUND—ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 92,546.93 | 18.43 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| UMB BANK CUSTODIAN | 246,729.78 | 49.13(b) | |
| SECURITY FINANCIAL RESOURCES | |||
| TOPEKA KS 66636-0001 | |||
INTEGRATED U.S. SMALL- | CHARLES SCHWAB & CO INC | 15,158,456.25 | 16.12 | |
CAP GROWTH EQUITY | EDWARD D JONES & CO | 5,939,570.85 | 6.32 | |
FUND—I CLASS | FOR THE BENEFIT OF CUSTOMERS | |||
| MAC & CO | 13,972,489.31 | 14.86 | |
| NATIONAL FINANCIAL SERVICES | 14,222,882.04 | 15.13 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 5,199,286.66 | 5.53 | |
INTEGRATED U.S. SMALL- | LPL FINANCIAL | 2,147,294.74 | 29.27(b) | |
MID CAP CORE EQUITY | OMNIBUS CUSTOMER ACCOUNT | |||
FUND | PERSHING LLC | 928,935.59 | 12.66 | |
INTEGRATED U.S. SMALL- | CHARLES SCHWAB & CO INC | 2,176.05 | 8.98 | |
MID CAP CORE EQUITY | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
FUND—ADVISOR CLASS | PERSHING LLC | 8,949.34 | 36.91(b) | |
| T ROWE PRICE ASSOCIATES | 9,460.00 | 39.02(c) |
72
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
EQUITY INDEX 500 | T ROWE PRICE ASSOCIATES | 17,720,661 | 5.16 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 19,451,344 | 5.66 |
| RETIREMENT PORTFOLIO 2015 |
| |
| T ROWE PRICE ASSOCIATES | 51,665,186 | 15.04 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 37,834,474 | 11.01 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 39,349,375 | 11.46 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE ASSOCIATES | 19,665,939 | 5.73 |
| RETIREMENT PORTFOLIO 2035 |
| |
EQUITY INDEX 500 FUND—I CLASS | T ROWE PRICE ASSOCIATES | 2,281,473 | 5.50 |
| RETIREMENT I 2015 FUND |
| |
| T ROWE PRICE ASSOCIATES | 7,462,288 | 18.00 |
| RETIREMENT I 2020 FUND |
| |
| T ROWE PRICE ASSOCIATES | 5,660,421 | 13.65 |
| RETIREMENT I 2025 FUND |
| |
| T ROWE PRICE ASSOCIATES | 6,213,438 | 14.99 |
| RETIREMENT I 2030 FUND |
| |
| T ROWE PRICE ASSOCIATES | 3,214,145 | 7.75 |
| RETIREMENT I 2035 FUND |
| |
| T ROWE PRICE ASSOCIATES | 3,197,520 | 7.71 |
| RETIREMENT I 2040 FUND |
| |
EQUITY INDEX 500 PORTFOLIO | NYLIAC | 129,170 | 14.12 |
| SECURITY BENEFIT LIFE INS CO | 753,256 | 82.37(g) |
EUROPEAN STOCK | CHARLES SCHWAB & CO INC | 4,625,752 | 8.24 |
| SPECTRUM INTERNATIONAL FUND | 12,265,816 | 21.85 |
EUROPEAN STOCK FUND—I CLASS | CHARLES SCHWAB & CO INC | 84,906 | 11.12 |
| NATIONAL FINANCIAL SERVICES | 207,430 | 27.16(b) |
| TRUSTEES OF T ROWE PRICE | 385,013 | 50.41(a) |
| U.S. RETIREMENT PROGRAM |
| |
EXTENDED EQUITY MARKET INDEX | TD AMERITRADE INC | 1,851,615 | 6.13 |
FINANCIAL SERVICES | CHARLES SCHWAB & CO INC | 1,666,398 | 5.78 |
| PERSHING LLC | 2,295,162 | 7.96 |
| T ROWE PRICE SERVICES INC | 1,460,186 | 5.06 |
| EDUCATION TRUST OF ALASKA |
| |
| PORTFOLIO FUTURE TRENDS |
| |
FINANCIAL SERVICES FUND—I CLASS | TRUSTEES OF T ROWE PRICE | 628,056 | 87.65(a) |
| U.S. RETIREMENT PROGRAM |
| |
FLOATING RATE | NATIONAL FINANCIAL SERVICES | 8,098,814 | 5.62 |
| PERSHING LLC | 7,237,783 | 5.02 |
| SPECTRUM INCOME FUND | 37,603,365 | 26.08(d) |
| T. ROWE PRICE ASSOCIATES |
| |
| T ROWE PRICE ASSOCIATES | 11,049,509 | 7.66 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 7,680,627 | 5.33 |
| RETIREMENT PORTFOLIO 2025 | ||
FLOATING RATE FUND—ADVISOR | CHARLES SCHWAB & CO INC | 1,099,945 | 18.68 |
CLASS | NATIONAL FINANCIAL SERVICES | 3,495,984 | 59.37(b) |
| PERSHING LLC | 705,344 | 11.98 |
| TD AMERITRADE INC | 319,545 | 5.43 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INTEGRATED U.S. SMALL- | CHARLES SCHWAB & CO INC | 1,344,140.07 | 12.57 | |
MID CAP CORE EQUITY | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
FUND—I CLASS | HORIZONDECK & CO | 2,917,764.85 | 27.30(a) | |
| C/O T ROWE PRICE ASSOCIATES INC | |||
| TRP GAF - QM SMID EQUITY |
| ||
| NATIONAL FINANCIAL SERVICES | 562,394.33 | 5.26 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 2,462,207.28 | 23.03 | |
INTERMEDIATE TAX-FREE | CHARLES SCHWAB & CO INC | 750,541.04 | 35.11(b) | |
HIGH YIELD FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 255,896.14 | 11.97 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 221,278.93 | 10.35 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
INTERMEDIATE TAX-FREE | INTERACTIVE BROKERS LLC | 0.102 | 100.00(b) | |
HIGH YIELD FUND— | GREENWICH CT 06830-5576 |
| ||
ADVISOR CLASS | ||||
INTERMEDIATE TAX-FREE | CHARLES SCHWAB & CO INC | 2,249,761.56 | 37.13(b) | |
HIGH YIELD FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| CINDY PATTERSON | 730,944.42 | 12.06 | |
| VANGUARD BROKERAGE SERVICES | 449,108.25 | 7.41 | |
INTERNATIONAL BOND | CHARLES SCHWAB & CO INC | 811,177.41 | 8.27 | |
FUND (USD HEDGED) | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 760,920.22 | 7.76 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 1,692,041.27 | 17.25 | |
INTERNATIONAL BOND | PERSHING LLC | 27,392.89 | 72.70(b) | |
FUND (USD HEDGED)— | T ROWE PRICE ASSOCIATES | 10,287.50 | 27.30(c) | |
ADVISOR CLASS | ||||
INTERNATIONAL BOND | EDWARD D JONES & CO | 85,898,846.53 | 53.45(b) | |
FUND (USD HEDGED)— | FOR THE BENEFIT OF CUSTOMERS |
| ||
I CLASS | LADYBIRD & CO | 13,775,841.95 | 8.57 | |
| LADYBUG & CO | 10,486,828.46 | 6.53 | |
| NATIONAL FINANCIAL SERVICES | 15,928,378.01 | 9.91 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 10,342,026.53 | 6.44 | |
INTERNATIONAL BOND | RETIREMENT I 2020 FUND | 30,896,063.84 | 5.69 | |
FUND (USD HEDGED)— | T ROWE PRICE ASSOCIATES |
| ||
Z CLASS | RETIREMENT I 2025 FUND | 41,163,849.04 | 7.58 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2030 FUND | 45,646,712.45 | 8.40 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2020 | 63,157,859.98 | 11.63 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 63,676,585.00 | 11.72 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 69,851,712.14 | 12.86 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 30,760,958.37 | 5.66 | |
| T ROWE PRICE ASSOCIATES |
| ||
| SPECTRUM INCOME FUND | 40,249,458.16 | 7.41 | |
| T. ROWE PRICE ASSOCIATES |
|
73
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
FLOATING RATE FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 553,480 | 5.94 |
| ROBERT S KAPLAN | 576,207 | 6.19 |
| JAMIE SCHUVAL JT TEN |
| |
| T ROWE PRICE ASSOCIATES | 550,094 | 5.91 |
| RETIREMENT I 2015 FUND |
| |
| T ROWE PRICE ASSOCIATES | 1,525,838 | 16.39 |
| RETIREMENT I 2020 FUND |
| |
| T ROWE PRICE ASSOCIATES | 1,115,135 | 11.98 |
| RETIREMENT I 2025 FUND |
| |
| T ROWE PRICE ASSOCIATES | 1,011,327 | 10.86 |
| RETIREMENT I 2030 FUND |
| |
FLOATING RATE MULTI-SECTOR | CBE OF NEW BRUNSWICK | 3,169,043 | 38.74(b) |
ACCOUNT PORTFOLIO | FLOATING RATE MAP |
| |
| GENERAL DYNAMICS CORP 401K | 1,231,679 | 15.06 |
| PLAN MASTER TRUST CP |
| |
| ILLINOIS STUDENT ASSISTANCE | 551,397 | 6.74 |
| COMMISSION DEERFIELD IL 60015-5209 |
| |
| T ROWE PRICE ASSOCIATES | 2,500,000 | 30.56(c) |
| XCEL ENERGY INC. MINNEAPOLIS MN 55401-1993 | 449,731 | 5.50 |
GEORGIA TAX-FREE BOND | CHARLES SCHWAB & CO INC | 3,531,257 | 12.17 |
| NATIONAL FINANCIAL SERVICES | 4,903,476 | 16.90 |
| SEI PRIVATE TRUST COMPANY OAKS PA 19456-9989 | 4,311,789 | 14.86 |
GEORGIA TAX-FREE BOND FUND— | CHARLES SCHWAB & CO INC | 53,792 | 13.47 |
I CLASS | GARY E IVEY | 182,635 | 45.73(b) |
| NORA T HUGHES | 27,674 | 6.93 |
| STEPHEN M HUGHES | 24,450 | 6.12 |
| T ROWE PRICE ASSOCIATES | 21,777 | 5.45 |
| WILLIAM KENT NICHOLS T O D | 88,886 | 22.26 |
GLOBAL ALLOCATION | MORGAN STANLEY SMITH BARNEY JERSEY CITY NJ 07311 | 2,725,082 | 10.60 |
| NATIONAL FINANCIAL SERVICES | 2,809,210 | 10.93 |
| PERSHING LLC | 2,106,273 | 8.20 |
| RAYMOND JAMES ST PETERSBURG FL 33716-1100 | 3,506,114 | 13.64 |
| T ROWE PRICE ASSOCIATES | 2,475,000 | 9.63 |
| UBS WM USA WEEHAWKEN NJ 07086-6761 | 1,989,847 | 7.74 |
GLOBAL ALLOCATION FUND—ADVISOR | CHARLES SCHWAB & CO INC | 94,380 | 11.17 |
| CHARLES SCHWAB & CO INC | 59,725 | 7.07 |
| LPL FINANCIAL | 86,805 | 10.27 |
| NATIONAL FINANCIAL SERVICES | 425,573 | 50.37(b) |
| PERSHING LLC | 90,670 | 10.73 |
| RAYMOND JAMES | 45,440 | 5.38 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INTERNATIONAL BOND | CHARLES SCHWAB & CO INC | 3,513,359.25 | 10.19 | |
FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 4,456,110.10 | 12.92 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
INTERNATIONAL BOND | MORGAN STANLEY SMITH BARNEY LLC | 71,933.51 | 16.05 | |
FUND—ADVISOR CLASS | FOR THE EXCL BENEFIT OF ITS CUST | |||
| NATIONAL FINANCIAL SERVICES | 64,248.32 | 14.34 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 147,666.30 | 32.95(b) | |
| OUR CUSTOMERS |
| ||
| VOYA INSTITUTIONAL TRUST COMPANY | 40,106.17 | 8.95 | |
INTERNATIONAL BOND | CHARLES SCHWAB & CO INC | 3,719,963.98 | 6.16 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| EDWARD D JONES & CO | 3,099,397.57 | 5.13 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| HORIZONDECK & CO | 3,980,927.36 | 6.59 | |
| C/O T ROWE PRICE ASSOC |
| ||
| ATTN GLOBAL ALLOCATION FUND |
| ||
| NATIONAL FINANCIAL SERVICES | 3,941,889.03 | 6.53 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 7,182,242.01 | 11.89 | |
| TD AMERITRADE INC FBO | 23,502,820.50 | 38.92(b) | |
| OUR CUSTOMERS |
| ||
INTERNATIONAL BOND | SPECTRUM INCOME FUND | 41,191,142.74 | 100.00(a) | |
FUND—Z CLASS | T. ROWE PRICE ASSOCIATES |
| ||
INTERNATIONAL | CHARLES SCHWAB & CO INC | 2,411,461.96 | 36.97(b) | |
DISCIPLINED EQUITY FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 1,815,200.03 | 27.83(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| RAYMOND JAMES | 950,837.37 | 14.58 | |
| OMNIBUS FOR MUTUAL FUNDS |
| ||
INTERNATIONAL | EMPOWER TRUST FBO | 21,024.94 | 6.41 | |
DISCIPLINED EQUITY | EMPLOYEE BENEFITS CLIENTS 401K |
| ||
FUND—ADVISOR CLASS | FIIOC AS AGENT | 74,338.54 | 22.67 | |
| FBO DENTAL ASSOCIATES OF WALPOLE |
| ||
| 401K PROFIT SHARING PLAN & TRUST |
| ||
| COVINGTON KY 41015-1987 |
| ||
| FIIOC AS AGENT | 57,474.19 | 17.53 | |
| PRO TOOL & SUPPLY, INC AND |
| ||
| PRO EQUIPMENT RENTAL, INC 401K |
| ||
| NATIONAL FINANCIAL SERVICES | 139,363.22 | 42.51(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
INTERNATIONAL | CHARLES SCHWAB & CO INC | 9,154,883.11 | 39.01(b) | |
DISCIPLINED EQUITY | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
FUND—I CLASS | MAC & CO | 4,356,406.58 | 18.56 | |
| NATIONAL FINANCIAL SERVICES | 1,617,936.90 | 6.89 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 3,140,733.55 | 13.38 | |
| TD AMERITRADE INC FBO | 1,190,617.24 | 5.07 | |
| OUR CUSTOMERS |
|
74
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
GLOBAL ALLOCATION FUND—I CLASS | CHARLES SCHWAB & CO INC | 511,036 | 17.16 |
| JOHN D. BESSON | 154,624 | 5.19 |
| KAREN S. BESSON JT TEN |
| |
| NATIONAL FINANCIAL SERVICES | 358,571 | 12.04 |
| PERSHING LLC | 413,695 | 13.90 |
| SAXON & CO CLEVELAND OH 44101-4597 | 156,753 | 5.26 |
| TD AMERITRADE INC | 245,258 | 8.24 |
| TRUSTEES OF T ROWE PRICE | 578,594 | 19.43 |
| U.S. RETIREMENT PROGRAM |
| |
| WILLIAM J STROMBERG | 162,893 | 5.47 |
GLOBAL CONSUMER | NATIONAL FINANCIAL SERVICES | 103,809 | 7.94 |
| T ROWE PRICE ASSOCIATES | 700,000 | 53.57(c) |
GLOBAL GROWTH STOCK FUND— | ASCENSUS TRUST COMPANY FBO | 4,275 | 5.32 |
ADVISOR CLASS | MUSKINGUM IRON & METAL CO SALARY FARGO ND 58106-0758 |
| |
| CHARLES SCHWAB & CO INC | 5,178 | 6.44 |
| MARK SMITH & GREGG DEVILBISS TTEE | 20,770 | 25.84(b) |
| KENTNER SELLERS LLP PSP |
| |
| C/O FASCORE LLC GREENWOOD VLG CO 80111-5002 |
| |
| NATIONAL FINANCIAL SERVICES | 6,373 | 7.93 |
| PERSHING LLC | 13,890 | 17.28 |
| T ROWE PRICE ASSOCIATES | 25,000 | 31.10(c) |
GLOBAL GROWTH STOCK FUND— | MAC & CO | 643,397 | 11.73 |
I CLASS | MAC & CO | 1,601,743 | 29.19(b) |
| MAC & CO | 1,715,521 | 31.27(b) |
| NATIONAL MERIT SCHOLARSHIP | 862,142 | 15.71 |
| CORPORATION EVANSTON IL 60201-4897 |
| |
| TRUSTEES OF T ROWE PRICE | 453,569 | 8.27 |
| U.S. RETIREMENT PROGRAM |
| |
GLOBAL HIGH INCOME BOND | NATIONAL FINANCIAL SERVICES | 1,059,763 | 15.19 |
| T ROWE PRICE ASSOCIATES | 1,475,000 | 21.14 |
GLOBAL HIGH INCOME BOND FUND— | CHARLES SCHWAB & CO INC | 28,639 | 19.31 |
ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 15,691 | 10.58 |
| PERSHING LLC | 31,867 | 21.49 |
| T ROWE PRICE ASSOCIATES | 25,000 | 16.86 |
| TD AMERITRADE INC | 47,114 | 31.77(b) |
GLOBAL HIGH INCOME BOND FUND— | CHARLES SCHWAB & CO INC | 1,652,117 | 66.94(b) |
I CLASS | T ROWE PRICE TRUST CO INC | 161,304 | 6.54 |
| CUST FOR THE IRA OF DAVID MILLER |
| |
| TD AMERITRADE INC | 416,672 | 16.88 |
| TRUSTEES OF T ROWE PRICE | 152,207 | 6.17 |
| U.S. RETIREMENT PROGRAM |
| |
GLOBAL INDUSTRIALS | T ROWE PRICE ASSOCIATES | 700,000 | 36.15(c) |
GLOBAL INDUSTRIALS FUND—I CLASS | T ROWE PRICE ASSOCIATES | 20,644 | 17.77 |
| TRUSTEES OF T ROWE PRICE | 95,508 | 82.23(a) |
| U.S. RETIREMENT PROGRAM |
| |
GLOBAL MULTI-SECTOR BOND | CHARLES SCHWAB & CO INC | 4,282,231 | 8.64 |
| NATIONAL FINANCIAL SERVICES | 5,720,515 | 11.54 |
| TD AMERITRADE INC | 4,500,351 | 9.08 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INTERNATIONAL | CHARLES SCHWAB & CO | 2,643,903.91 | 5.48 | |
DISCOVERY FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 13,211,378.66 | 27.38(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 7,639,167.23 | 15.83 | |
INTERNATIONAL | CHARLES SCHWAB & CO INC | 4,669,674.88 | 7.97 | |
DISCOVERY FUND— | REINVEST ACCOUNT |
| ||
I CLASS | EDWARD D JONES & CO | 12,527,504.96 | 21.38 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 13,351,200.20 | 22.79 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
INTERNATIONAL | SPECTRUM DIVERSIFIED EQUITY | 1,228,542.39 | 55.22(a) | |
DISCOVERY FUND— | T. ROWE PRICE ASSOCIATES |
| ||
Z CLASS | SPECTRUM INTERNATIONAL EQUITY | 996,307.06 | 44.78(a) | |
FUND | ||||
| T ROWE PRICE ASSOCIATES |
| ||
INTERNATIONAL EQUITY | MARYLAND COLLEGE INVESTMENT PLAN | 8,290,664.42 | 16.71 | |
INDEX FUND | GLOBAL EQUITY MARKET INDEX | |||
| NATIONAL FINANCIAL SERVICES | 2,577,881.67 | 5.19 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
INTERNATIONAL EQUITY | RETIREMENT BLEND 2020 FUND | 331,910.11 | 6.99 | |
INDEX FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2025 FUND | 546,467.89 | 11.52 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2030 FUND | 646,723.89 | 13.63 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2035 FUND | 761,594.21 | 16.05 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2040 FUND | 738,975.45 | 15.57 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2045 FUND | 603,979.45 | 12.73 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2050 FUND | 508,064.97 | 10.71 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2055 FUND | 256,980.97 | 5.42 | |
| T ROWE PRICE ASSOCIATES |
| ||
INTERNATIONAL STOCK | CHARLES SCHWAB & CO INC | 7,126,436.34 | 7.39 | |
FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 8,328,259.74 | 8.63 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE TRUST CO INC | 5,008,365.71 | 5.19 | |
INTERNATIONAL STOCK | CHARLES SCHWAB & CO INC | 119,903.16 | 15.79 | |
FUND—ADVISOR CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 232,804.59 | 30.65(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| WELLS FARGO CLEARING SERVICES LLC | 44,056.86 | 5.80 | |
| SPECIAL CUSTODY ACCT FOR THE |
| ||
| EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
INTERNATIONAL STOCK | EDWARD D JONES & CO | 117,283,180.72 | 57.75(b) | |
FUND—I CLASS | FOR THE BENEFIT OF CUSTOMERS |
|
75
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
GLOBAL MULTI-SECTOR BOND FUND— | LPL FINANCIAL | 165,015 | 7.39 |
ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 1,027,198 | 45.99(b) |
| PERSHING LLC | 217,247 | 9.73 |
| TD AMERITRADE INC | 566,634 | 25.37(b) |
GLOBAL MULTI-SECTOR BOND FUND— I CLASS | AMERICAN TRUST CENTER BISMARCK ND 58501-4023 | 335,122 | 6.89 |
CENTBANK &CO JUNCTION CITY, KS 66441-0700 | 547,748 | 11.27 | |
LINCOLN RETIREMENT SERVICES COMPANY | 285,161 | 5.87 | |
| FBO NORTHSTAR ANESTHESIA 401K PSP FORT WAYNE IN 46801-7876 |
| |
| NATIONAL FINANCIAL SERVICES | 505,683 | 10.40 |
| SEI PRIVATE TRUST COMPANY | 1,125,421 | 23.15 |
| SEI PRIVATE TRUST COMPANY | 284,214 | 5.85 |
GLOBAL REAL ESTATE | CHARLES SCHWAB & CO INC | 482,114 | 7.21 |
| NATIONAL FINANCIAL SERVICES | 550,990 | 8.24 |
| PERSHING LLC | 340,943 | 5.10 |
| TD AMERITRADE INC | 768,587 | 11.49 |
GLOBAL REAL ESTATE FUND—ADVISOR | CHARLES SCHWAB & CO INC | 202,571 | 19.27 |
CLASS | GREAT-WEST LIFE & ANNUITY | 76,635 | 7.29 |
| FBO FUTURE FUNDS II |
| |
| GREAT-WEST TRUST COMPANY LLC FBO | 253,643 | 24.12 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| LINCOLN RETIREMENT SERVICES COMPANY | 87,097 | 8.28 |
| FBO OAKLAWN HOSPITAL 403(B) PLAN |
| |
| NATIONAL FINANCIAL SERVICES | 177,828 | 16.91 |
GLOBAL REAL ESTATE FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 495,019 | 73.66(b) |
| TRUSTEES OF T ROWE PRICE | 135,912 | 20.22 |
| U.S. RETIREMENT PROGRAM |
| |
GLOBAL STOCK | NATIONAL FINANCIAL SERVICES | 1,696,045 | 8.20 |
| PERSHING LLC | 1,485,722 | 7.18 |
GLOBAL STOCK FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 51,860 | 6.28 |
CLASS | TRUST COMPANY OF AMERICA ENGLEWOOD CO 80155-6503 | 61,635 | 7.47 |
| UMB BANK CUSTODIAN | 620,723 | 75.22(b) |
| FBO FIDUCIARY FOR VARIOUS |
| |
| RETIREMENT PROGRAMS TOPEKA KS 66636-0001 |
|
|
GLOBAL STOCK FUND—I CLASS | JPMORGAN CHASE BANK NA AS CUSTODIAN FBO E&Y PARTNERSHIP DEFINED BENEFIT BROOKLYN NY 11245-0003 | 957,570 | 20.53 |
| JPMORGAN CHASE BANK NA AS CUSTODIAN DIRECTED TRUSTEE FOR ERNST & Y | 1,116,445 | 23.94 |
| JPMORGAN CHASE BANK NA AS CUSTODIAN DIRECTED TRUSTEE FOR THE ER | 754,952 | 16.19 |
| JPMORGAN CHASE BANK NA AS CUSTODIAN | 574,852 | 12.32 |
| NATIONAL FINANCIAL SERVICES | 558,871 | 11.98 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INTERNATIONAL STOCK | AMERICAN UNITED LIFE | 78,733.44 | 18.80 | |
FUND—R CLASS | SEPARATE ACCOUNT II |
| ||
| AXA EQUITABLE FOR SA | 36,216.38 | 8.65 | |
| CAPITAL BANK & TRUST COMPANY TTEE | 28,564.93 | 6.82 | |
| PATTCO LLC 401K |
| ||
| GREENWOOD VLG CO 80111-5002 |
| ||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 125,138.90 | 29.88(b) | |
| VARIOUS RETIREMENT PLANS OMNIBUS |
| ||
INTERNATIONAL STOCK | RETIREMENT I 2030 FUND | 30,457,213.71 | 6.12 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2035 FUND | 26,533,776.57 | 5.33 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 32,088,132.41 | 6.44 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 43,007,587.89 | 8.64 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 28,538,174.26 | 5.73 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 46,399,546.87 | 9.32 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 34,786,656.63 | 6.99 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 27,410,895.01 | 5.51 | |
| T ROWE PRICE ASSOCIATES |
| ||
INTERNATIONAL STOCK | FARM BUREAU LIFE INS CO | 1,249,181.91 | 7.37 | |
PORTFOLIO | ATTN MUTUAL FUND ACCOUNTING |
| ||
WEST DES MOINES IA 50266-5997 |
| |||
| NYLIAC | 1,388,264.15 | 8.19 | |
| NYLIM CENTER |
| ||
| PRUCO LIFE INSURANCE COMPANY | 4,033,867.43 | 23.80(d) | |
PLAZ LIFE | ||||
| SECURITY BENEFIT LIFE INS CO | 1,207,870.11 | 7.13 | |
| FBO T ROWE PRICE NO LOAD V A |
| ||
| TRANSAMERICA LIFE INSURANCE | 2,372,674.06 | 14.00 | |
| COMPANY |
| ||
| WRL SERIES LIFE CORPORATE ACCOUNT |
| ||
CEDAR RAPIDS IA 52499-3830 | ||||
INTERNATIONAL VALUE | LPL FINANCIAL | 3,459,928.72 | 12.90 | |
EQUITY FUND | OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 3,769,760.32 | 14.05 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| RAYMOND JAMES | 2,391,839.11 | 8.92 | |
| OMNIBUS FOR MUTUAL FUNDS |
| ||
| WELLS FARGO CLEARING SERVICES LLC | 2,700,104.51 | 10.07 | |
| SPECIAL CUSTODY ACCT FOR THE |
| ||
| EXCLUSIVE BENEFIT OF CUSTOMERS |
|
76
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
GLOBAL TECHNOLOGY | CHARLES SCHWAB & CO INC | 22,021,351 | 6.22 |
| MLPF&S FOR THE SOLE BENEFIT OF | 19,016,252 | 5.37 |
| ITS CUSTOMERS |
| |
| NATIONAL FINANCIAL SERVICES | 35,608,965 | 10.06 |
| PERSHING LLC | 25,077,057 | 7.09 |
| WELLS FARGO CLEARING SERVICES LLC | 18,480,109 | 5.22 |
GLOBAL TECHNOLOGY FUND—I CLASS | CHARLES SCHWAB & CO INC | 6,603,254 | 26.68(b) |
| NATIONAL FINANCIAL SERVICES | 6,157,950 | 24.88 |
| SEI PRIVATE TRUST COMPANY | 1,300,858 | 5.26 |
| TAYNIK & CO QUINCY MA 02169-0938 | 1,532,799 | 6.19 |
| TD AMERITRADE INC | 1,703,177 | 6.88 |
| TRUSTEES OF T ROWE PRICE | 2,499,045 | 10.10 |
| U.S. RETIREMENT PROGRAM |
| |
GNMA | SPECTRUM INCOME FUND | 62,483,424 | 42.32(d) |
| T. ROWE PRICE ASSOCIATES |
| |
GNMA FUND—I CLASS | CHARLES SCHWAB & CO INC | 42,838 | 11.15 |
| T ROWE PRICE ASSOCIATES | 26,882 | 7.00 |
| TRUSTEES OF T ROWE PRICE | 306,875 | 79.85(a) |
| U.S. RETIREMENT PROGRAM |
| |
GOVERNMENT MONEY | T ROWE PRICE ASSOCIATES | 777,306,329 | 9.69 |
| T ROWE PRICE INTERNATIONAL LTD LONDON EC4N 4T2 UNITED KINGDOM | 404,365,794 | 5.04 |
GOVERNMENT MONEY FUND—I CLASS | LEIGH C KIRBY | 8,093,503 | 6.02 |
SAXON & CO | 6,800,000 | 5.06 | |
STEPHEN WILLIAM BOESEL | 16,391,314 | 12.20 | |
GOVERNMENT MONEY PORTFOLIO | AMERICAN NATIONAL GROUP | 3,119,444 | 9.58 |
| UNALLOCATED VA CORP GALVESTON TX 77550-7947 |
| |
| HORACE MANN LIFE INSURANCE CO | 19,839,690 | 60.92(f) |
| SEPARATE ACCOUNT SPRINGFIELD IL 62715-0002 |
| |
| SECURITY BENEFIT LIFE INS CO | 7,822,487 | 24.02 |
| FBO T ROWE PRICE NO LOAD V A |
| |
GOVERNMENT RESERVE | COVEWATER & CO BALTIMORE MD 21202-1009 | 763,508,892 | 6.66 |
| SEAMILE & CO BALTIMORE MD 21202-1009 | 1,426,839,649 | 12.44 |
| TUNA & CO BALTIMORE MD 21202-1009 | 1,253,977,955 | 10.93 |
GROWTH & INCOME | T ROWE PRICE TRUST CO INC | 3,964,422 | 6.01 |
GROWTH & INCOME FUND—I CLASS | CHARLES SCHWAB & CO INC | 20,710 | 10.57 |
| GARY M JACOBS | 84,088 | 42.92(b) |
| JANET L JACOBS JT TEN BOULDER CO 80302-6737 |
| |
| HERMAN & WALTER SAMUELSON | 34,473 | 17.60 |
| FOUNDATION INC TOWSON MD 21204-4905 |
| |
| STEPHEN HUDSON | 15,201 | 7.76 |
| POA JO ANNE HUDSON TRS |
| |
| HUDSON FAMILY REVOCABLE TRUST |
| |
| TRAC 2000 | 10,487 | 5.35 |
| BEAN KINNEY & KORMAN PC 401K |
| |
| LISA A ANTONELLI |
|
|
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INTERNATIONAL VALUE | EMPOWER TRUST FBO | 101,916.90 | 5.25 | |
EQUITY FUND— | EMPLOYEE BENEFITS CLIENTS 401K |
| ||
ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 101,948.03 | 5.25 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| NATIONWIDE TRUST CO FSB | 105,581.72 | 5.44 | |
| FBO PARTICIPATING RETIREMENT PLANS |
| ||
| STATE STREET BANK AND TRUST AS | 1,111,792.77 | 57.28(b) | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
INTERNATIONAL VALUE | MARYLAND COLLEGE INVESTMENT | 3,578,376.67 | 6.34 | |
EQUITY FUND—I CLASS | PLAN EQUITY PORTFOLIO |
| ||
| T ROWE PRICE FUND ACCOUNTING |
| ||
| PERSHING LLC | 3,472,356.99 | 6.15 | |
| TD AMERITRADE INC FBO | 10,517,624.61 | 18.63 | |
| OUR CUSTOMERS |
| ||
INTERNATIONAL VALUE | DCGT AS TTEE AND/OR CUST FBO PLIC | 130,676.89 | 5.84 | |
EQUITY FUND—R CLASS | VARIOUS RETIREMENT PLANS OMNIBUS |
| ||
| SAMMONS FINANCIAL NETWORK LLC | 1,126,952.77 | 50.37(b) | |
| STATE STREET BANK AND TRUST AS | 635,204.13 | 28.39(b) | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
INTERNATIONAL VALUE | RETIREMENT I 2030 FUND | 37,192,651.39 | 6.04 | |
EQUITY FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2035 FUND | 32,536,705.84 | 5.29 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 39,373,090.54 | 6.40 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 53,550,999.34 | 8.70 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 35,040,478.86 | 5.69 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 57,023,021.08 | 9.26 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 43,559,346.60 | 7.08 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 34,465,784.94 | 5.60 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 30,996,403.03 | 5.04 | |
| T ROWE PRICE ASSOCIATES |
| ||
INVESTMENT-GRADE | ALLEN & COMPANY | 884,678.16 | 13.56 | |
CORPORATE MULTI- | NEW YORK NY 10022-3168 |
| ||
SECTOR ACCOUNT | BALTIMORE EQUITABLE SOCIETY | 787,878.39 | 12.08 | |
PORTFOLIO | ATTN MARY HARLEE |
| ||
| GENERAL DYNAMICS CORP 401K | 3,785,915.85 | 58.04(b) | |
| PLAN MASTER TRUST CP |
| ||
| ILLINOIS STUDENT ASSISTANCE | 1,064,636.60 | 16.32 | |
| COMMISSION |
| ||
| ATTN ROGER ROJAS |
| ||
JAPAN FUND | CHARLES SCHWAB & CO INC | 1,298,740.05 | 6.49 | |
| REINVEST ACCOUNT |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 8,716,268.18 | 43.58(b) | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 1,340,688.91 | 6.70 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
77
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
GROWTH STOCK | NATIONAL FINANCIAL SERVICES | 43,088,868 | 7.37 |
| T ROWE PRICE ASSOCIATES | 47,144,993 | 8.07 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 48,548,796 | 8.31 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE ASSOCIATES | 35,473,851 | 6.07 |
| RETIREMENT PORTFOLIO 2035 |
| |
| T ROWE PRICE TRUST CO INC | 33,499,282 | 5.73 |
GROWTH STOCK FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 12,826,729 | 24.66 |
CLASS | NATIONWIDE INSURANCE COMPANY | 5,050,786 | 9.71 |
| VANTAGETRUST – NAV WASHINGTON DC 20002-4239 | 6,346,360 | 12.20 |
| VANTAGETRUST - UNITIZED | 3,553,762 | 6.83 |
GROWTH STOCK FUND—I CLASS | CHARLES SCHWAB & CO INC | 17,602,100 | 11.59 |
| NATIONAL FINANCIAL SERVICES | 15,579,506 | 10.26 |
| T ROWE PRICE ASSOCIATES | 8,233,218 | 5.42 |
| RETIREMENT I 2040 FUND |
| |
GROWTH STOCK FUND—R CLASS | AXA EQUITABLE FOR SA NO 65 SECAUCUS NJ 07094-3619 | 1,152,961 | 6.94 |
| DCGT AS TTEE AND/OR CUST | 845,186 | 5.09 |
| FBO PLIC VARIOUS RETIREMENT PLANS |
| |
| HARTFORD LIFE INSURANCE CO | 1,288,413 | 7.76 |
| SEPARATE ACCOUNT |
| |
| STATE STREET BANK AND TRUST AS | 2,726,853 | 16.42 |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| SUNTRUST BANK GREENWOOD VLG CO 80111-5002 | 1,388,028 | 8.36 |
| UMB BANK NA SFR | 1,467,407 | 8.83 |
| FBO FIDUCIARY FOR TAX DEFERRED |
| |
| ACCOUNTS GROUP |
|
|
HEALTH SCIENCES | CHARLES SCHWAB & CO INC | 8,629,767 | 5.47 |
| JOHN HANCOCK LIFE | 10,224,300 | 6.48 |
| INSURANCE CO USA BOSTON MA 02210-2804 |
| |
| NATIONAL FINANCIAL SERVICES | 12,684,636 | 8.04 |
HEALTH SCIENCES FUND—I CLASS | CHARLES SCHWAB & CO INC | 362,221 | 5.28 |
| NATIONAL FINANCIAL SERVICES | 1,109,341 | 16.16 |
| TRUSTEES OF T ROWE PRICE U.S. RETIREMENT PROGRAM | 1,413,586 | 20.59 |
HEALTH SCIENCES PORTFOLIO | AMERICAN NATIONAL GROUP | 286,789 | 13.46 |
| UNALLOCATED VA CORP GALVESTON TX 77550-7947 |
| |
| MODERN WOODMEN OF AMERICA TOPEKA KS 66636-0001 | 476,708 | 22.38 |
| NATIONWIDE INSURANCE COMPANY | 324,299 | 15.23 |
| SECURITY BENEFIT LIFE INS CO | 614,629 | 28.86(g) |
| FBO T ROWE PRICE NO LOAD V A |
| |
HEALTH SCIENCES PORTFOLIO—II | AXA EQUITABLE LIFE INSURANCE CO | 3,540,943 | 23.84 |
| SEPARATE ACCOUNT 70 |
| |
| NATIONWIDE LIFE INSURANCE COMPANY | 916,171 | 6.17 |
| NATIONWIDELIFE INSURANCE COMPANY | 6,162,848 | 41.49(f) |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
JAPAN FUND—I CLASS | CHARLES SCHWAB & CO INC | 849,658.14 | 13.28 | |
| SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| J.P. MORGAN SECURITIES LLC | 428,271.04 | 6.69 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 656,602.35 | 10.26 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| S KENNETH LEECH | 666,499.85 | 10.42 | |
| EILEEN STUECK LEECH JT TEN |
| ||
JAPAN FUND—Z CLASS | SPECTRUM INTERNATIONAL EQUITY | 6,591,716.48 | 100.00(a) | |
FUND | ||||
| T ROWE PRICE ASSOCIATES |
| ||
LARGE-CAP GROWTH FUND | LPL FINANCIAL | 1,929,174.72 | 40.00(b) | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 388,439.72 | 8.05 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE RPS INC | 1,227,976.83 | 25.46(e) | |
| OMNIBUS ACCOUNT |
| ||
| TRP LARGE CAP GROWTH - INV CLASS |
| ||
FUND | ||||
LARGE-CAP GROWTH | CHARLES SCHWAB & CO INC | 16,518,253.35 | 5.52 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| EDWARD D JONES & CO | 38,064,651.07 | 12.73 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 73,143,252.34 | 24.46 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TIAA, FSB CUST/TTEE FBO | 18,879,283.85 | 6.31 | |
| RETIREMENT PLANS FOR WHICH |
| ||
| TIAA ACTS AS RECORDKEEPER |
| ||
| ATTN TRUST OPERATIONS |
| ||
| SAINT LOUIS MO 63102-2748 |
| ||
LARGE-CAP VALUE FUND | CHARLES SCHWAB & CO INC | 252,182.69 | 5.57 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 1,058,805.20 | 23.40 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 247,095.23 | 5.46 | |
| VANGUARD FIDUCIARY TRUST COMPANY | 878,950.76 | 19.42 | |
| T ROWE PRICE RETAIL CLASS FUNDS |
| ||
| ATTN OUTSIDE FUNDS |
| ||
LARGE-CAP VALUE | MAC & CO | 13,467,115.78 | 9.35 | |
FUND—I CLASS | ATTN MUTUAL FUND OPERATION |
| ||
| NATIONAL FINANCIAL SERVICES | 56,934,827.80 | 39.54(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TIAA, FSB CUST/TTEE FBO | 27,556,708.27 | 19.14 | |
| RETIREMENT PLANS FOR WHICH |
| ||
| TIAA ACTS AS RECORDKEEPER |
| ||
LATIN AMERICA FUND | CHARLES SCHWAB & CO INC | 1,373,203.06 | 9.23 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 1,630,689.99 | 10.96 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
78
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
HIGH YIELD | SPECTRUM INCOME FUND | 147,841,810 | 15.79 |
| T. ROWE PRICE ASSOCIATES |
| |
| T ROWE PRICE ASSOCIATES | 86,726,187 | 9.26 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 62,488,431 | 6.67 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 59,479,693 | 6.35 |
| RETIREMENT PORTFOLIO 2030 |
| |
HIGH YIELD FUND—ADVISOR CLASS | CHARLES SCHWAB & CO INC | 918,673 | 11.80 |
| NATIONAL FINANCIAL SERVICES | 3,977,397 | 51.08(b) |
| RELIANCE TRUST COMPANY FBO | 493,792 | 6.34 |
| RETIREMENT PLANS SERVICED BY METLIFE C/O FASCORE LLC |
| |
| GREENWOOD VLG CO 80111-5002 |
|
|
HIGH YIELD FUND—I CLASS | EDWARD D JONES & CO | 122,953,046 | 46.61(b) |
| NATIONAL FINANCIAL SERVICES | 49,291,175 | 18.68 |
HIGH YIELD MULTI-SECTOR ACCOUNT PORTFOLIO | BALTIMORE EQUITABLE SOCIETY BALTIMORE MD 21201-3808 | 79,935 | 5.56 |
| GENERAL DYNAMICS CORP 401K | 275,768 | 19.18 |
| PLAN MASTER TRUST CP |
| |
| ILLINOIS STUDENT ASSISTANCE | 81,854 | 5.69 |
| COMMISSION |
| |
| T ROWE PRICE ASSOCIATES | 1,000,000 | 69.56(c) |
INFLATION PROTECTED BOND | NATIONAL FINANCIAL SERVICES | 1,960,303 | 5.48 |
| SPECTRUM INCOME FUND | 8,274,743 | 23.12 |
| T. ROWE PRICE ASSOCIATES |
| |
| T ROWE PRICE RPS INC | 1,790,612 | 5.00 |
INFLATION PROTECTED BOND FUND—I CLASS | BREAD & CO BALTIMORE MD 21202-1009 | 1,129,975 | 22.48 |
LADYBIRD & CO | 1,070,356 | 21.29 | |
| LADYBUG & CO | 727,439 | 14.47 |
| LAKESIDE & CO | 384,255 | 7.64 |
| TRUSTEES OF T ROWE PRICE | 333,646 | 6.64 |
| U.S. RETIREMENT PROGRAM |
| |
INSTITUTIONAL AFRICA & MIDDLE | NATIONAL FINANCIAL SERVICES | 20,475,977 | 69.68(b) |
EAST | NORTHERN TRUST AS CUSTODIAN FBO | 1,861,352 | 6.33 |
| JOHN E FETZER INSTITUTE |
| |
| UNIVERSITY OF ARKANSAS | 6,444,767 | 21.93 |
| FOUNDATION INC FAYETTEVILLE AR 72701-6944 |
|
|
INSTITUIONAL CASH RESERVES | T ROWE PRICE ASSOCIATES | 50,000,000 | 41.36(c) |
T ROWE PRICE SERVICES INC | 20,000,000 | 16.54 | |
T ROWE PRICE RETIREMENT PLAN SERVICES INC | 50,000,000 | 41.36(a) | |
INSTITUTIONAL CORE PLUS | BAND & CO MILWAUKEE WI 53212-3958 | 3,135,519 | 8.16 |
| JEANETTE STUMP & | 3,805,240 | 9.91 |
| JAMES CARNEY & HOWARD KLINE TRS |
| |
| SPECIAL METALS CORPORATION RETIREE BENEFIT TRUST PITTSBURGH PA 15222-1209 |
| |
| NATIONAL FINANCIAL SERVICES | 10,544,565 | 27.45(b) |
| SEI PRIVATE TRUST COMPANY | 4,455,833 | 11.60 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
LATIN AMERICA FUND— | T ROWE PRICE RPS INC | 483,392.42 | 10.33 | |
I CLASS | FBO TRP PLAN |
| ||
| TRP LATIN AMERICA I |
| ||
| WASHINGTON & CO C/O US BANK NA | 397,964.37 | 8.51 | |
| MILWAUKEE WI 53212-3958 |
| ||
LATIN AMERICA FUND— | SPECTRUM INTERNATIONAL EQUITY | 842,986.57 | 100.00(a) | |
Z CLASS | FUND | |||
| T ROWE PRICE ASSOCIATES |
| ||
LIMITED DURATION | CHARLES SCHWAB & CO INC | 4,189,872.10 | 14.17 | |
INFLATION FOCUSED | REINVEST ACCOUNT |
| ||
BOND FUND | LPL FINANCIAL | 2,553,104.89 | 8.64 | |
| NATIONAL FINANCIAL SERVICES | 2,634,725.31 | 8.91 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 6,019,361.31 | 20.36 | |
LIMITED DURATION | PERSHING LLC | 11,169,997.96 | 5.74 | |
INFLATION FOCUSED | T ROWE PRICE SERVICES INC FBO | 10,964,871.08 | 5.63 | |
BOND FUND—I CLASS | EDUCATION TRUST OF ALASKA |
| ||
| PORTFOLIO 2025-2028 |
| ||
| T ROWE PRICE SERVICES INC FBO | 54,950,102.82 | 28.24(b) | |
| EDUCATION TRUST OF ALASKA |
| ||
| ENROLLMENT PORTFOLIO |
| ||
| T ROWE PRICE SERVICES INC FBO | 81,904,488.99 | 42.09(b) | |
| EDUCATION TRUST OF ALASKA |
| ||
| PORTFOLIO 2021-2024 |
| ||
LIMITED DURATION | RETIREMENT I 2020 FUND | 116,640,219.66 | 9.03 | |
INFLATION FOCUSED | T ROWE PRICE ASSOCIATES |
| ||
BOND FUND—Z CLASS | RETIREMENT I 2025 FUND | 119,780,085.15 | 9.28 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT INCOME PORTFOLIO | 68,943,418.64 | 5.34 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2010 | 82,433,558.26 | 6.39 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2015 | 108,041,267.99 | 8.37 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2020 | 236,982,526.17 | 18.36 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 185,620,855.58 | 14.38 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 88,313,684.32 | 6.84 | |
| T ROWE PRICE ASSOCIATES |
| ||
LIMITED-TERM BOND | EMPOWER ANNUITY INSURANCE | 3,051,280.61 | 8.86 | |
PORTFOLIO | COMPANY OF AMERICA |
| ||
CLIENT PLANS |
| |||
| GREAT-WEST LIFE & ANNUITY INS CO |
| ||
| JPMORGAN CHASE BANK CUST FBO | 11,673,712.71 | 33.90(d) | |
| INTELLIGENT VARIABLE ANNUITY |
| ||
| TIAA-CREF LIFE SEP A/C VA-1 OF |
| ||
TIAA-CREF LIFE INSURANCE CO | ||||
CHARLOTTE NC 28262-8551 | ||||
| NATIONWIDE INSURANCE COMPANY | 5,650,690.02 | 16.41 | |
| NATIONWIDE LIFE INSURANCE COMPANY | 1,916,445.97 | 5.57 | |
| SECURITY BENEFIT LIFE INS CO | 2,064,415.67 | 5.99 | |
| FBO T ROWE PRICE NO LOAD V A |
| ||
| TRANSAMERICA LIFE INSURANCE CO | 2,910,693.73 | 8.45 | |
| EM PRIVATE PLACEMENT ADVANTAGE V |
|
79
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
INSTITUTIONAL CREDIT OPPORTUNITIES | BOWMAN & CO BALTIMORE MD 21202-1009 | 297,226 | 10.01 |
| T ROWE PRICE ASSOCIATES | 2,500,000 | 84.17(c) |
| TRUSTEES OF T ROWE PRICE | 172,825 | 5.82 |
| U.S. RETIREMENT PROGRAM |
| |
INSTITUTIONAL EMERGING MARKETS | CHARLES SCHWAB & CO INC | 4,665,571 | 11.41 |
BOND | LADYBIRD & CO | 12,686,734 | 31.03(d) |
| LADYBUG & CO | 8,684,375 | 21.24 |
| LAKESIDE & CO | 3,488,920 | 8.53 |
| NATIONAL FINANCIAL SERVICES | 2,579,240 | 6.31 |
| VANGUARD FIDUCIARY TRUST COMPANY | 2,357,139 | 5.77 |
INSTITUTIONAL EMERGING MARKETS EQUITY | GOLDMAN SACHS & CO NEW YORK NY 10004-2434 | 5,886,788 | 13.30 |
| JPMORGAN CHASE BANK NA AS CUSTODIAN | 2,557,409 | 5.78 |
| LAKESIDE & CO | 2,705,593 | 6.11 |
| NATIONAL FINANCIAL SERVICES | 4,778,841 | 10.79 |
| WELLS FARGO BANK NA FBO MINNEAPOLIS MN 55480-1533 | 12,252,130 | 27.68(b) |
INSTITUTIONAL FLOATING RATE | CHARLES SCHWAB & CO INC | 50,841,230 | 10.68 |
| J.P. MORGAN SECURITIES LLC | 53,038,135 | 11.14 |
| NATIONAL FINANCIAL SERVICES | 58,781,540 | 12.35 |
| TD AMERITRADE INC | 29,196,826 | 6.14 |
| TUNA & CO | 79,181,706 | 16.64 |
| WELLS FARGO BANK NA | 53,912,714 | 11.33 |
INSTITUTIONAL FLOATING RATE | CHARLES SCHWAB & CO INC | 4,140,853 | 7.13 |
FUND—F CLASS | NATIONAL FINANCIAL SERVICES | 4,684,160 | 8.07 |
| SAXON & CO PHILADELPHIA PA 19182-0001 | 28,266,738 | 48.69(b) |
SAXON & CO | 3,927,026 | 6.76 | |
| TD AMERITRADE INC | 9,921,202 | 17.09 |
INSTITUTIONAL FRONTIER MARKETS | CHARLES SCHWAB & CO INC | 470,540 | 6.88 |
EQUITY | NATIONAL FINANCIAL SERVICES | 736,098 | 10.76 |
| SEI PRIVATE TRUST COMPANY | 2,051,602 | 30.00(b) |
| T ROWE PRICE ASSOCIATES | 2,520,186 | 36.85(c) |
INSTITUTIONAL GLOBAL FOCUSED | NATIONAL FINANCIAL SERVICES | 1,205,696 | 30.37(b) |
GROWTH EQUITY | TRUSTEES OF T ROWE PRICE | 2,764,480 | 69.63(a) |
| U.S. RETIREMENT PROGRAM |
| |
INSTITUTIONAL GLOBAL GROWTH | CHARLES SCHWAB & CO INC | 3,758,293 | 24.07 |
EQUITY | NATIONAL FINANCIAL SERVICES | 9,148,603 | 58.59(b) |
| SAXON & CO | 813,316 | 5.21 |
| STATE STREET BANK AND TRUST AS | 1,448,965 | 9.28 |
| TTEE FOR THE MASTER TRUST FOR |
| |
| DEFINED BENEFIT PLANS |
| |
| OF SYNGENTA CORPORATION KANSAS CITY MO 64105-1307 |
|
|
INSTITUTIONAL GLOBAL MULTI-SECTOR BOND | CAPINCO MILWAUKEE WI 53212-3958 | 613,018 | 28.88(b) |
| JPMORGAN CHASE BANK, N. A. | 538,484 | 25.37(b) |
| NATIONAL FINANCIAL SERVICES | 469,310 | 22.11 |
| TRUSTEES OF T ROWE PRICE | 502,128 | 23.65 |
| U.S. RETIREMENT PROGRAM |
| |
INSTITUTIONAL GLOBAL VALUE EQUITY | T ROWE PRICE ASSOCIATES | 700,000 | 82.48(c) |
TRUSTEES OF T ROWE PRICE | 148,694 | 17.52 | |
| U.S. RETIREMENT PROGRAM |
| |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
LIMITED-TERM BOND | JEFFERSON NATIONAL | 3,441,878.51 | 96.35(d) | |
PORTFOLIO—II | LIFE INS CO | |||
MARYLAND SHORT-TERM | CHARLES SCHWAB & CO INC | 2,268,131.18 | 17.65 | |
TAX-FREE BOND FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 1,376,453.39 | 10.71 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 2,427,141.85 | 18.89 | |
| TD AMERITRADE INC FBO | 757,042.25 | 5.89 | |
| OUR CUSTOMERS |
| ||
MARYLAND TAX-FREE | CHARLES SCHWAB & CO INC | 9,338,488.69 | 9.30 | |
BOND FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 19,238,669.74 | 19.17 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
MARYLAND TAX-FREE | SAXON & CO | 6,779,665.48 | 5.53 | |
BOND FUND—I CLASS | CLEVELAND OH 44101-4597 |
| ||
MARYLAND TAX-FREE | LPL FINANCIAL | 1,044,879.10 | 5.06 | |
MONEY FUND | OMNIBUS CUSTOMER ACCOUNT |
| ||
| RBC CAPITAL MARKETS, LLC | 1,450,024.18 | 7.02 | |
| MUTUAL FUND OMNIBUS PROCESSING |
| ||
| ATTN MUTUAL FUND OPS MANAGER |
| ||
| MINNEAPOLIS MN 55401-1931 |
| ||
MARYLAND TAX-FREE | ARNOLD SAGNER AGENT POA | 5,809,100.70 | 7.34 | |
MONEY FUND—I CLASS | MONICA SAGNER TR |
| ||
| MONICA SAGNER REVOCABLE TRUST |
| ||
| BARBARA T TICE T O D | 6,114,513.98 | 7.73 | |
| MARY JOHN MILLER | 11,124,685.77 | 14.06 | |
| JAMES D MILLER JT TEN |
| ||
MID-CAP GROWTH FUND | CHARLES SCHWAB & CO INC | 8,419,261.48 | 6.48 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERV CORP | 23,092,862.91 | 17.79 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE TRUST CO | 22,328,700.05 | 17.20 | |
| ATTN ASSET RECONCILIATIONS |
| ||
| WELLS FARGO CLEARING SERVICES LLC | 12,444,740.84 | 9.58 | |
| SPECIAL CUSTODY ACCT FOR THE |
| ||
| EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
MID-CAP GROWTH FUND— | CHARLES SCHWAB & CO INC | 144,128.07 | 5.28 | |
ADVISOR CLASS | REINVEST ACCOUNT |
| ||
| DCGT AS TTEE AND/OR CUST | 140,774.80 | 5.16 | |
| FBO PLIC VARIOUS RETIREMENT PLANS |
| ||
| LINCOLN RETIREMENT SERVICES | 155,561.91 | 5.70 | |
COMPANY | ||||
| FBO UNIVERSITY HOSPITAL 401K PLAN |
| ||
| MATRIX TRUST COMPANY CUST FBO | 157,250.57 | 5.76 | |
| VERMEER CORPORATION 401(K) RETIRE |
| ||
| NATIONAL FINANCIAL SERVICES | 1,025,193.52 | 37.56(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
MID-CAP GROWTH | CHARLES SCHWAB & CO INC | 15,316,602.48 | 12.72 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 15,323,819.01 | 12.73 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
80
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
INSTITUTIONAL HIGH YIELD | BREAD & CO | 15,221,579 | 8.75 |
| GOLDMAN SACHS & CO | 21,211,306 | 12.19 |
| LADYBIRD & CO | 10,110,212 | 5.81 |
| NATIONAL FINANCIAL SERVICES | 28,964,869 | 16.64 |
| TUNA & CO | 13,561,319 | 7.79 |
INSTITUTIONAL INTERNATIONAL BOND | LADYBIRD & CO | 11,300,678 | 24.59 |
LADYBUG & CO | 8,297,601 | 18.06 | |
| LAKESIDE & CO | 3,678,099 | 8.00 |
| PERSHING LLC | 3,394,071 | 7.39 |
| TD AMERITRADE INC | 13,955,599 | 30.37(b) |
INSTITUTIONAL INTERNATIONAL | CHARLES SCHWAB & CO INC | 9,412,224 | 24.51 |
CONCENTRATED EQUITY | COLUMBIA TRUST PARTNERS SALEM OR 97308-1012 | 2,300,824 | 5.99 |
| NATIONAL FINANCIAL SERVICES | 9,886,624 | 25.75(b) |
| PERSHING LLC | 7,891,747 | 20.55 |
| T ROWE PRICE ASSOCIATES | 4,862,792 | 12.66 |
INSTITUTIONAL INTERNATIONAL CORE | CHARLES SCHWAB & CO INC | 691,285 | 5.09 |
EQUITY | DEKALB COUNTY PENSION PLAN DECATUR GA 30030-3222 | 9,911,540 | 73.00(b) |
| WELLS FARGO BANK NA | 1,499,211 | 11.04 |
INSTITUTIONAL INTERNATIONAL | BNA FOREIGN EQUITY FUND | 899,183 | 38.19(b) |
GROWTH EQUITY | KEYBANK NA | 329,305 | 13.99 |
| LINK-BELT EE RETMT-T. ROWE PRICE PR CLEVELAND OH 44101-4871 |
| |
| NATIONAL FINANCIAL SERVICES | 814,471 | 34.59(b) |
| SAXON & CO | 144,494 | 6.14 |
INSTITUTIONAL LARGE-CAP CORE | NATIONAL FINANCIAL SERVICES | 32,155,572 | 38.34(b) |
GROWTH | VANGUARD FIDUCIARY TRUST COMPANY | 10,546,980 | 12.58 |
| T ROWE INSTITUTIONAL CLASS VALLEY FORGE PA 19482-2600 |
| |
INSTITUTIONAL LARGE-CAP GROWTH | BANK OF AMERICA NA TRUSTEE FOR | 22,959,048 | 5.28 |
MERRILL LYNCH & CO INC 401K SAVINGS & INVESTMENT PLAN HOUSTON TX 77002-2700 |
| ||
| BANK OF AMERICA NA TRUSTEE FOR | 51,266,388 | 11.78 |
| THE BANK OF AMERICA 401K PLAN |
| |
| CHARLES SCHWAB & CO INC | 24,754,261 | 5.69 |
| EDWARD D JONES & CO | 40,743,463 | 9.36 |
| NATIONAL FINANCIAL SERVICES | 82,207,346 | 18.89 |
INSTITUTIONAL LARGE-CAP VALUE | CHARLES SCHWAB & CO INC | 11,961,837 | 7.11 |
NATIONAL FINANCIAL SERVICES | 81,660,545 | 48.53(b) | |
| TIAA, FSB CUST/TTEE FBO | 18,102,321 | 10.76 |
| RETIREMENT PLANS FOR WHICH |
| |
| TIAA ACTS AS RECORDKEEPER SAINT LOUIS MO 63102-2748 |
| |
INSTITUTIONAL LONG DURATION | BAND & CO | 867,016 | 22.79 |
CREDIT | INVESTMENT COMPANY INSTITUTE WASHINGTON DC 20005-2110 | 751,722 | 19.76 |
| NATIONAL FINANCIAL SERVICES | 628,215 | 16.51 |
| T ROWE PRICE ASSOCIATES | 1,500,000 | 39.43(c) |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
MID-CAP GROWTH | AMERICAN UNITED LIFE | 51,647.72 | 14.08 | |
FUND—R CLASS | SEPARATE ACCOUNT II |
| ||
| EMPOWER TRUST COMPANY LLC | 28,843.74 | 7.86 | |
| VARIOUS FASCORE LLC RECORDKEPT |
| ||
| EMPOWER TRUST FBO | 22,350.44 | 6.09 | |
| RECORDKEEPING FOR VARIOUS BENEFIT |
| ||
| NATIONAL FINANCIAL SERVICES | 44,325.39 | 12.08 | |
| NATIONWIDE TRUST CO FSB | 34,585.53 | 9.43 | |
| STATE STREET BANK AND TRUST AS | 25,079.32 | 6.84 | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
| VOYA RETIREMENT INS & ANNUITY CO | 60,588.02 | 16.52 | |
| WINDSOR CT 06095-4774 |
| ||
MID-CAP GROWTH | RETIREMENT I 2030 FUND | 3,243,721.66 | 6.44 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2035 FUND | 2,777,110.69 | 5.51 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 3,362,815.72 | 6.67 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 4,465,085.02 | 8.86 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 3,073,603.69 | 6.10 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 4,895,083.36 | 9.71 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 3,590,231.72 | 7.12 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 2,797,519.02 | 5.55 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 2,536,497.46 | 5.03 | |
| T ROWE PRICE ASSOCIATES |
| ||
MID-CAP GROWTH | C M LIFE INSURANCE CO | 2,064,281.65 | 12.78 | |
PORTFOLIO | ATTN FUND OPERATIONS |
| ||
| SPRINGFIELD MA 01111-0001 |
| ||
| FARM BUREAU LIFE INS CO | 926,294.00 | 5.74 | |
| ATTN MUTUAL FUND ACCOUNTING |
| ||
| M M L BAYSTATE LIFE INS CO | 1,624,476.61 | 10.06 | |
| ATTN RS FUND OPERATIONS |
| ||
SPRINGFIELD MA 01111-0001 | ||||
| MASS MUTUAL LIFE INS CO | 2,117,267.30 | 13.11 | |
| ATTN FUND OPERATIONS |
| ||
MODERN WOODMEN OF AMERICA | 3,170,617.08 | 19.63 | ||
ATTN MUTUAL FUNDS ACCTG | ||||
| SECURITY BENEFIT LIFE INS CO | 2,360,778.63 | 14.62 | |
| FBO T ROWE PRICE NO LOAD V A |
| ||
MID-CAP GROWTH | LINCOLN NATIONAL LIFE INS CO | 178,818.10 | 8.55 | |
PORTFOLIO—II | ATTN CAMMIE KLINE |
| ||
| FORT WAYNE IN 46802-3506 |
| ||
| NATIONWIDE INSURANCE COMPANY | 1,231,472.01 | 58,87(d) | |
| NATIONWIDE LIFE INSURANCE COMPANY | 653,737.07 | 31.25(d) | |
MID-CAP INDEX FUND | T ROWE PRICE ASSOCIATES | 12,131.23 | 100.00(c) |
81
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
INSTITUTIONAL MID-CAP EQUITY GROWTH | KY PUBLIC EMP DEF COMP AUTHORITY COLUMBUS OH 43218-2029 | 6,267,363 | 5.11 |
| NATIONAL FINANCIAL SERVICES | 39,201,266 | 31.95(b) |
| THE STATE OF WISCONSIN DEF COMP BRD FBO WISCONSIN DCP GREENWOOD VLG CO 80111-5002 | 9,532,062 | 7.77 |
| VANGUARD FIDUCIARY TRUST COMPANY | 13,196,120 | 10.75 |
| T ROWE INSTITUTIONAL CLASS |
| |
INSTITUTIONAL SMALL-CAP STOCK | NATIONAL FINANCIAL SERVICES | 54,934,329 | 29.89(b) |
NORTHERN TRUST COMPANY | 16,487,607 | 8.97 | |
| FBO PFIZER SAVINGS AND |
| |
| INVESTMENT PLAN |
| |
| STATE OF FLORIDA PUBLIC | 10,948,721 | 5.96 |
| EMPLOYEES OPTIONAL RETIREMENT |
| |
| PROGRAM-FLORIDA RETIREMENT SYSTEM TALLAHASSEE FL 32308-7743 |
| |
| STATE OF MINNESOTA | 28,586,302 | 15.56 |
| FBO MINNESOTA STATE RETIREMENT SYST GREENWOOD VLG CO 80111-5002 |
| |
| VANGUARD FIDUCIARY TRUST COMPANY | 29,380,073 | 15.99 |
| T ROWE INSTITUTIONAL CLASS |
| |
INSTITUTIONAL U.S. STRUCTURED | GREAT-WEST TRUST COMPANY LLC | 2,853,490 | 6.27 |
RESEARCH | FBO DEFINED BENEFIT PLANS |
| |
| JOHN HANCOCK TRUST COMPANY | 3,062,775 | 6.73 |
| MAC & CO | 2,630,975 | 5.78 |
| MCWOOD & CO RALEIGH NC 27626-0522 | 3,885,672 | 8.53 |
| NATIONAL FINANCIAL SERVICES | 10,214,702 | 22.43 |
| WELLS FARGO BANK FBO VARIOUS RETIREMENT PLANS | 4,004,330 | 8.79 |
| CHARLOTTE NC 28288-0001 |
| |
| WELLS FARGO BANK NA FBO T. ROWE PRICE INSTL STRUCTURED RSRC | 5,791,861 | 12.72 |
| WELLS FARGO BANK NA FBO UCARE MINNESOTA | 7,446,528 | 16.35 |
INTERMEDIATE TAX-FREE HIGH YIELD | CHARLES SCHWAB & CO INC | 438,999 | 8.61 |
T ROWE PRICE ASSOCIATES | 3,002,273 | 58.89(c) | |
INTERMEDIATE TAX-FREE HIGH YIELD | LPL FINANCIAL | 23,192 | 40.73(b) |
FUND—ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 5,413 | 9.51 |
| PERSHING LLC | 3,304 | 5.80 |
| T ROWE PRICE ASSOCIATES | 25,000 | 43.91(c) |
INTERMEDIATE TAX-FREE HIGH YIELD | J D EISNER F R ROCKWELL TRS | 55,366 | 19.08 |
FUND—I CLASS | JOHN R ROCKWELL MARITAL TRUST |
| |
| JONATHAN D EISNER | 19,282 | 6.65 |
| EDWARD C BERNARD TRS |
| |
| SCOTT R ROCKWELL 2010 TRUST |
| |
| T ROWE PRICE ASSOCIATES | 24,248 | 8.36 |
| TERRY ROSELL | 146,353 | 50.44(b) |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
MID-CAP INDEX FUND— | EDUCATION TRUST OF ALASKA | 483,975.28 | 7.98 | |
I CLASS | ACT PORTFOLIO |
| ||
| C/O T ROWE PRICE ASSOCIATES |
| ||
| EDUCATION TRUST OF ALASKA | 2,415,163.88 | 39.80(b) | |
| TOTAL EQUITY MARKET INDEX |
| ||
PORTFOLIO | ||||
| C/O T ROWE PRICE ASSOCIATES |
| ||
| MARYLAND COLLEGE INVESTMENT PLAN | 1,127,375.05 | 18.58 | |
| EXTENDED EQUITY INDEX PORTFOLIO |
| ||
| MARYLAND COLLEGE INVESTMENT PLAN | 1,730,603.44 | 28.52(b) | |
| GLOBAL EQUITY MARKET INDEX |
| ||
MID-CAP INDEX FUND— | RETIREMENT BLEND 2020 FUND | 81,222.64 | 6.99 | |
Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2025 FUND | 134,865.65 | 11.61 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2030 FUND | 159,021.91 | 13.69 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2035 FUND | 187,566.80 | 16.15 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2040 FUND | 181,209.78 | 15.60 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2045 FUND | 146,005.64 | 12.57 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2050 FUND | 124,008.23 | 10.68 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2055 FUND | 62,395.04 | 5.37 | |
| T ROWE PRICE ASSOCIATES |
| ||
MID-CAP VALUE FUND | CHARLES SCHWAB & CO INC | 7,104,204.56 | 5.08 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 22,888,585.61 | 16.36 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE RPS INC | 11,178,234.65 | 7.99 | |
| PLAN OMNIBUS ACCT |
| ||
| NEW BUSINESS GROUP |
| ||
MID-CAP VALUE FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 128,222.60 | 5.26 | |
ADVISOR CLASS | VARIOUS RETIREMENT PLANS OMNIBUS |
| ||
| EMPOWER TRUST COMPANY LLC | 171,347.77 | 7.02 | |
| RECORDKEEPING FOR LARGE BENEFIT PL |
| ||
| LINCOLN RETIREMENT SERVICES | 163,746.47 | 6.71 | |
COMPANY | ||||
| FBO CAROLINAEAST MEDICAL CENTER |
| ||
| NATIONAL FINANCIAL SERVICES | 470,959.57 | 19.30 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| STATE STREET BANK AND TRUST AS | 409,275.66 | 16.77 | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
MID-CAP VALUE FUND— | CHARLES SCHWAB & CO INC | 8,886,997.49 | 5.75 | |
I CLASS | EDWARD D JONES & CO | 9,366,599.42 | 6.06 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 20,807,326.47 | 13.46 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
82
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
INTERNATIONAL BOND | SPECTRUM INCOME FUND | 55,611,901 | 24.87 |
| T. ROWE PRICE ASSOCIATES |
| |
| T ROWE PRICE ASSOCIATES | 19,034,495 | 8.51 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 13,812,713 | 6.18 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 14,590,093 | 6.53 |
| RETIREMENT PORTFOLIO 2030 |
| |
| WELLS FARGO CLEARING SERVICES LLC | 11,832,639 | 5.29 |
INTERNATIONAL BOND FUND— | CHARLES SCHWAB & CO INC | 50,909 | 5.40 |
ADVISOR CLASS | LPL FINANCIAL | 145,502 | 15.42 |
| MORGAN STANLEY SMITH BARNEY | 56,653 | 6.01 |
| NATIONAL FINANCIAL SERVICES | 153,558 | 16.28 |
| PERSHING LLC | 76,300 | 8.09 |
| RAYMOND JAMES | 94,120 | 9.98 |
| TD AMERITRADE INC | 170,033 | 18.02 |
INTERNATIONAL BOND FUND—I CLASS | EDWARD D JONES & CO | 45,846,058 | 75.02(b) |
INTERNATIONAL BOND (USD HEDGED) | T ROWE PRICE ASSOCIATES | 14,025,345 | 5.96 |
| RETIREMENT PORTFOLIO 2010 |
| |
| T ROWE PRICE ASSOCIATES | 16,698,555 | 7.10 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 21,243,871 | 9.03 |
| RETIREMENT PORTFOLIO 2015 |
| |
| T ROWE PRICE ASSOCIATES | 53,038,566 | 22.55 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 40,484,354 | 17.21 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 40,411,287 | 17.18 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE ASSOCIATES | 19,583,844 | 8.33 |
| RETIREMENT PORTFOLIO 2035 |
| |
INTERNATIONAL BOND (USD | T ROWE PRICE ASSOCIATES | 25,000 | 100.00(c) |
HEDGED)—ADVISOR CLASS |
|
| |
INTERNATIONAL BOND (USD | T ROWE PRICE ASSOCIATES | 2,487,490 | 6.47 |
HEDGED)—I CLASS | RETIREMENT I 2015 FUND |
| |
| T ROWE PRICE ASSOCIATES | 7,604,579 | 19.78 |
| RETIREMENT I 2020 FUND |
| |
| T ROWE PRICE ASSOCIATES | 6,004,571 | 15.62 |
| RETIREMENT I 2025 FUND |
| |
| T ROWE PRICE ASSOCIATES | 6,315,048 | 16.43 |
| RETIREMENT I 2030 FUND |
| |
| T ROWE PRICE ASSOCIATES | 3,167,020 | 8.24 |
| RETIREMENT I 2035 FUND |
| |
| T ROWE PRICE ASSOCIATES | 2,912,757 | 7.58 |
| RETIREMENT I 2040 FUND |
| |
INTERNATIONAL CONCENTRATED EQUITY | NATIONAL FINANCIAL SERVICES | 8,472,463 | 82.15(b) |
INTERNATIONAL CONCENTRATED | CHARLES SCHWAB & CO INC | 8,013 | 5.25 |
EQUITY FUND—ADVISOR CLASS | GREAT-WEST TRUST COMPANY LLC FBO | 17,825 | 11.67 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| NATIONAL FINANCIAL SERVICES | 39,387 | 25.78(b) |
| PERSHING LLC | 8,864 | 5.80 |
| T ROWE PRICE ASSOCIATES | 25,000 | 16.37 |
| TD AMERITRADE INC | 49,190 | 32.20(b) |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
MID-CAP VALUE FUND— | NATIONWIDE TRUST CO FSB | 1,825,645.09 | 42.70(b) | |
R CLASS | STATE STREET BANK AND TRUST AS | 1,711,745.43 | 40.04(b) | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
MID-CAP VALUE FUND— | RETIREMENT I 2030 FUND | 9,178,661.88 | 6.14 | |
Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2035 FUND | 8,009,084.94 | 5.36 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 9,637,247.81 | 6.45 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 13,337,879.52 | 8.93 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 8,879,963.37 | 5.94 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 14,348,156.94 | 9.60 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 10,858,454.41 | 7.27 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 8,471,557.88 | 5.67 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 7,619,030.51 | 5.10 | |
| T ROWE PRICE ASSOCIATES |
| ||
MODERATE ALLOCATION | AMERICAN NATIONAL GROUP | 508,627.78 | 5.70 | |
PORTFOLIO | UNALLOCATED VA CORP |
| ||
| ATTN JOHN BURCHETT |
| ||
8TH FLOOR CONTROLLERS DEPT | ||||
| FARM BUREAU LIFE INS CO | 913,093.96 | 10.22 | |
| ATTN MUTUAL FUND ACCOUNTING |
| ||
MODERN WOODMEN OF AMERICA | 2,031,298.68 | 22.74 | ||
ATTN PRODUCT VALUATION | ||||
PARAGON LIFE INSURANCE CO | 1,207,539.15 | 13.52 | ||
| SECURITY BENEFIT LIFE INS CO | 1,619,345.10 | 18.13 | |
| FBO T ROWE PRICE NO LOAD V A |
| ||
MORTGAGE-BACKED | ALLEN & COMPANY | 1,297,885.24 | 9.03 | |
SECURITIES MULTI-SECTOR | BALTIMORE EQUITABLE SOCIETY | 1,320,843.23 | 9.19 | |
ACCOUNT PORTFOLIO | ATTN MARY HARLEE |
| ||
| GENERAL DYNAMICS CORP 401K | 6,318,837.23 | 43.98(b) | |
| PLAN MASTER TRUST CP |
| ||
| ILLINOIS STUDENT ASSISTANCE | 1,790,685.44 | 12.46 | |
| COMMISSION |
| ||
| ATTN ROGER ROJAS |
| ||
| XCEL ENERGY INC. | 3,639,690.37 | 25.33(b) | |
| ATTN GREG ZICK |
| ||
MULTI-STRATEGY TOTAL | CHARLES SCHWAB & CO INC | 427,983.41 | 12.10 | |
RETURN FUND | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| LPL FINANCIAL | 498,778.63 | 14.10 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 368,522.88 | 10.42 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 490,969.00 | 13.88 | |
| TD AMERITRADE INC FBO | 414,838.93 | 11.73 | |
| OUR CUSTOMERS |
| ||
| VANGUARD BROKERAGE SERVICES | 283,635.55 | 8.02 |
83
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
INTERNATIONAL CONCENTRATED | NATIONAL FINANCIAL SERVICES | 140,336 | 34.98(b) |
EQUITY FUND—I CLASS | PERSHING LLC | 49,861 | 12.43 |
| T ROWE PRICE ASSOCIATES | 25,961 | 6.47 |
| TD AMERITRADE INC | 21,257 | 5.30 |
| TRUSTEES OF T ROWE PRICE | 154,486 | 38.51(a) |
| U.S. RETIREMENT PROGRAM |
| |
INTERNATIONAL DISCOVERY | NATIONAL FINANCIAL SERVICES | 9,651,389 | 12.59 |
| PERSHING LLC | 5,153,398 | 6.72 |
INTERNATIONAL DISCOVERY FUND— | CHARLES SCHWAB & CO INC | 2,952,063 | 6.72 |
I CLASS | EDWARD D JONES & CO | 9,783,505 | 22.27 |
| NATIONAL FINANCIAL SERVICES | 11,356,213 | 25.85(b) |
| VANGUARD FIDUCIARY TRUST COMPANY | 6,747,085 | 15.36 |
INTERNATIONAL EQUITY INDEX | MARYLAND COLLEGE INVESTMENT PLAN | 5,994,944 | 14.16 |
| GLOBAL EQUITY MARKET INDEX BALTIMORE MD 21202-1009 |
| |
INTERNATIONAL STOCK | T ROWE PRICE ASSOCIATES | 67,800,719 | 10.19 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 58,999,269 | 8.87 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 58,452,005 | 8.79 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 83,377,976 | 12.53 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE ASSOCIATES | 54,493,781 | 8.19 |
| RETIREMENT PORTFOLIO 2035 |
| |
| T ROWE PRICE ASSOCIATES | 37,596,346 | 5.65 |
| RETIREMENT PORTFOLIO 2045 |
| |
INTERNATIONAL STOCK FUND— | NATIONAL FINANCIAL SERVICES | 6,185,094 | 78.93(b) |
ADVISOR CLASS | TD AMERITRADE TRUST COMPANY | 447,992 | 5.72 |
INTERNATIONAL STOCK FUND— | EDWARD D JONES & CO | 33,702,158 | 22.98 |
I CLASS | NATIONAL FINANCIAL SERVICES | 27,661,438 | 18.86 |
| T ROWE PRICE ASSOCIATES | 8,432,041 | 5.75 |
| RETIREMENT I 2020 FUND |
| |
| T ROWE PRICE ASSOCIATES | 8,620,530 | 5.88 |
| RETIREMENT I 2025 FUND |
| |
| T ROWE PRICE ASSOCIATES | 12,825,332 | 8.74 |
| RETIREMENT I 2030 FUND |
| |
| T ROWE PRICE ASSOCIATES | 8,798,026 | 6.00 |
| RETIREMENT I 2035 FUND |
| |
| T ROWE PRICE ASSOCIATES | 11,754,263 | 8.01 |
| RETIREMENT I 2040 FUND |
| |
INTERNATIONAL STOCK FUND— | ACCESS INC TTEE FBO | 29,550 | 5.87 |
R CLASS | ACCESS INC 401K PSP GREENWOOD VLG CO 80111-5002 |
| |
| AMERICAN UNITED LIFE | 80,090 | 15.90 |
| SEPARATE ACCOUNT II |
| |
| AXA EQUITABLE FOR SA NO 65 | 50,819 | 10.09 |
| CAPITAL BANK & TRUST COMPANY TTEE | 41,462 | 8.23 |
| PATTCO LLC 401K |
| |
| DCGT AS TTEE AND/OR CUST | 63,673 | 12.64 |
| FBO PLIC VARIOUS RETIREMENT PLANS |
| |
| NATIONWIDE TRUST CO FSB | 27,958 | 5.55 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
MULTI-STRATEGY TOTAL | HORIZONDECK & CO | 3,026,953.63 | 9.29 | |
RETURN FUND—I CLASS | C/O T ROWE PRICE ASSOCIATES INC |
| ||
| ATTN TRP GLOBAL ALLOCATION FUND |
| ||
| LADYBIRD & CO | 10,579,655.20 | 32.49(a) | |
| LADYBUG & CO | 8,130,163.98 | 24.97 | |
| LAKESIDE & CO | 7,699,372.55 | 23.64 | |
NEW ASIA FUND | CHARLES SCHWAB & CO INC | 6,608,191.18 | 8.59 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 10,759,863.90 | 13.99 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
NEW ASIA FUND—I CLASS | CHARLES SCHWAB & CO INC | 7,491,488.83 | 8.54 | |
| REINVEST ACCOUNT |
| ||
| J.P. MORGAN SECURITIES LLC | 26,835,048.00 | 30.60(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| MITRA & CO FBO VA | 6,020,310.38 | 6.87 | |
| MILWAUKEE WI 53223-2422 |
| ||
NEW ASIA FUND—Z CLASS | SPECTRUM INTERNATIONAL | 11,050,315.77 | 100.00(a) | |
EQUITY FUND | ||||
| T ROWE PRICE ASSOCIATES |
| ||
NEW ERA FUND | CHARLES SCHWAB & CO INC | 1,920,768.01 | 5.66 | |
| REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 1,733,626.99 | 5.11 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 3,532,213.85 | 10.41 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| WELLS FARGO CLEARING SERVICES LLC | 1,739,537.05 | 5.12 | |
| SPECIAL CUSTODY ACCT FOR THE |
| ||
| EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
NEW ERA FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 14,775,344.05 | 37.28(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 3,465,117.06 | 8.74 | |
| OUR CUSTOMERS |
| ||
NEW HORIZONS FUND | CHARLES SCHWAB & CO INC | 10,711,218.29 | 5.29 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 41,601,777.88 | 20.54 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE TRUST CO INC | 32,320,912.66 | 15.96 | |
NEW HORIZONS FUND— | NATIONAL FINANCIAL SERVICES | 45,634,918.55 | 19.86 | |
I CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS |
84
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
INTERNATIONAL STOCK PORTFOLIO | ALLAMERICA FINANCIAL LIFE | 2,511,469 | 11.42 |
| INSURANCE AND ANNUITY COMPANY TOPEKA KS 66636-1000 |
| |
| FARM BUREAU LIFE INS CO WEST DES MOINES IA 50266-5997 | 1,181,483 | 5.37 |
| NYLIAC | 2,724,148 | 12.39 |
| PRUCO LIFE INSURANCE COMPANY | 1,156,283 | 5.26 |
| PLAZ ANNUITY |
| |
| PRUCO LIFE INSURANCE COMPANY | 4,863,165 | 22.11 |
| PLAZ LIFE |
| |
| SECURITY BENEFIT LIFE INS CO | 1,256,059 | 5.71 |
| FBO T ROWE PRICE NO LOAD V A |
| |
| TRANSAMERICA PREMIER LIFE INSURANCE | 2,362,149 | 10.74 |
| WRL SERIES LIFE CORPORATE ACCOUNT CEDAR RAPIDS IA 52499-3830 |
|
|
INTERNATIONAL VALUE EQUITY | T ROWE PRICE ASSOCIATES | 94,250,789 | 12.42 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 82,932,458 | 10.93 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 81,632,916 | 10.75 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 116,306,145 | 15.32 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE ASSOCIATES | 76,199,531 | 10.04 |
| RETIREMENT PORTFOLIO 2035 |
| |
| T ROWE PRICE ASSOCIATES | 52,807,526 | 6.96 |
| RETIREMENT PORTFOLIO 2045 |
| |
| T ROWE PRICE ASSOCIATES | 42,852,177 | 5.65 |
| RETIREMENT PORTFOLIO 2050 |
| |
INTERNATIONAL VALUE EQUITY | AMERICAN UNITED LIFE | 722,479 | 6.79 |
FUND—ADVISOR CLASS | AMERICAN UNIT INVESTMENT TRUST |
| |
| NATIONAL FINANCIAL SERVICES | 1,973,464 | 18.54 |
| PERSHING LLC | 2,269,510 | 21.32 |
| STATE STREET BANK AND TRUST AS | 2,295,869 | 21.56 |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| VRSCO | 577,334 | 5.42 |
| FBO AIGFSB CUST TTEE FBO |
| |
| MT SINAI 403B |
|
|
INTERNATIONAL VALUE EQUITY | T ROWE PRICE ASSOCIATES | 11,909,406 | 9.46 |
FUND—I CLASS | RETIREMENT I 2020 FUND |
| |
| T ROWE PRICE ASSOCIATES | 12,273,693 | 9.75 |
| RETIREMENT I 2025 FUND |
| |
| T ROWE PRICE ASSOCIATES | 18,195,832 | 14.45 |
| RETIREMENT I 2030 FUND |
| |
| T ROWE PRICE ASSOCIATES | 12,488,876 | 9.92 |
| RETIREMENT I 2035 FUND |
| |
| T ROWE PRICE ASSOCIATES | 16,633,238 | 13.21 |
| RETIREMENT I 2040 FUND |
| |
| T ROWE PRICE ASSOCIATES | 9,287,500 | 7.37 |
| RETIREMENT I 2045 FUND |
| |
| T ROWE PRICE ASSOCIATES | 9,286,834 | 7.37 |
| RETIREMENT I 2050 FUND |
| |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
NEW HORIZONS FUND— | RETIREMENT I 2030 FUND | 2,537,268.62 | 6.22 | |
Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 2,163,403.49 | 5.31 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 2,611,601.02 | 6.41 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2045 FUND | 2,037,795.66 | 5.00 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 3,501,683.22 | 8.59 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 2,350,248.46 | 5.76 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 3,815,323.68 | 9.36 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 2,838,202.36 | 6.96 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 2,265,012.76 | 5.56 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 2,075,375.14 | 5.09 | |
| T ROWE PRICE ASSOCIATES |
| ||
NEW INCOME FUND | NATIONAL FINANCIAL SERVICES | 6,031,287.37 | 5.91 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 5,712,396.33 | 5.60 | |
| T ROWE PRICE TRUST CO INC | 8,759,546.60 | 8.58 | |
NEW INCOME FUND— | EMPOWER TRUST FBO | 96,486.80 | 8.40 | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 101,259.44 | 8.82 | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 69,863.72 | 6.08 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 175,445.99 | 15.28 | |
| STATE STREET BANK AND TRUST AS | 60,788.21 | 5.29 | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
| VANTAGEPOINT ROTH IRA | 60,405.76 | 5.26 | |
| VANTAGEPOINT TRADITIONAL IRA | 260,983.68 | 22.72 | |
NEW INCOME FUND— | EDUCATION TRUST OF ALASKA | 25,006,305.96 | 7.71 | |
I CLASS | PORTFOLIO 2024 |
| ||
| C/O T ROWE PRICE ASSOCIATES |
| ||
| EDWARD D JONES & CO | 20,548,618.28 | 6.33 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| PERSHING LLC | 33,103,152.68 | 10.20 | |
| T ROWE PRICE SERVICES INC FBO | 31,246,542.32 | 9.63 | |
| EDUCATION TRUST OF ALASKA |
| ||
| PORTFOLIO FOR EDUCATION TODAY |
| ||
NEW INCOME FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 14,913.96 | 10.72 | |
R CLASS | VARIOUS RETIREMENT PLANS OMNIBUS |
| ||
| MATRIX TRUST COMPANY CUST FBO | 17,122.61 | 12.30 | |
| FAMILY HOME OFFICE LLC 401(K) PLAN |
| ||
| NATIONWIDE TRUST CO FSB | 19,468.66 | 13.99 | |
| STATE STREET BANK AND TRUST AS | 70,776.72 | 50.85(b) | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
|
85
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
INTERNATIONAL VALUE EQUITY | AMERICAN UNITED LIFE | 347,800 | 7.81 |
FUND—R CLASS | SEPARATE ACCOUNT II |
| |
| DCGT AS TTEE AND/OR CUST | 303,937 | 6.82 |
| FBO PLIC VARIOUS RETIREMENT PLANS |
| |
| SAMMONS FINANCIAL NETWORK LLC | 550,391 | 12.36 |
| STATE STREET BANK AND TRUST AS | 1,021,277 | 22.93 |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
|
|
INVESTMENT-GRADE CORPORATE | ALLEN & COMPANY | 1,110,284 | 10.44 |
MULTI-SECTOR ACCOUNT PORTFOLIO | BALTIMORE EQUITABLE SOCIETY | 1,070,265 | 10.07 |
| CBE OF NEW BRUNSWICK | 707,506 | 6.65 |
| IG CORPORATE MAP |
| |
| GENERAL DYNAMICS CORP 401K | 4,719,338 | 44.38(b) |
| PLAN MASTER TRUST CP |
| |
| ILLINOIS STUDENT ASSISTANCE | 2,026,094 | 19.05 |
| COMMISSION |
| |
| T ROWE PRICE ASSOCIATES | 1,000,000 | 9.40 |
JAPAN | CHARLES SCHWAB & CO INC | 3,026,686 | 5.40 |
| MORGAN STANLEY SMITH BARNEY | 20,697,842 | 36.90(b) |
| SPECTRUM INTERNATIONAL FUND | 13,063,803 | 23.29 |
| T ROWE PRICE ASSOCIATES |
| |
JAPAN FUND—I CLASS | CHARLES SCHWAB & CO INC | 24,110 | 5.74 |
| J.P. MORGAN SECURITIES LLC | 33,398 | 7.95 |
| TRUSTEES OF T ROWE PRICE | 338,117 | 80.49(a) |
| U.S. RETIREMENT PROGRAM |
| |
LATIN AMERICA | CHARLES SCHWAB & CO INC | 1,473,230 | 5.47 |
| NATIONAL FINANCIAL SERVICES | 2,613,455 | 9.71 |
LATIN AMERICA FUND—I CLASS | ROBERT D AWALT | 55,933 | 8.70 |
| KATHERINE J AWALT JT TEN |
| |
| TRUSTEES OF T ROWE PRICE | 522,265 | 81.25(a) |
| U.S. RETIREMENT PROGRAM |
| |
LIMITED DURATION INFLATION | T ROWE PRICE ASSOCIATES | 156,056,447 | 10.26 |
FOCUSED BOND | RETIREMENT INCOME PORTFOLIO |
| |
| T ROWE PRICE ASSOCIATES | 158,618,664 | 10.43 |
| RETIREMENT PORTFOLIO 2010 |
| |
| T ROWE PRICE ASSOCIATES | 203,518,137 | 13.38 |
| RETIREMENT PORTFOLIO 2015 |
| |
| T ROWE PRICE ASSOCIATES | 347,591,072 | 22.86 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 160,800,295 | 10.57 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 99,439,612 | 6.54 |
| RETIREMENT PORTFOLIO 2030 |
| |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
NEW INCOME FUND— | RETIREMENT I 2020 FUND | 84,812,427.02 | 5.76 | |
Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2025 FUND | 112,512,484.49 | 7.64 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2030 FUND | 125,174,508.78 | 8.50 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2020 | 174,573,315.23 | 11.86 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 175,398,360.81 | 11.92 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 192,596,936.91 | 13.09 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 82,213,560.20 | 5.59 | |
| T ROWE PRICE ASSOCIATES |
| ||
| SPECTRUM INCOME FUND | 99,642,098.85 | 6.77 | |
| T. ROWE PRICE ASSOCIATES |
| ||
NEW JERSEY TAX-FREE | CHARLES SCHWAB & CO INC | 1,164,638.41 | 6.29 | |
BOND FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 7,487,989.48 | 40.44(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
NEW JERSEY TAX-FREE | SAXON & CO | 1,106,826.34 | 9.44 | |
BOND FUND—I CLASS | ||||
NEW YORK TAX-FREE | CHARLES SCHWAB & CO INC | 1,509,782.55 | 7.65 | |
BOND FUND | REINVEST ACCOUNT | |||
| MLPF&S FOR THE SOLE BENEFIT OF | 1,035,700.99 | 5.25 | |
| ITS CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 2,313,266.20 | 11.72 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TD AMERITRADE INC FBO | 1,026,540.02 | 5.20 | |
| OUR CUSTOMERS | |||
NEW YORK TAX-FREE | CHARLES SCHWAB & CO INC | 1,586,570.42 | 7.62 | |
BOND FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
OVERSEAS STOCK FUND | NATIONAL FINANCIAL SERVICES | 31,613,727.31 | 7.17 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| RAYMOND JAMES | 74,597,152.10 | 16.91 | |
| OMNIBUS FOR MUTUAL FUNDS | |||
| WELLS FARGO CLEARING SERVICES LLC | 239,217,670.51 | 54.24(b) | |
| SPECIAL CUSTODY ACCT FOR THE | |||
| EXCLUSIVE BENEFIT OF CUSTOMERS | |||
OVERSEAS STOCK FUND— | NATIONAL FINANCIAL SERVICES | 36,840,795.42 | 93.88(b) | |
ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
OVERSEAS STOCK | CHARLES SCHWAB & CO INC | 34,011,343.64 | 7.60 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| CHARLES SCHWAB & CO INC | 36,075,122.23 | 8.06 | |
| EDWARD D JONES & CO | 59,188,335.77 | 13.22 | |
| FOR THE BENEFIT OF CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 80,480,646.44 | 17.98 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| WELLS FARGO BANK NA FBO | 28,482,866.98 | 6.36 | |
| OMNIBUS CASH |
86
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
LIMITED DURATION INFLATION | T ROWE PRICE ASSOCIATES | 10,427,985 | 5.49 |
FOCUSED BOND FUND—I CLASS | TARGET 2020 FUND |
| |
| T ROWE PRICE ASSOCIATES | 12,997,760 | 6.84 |
| RETIREMENT BALANCED I FUND |
| |
| T ROWE PRICE ASSOCIATES | 15,736,989 | 8.28 |
| RETIREMENT I 2010 FUND |
| |
| T ROWE PRICE ASSOCIATES | 23,913,915 | 12.59 |
| RETIREMENT I 2015 FUND |
| |
| T ROWE PRICE ASSOCIATES | 50,159,761 | 26.40(c) |
| RETIREMENT I 2020 FUND |
| |
| T ROWE PRICE ASSOCIATES | 24,139,856 | 12.71 |
| RETIREMENT I 2025 FUND |
| |
| T ROWE PRICE ASSOCIATES | 15,940,334 | 8.39 |
| RETIREMENT I 2030 FUND |
| |
LIMITED-TERM BOND PORTFOLIO | JPMORGAN CHASE BANK CUST FBO | 8,876,769 | 9.75 |
| INTELLIGENT VARIABLE ANNUITY |
| |
| TIAA-CREF LIFE INSURANCE CO CHARLOTTE NC 28262-8551 |
| |
| NATIONWIDE INSURANCE COMPANY | 18,554,398 | 20.39 |
| TRANSAMERICA PREMIER LIFE INSURANCE EM PRIVATE PLACEMENT | 46,728,077 | 51.34(f) |
LIMITED-TERM BOND PORTFOLIO—II | JEFFERSON NATIONAL LIFE INS CO | 1,445,944 | 93.52(f) |
MARYLAND SHORT-TERM TAX-FREE | CHARLES SCHWAB & CO INC | 2,879,178 | 8.81 |
BOND | PERSHING LLC | 1,912,381 | 5.85 |
MARYLAND SHORT-TERM TAX-FREE BOND FUND—I CLASS | BANK OF NEW YORK MELLON N.A. PITTSBURGH PA 15253-4005 | 721,411 | 17.41 |
JOHN D BESSON | 1,019,970 | 24.61 | |
| KAREN S BESSON TEN ENT |
|
|
MARYLAND TAX-FREE BOND | CHARLES SCHWAB & CO INC | 14,013,943 | 6.63 |
| NATIONAL FINANCIAL SERVICES | 14,012,744 | 6.63 |
MARYLAND TAX-FREE BOND FUND— | BANK OF NEW YORK MELLON N.A. | 506,915 | 11.80 |
I CLASS | CHARLES SCHWAB & CO INC | 333,058 | 7.75 |
| NORMAN FREIDKIN | 263,506 | 6.13 |
| VANGUARD BROKERAGE SERVICES VALLEY FORGE PA 19482-1170 | 272,164 | 6.33 |
MARYLAND TAX-FREE MONEY | KEITH A. LEE | 16,801,961 | 21.75 |
MARYLAND TAX-FREE MONEY FUND— | DAVID C TOLBERT | 101,452 | 28.87(b) |
I CLASS | DEBRA J TOLBERT JT TEN |
| |
| T ROWE PRICE ASSOCIATES | 250,000 | 71.13(c) |
MID-CAP GROWTH | CHARLES SCHWAB & CO INC | 16,656,510 | 6.10 |
| NATIONAL FINANCIAL SERVICES | 33,947,659 | 12.43 |
| T ROWE PRICE TRUST CO INC | 32,554,317 | 11.92 |
MID-CAP GROWTH FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 3,372,701 | 28.99(b) |
| RELIANCE TRUST COMPANY FBO | 1,396,111 | 12.00 |
| INSPER 401K |
| |
| VOYA INSTITUTIONAL TRUST AS | 1,910,913 | 16.43 |
| TRUSTEE FOR THE ADP TOTALSOURCE |
| |
| RETIREMENT SAVINGS PLAN BRAINTREE MA 02184-8747 |
|
|
MID-CAP GROWTH FUND—I CLASS | CHARLES SCHWAB & CO INC | 6,522,336 | 12.14 |
| NATIONAL FINANCIAL SERVICES | 9,556,572 | 17.79 |
| STANDARD INSURANCE CO PORTLAND OR 97204-1093 | 3,373,589 | 6.28 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
OVERSEAS STOCK | RETIREMENT I 2030 FUND | 55,198,021.00 | 6.30 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 48,293,711.31 | 5.51 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 58,232,735.17 | 6.64 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2045 FUND | 44,493,886.96 | 5.07 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 78,620,425.81 | 8.97 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 52,479,574.99 | 5.99 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 85,053,963.78 | 9.70 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 63,932,424.18 | 7.29 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2045 | 50,109,433.12 | 5.71 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2050 | 44,957,096.92 | 5.13 | |
| T ROWE PRICE ASSOCIATES |
| ||
QM U.S. BOND ETF | CITIGROUP GLOBAL MARKETS INC. | 400,000 | 42.11(f) | |
| CHARLES SCHWAB & CO INC | 228,470 | 24.05 | |
| U.S. BANK N/A | 270,843 | 28.51 | |
| MILWAUKEE, WI 53226 |
| ||
QM U.S. BOND INDEX FUND | CHARLES SCHWAB & CO INC | 7,065,106.15 | 10.68 | |
| REINVEST ACCOUNT | |||
| LPL FINANCIAL | 5,331,530.57 | 8.06 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 16,836,319.61 | 25.46(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
QM U.S. BOND INDEX | EDUCATION TRUST OF ALASKA | 9,673,353.12 | 17.49 | |
FUND—I CLASS | ACT PORTFOLIO | |||
| C/O T ROWE PRICE ASSOCIATES | |||
| T ROWE PRICE CHARITABLE | 2,980,003.51 | 5.39 | |
| BALANCED INDEX POOL | |||
QM U.S. BOND INDEX | RETIREMENT BLEND 2015 FUND | 249,265.12 | 5.61 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2020 FUND | 871,606.37 | 19.62 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2025 FUND | 1,199,277.35 | 27.00(a) | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2030 FUND | 939,432.62 | 21.15 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2035 FUND | 612,091.45 | 13.78 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2040 FUND | 233,007.99 | 5.25 | |
| T ROWE PRICE ASSOCIATES | |||
REAL ASSETS FUND | NATIONAL FINANCIAL SERVICES | 1,183,836.37 | 11.28 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 848,568.65 | 8.09 | |
| RAYMOND JAMES | 3,667,947.61 | 34.96(b) | |
| OMNIBUS FOR MUTUAL FUNDS |
87
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
MID-CAP GROWTH FUND—R CLASS | AMERICAN UNITED LIFE | 265,804 | 15.65 |
| SEPARATE ACCOUNT II |
| |
| NATIONWIDE TRUST CO FSB | 227,642 | 13.40 |
| SUNTRUST BANK | 213,975 | 12.60 |
| VOYA INSTITUTIONAL TRUST COMPANY WINDSOR CT 06095-4774 | 92,589 | 5.45 |
| VOYA RETIREMENT INS & ANNUITY CO | 201,846 | 11.88 |
MID-CAP GROWTH PORTFOLIO | C M LIFE INSURANCE CO SPRINGFIELD MA 01111-0001 | 1,908,117 | 13.24 |
| FARM BUREAU LIFE INS CO | 857,740 | 5.95 |
| M M L BAYSTATE LIFE INS CO SPRINGFIELD MA 01111-0001 | 1,595,860 | 11.07 |
| MASS MUTUAL LIFE INS CO SPRINGFIELD MA 01111-0001 | 1,977,568 | 13.72 |
| MODERN WOODMEN OF AMERICA | 1,585,611 | 11.00 |
| SECURITY BENEFIT LIFE INS CO | 2,253,670 | 15.63 |
| FBO T ROWE PRICE NO LOAD V A |
| |
| TRANSAMERICA LIFE INSURANCE | 1,022,704 | 7.09 |
| EM PRIVATE PLACEMENT CEDAR RAPIDS IA 52499-2390 |
|
|
MID-CAP GROWTH PORTFOLIO—II | LINCOLN NATIONAL LIFE INS CO | 193,994 | 11.21 |
| SEPARATE ACCOUNT MUTUAL FUND FORT WAYNE IN 46802-3506 |
| |
| NATIONWIDE INSURANCE COMPANY | 894,994 | 51.70(f) |
| NATIONWIDE LIFE INSURANCE COMPANY | 619,018 | 35.75(f) |
MID-CAP INDEX | T ROWE PRICE ASSOCIATES | 475,000 | 100.00(c) |
MID-CAP INDEX FUND—I CLASS | T ROWE PRICE ASSOCIATES | 25,000 | 100.00(c) |
MID-CAP VALUE | NATIONAL FINANCIAL SERVICES | 26,307,399 | 7.52 |
| T ROWE PRICE ASSOCIATES | 20,482,874 | 5.85 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 18,109,860 | 5.18 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 17,867,222 | 5.11 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 25,534,491 | 7.30 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE RPS INC | 18,317,890 | 5.23 |
MID-CAP VALUE FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 4,768,180 | 46.48(b) |
CLASS | SUNTRUST BANK | 521,306 | 5.08 |
MID-CAP VALUE FUND—I CLASS | EDWARD D JONES & CO | 4,774,478 | 5.81 |
| NATIONAL FINANCIAL SERVICES | 12,239,805 | 14.90 |
| STATE OF SOUTH CAROLINA TRUSTEE | 5,492,312 | 6.69 |
| FBO STATE OF SOUTH CAROLINA 401K |
| |
| GREENWOOD VLG CO 80111-5002 |
|
|
MID-CAP VALUE FUND—R CLASS | NATIONWIDE TRUST CO FSB | 1,562,981 | 23.49 |
| STATE STREET BANK AND TRUST AS | 2,880,636 | 43.28(b) |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| VOYA RETIREMENT INS & ANNUITY CO | 411,853 | 6.19 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
REAL ASSETS FUND— | BREAD & CO | 9,768,046.07 | 16.41 | |
I CLASS | C/O T ROWE PRICE ASSOC | |||
| ATTN BALANCED FUND | |||
| LADYBUG & CO | 4,250,306.06 | 7.14 | |
| LAKESIDE & CO | 8,841,064.63 | 14.85 | |
REAL ASSETS FUND— | RETIREMENT I 2030 FUND | 26,498,231.04 | 6.30 | |
Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 22,939,343.13 | 5.45 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 27,704,550.53 | 6.58 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2045 FUND | 21,115,322.98 | 5.02 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 37,259,198.78 | 8.85 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 24,684,520.96 | 5.86 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 40,138,659.22 | 9.54 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 29,942,411.69 | 7.11 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2045 | 24,111,871.37 | 5.73 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2050 | 21,435,624.78 | 5.09 | |
| T ROWE PRICE ASSOCIATES |
| ||
REAL ESTATE FUND | CHARLES SCHWAB & CO INC | 3,117,740.27 | 5.25 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 17,011,791.86 | 28.67(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
REAL ESTATE FUND— | CHARLES SCHWAB & CO INC | 73,640.22 | 6.10 | |
ADVISOR CLASS | REINVEST ACCOUNT | |||
| EMPOWER TRUST FBO | 202,741.79 | 16.81 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 254,018.45 | 21.06 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 71,606.31 | 5.94 | |
REAL ESTATE FUND— | INTERNATIONAL PAPER COMPANY | 2,286,634.51 | 7.92 | |
I CLASS | MODERATE PORTFOLIO |
| ||
| STAMFORD CT 06901-3284 |
| ||
| NATIONAL FINANCIAL SERVICES | 1,888,930.74 | 6.55 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
RETIREMENT 2005 FUND | NATIONAL FINANCIAL SERVICES | 6,845,924.47 | 8.55 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 4,998,157.82 | 6.24 | |
| OMNIBUS ACCOUNT - RETIREMENT |
88
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
MORTGAGE-BACKED SECURITIES | ALLEN & COMPANY | 961,671 | 8.28 |
MULTI-SECTOR ACCOUNT PORTFOLIO | BALTIMORE EQUITABLE SOCIETY | 789,819 | 6.80 |
| CBE OF NEW BRUNSWICK | 1,777,637 | 15.31 |
| MORTGAGE BACKED SECURITIES MAP |
| |
| GENERAL DYNAMICS CORP 401K | 3,481,850 | 29.98(b) |
| PLAN MASTER TRUST CP |
| |
| ILLINOIS STUDENT ASSISTANCE | 1,485,721 | 12.79 |
| COMMISSION |
| |
| T ROWE PRICE ASSOCIATES | 1,000,000 | 8.61 |
| XCEL ENERGY INC. | 2,115,995 | 18.22 |
MULTI-STRATEGY TOTAL RETURN | T ROWE PRICE ASSOCIATES | 4,975,000 | 100.00(c) |
MULTI-STRATEGY TOTAL RETURN—I CLASS | T ROWE PRICE ASSOCIATES | 25,000 | 100.00(c) |
NEW AMERICA GROWTH | CHARLES SCHWAB & CO INC | 7,905,639 | 10.67 |
| NATIONAL FINANCIAL SERVICES | 14,335,720 | 19.35 |
| T ROWE PRICE TRUST CO INC | 4,936,613 | 6.66 |
NEW AMERICA GROWTH FUND— | CHARLES SCHWAB & CO INC | 518,387 | 8.11 |
ADVISOR CLASS | DCGT AS TTEE AND/OR CUST | 328,286 | 5.14 |
| FBO PLIC VARIOUS RETIREMENT PLANS |
| |
| MATRIX TRUST COMPANY TRUSTEE FBO | 356,387 | 5.58 |
| VALLEY MEDICAL CENTER 403B |
| |
| NATIONAL FINANCIAL SERVICES | 1,339,454 | 20.96 |
| SANTA BARBARA CNTY TREAS TX COLL TT | 539,360 | 8.44 |
| FBO SANTA BARBARA COUNTY DCP GREENWOOD VLG CO 80111-5002 |
| |
| VRSCO | 1,231,289 | 19.27 |
| FBO AIGFSB CUST TTEE FBO |
| |
| WAKEMED RET SAV PLAN 403B |
|
|
NEW AMERICA GROWTH FUND— | GREAT-WEST TRUST COMPANY LLC TTEE | 590,656 | 5.38 |
I CLASS | RECORDKEEPING FOR LARGE BENEFIT PL |
| |
| NATIONAL FINANCIAL SERVICES | 4,491,287 | 40.91(b) |
| T ROWE PRICE RPS INC | 742,905 | 6.77 |
NEW AMERICA GROWTH PORTFOLIO | FARM BUREAU LIFE INS CO | 452,928 | 5.72 |
| MODERN WOODMEN OF AMERICA | 743,845 | 9.40 |
| NATIONWIDE INSURANCE COMPANY | 1,535,108 | 19.40 |
| NATIONWIDE LIFE INSURANCE COMPANY | 1,533,288 | 19.38 |
| PARAGON LIFE INSURANCE CO SAINT LOUIS MO 63128-3499 | 523,250 | 6.61 |
| SECURITY BENEFIT LIFE INS CO | 1,312,173 | 16.58 |
| FBO T ROWE PRICE NO LOAD V A |
| |
NEW ASIA | CHARLES SCHWAB & CO INC | 9,185,301 | 6.39 |
| NATIONAL FINANCIAL SERVICES | 14,307,073 | 9.95 |
| SPECTRUM INTERNATIONAL FUND | 10,260,157 | 7.14 |
| T ROWE PRICE ASSOCIATES |
| |
NEW ASIA FUND—I CLASS | CHARLES SCHWAB & CO INC | 1,183,486 | 6.71 |
| J.P. MORGAN SECURITIES LLC | 8,333,422 | 47.23(b) |
| NATIONAL FINANCIAL SERVICES | 1,420,357 | 8.05 |
| TRUSTEES OF T ROWE PRICE | 1,216,474 | 6.89 |
| U.S. RETIREMENT PROGRAM |
| |
NEW ERA | CHARLES SCHWAB & CO INC | 5,469,949 | 8.28 |
| NATIONAL FINANCIAL SERVICES | 8,569,980 | 12.98 |
NEW ERA FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 17,993,283 | 43.46(b) |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT 2005 FUND— | NATIONAL FINANCIAL SERV CORP | 375,742.15 | 13.07 | |
ADVISOR CLASS | FOR EXCLUSIVE BENEFIT OF OUR | |||
| CUSTOMERS | |||
| RUSS LENNON | |||
| RELIANCE TRUST COMPANY FBO | 222,566.61 | 7.74 | |
| RETIREMENT PLANS SERVICED BY | |||
METLIFE | ||||
| GREENWOOD VLG CO 80111-5002 | |||
| VANTAGEPOINT ROTH IRA | 165,303.53 | 5.75 | |
| VANTAGEPOINT TRADITIONAL IRA | 1,005,918.21 | 34.98(b) | |
RETIREMENT 2005 | AXA EQUITABLE FOR SA | 265,573.25 | 8.26 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 1,746,586.24 | 54.30(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VOYA RETIREMENT INS & ANNUITY CO | 523,672.46 | 16.28 | |
RETIREMENT 2010 FUND | NATIONAL FINANCIAL SERVICES | 13,981,009.55 | 8.10 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
RETIREMENT 2010 FUND— | EMPOWER TRUST COMPANY LLC | 1,088,816.72 | 10.25 | |
ADVISOR CLASS | EMPOWER BENEFIT PLANS | |||
| LINCOLN FINANCIAL GROUP TRUST CO | 701,926.01 | 6.61 | |
| FBO ROLLOVER IRA PLANS | |||
| CONCORD NH 03301-3258 | |||
| NATIONAL FINANCIAL SERVICES | 789,701.45 | 7.43 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 593,354.72 | 5.59 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER | |||
| VANTAGEPOINT TRADITIONAL IRA | 621,529.90 | 5.85 | |
RETIREMENT 2010 | AXA EQUITABLE FOR SA | 335,178.92 | 5.09 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 3,340,618.44 | 50.77(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT |
| ||
RETIREMENT 2015 FUND | NATIONAL FINANCIAL SERVICES | 28,419,566.65 | 8.90 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 20,279,575.62 | 6.35 | |
| OMNIBUS ACCOUNT - RETIREMENT | |||
RETIREMENT 2015 FUND— | LINCOLN FINANCIAL GROUP TRUST CO | 1,231,556.21 | 8.20 | |
ADVISOR CLASS | FBO ROLLOVER IRA PLANS | |||
| NATIONAL FINANCIAL SERV CORP | 2,812,285.35 | 18.72 | |
| FOR EXCLUSIVE BENEFIT OF OUR | |||
| CUSTOMERS | |||
| RUSS LENNON | |||
| VALIC SEPARATE ACCOUNT A | 1,128,734.84 | 7.51 | |
| HOUSTON TX 77019-2107 | |||
| VANTAGEPOINT TRADITIONAL IRA | 1,118,984.28 | 7.45 | |
RETIREMENT 2015 | AXA EQUITABLE FOR SA | 1,026,023.63 | 8.80 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 5,626,945.03 | 48.26(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VOYA RETIREMENT INS & ANNUITY CO | 942,493.08 | 8.08 |
89
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
NEW HORIZONS | NATIONAL FINANCIAL SERVICES | 34,240,949 | 10.14 |
| T ROWE PRICE TRUST CO INC | 36,165,469 | 10.71 |
NEW HORIZONS FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 22,202,903 | 29.74(b) |
| T ROWE PRICE RPS INC | 6,792,850 | 9.10 |
NEW INCOME | SPECTRUM INCOME FUND | 161,836,655 | 6.49 |
| T. ROWE PRICE ASSOCIATES |
| |
| T ROWE PRICE ASSOCIATES | 143,353,886 | 5.75 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 180,466,429 | 7.24 |
| RETIREMENT PORTFOLIO 2015 |
| |
| T ROWE PRICE ASSOCIATES | 448,095,778 | 17.98 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 339,719,476 | 13.63 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 342,763,130 | 13.76 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE ASSOCIATES | 167,875,566 | 6.74 |
| RETIREMENT PORTFOLIO 2035 |
| |
NEW INCOME FUND—ADVISOR CLASS | JOHN HANCOCK TRUST COMPANY | 285,883 | 5.44 |
| MORGAN STANLEY SMITH BARNEY | 316,713 | 6.02 |
| NATIONAL FINANCIAL SERVICES | 451,545 | 8.59 |
| PERSHING LLC | 776,250 | 14.76 |
| STATE STREET BANK AND TRUST AS | 265,044 | 5.04 |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| WTRISC CO IRA OMNIBUS ACCT | 1,212,804 | 23.06 |
NEW INCOME FUND—I CLASS | EDWARD D JONES & CO | 88,763,164 | 11.73 |
| J.P. MORGAN SECURITIES LLC | 303,971,570 | 40.18(b) |
| T ROWE PRICE ASSOCIATES | 65,059,479 | 8.60 |
| RETIREMENT I 2020 FUND |
| |
| T ROWE PRICE ASSOCIATES | 51,071,932 | 6.75 |
| RETIREMENT I 2025 FUND |
| |
| T ROWE PRICE ASSOCIATES | 53,956,339 | 7.13 |
| RETIREMENT I 2030 FUND |
| |
NEW INCOME FUND—R CLASS | CAMILLE VANDEVANTER DDS PS TTEE | 39,899 | 8.41 |
| FBO CAMILLE VANDEVANTER DDS PS 401K RET GREENWOOD VLG CO 80111-5002 |
| |
| EMJAY CORPORATION CUSTODIAN FBO | 37,951 | 8.00 |
| PLANS OF GREAT WEST FINANCIAL GREENWOOD VLG CO 80111-5002 |
| |
| K CHADWICK K BLALOCK TTEES | 36,741 | 7.75 |
| FIERCE ISAKOWITZ & BLALOCK LLC |
| |
| NATIONWIDE TRUST CO FSB | 38,029 | 8.02 |
| STATE STREET BANK AND TRUST AS | 146,114 | 30.81(b) |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| VRSCO | 30,862 | 6.51 |
| FBO AIGFSB CUST TTEE FBO UNIV OF NORTH TEXAS OPT RET PL 40313 HOUSTON TX 77019-7117 |
|
|
NEW JERSEY TAX-FREE BOND | NATIONAL FINANCIAL SERVICES | 10,334,333 | 29.88(b) |
NEW JERSEY TAX-FREE BOND FUND— I CLASS | T ROWE PRICE ASSOCIATES | 20,868 | 97.40(c) |
NEW YORK TAX-FREE BOND | NATIONAL FINANCIAL SERVICES | 3,014,159 | 7.34 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT 2020 FUND | NATIONAL FINANCIAL SERVICES | 70,270,273.03 | 13.53 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 50,482,761.08 | 9.72 | |
| OMNIBUS ACCOUNT | |||
| RETIREMENT 2020 | |||
RETIREMENT 2020 FUND— | CHARLES SCHWAB & CO INC | 2,390,405.99 | 5.27 | |
ADVISOR CLASS | REINVEST ACCOUNT | |||
| EMPOWER TRUST FBO | 2,465,793.00 | 5.44 | |
| EMPOWER BENEFIT PLANS | |||
| NATIONAL FINANCIAL SERVICES | 6,196,961.38 | 13.67 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 2,328,963.38 | 5.14 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
RETIREMENT 2020 | STATE STREET BANK AND TRUST AS | 19,791,226.63 | 51.72(b) | |
FUND—R CLASS | TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
RETIREMENT 2025 FUND | NATIONAL FINANCIAL SERVICES | 110,097,817.02 | 16.49 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 93,332,520.12 | 13.98 | |
| OMNIBUS ACCOUNT - RETIREMENT | |||
RETIREMENT 2025 FUND— | EMPOWER TRUST FBO | 3,698,771.19 | 6.72 | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERV CORP | 11,070,996.61 | 20.11 | |
| FOR EXCLUSIVE BENEFIT OF OUR | |||
| CUSTOMERS | |||
| RUSS LENNON | |||
| STATE STREET BANK AND TRUST AS | 3,406,229.72 | 6.19 | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
| VALIC SEPARATE ACCOUNT A | 4,178,840.42 | 7.59 | |
RETIREMENT 2025 | AXA EQUITABLE FOR SA | 4,874,985.00 | 9.04 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 27,476,997.28 | 50.94(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VOYA RETIREMENT INS & ANNUITY CO | 4,399,174.51 | 8.15 | |
RETIREMENT 2030 FUND | NATIONAL FINANCIAL SERVICES | 95,323,592.03 | 16.48 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 80,210,619.83 | 13.86 | |
| OMNIBUS ACCOUNT | |||
| RETIREMENT 2030 |
90
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
NEW YORK TAX-FREE BOND FUND— | THE JOHN S D'ALIMONTE REV TRUST | 103,207 | 13.97 |
I CLASS | MELVIN K SPIGELMAN MERLYN N SPIGELMAN JT TEN | 86,437 | 11.70 |
| ROBERT S KAPLAN JAMIE SCHUVAL JT TEN | 366,588 | 49.63(b) |
| SEI PRIVATE TRUST COMPANY | 92,544 | 12.53 |
NEW YORK TAX-FREE MONEY | H MARK GLASBERG | 9,468,127 | 16.56 |
| PAULA D GLASBERG JT TEN T O D |
|
|
NEW YORK TAX-FREE MONEY FUND— | T ROWE PRICE ASSOCIATES | 250,000 | 100.00(c) |
I CLASS |
|
| |
OVERSEAS STOCK | T ROWE PRICE ASSOCIATES | 129,436,868 | 13.67 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 112,600,406 | 11.89 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 111,691,287 | 11.80 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 158,844,654 | 16.78 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE ASSOCIATES | 104,503,597 | 11.04 |
| RETIREMENT PORTFOLIO 2035 |
| |
| T ROWE PRICE ASSOCIATES | 72,098,978 | 7.62 |
| RETIREMENT PORTFOLIO 2045 |
| |
| T ROWE PRICE ASSOCIATES | 58,672,412 | 6.20 |
| RETIREMENT PORTFOLIO 2050 |
| |
OVERSEAS STOCK FUND—ADVISOR | GREAT-WEST TRUST COMPANY LLC FBO | 35,453 | 7.75 |
CLASS | EMPLOYEE BENEFITS CLIENTS 401K |
| |
| PERSHING LLC | 58,695 | 12.83 |
| SUNTRUST BANK | 198,195 | 43.33(b) |
| T ROWE PRICE ASSOCIATES | 26,316 | 5.75 |
| TD AMERITRADE INC | 24,144 | 5.28 |
| TRUST COMPANY OF AMERICA | 113,031 | 24.71 |
OVERSEAS STOCK FUND—I CLASS | EDWARD D JONES & CO | 53,914,464 | 12.52 |
| J.P. MORGAN SECURITIES LLC | 74,512,902 | 17.30 |
| NATIONAL FINANCIAL SERVICES | 94,130,701 | 21.86 |
| T ROWE PRICE ASSOCIATES | 24,643,122 | 5.72 |
| RETIREMENT I 2030 FUND |
| |
| T ROWE PRICE ASSOCIATES | 22,454,989 | 5.21 |
| RETIREMENT I 2040 FUND |
| |
| WELLS FARGO BANK NA | 27,792,844 | 6.45 |
PERSONAL STRATEGY BALANCED | NATIONAL FINANCIAL SERVICES | 16,998,410 | 18.59 |
| T ROWE PRICE TRUST CO INC | 7,666,090 | 8.38 |
| BALANCED |
| |
PERSONAL STRATEGY BALANCED | NATIONAL FINANCIAL SERVICES | 3,390,921 | 45.70(b) |
FUND—I CLASS | T ROWE PRICE RPS INC | 491,846 | 6.63 |
PERSONAL STRATEGY BALANCED | FARM BUREAU LIFE INS CO | 1,009,932 | 11.65 |
PORTFOLIO | MODERN WOODMEN OF AMERICA | 1,409,007 | 16.25 |
| NYLIAC | 557,218 | 6.43 |
| NYLIM CENTER |
| |
| PARAGON LIFE INSURANCE CO | 1,187,243 | 13.70 |
| SECURITY BENEFIT LIFE INS CO | 1,954,494 | 22.55 |
| FBO T ROWE PRICE NO LOAD V A |
| |
PERSONAL STRATEGY GROWTH | NATIONAL FINANCIAL SERVICES | 8,997,078 | 14.67 |
| NATIONWIDE TRUST COMPANY FSB | 4,151,705 | 6.77 |
| T ROWE PRICE TRUST CO INC | 3,141,361 | 5.12 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT 2030 FUND— | CHARLES SCHWAB & CO INC | 3,830,708.91 | 5.55 | |
ADVISOR CLASS | REINVEST ACCOUNT | |||
| EMPOWER TRUST COMPANY LLC | 4,038,025.98 | 5.85 | |
| EMPOWER BENEFIT PLANS | |||
| EMPOWER TRUST FBO | 4,011,818.57 | 5.81 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 9,725,753.20 | 14.10 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 4,491,608.74 | 6.51 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
RETIREMENT 2030 | AXA EQUITABLE FOR SA | 3,821,540.10 | 5.98 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 34,484,851.42 | 53.95(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
RETIREMENT 2035 FUND | NATIONAL FINANCIAL SERVICES | 84,116,275.74 | 17.03 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 73,091,139.19 | 14.79 | |
| OMNIBUS ACCOUNT - RETIREMENT | |||
RETIREMENT 2035 FUND— | EMPOWER TRUST FBO | 2,883,656.96 | 5.93 | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERV CORP | 10,287,334.15 | 21.15 | |
| FOR EXCLUSIVE BENEFIT OF OUR | |||
| CUSTOMERS | |||
| RUSS LENNON | |||
| STATE STREET BANK AND TRUST AS | 2,990,671.64 | 6.15 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VALIC SEPARATE ACCOUNT A | 3,633,525.74 | 7.47 | |
RETIREMENT 2035 | AXA EQUITABLE FOR SA | 4,974,647.37 | 9.35 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 28,627,474.20 | 53.82(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VOYA RETIREMENT INS & ANNUITY CO | 3,522,727.97 | 6.62 | |
RETIREMENT 2040 FUND | CHARLES SCHWAB & CO INC | 19,507,526.18 | 5.31 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 62,709,080.32 | 17.06 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 49,609,096.85 | 13.49 | |
| OMNIBUS ACCOUNT | |||
| RETIREMENT 2040 |
91
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
PERSONAL STRATEGY GROWTH | JOHN HANCOCK TRUST COMPANY LLC | 227,966 | 5.02 |
FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 1,675,835 | 36.91(b) |
| PERSHING LLC | 455,904 | 10.04 |
PERSONAL STRATEGY INCOME | NATIONAL FINANCIAL SERVICES | 9,495,863 | 9.58 |
PERSONAL STRATEGY INCOME FUND— | NATIONAL FINANCIAL SERVICES | 8,471,916 | 71.80(b) |
I CLASS |
| ||
QM GLOBAL EQUITY | T ROWE PRICE ASSOCIATES | 950,000 | 67.02(c) |
QM GLOBAL EQUITY FUND—ADVISOR | T ROWE PRICE ASSOCIATES | 25,000 | 100.00(c) |
CLASS |
|
| |
QM GLOBAL EQUITY FUND—I CLASS | T ROWE PRICE ASSOCIATES | 25,000 | 49.79(c) |
| TRUSTEES OF T ROWE PRICE | 24,389 | 48.57(a) |
| U.S. RETIREMENT PROGRAM |
| |
QM U.S. SMALL & MID-CAP CORE | T ROWE PRICE ASSOCIATES | 950,000 | 24.12 |
EQUITY | TD AMERITRADE INC | 359,707 | 9.13 |
QM U.S. SMALL & MID-CAP CORE | PERSHING LLC | 5,718 | 14.71 |
EQUITY FUND—ADVISOR CLASS | T ROWE PRICE ASSOCIATES | 25,000 | 64.31(c) |
| UMB BANK NA C/F | 2,709 | 6.97 |
| DANIEL R SAFRANEK SEPIRA SMITHTOWN NY 11787-4124 |
| |
| UMB BANK NA C/F | 3,373 | 8.68 |
| RAYMOND J HENDERSON PAWLING NY 12564-4205 |
|
|
QM U.S. SMALL & MID-CAP CORE | PERSHING LLC | 5,657 | 10.30 |
EQUITY FUND—I CLASS | T ROWE PRICE ASSOCIATES | 25,000 | 45.54(c) |
| TRUSTEES OF T ROWE PRICE | 23,472 | 42.76(a) |
| U.S. RETIREMENT PROGRAM |
| |
QM U.S. SMALL-CAP GROWTH EQUITY | LPL FINANCIAL | 6,654,928 | 5.26 |
| MORGAN STANLEY SMITH BARNEY | 16,552,042 | 13.09 |
| NATIONAL FINANCIAL SERVICES | 15,018,465 | 11.87 |
| PERSHING LLC | 11,208,192 | 8.86 |
| UBS WM USA | 6,608,608 | 5.23 |
| WELLS FARGO CLEARING SERVICES LLC | 6,995,511 | 5.53 |
QM U.S. SMALL-CAP GROWTH EQUITY | JOHN HANCOCK LIFE | 121,496 | 15.54 |
FUND—ADVISOR CLASS | INSURANCE USA |
| |
| LPL FINANCIAL | 43,902 | 5.62 |
| NATIONAL FINANCIAL SERVICES | 183,779 | 23.51 |
| UMB BANK CUSTODIAN | 367,338 | 47.00(b) |
| SECURITY FINANCIAL RESOURCES |
|
|
QM U.S. SMALL-CAP GROWTH EQUITY | CHARLES SCHWAB & CO INC | 8,274,845 | 16.37 |
FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 8,778,331 | 17.37 |
| PERSHING LLC | 4,436,875 | 8.78 |
| STATE STREET BANK AND TRUST COMPANY | 10,279,199 | 20.34 |
| AS TRUSTEE OF THE TRUST FOR THE NEW YORK STATE DC PLAN QUINCY MA 02169-0938 |
| |
QM U.S. VALUE EQUITY | T ROWE PRICE ASSOCIATES | 650,000 | 42.84(c) |
QM U.S. VALUE EQUITY FUND—ADVISOR CLASS | T ROWE PRICE ASSOCIATES | 25,000 | 100.00(c) |
QM U.S. VALUE EQUITY FUND— | DONALD E HINES TRUST | 4,007 | 7.24 |
I CLASS | T ROWE PRICE ASSOCIATES | 25,000 | 45.14(c) |
| TRUSTEES OF T ROWE PRICE | 23,331 | 42.12(a) |
| U.S. RETIREMENT PROGRAM |
| |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT 2040 FUND— | CHARLES SCHWAB & CO INC | 2,511,685.07 | 5.16 | |
ADVISOR CLASS | REINVEST ACCOUNT | |||
| EMPOWER TRUST FBO | 2,488,406.57 | 5.12 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| EMPOWER TRUST FBO | 2,688,110.85 | 5.53 | |
| EMPOWER BENEFIT PLANS | |||
| NATIONAL FINANCIAL SERVICES | 6,660,515.99 | 13.70 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 3,337,435.98 | 6.86 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VALIC SEPARATE ACCOUNT A | 2,472,289.67 | 5.08 | |
RETIREMENT 2040 | AXA EQUITABLE FOR SA | 2,694,833.53 | 5.77 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 26,802,996.64 | 57.37(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
RETIREMENT 2045 FUND | CHARLES SCHWAB & CO INC | 16,401,009.43 | 5.12 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 60,257,626.52 | 18.82 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 46,223,125.63 | 14.44 | |
| OMNIBUS ACCOUNT - RETIREMENT | |||
RETIREMENT 2045 FUND— | EMPOWER TRUST FBO | 2,068,247.49 | 5.64 | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERV CORP | 8,359,442.88 | 22.82 | |
| FOR EXCLUSIVE BENEFIT OF OUR | |||
| CUSTOMERS | |||
| RUSS LENNON | |||
| STATE STREET BANK AND TRUST AS | 2,360,996.52 | 6.44 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VALIC SEPARATE ACCOUNT A | 2,747,628.50 | 7.50 | |
RETIREMENT 2045 | AXA EQUITABLE FOR SA | 3,568,344.56 | 9.03 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 22,515,980.03 | 56.96(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VOYA RETIREMENT INS & ANNUITY CO | 2,789,039.80 | 7.06 | |
RETIREMENT 2050 FUND | CHARLES SCHWAB & CO INC | 20,795,305.65 | 6.73 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 68,399,412.63 | 22.14 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 43,223,069.23 | 13.99 | |
| OMNIBUS ACCOUNT - RETIREMENT |
92
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
REAL ASSETS | T ROWE PRICE ASSOCIATES | 30,717,058 | 13.35 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 27,140,972 | 11.79 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 26,828,598 | 11.66 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 37,604,380 | 16.34 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE ASSOCIATES | 24,929,271 | 10.83 |
| RETIREMENT PORTFOLIO 2035 |
| |
| T ROWE PRICE ASSOCIATES | 16,867,727 | 7.33 |
| RETIREMENT PORTFOLIO 2045 |
| |
| T ROWE PRICE ASSOCIATES | 13,830,978 | 6.01 |
| RETIREMENT PORTFOLIO 2050 |
| |
REAL ASSETS FUND—I CLASS | BREAD & CO | 5,116,454 | 10.22 |
| LADYBUG & CO | 2,693,490 | 5.38 |
| LAKESIDE & CO | 3,365,124 | 6.72 |
| T ROWE PRICE ASSOCIATES | 3,863,272 | 7.71 |
| RETIREMENT I 2020 FUND |
| |
| T ROWE PRICE ASSOCIATES | 3,935,628 | 7.86 |
| RETIREMENT I 2025 FUND |
| |
| T ROWE PRICE ASSOCIATES | 5,747,051 | 11.47 |
| RETIREMENT I 2030 FUND |
| |
| T ROWE PRICE ASSOCIATES | 4,009,046 | 8.00 |
| RETIREMENT I 2035 FUND |
| |
| T ROWE PRICE ASSOCIATES | 5,289,488 | 10.56 |
| RETIREMENT I 2040 FUND |
| |
| T ROWE PRICE ASSOCIATES | 2,930,816 | 5.85 |
| RETIREMENT I 2045 FUND |
| |
| T ROWE PRICE ASSOCIATES | 2,933,876 | 5.86 |
| RETIREMENT I 2050 FUND |
| |
REAL ESTATE | CHARLES SCHWAB & CO INC | 7,227,265 | 5.16 |
| NATIONAL FINANCIAL SERVICES | 20,570,351 | 14.69 |
| PERSHING LLC | 25,987,585 | 18.55 |
| WELLS FARGO CLEARING SERVICES LLC | 15,832,608 | 11.30 |
REAL ESTATE FUND—ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 849,651 | 11.93 |
| RELIANCE TRUST COMPANY FBO | 2,839,807 | 39.87(b) |
| INSPER 401K |
|
|
REAL ESTATE FUND—I CLASS | WELLS FARGO BANK NA | 52,936,891 | 79.91(b) |
RETIREMENT 2005 | NATIONAL FINANCIAL SERVICES | 19,843,313 | 18.32 |
| T ROWE PRICE RPS INC | 16,558,255 | 15.29 |
RETIREMENT 2005 FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 1,621,619 | 24.80 |
| TAYNIK & CO BOSTON MA 02117-9130 | 356,193 | 5.45 |
| WTRISC CO IRA OMNIBUS ACCT WASHINGTON DC 20002-4239 | 1,259,267 | 19.26 |
RETIREMENT 2005 FUND—R CLASS | AXA EQUITABLE FOR SA NO 65 | 589,604 | 13.76 |
| STATE STREET BANK AND TRUST AS | 979,539 | 22.86 |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| VOYA RETIREMENT INS & ANNUITY CO | 954,505 | 22.28 |
RETIREMENT 2010 | NATIONAL FINANCIAL SERVICES | 34,026,929 | 15.13 |
| T ROWE PRICE RPS INC | 26,866,308 | 11.94 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT 2050 FUND— | CHARLES SCHWAB & CO INC | 2,914,797.59 | 5.40 | |
ADVISOR CLASS | REINVEST ACCOUNT | |||
| EMPOWER TRUST FBO | 2,770,590.39 | 5.13 | |
| EMPOWER BENEFIT PLANS | |||
| NATIONAL FINANCIAL SERVICES | 9,142,346.40 | 16.92 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 4,495,834.88 | 8.32 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VALIC SEPARATE ACCOUNT A | 2,888,312.10 | 5.35 | |
RETIREMENT 2050 | AXA EQUITABLE FOR SA | 3,317,007.05 | 6.25 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 31,741,330.30 | 59.81(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
RETIREMENT 2055 FUND | NATIONAL FINANCIAL SERVICES | 38,650,066.20 | 20.99 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 26,868,373.67 | 14.59 | |
| OMNIBUS ACCOUNT - RETIREMENT | |||
RETIREMENT 2055 FUND— | EMPOWER TRUST FBO | 1,977,316.90 | 7.04 | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERV CORP | 7,543,724.09 | 26.84(b) | |
| FOR EXCLUSIVE BENEFIT OF OUR | |||
| CUSTOMERS | |||
| RUSS LENNON | |||
| STATE STREET BANK AND TRUST AS | 2,312,261.94 | 8.23 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VALIC SEPARATE ACCOUNT A | 1,525,216.65 | 5.43 | |
RETIREMENT 2055 | AXA EQUITABLE FOR SA | 2,838,977.41 | 9.50 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 18,393,599.50 | 61.53(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VOYA RETIREMENT INS & ANNUITY CO | 1,612,174.75 | 5.39 | |
RETIREMENT 2060 FUND | CHARLES SCHWAB & CO INC | 4,962,431.56 | 5.52 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 18,141,410.14 | 20.20 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 14,629,999.66 | 16.29 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT 2060 | |||
RETIREMENT 2060 FUND— | NATIONAL FINANCIAL SERVICES | 1,972,537.73 | 13.68 | |
ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 976,036.45 | 6.77 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| STATE STREET BANK CUSTODIAN FBO | 725,366.72 | 5.03 | |
| ACCESS LARGE MARKET 401K | |||
| BOSTON MA 02111-2901 | |||
| VALIC SEPARATE ACCOUNT A | 1,488,442.27 | 10.32 |
93
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
RETIREMENT 2010 FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 4,572,123 | 17.67 |
CLASS | TAYNIK & CO | 2,458,373 | 9.50 |
RETIREMENT 2010 FUND—R CLASS | STATE STREET BANK AND TRUST AS | 5,043,025 | 35.88(b) |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| SUNTRUST BANK | 957,681 | 6.81 |
RETIREMENT 2015 | NATIONAL FINANCIAL SERVICES | 77,816,119 | 16.58 |
| T ROWE PRICE RPS INC | 88,009,289 | 18.75 |
RETIREMENT 2015 FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 9,246,160 | 23.93 |
CLASS | RELIANCE TRUST COMPANY FBO | 2,009,225 | 5.20 |
| RETIREMENT PLANS SERVICED BY METLIFE |
|
|
RETIREMENT 2015 FUND—R CLASS | AXA EQUITABLE FOR SA NO 65 | 1,881,372 | 7.20 |
| STATE STREET BANK AND TRUST AS | 7,828,351 | 29.95(b) |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| VOYA RETIREMENT INS & ANNUITY CO | 3,436,839 | 13.15 |
RETIREMENT 2020 | NATIONAL FINANCIAL SERVICES | 179,631,802 | 21.83 |
| T ROWE PRICE RPS INC | 185,572,373 | 22.55 |
RETIREMENT 2020 FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 23,540,374 | 20.83 |
CLASS | TAYNIK & CO | 8,521,009 | 7.54 |
RETIREMENT 2020 FUND—R CLASS | STATE STREET BANK AND TRUST AS | 26,028,396 | 35.83(b) |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| TAYNIK & CO | 3,903,179 | 5.37 |
RETIREMENT 2025 | NATIONAL FINANCIAL SERVICES | 228,019,214 | 24.01 |
| T ROWE PRICE RPS INC | 257,285,342 | 27.09(a) |
RETIREMENT 2025 FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 24,839,776 | 24.85 |
CLASS | TAYNIK & CO | 5,431,251 | 5.43 |
RETIREMENT 2025 FUND—R CLASS | AXA EQUITABLE FOR SA NO 65 | 5,753,909 | 7.58 |
| STATE STREET BANK AND TRUST AS | 25,704,760 | 33.86(b) |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| VOYA RETIREMENT INS & ANNUITY CO | 9,370,694 | 12.34 |
RETIREMENT 2030 | NATIONAL FINANCIAL SERVICES | 180,182,641 | 23.48 |
| T ROWE PRICE RPS INC | 187,892,194 | 24.49 |
RETIREMENT 2030 FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 24,039,980 | 20.73 |
CLASS | TAYNIK & CO | 10,076,353 | 8.69 |
RETIREMENT 2030 FUND—R CLASS | STATE STREET BANK AND TRUST AS | 34,201,654 | 40.71(b) |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| TAYNIK & CO | 4,383,941 | 5.22 |
RETIREMENT 2035 | NATIONAL FINANCIAL SERVICES | 175,926,840 | 26.53(b) |
| T ROWE PRICE RPS INC | 176,972,941 | 26.69(a) |
RETIREMENT 2035 FUND—ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 19,704,172 | 26.06(b) |
RETIREMENT 2035 FUND—R CLASS | AXA EQUITABLE FOR SA NO 65 | 3,982,807 | 6.61 |
| STATE STREET BANK AND TRUST AS | 22,403,457 | 37.20(b) |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| VOYA RETIREMENT INS & ANNUITY CO | 7,140,867 | 11.86 |
RETIREMENT 2040 | NATIONAL FINANCIAL SERVICES | 131,679,407 | 26.22(b) |
| T ROWE PRICE RPS INC | 116,010,101 | 23.10 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT 2060 | AXA EQUITABLE FOR SA | 1,007,245.89 | 7.19 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 8,200,376.96 | 58.57(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
RETIREMENT 2065 FUND | DCGT AS TTEE AND/OR CUST FBO PLIC | 1,276,421.02 | 10.29 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 1,183,883.15 | 9.54 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 3,164,298.37 | 25.50(e) | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT 2065 FUND INV | |||
RETIREMENT 2065 FUND— | AMERITAS LIFE INSURANCE CORP | 100,096.10 | 15.07 | |
ADVISOR CLASS | SEPARATE ACCOUNT G | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 99,982.04 | 15.05 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 83,720.14 | 12.61 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 48,296.73 | 7.27 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| STATE STREET BANK CUSTODIAN FBO | 42,674.59 | 6.43 | |
| ACCESS LARGE MARKET 401K | |||
| VOYA RETIREMENT INS & ANNUITY CO | 43,442.64 | 6.54 | |
RETIREMENT 2065 | AMERICAN UNITED LIFE | 37,681.97 | 9.44 | |
FUND—R CLASS | SEPARATE ACCOUNT II | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 91,666.92 | 22.97 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 25,791.68 | 6.46 | |
FOR THE EXCLUSIVE BENEFIT | ||||
OF OUR CUSTOMERS | ||||
| STATE STREET BANK AND TRUST AS | 98,567.97 | 24.70 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VOYA RETIREMENT INS & ANNUITY CO | 83,250.34 | 20.86 | |
RETIREMENT BALANCED | NATIONAL FINANCIAL SERV CORP | 10,327,100.11 | 8.70 | |
FUND | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
RETIREMENT BALANCED | AMERITAS LIFE INSURANCE CORP | 483,570.66 | 7.23 | |
FUND—ADVISOR CLASS | SEPARATE ACCOUNT G | |||
| CHARLES SCHWAB & CO INC | 477,440.31 | 7.14 | |
| REINVEST ACCOUNT | |||
| LINCOLN FINANCIAL GROUP TRUST CO | 559,856.37 | 8.37 | |
| FBO ROLLOVER IRA PLANS | |||
| NATIONAL FINANCIAL SERVICES | 796,822.68 | 11.92 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 469,700.98 | 7.02 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT |
94
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
RETIREMENT 2040 FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 19,859,211 | 22.97 |
CLASS | TAYNIK & CO | 7,489,936 | 8.66 |
RETIREMENT 2040 FUND—R CLASS | STATE STREET BANK AND TRUST AS | 25,279,445 | 43.61(b) |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| TAYNIK & CO | 2,979,714 | 5.14 |
RETIREMENT 2045 | NATIONAL FINANCIAL SERVICES | 124,433,969 | 29.46(b) |
| T ROWE PRICE RPS INC | 111,512,896 | 26.41(a) |
RETIREMENT 2045 FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 14,987,193 | 27.52(b) |
CLASS | RELIANCE TRUST COMPANY FBO | 2,745,143 | 5.04 |
| RETIREMENT PLANS SERVICED BY METLIFE |
|
|
RETIREMENT 2045 FUND—R CLASS | AXA EQUITABLE FOR SA NO 65 | 2,429,001 | 5.49 |
| STATE STREET BANK AND TRUST AS | 17,361,403 | 39.27(b) |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| VOYA RETIREMENT INS & ANNUITY CO | 5,167,616 | 11.69 |
RETIREMENT 2050 | NATIONAL FINANCIAL SERVICES | 117,198,492 | 31.39(b) |
| T ROWE PRICE RPS INC | 83,486,217 | 22.36 |
RETIREMENT 2050 FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 20,302,481 | 26.04(b) |
CLASS | STATE STREET BANK AND TRUST AS | 4,754,495 | 6.10 |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| TAYNIK & CO | 6,027,590 | 7.73 |
RETIREMENT 2050 FUND—R CLASS | STATE STREET BANK AND TRUST AS | 24,450,470 | 44.79(b) |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| TAYNIK & CO | 3,102,178 | 5.68 |
RETIREMENT 2055 | NATIONAL FINANCIAL SERVICES | 53,710,143 | 30.86(b) |
| T ROWE PRICE RPS INC | 43,709,135 | 25.12(a) |
RETIREMENT 2055 FUND—ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 9,405,045 | 31.83(b) |
RETIREMENT 2055 FUND—R CLASS | AXA EQUITABLE FOR SA NO 65 | 1,333,323 | 5.82 |
| STATE STREET BANK AND TRUST AS | 9,916,161 | 43.30(b) |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| VOYA RETIREMENT INS & ANNUITY CO | 2,113,135 | 9.23 |
RETIREMENT 2060 | NATIONAL FINANCIAL SERVICES | 7,515,343 | 26.38(b) |
| T ROWE PRICE RPS INC | 7,683,265 | 26.97(a) |
RETIREMENT 2060 FUND—ADVISOR | DCGT AS TTEE AND/OR CUST | 223,519 | 5.79 |
CLASS | FBO PLIC VARIOUS RETIREMENT PLANS |
| |
| NATIONAL FINANCIAL SERVICES | 1,141,951 | 29.60(b) |
| VALIC SEPARATE ACCOUNT A HOUSTON TX 77009 | 201,107 | 5.21 |
RETIREMENT 2060 FUND—R CLASS | STATE STREET BANK AND TRUST AS | 1,590,777 | 46.84(b) |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| VOYA RETIREMENT INS & ANNUITY CO | 235,429 | 6.93 |
RETIREMENT BALANCED | NATIONAL FINANCIAL SERVICES | 12,994,876 | 9.52 |
| T ROWE PRICE RPS INC | 13,249,420 | 9.71 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT BALANCED | STATE STREET BANK AND TRUST AS | 4,795,256.74 | 50.43(b) | |
FUND—R CLASS | TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| UMB BANK N/A | 815,486.20 | 8.58 | |
| FBO FIDUCIARY FOR VARIOUS | |||
| RETIREMENT PROGRAMS | |||
RETIREMENT BALANCED I | CHARLES SCHWAB & CO INC | 3,767,845.33 | 7.71 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 5,823,054.14 | 11.91 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PIMS/PRUDENTIAL RETIREMENT | 4,604,248.55 | 9.42 | |
| AS NOMINEE FOR THE TTEE/CUST PL 701 | |||
| INTERMOUNTAIN IRONWORKERS | |||
| SALT LAKE CTY UT 84130-0124 | |||
RETIREMENT BLEND | SUE E NORWITZ TR | 34,264.60 | 16.67 | |
2005 FUND | IRREV TRUST OF STEVEN E NORWITZ | |||
| T ROWE PRICE RPS INC | 22,862.22 | 11.12 | |
| FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2005 FUND | |||
| T ROWE PRICE TRUST CO | 11,747.73 | 5.71 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| MARK DERBY | |||
| T ROWE PRICE TRUST CO | 12,101.32 | 5.89 | |
| CUST FOR THE IRA OF | |||
| ROBERT BORGE (DCD) | |||
| KEITH BORGE (BENE) | |||
| T ROWE PRICE TRUST CO | 22,609.90 | 11.00 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| PHILIP A. DE VITO | |||
| T ROWE PRICE TRUST CO | 24,130.89 | 11.74 | |
| CUST FOR THE IRA OF | |||
| ROSALIE A JONES | |||
| T ROWE PRICE TRUST CO | 42,370.46 | 20.61 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| ROSE CAMPBELL | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 112,987.59 | 15.49 | |
2005 FUND—I CLASS | OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2005 - I | |||
| T ROWE PRICE TRUST CO | 37,642.03 | 5.16 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| CLAUDE F WALEDISCH | |||
| T ROWE PRICE TRUST CO | 46,413.53 | 6.36 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| JOHN J RAUSER | |||
| VOYA INSTITUTIONAL TRUST COMPANY | 466,097.74 | 63.89(b) |
95
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
RETIREMENT BALANCED FUND— | CHARLES SCHWAB & CO INC | 717,017 | 5.15 |
ADVISOR CLASS | LINCOLN FINANCIAL GROUP TRUST CO | 724,406 | 5.21 |
| FBO ROLLOVER IRA PLANS CONCORD NH 03301-3258 |
| |
| NATIONAL FINANCIAL SERVICES | 2,068,893 | 14.87 |
| STATE STREET BANK AND TRUST AS | 1,128,682 | 8.11 |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| TAYNIK & CO | 1,476,945 | 10.62 |
RETIREMENT BALANCED FUND—R | PIMS/PRUDENTIAL RETIREMENT | 2,596,216 | 17.28 |
CLASS | AS NOMINEE FOR THE TTEE/CUST PL |
| |
| NEPC - TAFT HARTLEY IRONWORKERS SALT LAKE CTY UT 84130-0124 |
| |
| STATE STREET BANK AND TRUST AS | 5,972,384 | 39.76(b) |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
|
|
RETIREMENT I 2005 FUND—I CLASS | GREAT-WEST TRUST COMPANY LLC TTEE | 793,482 | 5.39 |
| RECORDKEEPING FOR LARGE BENEFIT PL |
| |
| NATIONAL FINANCIAL SERVICES | 7,729,174 | 52.50(b) |
RETIREMENT I 2010 FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 13,361,946 | 32.40(b) |
| STATE STREET BANK & TRUST CO | 3,429,476 | 8.32 |
| AS CUSTODIAN FOR MML |
| |
| FBO ITS CLIENTS |
|
|
RETIREMENT I 2015 FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 35,082,064 | 44.38(b) |
RETIREMENT I 2020 FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 108,229,139 | 40.65(b) |
| STATE STREET BANK & TRUST CO | 19,773,626 | 7.43 |
| AS CUSTODIAN FOR MML |
| |
| FBO ITS CLIENTS |
|
|
RETIREMENT I 2025 FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 112,038,717 | 47.75(b) |
RETIREMENT I 2030 FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 119,995,275 | 39.51(b) |
| STATE STREET BANK & TRUST CO | 27,778,648 | 9.15 |
| AS CUSTODIAN FOR MML |
| |
| FBO ITS CLIENTS |
|
|
RETIREMENT I 2035 FUND—I CLASS | CHARLES SCHWAB & CO INC | 10,098,090 | 5.37 |
| NATIONAL FINANCIAL SERVICES | 88,759,629 | 47.24(b) |
| STATE STREET BANK & TRUST CO | 10,517,466 | 5.60 |
| AS CUSTODIAN FOR MML |
| |
| FBO ITS CLIENTS |
|
|
RETIREMENT I 2040 FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 87,505,019 | 37.68(b) |
| STATE STREET BANK & TRUST CO | 21,248,110 | 9.15 |
| AS CUSTODIAN FOR MML |
| |
| FBO ITS CLIENTS |
|
|
RETIREMENT I 2045 FUND—I CLASS | CHARLES SCHWAB & CO INC | 7,028,112 | 5.62 |
| NATIONAL FINANCIAL SERVICES | 58,366,357 | 46.65(b) |
| STATE STREET BANK & TRUST CO | 8,841,647 | 7.07 |
| AS CUSTODIAN FOR MML |
| |
| FBO ITS CLIENTS |
|
|
RETIREMENT I 2050 FUND—I CLASS | FIFTH THIRD BANK TR | 10,040,195 | 8.02 |
| FBO CINTAS PARTNERS PLAN CINCINNATI OH 45202-3191 |
| |
| NATIONAL FINANCIAL SERVICES | 48,234,133 | 38.55(b) |
| STATE STREET BANK & TRUST CO | 11,928,887 | 9.53 |
| AS CUSTODIAN FOR MML |
| |
| FBO ITS CLIENTS |
|
|
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT BLEND | CHARLES RUSSELL | 29,527.68 | 7.92 | |
2010 FUND | KARLA K RUSSELL TRS | |||
| CHARLES AND KARLA REV LIVING TRUST | |||
| T ROWE PRICE RPS INC | 234,425.27 | 62.90(e) | |
| FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2010 | |||
| T ROWE PRICE TRUST CO | 18,866.92 | 5.06 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| ANDREW O CHAN | |||
| T ROWE PRICE TRUST CO | 18,885.28 | 5.07 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| ARLENE M MCGLASSON | |||
| T ROWE PRICE TRUST CO | 21,596.27 | 5.79 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| SHARON M CAMPING | |||
| T ROWE PRICE TRUST CO | 23,849.22 | 6.40 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| JANICE MORRIS | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 97,918.04 | 27.32(b) | |
2010 FUND—I CLASS | REINVEST ACCOUNT | |||
| ELEANOR BROWN T O D | 31,727.86 | 8.85 | |
| VOYA INSTITUTIONAL TRUST COMPANY | 161,885.09 | 45.16(b) | |
RETIREMENT BLEND | T ROWE PRICE RPS INC | 337,218.57 | 49.99(e) | |
2015 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2015 | |||
| T ROWE PRICE TRUST CO | 43,015.97 | 6.38 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| WILLIAM LUTZ | |||
| T ROWE PRICE TRUST CO | 43,455.05 | 6.44 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| SIMON S. JACOBO | |||
| T ROWE PRICE TRUST CO | 44,297.03 | 6.57 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| RAMON MORENO | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 112,546.55 | 8.73 | |
2015 FUND—I CLASS | REINVEST ACCOUNT | |||
| JESSICA N LEVIN | 115,006.57 | 8.92 | |
| RICHARD MANDY TRS | |||
| STEVEN E NORWITZ 2009 IRREVOCABLE | |||
| TRUST | |||
| T ROWE PRICE TRUST CO | 114,958.80 | 8.91 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| DAVID J PAGE | |||
| T ROWE PRICE TRUST CO | 125,144.76 | 9.70 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| DORIS E MARSH | |||
| T ROWE PRICE TRUST CO | 131,639.97 | 10.21 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| LEE A KOZSEY | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 1,686,731.13 | 63.86(e) | |
2020 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2020 |
96
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
RETIREMENT I 2055 FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 23,911,457 | 51.18(b) |
| STATE STREET BANK & TRUST CO | 2,546,815 | 5.45 |
| AS CUSTODIAN FOR MML |
| |
| FBO ITS CLIENTS |
|
|
RETIREMENT I 2060 FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 3,824,589 | 46.20(b) |
RETIREMENT BALANCED I FUND— | FIFTH THIRD BANK TR | 2,072,191 | 11.04 |
I CLASS | NATIONAL FINANCIAL SERVICES | 4,215,715 | 22.47 |
WELLS FARGO BANK | 1,118,840 | 5.96 | |
SCIENCE & TECHNOLOGY | T ROWE PRICE RPS INC | 10,427,045 | 10.55 |
SCIENCE & TECHNOLOGY FUND— | JOHN HANCOCK LIFE | 13,267,082 | 85.79(b) |
ADVISOR CLASS | INSURANCE CO USA |
|
|
SCIENCE & TECHNOLOGY FUND— I CLASS | CHARLES SCHWAB & CO INC | 234,016 | 5.22 |
| DCGT AS TTEE AND/OR CUST | 265,945 | 5.93 |
| FBO PLIC VARIOUS RETIREMENT PLANS |
| |
| NAVID KAUSAR | 234,145 | 5.22 |
| T ROWE PRICE RPS INC | 468,865 | 10.45 |
| TRUSTEES OF T ROWE PRICE | 1,615,579 | 36.00(a) |
| U.S. RETIREMENT PROGRAM |
| |
SHORT-TERM BOND | MARYLAND COLLEGE INVESTMENT PLAN | 62,086,283 | 6.80 |
| PORTFOLIO 2018 |
| |
| SPECTRUM INCOME FUND | 68,200,614 | 7.47 |
| T. ROWE PRICE ASSOCIATES |
| |
| T ROWE PRICE ASSOCIATES | 83,828,229 | 9.18 |
SHORT-TERM BOND FUND—ADVISOR | CHARLES SCHWAB & CO INC | 420,061 | 5.13 |
CLASS | NATIONAL FINANCIAL SERVICES | 2,632,124 | 32.16(b) |
| PERSHING LLC | 454,704 | 5.55 |
| TD AMERITRADE INC | 1,968,717 | 24.05 |
| WELLS FARGO BANK NA | 1,036,100 | 12.66 |
SHORT-TERM BOND FUND—I CLASS | EDWARD D JONES & CO | 16,243,117 | 10.92 |
| NATIONAL FINANCIAL SERVICES | 63,931,868 | 42.99(b) |
| T ROWE PRICE PROGRAM FOR | 12,213,491 | 8.21 |
| CHARITABLE GIVING GIFT |
| |
| PRESERVATION POOL OWINGS MILLS MD 21117-4903 |
| |
SHORT-TERM | JPMORGAN CHASE BANK AS AGENT | 72,037,948 | 12.64 |
| FOR INSTITUTIONAL FUNDS NEWARK DE 19713-2105 |
| |
| STATE STREET BANK & TRUST CO AGENT | 496,936,418 | 87.19(b) |
| FOR T ROWE INSTITUTIONAL FUNDS |
|
|
SMALL-CAP INDEX | T ROWE PRICE ASSOCIATES | 475,000 | 100.00(c) |
SMALL-CAP INDEX FUND—I CLASS | T ROWE PRICE ASSOCIATES | 25,000 | 100.00(c) |
SMALL-CAP STOCK | NATIONAL FINANCIAL SERVICES | 14,961,465 | 9.02 |
| T ROWE PRICE ASSOCIATES | 8,404,979 | 5.07 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 10,532,935 | 6.35 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE TRUST CO INC | 9,714,416 | 5.86 |
| TRPOTC FUND |
| |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 426,701.42 | 9.41 | |
2020 FUND—I CLASS | REINVEST ACCOUNT | |||
| T ROWE PRICE RPS INC | 501,601.98 | 11.06 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2020 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 3,519,914.72 | 70.53(e) | |
2025 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2025 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 834,850.25 | 14.97 | |
2025 FUND—I CLASS | REINVEST ACCOUNT | |||
| EUGENE WATER & ELECTRIC | 299,280.17 | 5.36 | |
| C/O ICMA RETIREMENT CORPORATION | |||
| WASHINGTON DC 20002-4239 | |||
| T ROWE PRICE RPS INC | 610,239.21 | 10.94 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2025 - I | |||
| VOYA INSTITUTIONAL TRUST COMPANY | 407,642.78 | 7.31 | |
RETIREMENT BLEND | T ROWE PRICE RPS INC | 3,463,678.53 | 72.49(e) | |
2030 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2030 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 1,199,127.72 | 20.82 | |
2030 FUND—I CLASS | REINVEST ACCOUNT | |||
| T ROWE PRICE RPS INC | 1,124,919.71 | 19.53 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2030 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 3,831,737.22 | 78.73(e) | |
2035 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2035 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 1,035,272.09 | 18.05 | |
2035 FUND—I CLASS | REINVEST ACCOUNT | |||
| HELENKA HOPKINS NOLAN T O D | 288,263.36 | 5.03 | |
| T ROWE PRICE RPS INC | 1,421,665.74 | 24.79 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2035 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 3,785,396.32 | 76.60(e) | |
2040 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2040 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 1,011,089.17 | 22.70 | |
2040 FUND—I CLASS | REINVEST ACCOUNT | |||
| T ROWE PRICE RPS INC | 892,831.71 | 20.04 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2040 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 2,495,766.03 | 69.72(e) | |
2045 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2045 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 987,189.62 | 27.27(b) | |
2045 FUND—I CLASS | REINVEST ACCOUNT | |||
| T ROWE PRICE RPS INC | 893,324.29 | 24.67 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2045 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 1,589,616.96 | 61.80(e) | |
2050 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2050 |
97
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
SMALL-CAP STOCK FUND—ADVISOR | CHARLES SCHWAB & CO INC | 270,499 | 6.55 |
CLASS | DCGT AS TTEE AND/OR CUST | 220,268 | 5.34 |
| FBO PLIC VARIOUS RETIREMENT PLANS |
| |
| NATIONAL FINANCIAL SERVICES | 1,264,000 | 30.63(b) |
| VANGUARD FIDUCIARY TRUST COMPANY | 445,100 | 10.78 |
| T ROWE PRICE ADVISOR CLASS FUNDS VALLEY FORGE PA 19482-2900 |
| |
| WELLS FARGO BANK FBO | 367,530 | 8.91 |
| VARIOUS RETIREMENT PLANS |
|
|
SMALL-CAP STOCK FUND—I CLASS | CHARLES SCHWAB & CO INC | 2,944,188 | 10.88 |
| NATIONAL FINANCIAL SERVICES | 4,402,888 | 16.27 |
| T ROWE PRICE ASSOCIATES | 1,644,331 | 6.08 |
| RETIREMENT I 2030 FUND |
| |
| T ROWE PRICE ASSOCIATES | 1,507,436 | 5.57 |
| RETIREMENT I 2040 FUND |
| |
SMALL-CAP VALUE | NATIONAL FINANCIAL SERVICES | 10,052,254 | 6.29 |
| T ROWE PRICE ASSOCIATES | 8,187,572 | 5.12 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 10,262,928 | 6.42 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE TRUST CO INC | 10,125,842 | 6.34 |
SMALL-CAP VALUE FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 1,466,860 | 8.81 |
CLASS | RAYMOND JAMES | 13,548,655 | 81.36(b) |
SMALL-CAP VALUE FUND—I CLASS | EDWARD D JONES & CO | 5,999,000 | 19.50 |
| T ROWE PRICE ASSOCIATES | 1,575,095 | 5.12 |
| RETIREMENT I 2030 FUND |
| |
| T ROWE PRICE RPS INC | 4,877,217 | 15.85 |
SPECTRUM INCOME | MARYLAND COLLEGE INVESTMENT PLAN | 26,915,632 | 5.01 |
| PORTFOLIO 2021 |
| |
| MARYLAND COLLEGE INVESTMENT PLAN | 29,716,276 | 5.53 |
| PORTFOLIO 2024 |
| |
| T ROWE PRICE TRUST CO INC | 35,467,932 | 6.60 |
SUMMIT MUNICIPAL INCOME | EDWARD D JONES & CO | 16,709,112 | 13.83 |
| J.P. MORGAN SECURITIES LLC | 13,438,803 | 11.12 |
| RAYMOND JAMES | 12,156,606 | 10.06 |
| SAXON & CO | 13,763,172 | 11.39 |
| WELLS FARGO CLEARING SERVICES LLC | 17,355,690 | 14.36 |
SUMMIT MUNICIPAL INCOME FUND— | LPL FINANCIAL | 415,201 | 81.60(b) |
ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 73,588 | 14.46 |
SUMMIT MUNICIPAL INTERMEDIATE | CHARLES SCHWAB & CO INC | 78,463,233 | 15.98 |
| EDWARD D JONES & CO | 41,787,660 | 8.51 |
| J.P. MORGAN SECURITIES LLC | 101,119,093 | 20.60 |
| WELLS FARGO CLEARING SERVICES LLC | 63,019,624 | 12.84 |
SUMMIT MUNICIPAL INTERMEDIATE | CHARLES SCHWAB & CO INC | 329,661 | 51.45(b) |
FUND—ADVISOR CLASS | CITBANCO A PARTNERSHIP STORM LAKE IA 50588-1227 | 74,150 | 11.57 |
| NATIONAL FINANCIAL SERVICES | 180,499 | 28.17(b) |
SUMMIT MUNICIPAL MONEY MARKET | JAMES S. RIEPE | 15,673,450 | 12.12 |
TARGET 2005 FUND—ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 78,633 | 61.27(b) |
| RELIANCE TRUST CO TTEE ADP | 23,571 | 18.37 |
| ACCESS LARGE MARKET 401K ATLANTA GA 30328-5620 |
| |
| T ROWE PRICE ASSOCIATES | 25,000 | 19.48 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 1,407,269.57 | 41.40(b) | |
2050 FUND—I CLASS | REINVEST ACCOUNT | |||
| T ROWE PRICE RPS INC | 509,903.10 | 15.00 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2050 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 869,113.24 | 63.16(e) | |
2055 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2055 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 623,682.85 | 38.32(b) | |
2055 FUND—I CLASS | REINVEST ACCOUNT | |||
| T ROWE PRICE RPS INC | 254,845.25 | 15.66 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2055 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 248,915.87 | 44.88(e) | |
2060 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2060 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 454,647.88 | 49.35(b) | |
2060 FUND—I CLASS | REINVEST ACCOUNT | |||
| T ROWE PRICE RPS INC | 93,236.08 | 10.12 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2060 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 81,326.34 | 29.65(e) | |
2065 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| T. ROWE PRICE RETIREMENT BLEND 2065 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 179,147.61 | 28.70(b) | |
2065 FUND—I CLASS | REINVEST ACCOUNT | |||
| INDIAN RIVER LAND TRUST | 158,126.03 | 25.33(b) | |
| VERO BEACH FL 32960-4228 | |||
| T ROWE PRICE TRUST CO | 63,049.96 | 10.10 | |
| CUST FOR THE ROTH IRA OF | |||
| JOSEPH HUBER | |||
| T ROWE PRICE TRUST CO | 86,909.33 | 13.92 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| RUSSELL K KARASCH | |||
RETIREMENT I 2005 | NATIONAL FINANCIAL SERVICES | 8,582,227.22 | 32.00(b) | |
FUND—I CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 2,124,699.52 | 7.92 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER | |||
RETIREMENT I 2010 | DCGT AS TTEE AND/OR CUST FBO PLIC | 5,451,829.67 | 7.03 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 16,895,165.71 | 21.78 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 5,130,361.47 | 6.61 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER | |||
RETIREMENT I 2015 | NATIONAL FINANCIAL SERVICES | 37,240,614.52 | 27.78(b) | |
FUND—I CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 9,928,913.19 | 7.41 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER |
98
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
TARGET 2005 FUND—I CLASS | T ROWE PRICE ASSOCIATES | 24,582 | 19.70 |
| T ROWE PRICE TRUST CO INC | 91,581 | 73.38(e) |
| CUST FOR THE ROLLOVER IRA OF |
| |
| CHRISTOPHER R BURNHAM |
|
|
TARGET 2010 FUND—ADVISOR CLASS | FIIOC AS AGENT FBO | 30,917 | 6.41 |
| INTERNATIONAL YOUTH FOUNDATION |
| |
| NATIONAL FINANCIAL SERVICES | 296,291 | 61.43(b) |
| RELIANCE TRUST CO TTEE ADP | 154,655 | 32.06(b) |
| ACCESS LARGE MARKET 401K |
|
|
TARGET 2010 FUND—I CLASS | GREAT-WEST TRUST COMPANY LLC FBO | 26,773 | 7.64 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| REBECCA L. BESSON | 273,748 | 78.09(b) |
| STUART B COOPER TEN ENT |
| |
| T ROWE PRICE ASSOCIATES | 24,390 | 6.96 |
TARGET 2015 | T ROWE PRICE RPS INC | 992,061 | 6.59 |
TARGET 2015 FUND—ADVISOR CLASS | GREAT WEST TRUST CO LLC | 130,445 | 25.00(b) |
| FBO RECORDKEEPING FOR VARIOUS |
| |
| BENEFIT PL OMNIPUTNAM |
| |
| GREAT-WEST TRUST COMPANY LLC FBO | 68,730 | 13.17 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| NATIONAL FINANCIAL SERVICES | 201,333 | 38.59(b) |
| STATE STREET BANK AND TRUST AS | 43,898 | 8.41 |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| WELLS FARGO BANK FBO | 42,300 | 8.11 |
| VARIOUS RETIREMENT PLANS |
|
|
TARGET 2015 FUND—I CLASS | GREAT-WEST TRUST COMPANY LLC FBO | 92,501 | 10.43 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| NATIONAL FINANCIAL SERVICES | 67,511 | 7.61 |
| T ROWE PRICE TRUST CO INC | 115,747 | 13.05 |
| CUST FOR THE ROLLOVER IRA OF |
| |
| ALBERT K MONAGAN JR |
| |
| T ROWE PRICE TRUST CO INC | 95,316 | 10.75 |
| CUST FOR THE ROLLOVER IRA OF |
| |
| DAVID L HINTZ |
| |
| T ROWE PRICE TRUST CO INC | 105,898 | 11.94 |
| CUST FOR THE ROLLOVER IRA OF |
| |
| DENNIS W CULLEN |
| |
| T ROWE PRICE TRUST CO INC | 89,450 | 10.09 |
| CUST FOR THE ROLLOVER IRA OF |
| |
| LINDA M RIDDELL |
| |
| T ROWE PRICE TRUST CO INC | 95,082 | 10.72 |
| CUST FOR THE ROLLOVER IRA OF |
| |
| ROBERT A CRIDER |
| |
| T ROWE PRICE TRUST CO INC | 100,822 | 11.37 |
| CUST FOR THE ROLLOVER IRA OF |
| |
| ROLLIN G SEARS |
|
|
TARGET 2020 | NATIONAL FINANCIAL SERVICES | 1,649,023 | 8.56 |
| T ROWE PRICE RPS INC | 2,588,056 | 13.44 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT I 2020 | DCGT AS TTEE AND/OR CUST FBO PLIC | 23,991,530.58 | 5.66 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 117,033,649.98 | 27.59(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
RETIREMENT I 2025 | NATIONAL FINANCIAL SERVICES | 200,087,210.69 | 34.14(b) | |
FUND—I CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 29,442,446.67 | 5.02 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER | |||
RETIREMENT I 2030 | DCGT AS TTEE AND/OR CUST FBO PLIC | 50,589,037.82 | 6.50 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 238,352,942.10 | 30.64(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
RETIREMENT I 2035 | DCGT AS TTEE AND/OR CUST FBO PLIC | 28,995,532.73 | 5.15 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 196,059,696.96 | 34.83(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 32,064,638.30 | 5.70 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER | |||
RETIREMENT I 2040 | DCGT AS TTEE AND/OR CUST FBO PLIC | 41,931,592.26 | 6.98 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 186,821,177.28 | 31.08(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 33,016,710.71 | 5.49 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER | |||
RETIREMENT I 2045 | DCGT AS TTEE AND/OR CUST FBO PLIC | 23,065,755.36 | 5.40 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 146,501,480.44 | 34.30(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 25,202,001.90 | 5.90 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER | |||
RETIREMENT I 2050 | DCGT AS TTEE AND/OR CUST FBO PLIC | 32,723,528.66 | 7.96 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 128,962,401.23 | 31.35(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
RETIREMENT I 2055 | DCGT AS TTEE AND/OR CUST FBO PLIC | 16,063,252.57 | 6.56 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 84,173,162.03 | 34.35(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
RETIREMENT I 2060 | DCGT AS TTEE AND/OR CUST FBO PLIC | 12,265,770.31 | 10.24 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 35,934,103.77 | 29.99(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS |
99
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
TARGET 2020 FUND—ADVISOR CLASS | GREAT WEST TRUST CO LLC | 156,580 | 7.18 |
| FBO RECORDKEEPING FOR VARIOUS |
| |
| GREAT-WEST TRUST COMPANY LLC FBO | 297,830 | 13.65 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| NATIONAL FINANCIAL SERVICES | 642,669 | 29.46(b) |
| RELIANCE TRUST CO TTEE ADP | 851,294 | 39.02(b) |
| ACCESS LARGE MARKET 401K |
|
|
TARGET 2020 FUND—I CLASS | GREAT-WEST TRUST COMPANY LLC FBO | 256,084 | 16.16 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| NATIONAL FINANCIAL SERVICES | 281,082 | 17.73 |
| SANDRA L KRISZTAL AGENT | 118,971 | 7.51 |
| TRP/ POA |
| |
| T ROWE PRICE CO CUST FOR THE |
| |
| ROLLOVER IRA OF RUBEN J KRISZTAL LEAWOOD KS 66209-1048 |
| |
| T ROWE PRICE TRUST CO INC | 99,238 | 6.26 |
| CUST FOR THE ROLLOVER IRA OF |
| |
| DOUGLAS J CROCKETT |
| |
| T ROWE PRICE TRUST CO INC | 196,669 | 12.41 |
| CUST FOR THE ROLLOVER IRA OF |
| |
| DWIGHT T COLES |
| |
| T ROWE PRICE TRUST CO INC | 106,255 | 6.70 |
| CUST FOR THE ROLLOVER IRA OF |
| |
| KEITH EDICK |
| |
| T ROWE PRICE TRUST CO INC | 115,542 | 7.29 |
| CUST FOR THE ROLLOVER IRA OF |
| |
| ROBERT T ERRINGTON |
|
|
TARGET 2025 | NATIONAL FINANCIAL SERVICES | 1,217,505 | 6.96 |
| T ROWE PRICE RPS INC | 3,227,162 | 18.45 |
| WELLS FARGO BANK FBO | 1,407,811 | 8.05 |
| VARIOUS RETIREMENT PLANS |
|
|
TARGET 2025 FUND—ADVISOR CLASS | GREAT WEST TRUST CO LLC | 342,574 | 28.69(b) |
| FBO RECORDKEEPING FOR VARIOUS |
| |
| GREAT-WEST TRUST COMPANY LLC FBO | 204,004 | 17.09 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| NATIONAL FINANCIAL SERVICES | 403,045 | 33.76(b) |
| RELIANCE TRUST CO TTEE ADP | 102,528 | 8.59 |
| ACCESS LARGE MARKET 401K |
| |
| STATE STREET BANK AND TRUST AS | 95,114 | 7.97 |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
|
|
TARGET 2025 FUND—I CLASS | CHARLES SCHWAB & CO INC | 291,032 | 26.47(b) |
| GREAT-WEST TRUST COMPANY LLC FBO | 208,557 | 18.97 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| NATIONAL FINANCIAL SERVICES | 90,800 | 8.26 |
| NONAB & CO | 62,641 | 5.70 |
| E H KLECKNER, INC PS 401(K) PLAN WELLSBORO PA 16901-1517 |
| |
| NONAB & CO | 54,953 | 5.00 |
| FBO STROBELS SUPPLY, INC 401(K) PSP |
| |
| NONAB & CO | 61,272 | 5.57 |
| FBO WEST MILTON STATE BANK 401(K) |
|
|
TARGET 2030 | NATIONAL FINANCIAL SERVICES | 2,608,011 | 16.23 |
| T ROWE PRICE RPS INC | 4,230,950 | 26.32(a) |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT I 2065 | DCGT AS TTEE AND/OR CUST FBO PLIC | 2,305,362.52 | 13.54 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| JOHN HANCOCK LIFE | 1,272,200.16 | 7.47 | |
| INSURANCE CO USA | |||
| NATIONAL FINANCIAL SERVICES | 4,960,047.19 | 29.13(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
SCIENCE & TECHNOLOGY | JOHN HANCOCK LIFE | 13,749,618.15 | 11.32 | |
FUND | INSURANCE CO USA | |||
| T ROWE PRICE RPS INC | 9,888,261.70 | 8.14 | |
| NEW BUSINESS-CONV ASSTS | |||
SCIENCE & TECHNOLOGY | FIIOC AS AGENT | 93,256.96 | 6.60 | |
FUND—ADVISOR CLASS | FBO CLEAN ENERGY 401K PLAN | |||
| VANGUARD FIDUCIARY TRUST COMPANY | 73,232.43 | 5.19 | |
| T ROWE PRICE ADVISOR CLASS FUNDS | |||
| ATTN OUTSIDE FUNDS | |||
| VOYA INSTITUTIONAL TRUST COMPANY | 132,691.45 | 9.40 | |
| VOYA RETIREMENT INS & ANNUITY CO | 400,615.30 | 28.37(b) | |
SHORT DURATION | NATIONAL FINANCIAL SERVICES | 184,430.35 | 5.86 | |
INCOME FUND | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE ASSOCIATES | 1,975,000.00 | 62.73(c) | |
SHORT DURATION | T ROWE PRICE RPS INC | 188,356.41 | 10.12 | |
INCOME FUND—I CLASS | FBO TRP PLAN | |||
| TRP SHORT DURATION INCOME I | |||
SHORT-TERM BOND FUND | NATIONAL FINANCIAL SERVICES | 25,681,892.20 | 7.44 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE ASSOCIATES | 51,825,393.09 | 15.01 | |
| WELLS FARGO CLEARING SERVICES LLC | 47,678,523.25 | 13.81 | |
| SPECIAL CUSTODY ACCT FOR THE | |||
| EXCLUSIVE BENEFIT OF CUSTOMERS | |||
SHORT-TERM BOND | CHARLES SCHWAB & CO INC | 98,722.98 | 5.88 | |
FUND—ADVISOR CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 272,530.02 | 16.23 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 212,285.39 | 12.64 | |
| TD AMERITRADE INC FBO | 424,704.27 | 25.29(b) | |
| OUR CUSTOMERS | |||
| WELLS FARGO CLEARING SERVICES LLC | 100,648.47 | 5.99 | |
| SPECIAL CUSTODY ACCT FOR THE | |||
| EXCLUSIVE BENEFIT OF CUSTOMERS | |||
SHORT-TERM BOND | EDWARD D JONES & CO | 41,529,491.49 | 6.26 | |
FUND—I CLASS | FOR THE BENEFIT OF CUSTOMERS | |||
| MARYLAND COLLEGE INVESTMENT PLAN | 81,372,961.73 | 12.26 | |
| PORTFOLIO 2024 | |||
| NATIONAL FINANCIAL SERVICES | 99,760,088.18 | 15.03 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE SERVICES INC FBO | 111,454,553.31 | 16.80 | |
| MARYLAND COLLEGE INVESTMENT PLAN | |||
| PORTFOLIO FOR EDUCATION TODAY | |||
SHORT-TERM BOND | SPECTRUM INCOME FUND | 33,347,495.68 | 100.00(a) | |
FUND—Z CLASS | T. ROWE PRICE ASSOCIATES | |||
SMALL-CAP INDEX FUND | T ROWE PRICE ASSOCIATES | 12,322.64 | 100.00(c) |
100
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
TARGET 2030 FUND—ADVISOR CLASS | FIIOC AS AGENT FBO | 301,409 | 12.44 |
| INTERNATIONAL YOUTH FOUNDATION |
| |
| GREAT WEST TRUST CO LLC | 235,379 | 9.72 |
| FBO RECORDKEEPING FOR VARIOUS |
| |
| NATIONAL FINANCIAL SERVICES | 907,099 | 37.45(b) |
| RELIANCE TRUST CO TTEE ADP | 819,021 | 33.81(b) |
| ACCESS LARGE MARKET 401K |
|
|
TARGET 2030 FUND—I CLASS | ASCENSUS TRUST COMPANY FBO | 60,243 | 6.17 |
| HRM ENTERPRISES INC 401(K) PLAN |
| |
| CHARLES SCHWAB & CO INC | 52,467 | 5.37 |
| GREAT-WEST TRUST COMPANY LLC FBO | 104,147 | 10.67 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| MATRIX TRUST COMPANY TRUSTEE FBO | 234,575 | 24.03 |
| CHRISTIAN APPALACHIAN PROJECT INC |
| |
| NATIONAL FINANCIAL SERVICES | 85,602 | 8.77 |
| T ROWE PRICE TRUST CO INC | 108,361 | 11.10 |
| CUST FOR THE ROLLOVER IRA OF |
| |
| GARRETT COLMORGEN |
|
|
TARGET 2035 | NATIONAL FINANCIAL SERVICES | 1,319,052 | 12.74 |
| T ROWE PRICE RPS INC | 3,042,174 | 29.38(a) |
| WELLS FARGO BANK FBO | 893,541 | 8.63 |
| VARIOUS RETIREMENT PLANS |
|
|
TARGET 2035 FUND—ADVISOR CLASS | GREAT WEST TRUST CO LLC | 188,080 | 18.79 |
| FBO RECORDKEEPING FOR VARIOUS |
| |
| GREAT-WEST TRUST COMPANY LLC FBO | 136,936 | 13.68 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| NATIONAL FINANCIAL SERVICES | 581,014 | 58.03(b) |
| STATE STREET BANK AND TRUST AS | 57,045 | 5.70 |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
|
|
TARGET 2035 FUND—I CLASS | CHARLES SCHWAB & CO INC | 234,007 | 28.19(b) |
| GREAT-WEST TRUST COMPANY LLC FBO | 253,739 | 30.57(b) |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| NATIONAL FINANCIAL SERVICES | 98,892 | 11.91 |
TARGET 2040 | NATIONAL FINANCIAL SERVICES | 1,362,870 | 15.94 |
| T ROWE PRICE RPS INC | 2,438,808 | 28.53(a) |
| WELLS FARGO BANK FBO | 556,295 | 6.51 |
| VARIOUS RETIREMENT PLANS |
|
|
TARGET 2040 FUND—ADVISOR CLASS | FIIOC AS AGENT FBO | 69,213 | 7.07 |
| INTERNATIONAL YOUTH FOUNDATION |
| |
| GREAT WEST TRUST CO LLC | 153,068 | 15.64 |
| FBO RECORDKEEPING FOR VARIOUS |
| |
NATIONAL FINANCIAL SERVICES | 689,531 | 70.47(b) | |
TARGET 2040 FUND—I CLASS | ASCENSUS TRUST COMPANY FBO | 91,479 | 14.16 |
| HRM ENTERPRISES INC 401(K) PLAN |
| |
| GREAT-WEST TRUST COMPANY LLC FBO | 273,307 | 42.30(b) |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| MATRIX TRUST COMPANY TRUSTEE FBO | 39,107 | 6.05 |
| CHRISTIAN APPALACHIAN PROJECT INC |
| |
| NATIONAL FINANCIAL SERVICES | 60,170 | 9.31 |
TARGET 2045 | NATIONAL FINANCIAL SERVICES | 753,478 | 13.42 |
| T ROWE PRICE RPS INC | 1,734,243 | 30.88(a) |
| WELLS FARGO BANK FBO | 449,648 | 8.01 |
| VARIOUS RETIREMENT PLANS |
|
|
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
SMALL-CAP INDEX | EDUCATION TRUST OF ALASKA | 498,600.45 | 7.24 | |
FUND—I CLASS | ACT PORTFOLIO | |||
| C/O T ROWE PRICE ASSOCIATES | |||
| EDUCATION TRUST OF ALASKA | 2,777,402.69 | 40.32(b) | |
| TOTAL EQUITY MARKET INDEX | |||
PORTFOLIO | ||||
| C/O T ROWE PRICE ASSOCIATES | |||
| MARYLAND COLLEGE INVESTMENT PLAN | 1,262,880.05 | 18.33 | |
| EXTENDED EQUITY INDEX PORTFOLIO | |||
| MARYLAND COLLEGE INVESTMENT PLAN | 1,985,933.53 | 28.83(b) | |
| GLOBAL EQUITY MARKET INDEX | |||
SMALL-CAP INDEX | RETIREMENT BLEND 2020 FUND | 92,454.28 | 6.99 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2025 FUND | 153,101.20 | 11.58 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2030 FUND | 182,235.04 | 13.79 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2035 FUND | 213,007.03 | 16.11 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2040 FUND | 205,466.43 | 15.54 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2045 FUND | 166,073.79 | 12.56 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2050 FUND | 141,249.77 | 10.69 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2055 FUND | 70,838.52 | 5.36 | |
| T ROWE PRICE ASSOCIATES | |||
SMALL-CAP STOCK FUND | CHARLES SCHWAB & CO INC | 3,362,377.07 | 7.32 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERV CORP | 7,318,234.18 | 15.93 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE TRUST CO INC | 2,435,079.83 | 5.30 | |
| T R P O T C FUND | |||
| ATTN R P S CONTROL DEPT | |||
SMALL-CAP STOCK | DCGT AS TTEE AND/OR CUST FBO PLIC | 142,477.51 | 13.06 | |
FUND—ADVISOR CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 175,182.81 | 16.06 | |
| EMPOWER BENEFIT PLANS | |||
| JOHN HANCOCK TRUST COMPANY | 55,505.18 | 5.09 | |
| LINCOLN INVESTMENT PLANNING, LLC | 78,987.50 | 7.24 | |
| FBO LINCOLN CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 157,144.08 | 14.41 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
SMALL-CAP STOCK | CHARLES SCHWAB & CO INC | 3,953,184.72 | 6.53 | |
FUND—I CLASS | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 5,993,393.90 | 9.89 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS |
101
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
TARGET 2045 FUND—ADVISOR CLASS | GREAT WEST TRUST CO LLC | 85,126 | 12.08 |
| FBO RECORDKEEPING FOR VARIOUS |
| |
| GREAT-WEST TRUST COMPANY LLC FBO | 57,078 | 8.10 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| NATIONAL FINANCIAL SERVICES | 500,920 | 71.09(b) |
TARGET 2045 FUND—I CLASS | CHARLES SCHWAB & CO INC | 219,489 | 34.15(b) |
| GREAT-WEST TRUST COMPANY LLC FBO | 288,646 | 44.91(b) |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| NATIONAL FINANCIAL SERVICES | 37,560 | 5.84 |
TARGET 2050 | NATIONAL FINANCIAL SERVICES | 868,888 | 21.11 |
| T ROWE PRICE RPS INC | 916,549 | 22.27 |
TARGET 2050 FUND—ADVISOR CLASS | FIIOC AS AGENT FBO | 78,456 | 13.50 |
| INTERNATIONAL YOUTH FOUNDATION |
| |
| GREAT WEST TRUST CO LLC | 54,589 | 9.39 |
| FBO RECORDKEEPING FOR VARIOUS |
| |
| NATIONAL FINANCIAL SERVICES | 357,072 | 61.44(b) |
| WELLS FARGO BANK FBO | 37,694 | 6.49 |
| VARIOUS RETIREMENT PLANS |
|
|
TARGET 2050 FUND—I CLASS | ASCENSUS TRUST COMPANY FBO | 35,089 | 6.36 |
| HRM ENTERPRISES INC 401(K) PLAN |
| |
| GREAT-WEST TRUST COMPANY LLC FBO | 297,373 | 53.87(b) |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| MATRIX TRUST COMPANY TRUSTEE FBO | 37,981 | 6.88 |
| CHRISTIAN APPALACHIAN PROJECT INC |
| |
| NATIONAL FINANCIAL SERVICES | 89,306 | 16.18 |
TARGET 2055 | GREAT-WEST TRUST COMPANY LLC TTEE | 115,207 | 5.15 |
| CRAIG HOSPITAL BASIC & SUPPLMNTL |
| |
| NATIONAL FINANCIAL SERVICES | 325,938 | 14.58 |
| T ROWE PRICE RPS INC | 533,802 | 23.88 |
| WELLS FARGO BANK FBO | 128,983 | 5.77 |
| VARIOUS RETIREMENT PLANS |
|
|
TARGET 2055 FUND—ADVISOR CLASS | GREAT WEST TRUST CO LLC | 20,950 | 6.00 |
| FBO RECORDKEEPING FOR VARIOUS |
| |
| GREAT-WEST TRUST COMPANY LLC FBO | 33,371 | 9.55 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| NATIONAL FINANCIAL SERVICES | 259,650 | 74.33(b) |
TARGET 2055 FUND—I CLASS | CHARLES SCHWAB & CO INC | 67,160 | 22.42 |
| GREAT-WEST TRUST COMPANY LLC FBO | 165,327 | 55.19(b) |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| NATIONAL FINANCIAL SERVICES | 19,407 | 6.48 |
TARGET 2060 | CHARLES SCHWAB & CO INC | 61,633 | 6.22 |
| NATIONAL FINANCIAL SERVICES | 79,170 | 7.99 |
| STATE STREET BANK AND TRUST AS | 56,989 | 5.75 |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| T ROWE PRICE RPS INC | 74,301 | 7.50 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
SMALL-CAP STOCK | RETIREMENT I 2030 FUND | 3,697,433.10 | 6.40 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 3,212,885.89 | 5.57 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 3,875,784.61 | 6.71 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2045 FUND | 2,961,210.20 | 5.13 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2050 FUND | 2,890,849.54 | 5.01 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 5,320,899.04 | 9.22 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 3,566,263.87 | 6.18 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 5,769,849.20 | 9.99 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 4,310,365.36 | 7.47 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2045 | 3,403,846.74 | 5.90 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2050 | 3,055,009.09 | 5.29 | |
| T ROWE PRICE ASSOCIATES | |||
SMALL-CAP VALUE FUND | CHARLES SCHWAB & CO INC | 5,422,426.55 | 5.78 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 12,447,428.07 | 13.26 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 5,236,270.67 | 5.58 | |
| RAYMOND JAMES | 20,045,523.66 | 21.35 | |
| OMNIBUS FOR MUTUAL FUNDS | |||
| T ROWE PRICE TRUST CO INC | 5,654,358.52 | 6.02 | |
SMALL-CAP VALUE | CHARLES SCHWAB & CO INC | 285,256.01 | 17.93 | |
FUND—ADVISOR CLASS | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 424,214.07 | 26.66(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 141,558.65 | 8.90 | |
| RAYMOND JAMES | 122,936.73 | 7.73 | |
| OMNIBUS FOR MUTUAL FUNDS | |||
SMALL-CAP VALUE | CHARLES SCHWAB & CO INC | 4,336,439.29 | 7.17 | |
FUND—I CLASS | REINVEST ACCOUNT | |||
| EDWARD D JONES & CO | 3,037,515.91 | 5.02 | |
| FOR THE BENEFIT OF CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 6,757,202.35 | 11.17 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS |
102
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
TARGET 2060 FUND—ADVISOR CLASS | MATRIX TRUST COMPANY TRUSTEE FBO | 8,977 | 9.13 |
| UI LABS 401(K) PLAN |
| |
| NATIONAL FINANCIAL SERVICES | 26,497 | 26.95(b) |
| RELIANCE TRUST CO TTEE ADP | 8,721 | 8.87 |
| ACCESS LARGE MARKET 401K |
| |
| STATE STREET BANK AND TRUST AS | 11,318 | 11.51 |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| T ROWE PRICE ASSOCIATES | 25,000 | 25.43(c) |
TARGET 2060 FUND—I CLASS | GREAT-WEST TRUST COMPANY LLC FBO | 14,757 | 23.42 |
| EMPLOYEE BENEFITS CLIENTS 401K |
| |
| NATIONAL FINANCIAL SERVICES | 5,649 | 8.96 |
| T ROWE PRICE ASSOCIATES | 27,902 | 44.27(c) |
TAX-EFFICIENT EQUITY FUND—I CLASS | GAIL D BUCKNER | 176,110 | 87.15(b) |
| TED I DUNLAP | 16,523 | 8.18 |
| CONNIE R DUNLAP JT TEN |
|
|
TAX-EXEMPT MONEY FUND—I CLASS | DAVID MASON | 4,471,088 | 62.26(b) |
| DORIS IRENE MASON JT TEN |
| |
| KENT G SHENG | 1,102,744 | 15.36 |
| ROBERT B OTT | 1,357,697 | 18.91 |
| PAULA S OTT JT TEN |
|
|
TAX-FREE HIGH YIELD | CHARLES SCHWAB & CO INC | 30,164,552 | 9.24 |
| GOLDMAN SACHS & CO SALT LAKE CITY UT 84101-2199 | 50,631,031 | 15.50 |
| NATIONAL FINANCIAL SERVICES | 28,440,967 | 8.71 |
| PERSHING LLC | 20,824,337 | 6.38 |
TAX-FREE HIGH YIELD FUND—ADVISOR | NATIONAL FINANCIAL SERVICES | 90,241,466 | 99.06(b) |
CLASS |
| ||
TAX-FREE HIGH YIELD FUND—I CLASS | BNYH FIXED INCOME LLC | 2,067,350 | 5.13 |
| EDWARD D JONES & CO | 16,648,397 | 41.32(b) |
| J.P. MORGAN SECURITIES LLC | 5,005,177 | 12.42 |
| MORI & CO KANSAS CITY MO 64106-1802 | 7,294,909 | 18.11 |
| SEI PRIVATE TRUST COMPANY | 2,292,774 | 5.69 |
TAX-FREE INCOME | NATIONAL FINANCIAL SERVICES | 15,446,304 | 8.10 |
TAX-FREE INCOME FUND—ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 57,318,910 | 93.86(b) |
TAX-FREE INCOME FUND—I CLASS | J.P. MORGAN SECURITIES LLC | 4,233,686 | 24.07 |
| SEI PRIVATE TRUST COMPANY | 3,040,153 | 17.28 |
| SEI PRIVATE TRUST COMPANY | 7,076,063 | 40.23(b) |
TAX-FREE SHORT-INTERMEDIATE | CHARLES SCHWAB & CO INC | 45,699,503 | 13.97 |
| NATIONAL FINANCIAL SERVICES | 29,084,045 | 8.89 |
| T ROWE PRICE ASSOCIATES | 34,412,351 | 10.52 |
| WELLS FARGO CLEARING SERVICES LLC | 42,840,943 | 13.10 |
TAX-FREE SHORT-INTERMEDIATE | 2012 JOSEPH A MCKINNEY JR | 175,078 | 12.35 |
FUND—ADVISOR CLASS | LIVING TRUST GREENSBORO NC 27401-2767 |
| |
| CHARLES SCHWAB & CO INC | 190,384 | 13.43 |
| NATIONAL FINANCIAL SERVICES | 751,990 | 53.05(b) |
| PERSHING LLC | 100,562 | 7.09 |
| RAYMOND JAMES | 92,125 | 6.50 |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
SMALL-CAP VALUE | RETIREMENT I 2030 FUND | 3,504,895.93 | 6.17 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 3,002,417.73 | 5.28 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 3,611,590.52 | 6.36 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 5,003,228.06 | 8.80 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 3,304,131.74 | 5.81 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 5,419,811.08 | 9.54 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 4,042,113.67 | 7.11 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2045 | 3,130,205.60 | 5.51 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2050 | 2,844,865.30 | 5.01 | |
| T ROWE PRICE ASSOCIATES | |||
SPECTRUM CONSERVATIVE | CHARLES SCHWAB & CO | 3,597,578.10 | 6.05 | |
ALLOCATION FUND | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 7,453,201.30 | 12.54 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TD AMERITRADE INC FBO | 3,114,544.37 | 5.24 | |
| OUR CUSTOMERS | |||
SPECTRUM CONSERVATIVE | CHARLES SCHWAB & CO INC | 2,830,393.98 | 5.11 | |
ALLOCATION FUND— | REINVEST ACCOUNT | |||
I CLASS | NATIONAL FINANCIAL SERVICES | 10,863,418.84 | 19.61 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
SPECTRUM DIVERSIFIED | NATIONAL FINANCIAL SERVICES | 4,701,456.93 | 5.24 | |
EQUITY FUND | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE TRUST CO INC | 5,482,184.83 | 6.10 | |
SPECTRUM INCOME FUND | JOHN HANCOCK LIFE | 9,886,769.49 | 5.57 | |
| INSURANCE CO USA | |||
| NATIONAL FINANCIAL SERVICES | 10,281,279.48 | 5.79 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE TRUST CO INC | 28,779,684.84 | 16.21 | |
SPECTRUM INCOME | MARYLAND COLLEGE INVESTMENT PLAN | 29,648,436.57 | 8.26 | |
FUND—I CLASS | PORTFOLIO 2030 | |||
| MARYLAND COLLEGE INVESTMENT PLAN | 45,256,727.87 | 12.60 | |
| PORTFOLIO 2027 | |||
| T ROWE PRICE SERVICES INC FBO | 18,402,938.16 | 5.12 | |
| EDUCATION TRUST OF ALASKA | |||
| PORTFOLIO 2021-2024 | |||
| T ROWE PRICE SERVICES INC FBO | 20,325,213.11 | 5.66 | |
| EDUCATION TRUST OF ALASKA | |||
| PORTFOLIO 2025-2028 |
103
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
TAX-FREE SHORT-INTERMEDIATE FUND | CHARLES SCHWAB & CO INC | 3,594,650 | 9.82 |
—I CLASS | EDWARD D JONES & CO | 2,238,339 | 6.11 |
| PERSHING LLC | 3,795,348 | 10.36 |
| TD AMERITRADE INC | 10,209,199 | 27.88(b) |
TOTAL EQUITY MARKET INDEX | EDUCATION TRUST OF ALASKA | 5,804,464 | 10.09 |
| TOTAL EQUITY MARKET INDEX PORTFOLIO BALTIMORE MD 21202-1009 |
| |
| MARYLAND COLLEGE INVESTMENT PLAN | 5,885,923 | 10.23 |
| GLOBAL EQUITY MARKET INDEX |
| |
TOTAL RETURN | T ROWE PRICE ASSOCIATES | 2,450,000 | 64.50(c) |
TOTAL RETURN FUND—ADVISOR CLASS | T ROWE PRICE ASSOCIATES | 25,000 | 100.00(c) |
TOTAL RETURN FUND—I CLASS | T ROWE PRICE ASSOCIATES | 25,000 | 38.11(c) |
| TRUSTEES OF T ROWE PRICE | 40,601 | 61.89(a) |
| U.S. RETIREMENT PROGRAM |
| |
TREASURY RESERVE | BARNACLESAIL BALTIMORE MD 21202-1009 | 1,583,098,533 | 39.79(d) |
| BRIDGESAIL & CO BALTIMORE MD 21202-1009 | 496,665,459 | 12.48 |
| MILDSHIP & CO BALTIMORE MD 21202-1009 | 587,549,705 | 14.77 |
| T ROWE PRICE | 240,275,167 | 6.04 |
| RETIREMENT PLAN SERVICE INC OWINGS MILLS MD 21117-4903 |
| |
U.S. BOND ENHANCED INDEX | EDUCATION TRUST OF ALASKA | 6,740,544 | 9.42 |
| ACT PORTFOLIO |
| |
NATIONAL FINANCIAL SERVICES | 7,798,654 | 10.90 | |
U.S. HIGH YIELD | TD AMERITRADE INC | 1,084,042 | 14.32 |
U.S. HIGH YIELD FUND—ADVISOR | CHARLES SCHWAB & CO INC | 56,014 | 5.02 |
CLASS | MORGAN STANLEY SMITH BARNEY | 167,703 | 15.03 |
| NATIONAL FINANCIAL SERVICES | 696,672 | 62.44(b) |
U.S. HIGH YIELD FUND—I CLASS | MORGAN STANLEY SMITH BARNEY | 1,043,563 | 25.83(b) |
| T ROWE PRICE ASSOCIATES | 2,147,205 | 53.14(c) |
| UBS WM USA | 273,748 | 6.78 |
U.S. LARGE-CAP CORE | CHARLES SCHWAB & CO INC | 1,445,239 | 6.86 |
| NATIONAL FINANCIAL SERVICES | 3,867,134 | 18.35 |
| PERSHING LLC | 1,735,131 | 8.23 |
U.S. LARGE-CAP CORE FUND— | CHARLES SCHWAB & CO INC | 81,497 | 10.03 |
ADVISOR CLASS | LPL FINANCIAL | 116,069 | 14.28 |
| NATIONAL FINANCIAL SERVICES | 182,681 | 22.48 |
| PERSHING LLC | 145,527 | 17.91 |
| STATE STREET BANK AND TRUST AS | 55,473 | 6.83 |
| TRUSTEE AND/OR CUSTODIAN |
| |
| FBO ADP ACCESS PRODUCT |
| |
| TD AMERITRADE INC | 87,303 | 10.74 |
U.S. LARGE-CAP CORE FUND—I CLASS | MARIL & CO FBO 61 GREEN BAY WI 54304-5280 | 194,753 | 22.38 |
| MITRA & CO FBO 61 GREEN BAY WI 54304-5280 | 72,685 | 8.35 |
| TRUSTEES OF T ROWE PRICE | 169,364 | 19.46 |
| U.S. RETIREMENT PROGRAM |
| |
| VALLEE & CO FBO 61 GREEN BAY WI 54304-5280 | 355,266 | 40.82(b) |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
SPECTRUM | CHARLES SCHWAB & CO INC | 8,966,155.64 | 17.96 | |
INTERNATIONAL | REINVEST ACCOUNT | |||
EQUITY FUND | NATIONAL FINANCIAL SERVICES | 7,155,333.90 | 14.33 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC CORP | 3,150,617.29 | 6.31 | |
| OMNIPLAN ACCOUNT | |||
| NEW BUSINESS GROUP | |||
SPECTRUM | CHARLES SCHWAB & CO INC | 4,035,851.57 | 6.31 | |
INTERNATIONAL EQUITY | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
FUND—I CLASS | ||||
SPECTRUM MODERATE | CHARLES SCHWAB & CO INC | 3,338,938.72 | 6.54 | |
ALLOCATION FUND | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 6,888,411.93 | 13.50 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TD AMERITRADE INC FBO | 2,644,719.60 | 5.18 | |
| OUR CUSTOMERS | |||
SPECTRUM MODERATE | CHARLES SCHWAB & CO INC | 4,112,529.13 | 8.90 | |
ALLOCATION FUND— | REINVEST ACCOUNT | |||
I CLASS | NATIONAL FINANCIAL SERVICES | 4,273,247.93 | 9.25 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
SPECTRUM MODERATE | CHARLES SCHWAB & CO | 2,779,229.94 | 6.75 | |
GROWTH ALLOCATION | REINVEST ACCOUNT |
| ||
FUND | NATIONAL FINANCIAL SERVICES | 6,503,702.27 | 15.79 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 3,343,290.68 | 8.12 | |
| OUR CUSTOMERS |
| ||
SPECTRUM MODERATE | CHARLES SCHWAB & CO INC | 25,743,658.62 | 51.52(b) | |
GROWTH ALLOCATION | REINVEST ACCOUNT | |||
FUND—I CLASS | ||||
SUMMIT MUNICIPAL | LPL FINANCIAL | 14,917,363.91 | 17.10 | |
INCOME FUND | OMNIBUS CUSTOMER ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 4,756,981.04 | 5.45 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| RAYMOND JAMES | 21,623,959.86 | 24.78 | |
| OMNIBUS FOR MUTUAL FUNDS | |||
| WELLS FARGO CLEARING SERVICES LLC | 27,196,840.04 | 31.17(b) | |
| SPECIAL CUSTODY ACCT FOR THE | |||
| EXCLUSIVE BENEFIT OF CUSTOMERS | |||
SUMMIT MUNICIPAL | NATIONAL FINANCIAL SERVICES | 12,707.78 | 35.24(b) | |
INCOME FUND— | FOR THE EXCLUSIVE BENEFIT | |||
ADVISOR CLASS | OF OUR CUSTOMERS | |||
| PERSHING LLC | 20,957.16 | 58.12(b) | |
| TD AMERITRADE INC FBO | 2,021.88 | 5.61 | |
| OUR CUSTOMERS |
104
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
U.S. TREASURY INTERMEDIATE | MLPF&S FOR THE SOLE BENEFIT OF | 11,865,475 | 14.94 |
| ITS CUSTOMERS |
| |
| SPECTRUM INCOME FUND | 10,858,051 | 13.67 |
| T. ROWE PRICE ASSOCIATES |
| |
U.S. TREASURY INTERMEDIATE FUND— | CHARLES SCHWAB & CO INC | 45,396 | 5.29 |
I CLASS | THE DEAN A AND CYNTHIA A FOATE | 188,374 | 21.96 |
| LIVING TRUST |
| |
| JAMES C COLLINS | 237,484 | 27.69(b) |
| JOANNE A ERNST JT TEN |
| |
| T ROWE PRICE ASSOCIATES | 43,403 | 5.06 |
| TRUSTEES OF T ROWE PRICE | 343,017 | 39.99(a) |
| U.S. RETIREMENT PROGRAM |
| |
U.S. TREASURY LONG-TERM | SPECTRUM INCOME FUND | 20,481,758 | 6.44 |
| T. ROWE PRICE ASSOCIATES |
| |
| T ROWE PRICE ASSOCIATES | 28,526,097 | 8.97 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 19,928,485 | 6.27 |
| RETIREMENT PORTFOLIO 2015 |
| |
| T ROWE PRICE ASSOCIATES | 54,621,467 | 17.18 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 45,321,062 | 14.26 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 51,034,232 | 16.06 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE ASSOCIATES | 28,331,399 | 8.91 |
| RETIREMENT PORTFOLIO 2035 |
| |
U.S. TREASURY LONG-TERM FUND— | LADYBUG & CO | 3,760,688 | 6.64 |
I CLASS | LAKESIDE & CO | 2,995,383 | 5.29 |
| T ROWE PRICE ASSOCIATES | 7,901,024 | 13.95 |
| RETIREMENT I 2020 FUND |
| |
| T ROWE PRICE ASSOCIATES | 6,794,736 | 12.00 |
| RETIREMENT I 2025 FUND |
| |
| T ROWE PRICE ASSOCIATES | 7,980,862 | 14.09 |
| RETIREMENT I 2030 FUND |
| |
| T ROWE PRICE ASSOCIATES | 4,620,470 | 8.16 |
| RETIREMENT I 2035 FUND |
| |
| T ROWE PRICE ASSOCIATES | 5,015,411 | 8.86 |
| RETIREMENT I 2040 FUND |
| |
U.S. TREASURY MONEY FUND— | EDWARD D JONES & CO | 587,504,944 | 69.75(b) |
I CLASS | |||
ULTRA SHORT-TERM BOND | CHARLES SCHWAB & CO INC | 7,870,371 | 8.01 |
| T ROWE PRICE ASSOCIATES | 24,721,121 | 25.17(c) |
ULTRA SHORT-TERM BOND FUND— | INVESTMENT COMPANY INSTITUTE | 601,324 | 6.29 |
I CLASS | KIRK A HASSINGER | 500,541 | 5.24 |
| SANDRA R HASSINGER JT TEN |
| |
| PERSHING LLC | 3,516,404 | 36.78(b) |
| RUDDERFLAG & CO BALTIMORE MD 21202-1009 | 4,033,865 | 42.19(b) |
PAGE
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
SUMMIT MUNICIPAL | EDWARD D JONES & CO | 13,674,596.39 | 11.92 | |
INCOME FUND—I CLASS | FOR THE BENEFIT OF CUSTOMERS | |||
| J.P. MORGAN SECURITIES LLC | 50,854,195.62 | 44.31(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 6,625,465.84 | 5.77 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| SAXON & CO | 16,516,365.83 | 14.39 | |
SUMMIT MUNICIPAL | LPL FINANCIAL | 24,274,724.98 | 12.09 | |
INTERMEDIATE FUND | OMNIBUS CUSTOMER ACCOUNT | |||
| MLPF&S FOR THE SOLE BENEFIT OF | 16,649,320.57 | 8.29 | |
| ITS CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 13,197,695.57 | 6.57 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| WELLS FARGO CLEARING SERVICES LLC | 94,167,010.95 | 46.91(b) | |
| SPECIAL CUSTODY ACCT FOR THE | |||
| EXCLUSIVE BENEFIT OF CUSTOMERS | |||
SUMMIT MUNICIPAL | CHARLES SCHWAB & CO INC | 73,098.65 | 16.71 | |
INTERMEDIATE FUND— | REINVEST ACCOUNT | |||
ADVISOR CLASS | CITBANCO A PARTNERSHIP | 219,025.58 | 50.08(b) | |
| STORM LAKE IA 50588-1227 | |||
| NATIONAL FINANCIAL SERVICES | 124,244.17 | 28.41(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
SUMMIT MUNICIPAL | CHARLES SCHWAB & CO INC | 19,726,294.88 | 6.88 | |
INTERMEDIATE FUND— | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
I CLASS | CHARLES SCHWAB & CO INC | 62,484,027.51 | 21.78 | |
| SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| EDWARD D JONES & CO | 66,839,561.40 | 23.30 | |
| FOR THE BENEFIT OF CUSTOMERS | |||
| J.P. MORGAN SECURITIES LLC | 37,256,977.46 | 12.99 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| SAXON & CO | 17,454,872.41 | 6.08 | |
TARGET 2005 FUND— | PERSHING LLC | 3,527.12 | 26.82(b) | |
ADVISOR CLASS | T ROWE PRICE ASSOCIATES | 9,625.00 | 73.18(c) | |
TARGET 2005 FUND— | NATIONAL FINANCIAL SERVICES | 763,474.03 | 28.47(b) | |
I CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
TARGET 2010 FUND | NATIONAL FINANCIAL SERVICES | 277,388.15 | 8.72 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 208,206.08 | 6.54 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2010 |
105
Principal Holders of Fund Shares | |||
FUND | SHAREHOLDER | SHARES | % |
VALUE | T ROWE PRICE ASSOCIATES | 83,370,303 | 14.77 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 37,471,809 | 6.64 |
| RETIREMENT PORTFOLIO 2020 |
| |
| T ROWE PRICE ASSOCIATES | 50,367,950 | 8.93 |
| RETIREMENT PORTFOLIO 2025 |
| |
| T ROWE PRICE ASSOCIATES | 85,557,566 | 15.16 |
| RETIREMENT PORTFOLIO 2030 |
| |
| T ROWE PRICE ASSOCIATES | 62,411,688 | 11.06 |
| RETIREMENT PORTFOLIO 2035 |
| |
| T ROWE PRICE ASSOCIATES | 83,370,303 | 14.77 |
| RETIREMENT PORTFOLIO 2040 |
| |
| T ROWE PRICE ASSOCIATES | 47,726,659 | 8.46 |
| RETIREMENT PORTFOLIO 2045 |
| |
| T ROWE PRICE ASSOCIATES | 38,997,255 | 6.91 |
| RETIREMENT PORTFOLIO 2050 |
| |
VALUE FUND—ADVISOR CLASS | MORGAN STANLEY SMITH BARNEY | 1,733,665 | 14.61 |
| NATIONAL FINANCIAL SERVICES | 3,735,302 | 31.47(b) |
| TAYNIK & CO | 631,500 | 5.32 |
| VOYA RETIREMENT INS & ANNUITY CO | 1,036,710 | 8.73 |
VALUE FUND—I CLASS | T ROWE PRICE ASSOCIATES | 7,554,436 | 6.83 |
| RETIREMENT I 2025 FUND |
| |
| T ROWE PRICE ASSOCIATES | 13,392,945 | 12.11 |
| RETIREMENT I 2030 FUND |
| |
| T ROWE PRICE ASSOCIATES | 10,220,594 | 9.24 |
| RETIREMENT I 2035 FUND |
| |
| T ROWE PRICE ASSOCIATES | 14,641,196 | 13.24 |
| RETIREMENT I 2040 FUND |
| |
| T ROWE PRICE ASSOCIATES | 8,399,754 | 7.59 |
| RETIREMENT I 2045 FUND |
| |
| T ROWE PRICE ASSOCIATES | 8,401,658 | 7.60 |
| RETIREMENT I 2050 FUND |
| |
VIRGINIA TAX-FREE BOND | CHARLES SCHWAB & CO INC | 7,898,292 | 7.68 |
| NATIONAL FINANCIAL SERVICES | 10,391,659 | 10.10 |
VIRGINIA TAX-FREE BOND FUND— | DAVID M LANSER OR | 240,937 | 13.11 |
I CLASS | ANDREE W LANSER TRUSTS |
| |
| HEIDI K STEWART | 181,930 | 9.90 |
| RICHARD W STEWART TRS |
| |
| HEIDI K STEWART REVOCABLE TRUST |
| |
| MARJORIE Y VOKEL REV LIV TRUST | 136,795 | 7.45 |
| WELLS FARGO BANK NA FBO HII DB PLAN POOL ACCOUNT | 911,231 | 49.60(b) |
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TARGET 2010 FUND— | MATRIX TRUST COMPANY AS AGENT FOR | 13,967.73 | 38.08(b) | |
ADVISOR CLASS | BANCORPSOUTH FBO | |||
| CAFFEY INC 401(K) PLAN | |||
| TUPELO MS 38801-6799 | |||
| NATIONAL FINANCIAL SERVICES | 20,634.44 | 56.26(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 2,017.20 | 5.50 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2010 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 188,784.62 | 5.50 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| REBECCA L. BESSON | 356,816.11 | 10.39 | |
| STUART B COOPER TEN ENT | |||
TARGET 2015 FUND— | NATIONAL FINANCIAL SERVICES | 7,116.74 | 5.62 | |
ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 109,291.43 | 86.38(b) | |
TARGET 2020 FUND | DCGT AS TTEE AND/OR CUST FBO PLIC | 682,761.80 | 5.76 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 802,591.34 | 6.77 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 1,375,767.36 | 11.60 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2020 | |||
TARGET 2020 FUND— | EMPOWER TRUST FBO | 382,804.83 | 66.52(b) | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 83,971.94 | 14.59 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 38,788.32 | 6.74 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2020 FUND— | EMPOWER TRUST FBO | 772,652.08 | 5.23 | |
I CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 2,575,304.03 | 17.44 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
TARGET 2025 FUND | CHARLES SCHWAB & CO INC | 739,245.69 | 5.14 | |
| REINVEST ACCOUNT | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 1,587,582.56 | 11.04 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 1,814,201.59 | 12.62 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 1,282,204.50 | 8.92 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2025 |
106
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TARGET 2025 FUND— | EMPOWER TRUST FBO | 144,215.27 | 30.16(b) | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 101,673.33 | 21.26 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 197,987.80 | 41.41(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2025 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 1,521,941.08 | 6.31 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 1,332,838.60 | 5.53 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 5,625,195.71 | 23.32 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
TARGET 2030 FUND | CHARLES SCHWAB & CO INC | 982,556.28 | 6.61 | |
| REINVEST ACCOUNT | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 1,343,990.81 | 9.04 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 1,616,346.48 | 10.87 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 2,376,803.76 | 15.99 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2030 | |||
TARGET 2030 FUND— | FIIOC AS AGENT | 56,272.20 | 11.24 | |
ADVISOR CLASS | NICCOLI BROS OIL INC | |||
| PROFIT SHARING PLAN | |||
| NATIONAL FINANCIAL SERVICES | 318,384.30 | 63.62(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 50,342.96 | 10.06 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2030 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 1,582,972.97 | 6.09 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 1,854,537.50 | 7.13 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 7,483,883.46 | 28.77(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
TARGET 2035 FUND | DCGT AS TTEE AND/OR CUST FBO PLIC | 1,257,872.48 | 10.99 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 1,768,189.49 | 15.45 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 1,680,720.54 | 14.69 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2035 |
107
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TARGET 2035 FUND— | EMPOWER TRUST FBO | 13,985.90 | 6.55 | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| FIIOC AS AGENT | 20,865.99 | 9.77 | |
| FBO RICHTON TIE AND TIMBER LLC | |||
| MATRIX TRUST COMPANY AS AGENT FOR | 19,156.26 | 8.97 | |
| BANCORPSOUTH FBO | |||
| CAFFEY INC 401(K) PLAN | |||
| NATIONAL FINANCIAL SERVICES | 63,091.83 | 29.53(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 83,136.78 | 38.91(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2035 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 1,475,760.39 | 6.89 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 1,542,243.56 | 7.20 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| JOHN HANCOCK TRUST COMPANY LLC | 1,235,064.13 | 5.76 | |
| NATIONAL FINANCIAL SERVICES | 7,102,633.99 | 33.14(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 1,071,777.63 | 5.00 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET 2035-ICL | |||
TARGET 2040 FUND | CHARLES SCHWAB & CO INC | 742,570.45 | 6.86 | |
| REINVEST ACCOUNT | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 676,566.53 | 6.25 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 1,771,903.91 | 16.36 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 1,988,134.24 | 18.36 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2040 | |||
TARGET 2040 FUND— | CHARLES SCHWAB & CO INC | 19,709.20 | 5.21 | |
ADVISOR CLASS | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 149,927.40 | 39.67(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 26,405.12 | 6.99 | |
| STATE STREET BANK AND TRUST AS | 103,146.50 | 27.29(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| TRAC 2000 | 23,397.55 | 6.19 | |
| SKONA ADVERTISING, INC, 401K PLAN | |||
| JENNY SAGSTROM-WARNES | |||
| SAN FRANCISCO CA 94107-3208 |
108
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TARGET 2040 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 1,354,777.55 | 8.52 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 1,421,297.55 | 8.94 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 5,204,774.47 | 32.74(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 906,579.79 | 5.70 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| T ROWE PRICE RPS INC | 1,343,344.40 | 8.45 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET 2040-ICL | |||
TARGET 2045 FUND | CHARLES SCHWAB & CO INC | 339,095.16 | 5.07 | |
| REINVEST ACCOUNT | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 552,485.21 | 8.25 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 989,282.30 | 14.78 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 355,394.29 | 5.31 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| T ROWE PRICE RPS INC | 839,179.18 | 12.54 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2045 | |||
TARGET 2045 FUND— | NATIONAL FINANCIAL SERVICES | 127,375.19 | 31.24(b) | |
ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 205,175.12 | 50.32(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2045 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 955,643.76 | 5.63 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EDWARD C BERNARD TR | 1,163,650.80 | 6.85 | |
| THORNTON MILL IRREVOCABLE TRUST | |||
| EMPOWER TRUST FBO | 1,173,138.97 | 6.91 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 5,630,838.90 | 33.17(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 1,043,674.07 | 6.15 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET 2045-ICL | |||
TARGET 2050 FUND | CHARLES SCHWAB & CO INC | 757,256.00 | 10.78 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 1,043,499.17 | 14.86 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 546,827.17 | 7.78 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| T ROWE PRICE RPS INC | 843,931.20 | 12.01 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2050 |
109
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TARGET 2050 FUND— | NATIONAL FINANCIAL SERVICES | 117,775.81 | 36.66(b) | |
ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 163,339.84 | 50.85(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2050 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 753,771.31 | 6.93 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 867,045.49 | 7.97 | |
| MARY FREE BED REHABILITATION HOSP | |||
| EMPOWER TRUST FBO | 881,537.08 | 8.11 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 3,969,587.87 | 36.50(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 654,962.64 | 6.02 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| T ROWE PRICE RPS INC | 802,943.01 | 7.38 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET 2050-ICL | |||
TARGET 2055 FUND | CHARLES SCHWAB & CO INC | 289,353.33 | 6.61 | |
| REINVEST ACCOUNT | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 250,141.61 | 5.71 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 812,812.87 | 18.57 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 638,884.35 | 14.60 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2055 | |||
TARGET 2055 FUND— | NATIONAL FINANCIAL SERVICES | 105,389.22 | 38.34(b) | |
ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 133,074.45 | 48.41(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2055 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 660,037.50 | 7.82 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 428,961.16 | 5.08 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| EMPOWER TRUST FBO | 542,463.42 | 6.43 | |
| MARY FREE BED REHABILITATION HOSP | |||
| JOHN HANCOCK TRUST COMPANY LLC | 572,232.66 | 6.78 | |
| NATIONAL FINANCIAL SERVICES | 3,304,740.50 | 39.15(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 596,767.61 | 7.07 | |
| OMNI ACCT – 401K PLAN | |||
| TRP TARGET 2055 |
110
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TARGET 2060 FUND | CHARLES SCHWAB & CO INC | 352,048.23 | 9.10 | |
| REINVEST ACCOUNT | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 218,589.16 | 5.65 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 898,046.61 | 23.22 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 268,647.68 | 6.95 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| T ROWE PRICE RPS INC | 453,443.24 | 11.72 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RETIREMENT 2060 | |||
TARGET 2060 FUND— | EMPOWER TRUST FBO | 26,642.10 | 12.59 | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| MID ATLANTIC TRUST COMPANY FBO | 11,626.53 | 5.49 | |
| THE WOODSTOCK FOUNDATION, INC | |||
| NATIONAL FINANCIAL SERVICES | 100,814.96 | 47.64(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 51,094.42 | 24.15 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2060 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 413,453.37 | 10.75 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 241,288.68 | 6.28 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| EMPOWER TRUST FBO | 336,287.81 | 8.75 | |
| MARY FREE BED REHABILITATION HOSP | |||
| NATIONAL FINANCIAL SERVICES | 1,180,541.51 | 30.71(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 317,936.31 | 8.27 | |
| OMNI ACCT – 401K PLAN | |||
| TRP TARGET 2060 | |||
TARGET 2065 FUND | CHARLES SCHWAB & CO INC | 35,507.17 | 8.03 | |
| SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 50,940.56 | 11.51 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 52,149.47 | 11.79 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 58,805.96 | 13.29 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET 2065 FUND - INV | |||
| TD AMERITRADE INC FBO | 36,857.69 | 8.33 | |
| OUR CUSTOMERS | |||
TARGET 2065 FUND— | T ROWE PRICE ASSOCIATES | 10,125.35 | 85.78(c) | |
ADVISOR CLASS | VOYA RETIREMENT INS & ANNUITY CO | 1,170.97 | 9.92 |
111
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TARGET 2065 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 150,551.03 | 17.14 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| HOWARD P COLHOUN TTEE | 85,950.44 | 9.79 | |
| HOWARD P COLHOUN REV TRUST | |||
| NATIONAL FINANCIAL SERVICES | 293,159.09 | 33.38(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE TRUST CO | 52,717.22 | 6.00 | |
| CUST FOR THE ROTH IRA OF | |||
| JOSEPH HUBER | |||
TAX-EFFICIENT EQUITY | CHARLES SCHWAB & CO INC | 452,935.71 | 8.07 | |
FUND | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| LPL FINANCIAL | 327,778.01 | 5.84 | |
| OMNIBUS CUSTOMER ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 1,073,171.14 | 19.11 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 553,731.22 | 9.86 | |
| TD AMERITRADE INC FBO | 390,304.54 | 6.95 | |
| OUR CUSTOMERS | |||
TAX-EFFICIENT EQUITY | CHARLES SCHWAB & CO INC | 832,952.70 | 8.11 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
TAX-FREE HIGH YIELD | BAND & CO C/O US BANK NA | 12,468,357.93 | 6.81 | |
FUND | GOLDMAN SACHS & CO | 48,129,906.33 | 26.27(b) | |
| C/O MUTUAL FUNDS OPS | |||
| SALT LAKE CITY UT 84101-2199 | |||
| NATIONAL FINANCIAL SERVICES | 24,124,032.72 | 13.17 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 12,900,740.62 | 7.04 | |
TAX-FREE HIGH YIELD | LPL FINANCIAL | 32,165.83 | 6.51 | |
FUND—ADVISOR CLASS | OMNIBUS CUSTOMER ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 254,087.10 | 51.41(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 116,728.30 | 23.62 | |
| RAYMOND JAMES | 25,148.88 | 5.09 | |
| OMNIBUS FOR MUTUAL FUNDS | |||
TAX-FREE HIGH YIELD | CHARLES SCHWAB & CO INC | 11,645,451.49 | 6.91 | |
FUND—I CLASS | REINVEST ACCOUNT | |||
| EDWARD D JONES & CO | 37,512,032.77 | 22.24 | |
| FOR THE BENEFIT OF CUSTOMERS | |||
TAX-FREE INCOME FUND | CHARLES SCHWAB & CO INC | 5,309,170.79 | 6.02 | |
| REINVEST ACCOUNT | |||
| LPL FINANCIAL | 7,101,924.89 | 8.05 | |
| OMNIBUS CUSTOMER ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 9,803,055.50 | 11.11 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| RAYMOND JAMES | 6,333,397.08 | 7.18 | |
| OMNIBUS FOR MUTUAL FUNDS | |||
| TD AMERITRADE INC FBO | 4,462,273.11 | 5.06 | |
| OUR CUSTOMERS |
112
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TAX-FREE INCOME FUND— | CHARLES SCHWAB & CO INC | 1,053,431.45 | 21.09 | |
ADVISOR CLASS | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 2,888,211.27 | 57.84(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TD AMERITRADE INC FBO | 347,284.00 | 6.95 | |
| OUR CUSTOMERS | |||
TAX-FREE INCOME | J.P. MORGAN SECURITIES LLC | 9,575,957.94 | 6.12 | |
FUND—I CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 11,744,956.32 | 7.50 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| SEI PRIVATE TRUST COMPANY | 31,918,655.84 | 20.38 | |
| C/O M&T BANK | |||
| ATTN MUTUAL FUND ADMINISTRATOR | |||
TAX-FREE SHORT- | CHARLES SCHWAB & CO INC | 13,028,341.46 | 8.24 | |
INTERMEDIATE FUND | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 15,942,742.62 | 10.09 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 7,966,794.28 | 5.04 | |
| TD AMERITRADE INC FBO | 10,287,408.17 | 6.51 | |
| OUR CUSTOMERS | |||
| WELLS FARGO CLEARING SERVICES LLC | 52,176,806.46 | 33.01(b) | |
| SPECIAL CUSTODY ACCT FOR THE | |||
| EXCLUSIVE BENEFIT OF CUSTOMERS | |||
TAX-FREE SHORT- | CITBANCO A PARTNERSHIP | 180,646.85 | 38.03(b) | |
INTERMEDIATE FUND— | MORGAN STANLEY SMITH BARNEY LLC | 39,732.13 | 8.37 | |
ADVISOR CLASS | FOR THE EXCL BENEFIT OF ITS CUST | |||
| NATIONAL FINANCIAL SERVICES | 153,530.90 | 32.32(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 89,806.07 | 18.91 | |
TAX-FREE SHORT- | CHARLES SCHWAB & CO INC | 11,521,294.87 | 6.76 | |
INTERMEDIATE FUND— | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
I CLASS | CHARLES SCHWAB & CO INC | 16,395,001.48 | 9.62 | |
| SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| EDWARD D JONES & CO | 21,525,083.77 | 12.63 | |
| FOR THE BENEFIT OF CUSTOMERS | |||
| TD AMERITRADE INC FBO | 20,104,604.25 | 11.80 | |
| OUR CUSTOMERS | |||
TOTAL EQUITY MARKET | PERSHING LLC | 3,007,875.21 | 6.72 | |
INDEX FUND | ||||
TOTAL RETURN ETF | CITIGROUP GLOBAL MARKETS INC. | 400,000 | 64.00(f) | |
| CHARLES SCHWAB & CO INC | 33,130 | 5.30 | |
| TD AMERITRADE CLEARING, INC. | 157,655 | 25.22(f) |
113
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TOTAL RETURN FUND | CHARLES SCHWAB & CO INC | 1,698,098.98 | 16.78 | |
| REINVEST ACCOUNT | |||
| LPL FINANCIAL | 1,527,420.78 | 15.09 | |
| OMNIBUS CUSTOMER ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 892,921.54 | 8.82 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TD AMERITRADE INC FBO | 759,394.20 | 7.50 | |
| OUR CUSTOMERS | |||
TOTAL RETURN FUND— | PERSHING LLC | 10,271.68 | 10.50 | |
ADVISOR CLASS | RAYMOND JAMES | 78,052.37 | 79.82(b) | |
| OMNIBUS FOR MUTUAL FUNDS | |||
TOTAL RETURN | GOLDEY-BEACOM COLLEGE | 3,531,977.36 | 5.26 | |
FUND—I CLASS | ENDOWMENT FUND | |||
ATTN KRISTINE M SANTOMAURO | ||||
| WILMINGTON DE 19808-1993 | |||
| JEANETTE STUMP & JAMES CARNEY & | 5,405,890.47 | 8.04 | |
| HOWARD KLINE TRS – SPECIAL METALS | |||
| CORPORATION RETIREE BENEFIT TRUST | |||
| NATIONAL FINANCIAL SERVICES | 14,562,056.75 | 21.67 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| SEI PRIVATE TRUST COMPANY | 4,252,118.30 | 6.33 | |
| C/O TRUST | |||
| FBO THE CHURCH FOUNDATION | |||
TREASURY RESERVE FUND | BARNACLESAIL | 1,047,448,855.27 | 36.34(a) | |
| C/O T ROWE PRICE ASSOC | |||
| ATTN MID CAP GROWTH FUND | |||
| BALTIMORE MD 21202-1009 | |||
| BRIDGESAIL & CO | 453,208,623.58 | 15.73 | |
| C/O T ROWE PRICE ASSOC | |||
| ATTN SCIENCE & TECHNOLOGY FD | |||
| BALTIMORE MD 21202-1009 | |||
| T ROWE PRICE | 349,556,223.84 | 12.13 | |
| RETIREMENT PLAN SERVICE INC | |||
| ATTN RPS CASH GROUP | |||
| OWINGS MILLS MD 21117-4903 | |||
U.S. EQUITY | CITIGROUP GLOBAL MARKETS INC. | 600,000 | 59.11(f) | |
RESEARCH ETF | CHARLES SCHWAB & CO INC | 107,344 | 10.58 | |
| PERSHING LLC | 232,201 | 22.88 | |
U.S. EQUITY RESEARCH | NATIONAL FINANCIAL SERVICES | 19,134,183.56 | 23.28 | |
FUND | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| RAYMOND JAMES | 42,216,053.02 | 51.36(b) | |
| OMNIBUS FOR MUTUAL FUNDS |
114
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
U.S. EQUITY RESEARCH | CHARLES SCHWAB & CO INC | 62,274.37 | 6.31 | |
FUND—ADVISOR CLASS | REINVEST ACCOUNT | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 55,630.24 | 5.64 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| FIIOC AS AGENT | 150,002.58 | 15.20 | |
| SHEPHERD ELECTRIC COMPANY INC | |||
| 401K AND PROFIT SHARING PLAN | |||
| MATRIX TRUST COMPANY AS AGENT FOR | 93,948.71 | 9.52 | |
| NEWPORT TRUST COMPANY | |||
| MEDICAL SERVICES GROUP-DEPARTMENT | |||
| OF MEDICINE PROFIT SHARING | |||
| FOLSOM CA 95630-8587 | |||
| PERSHING LLC | 56,607.75 | 5.73 | |
U.S. EQUITY RESEARCH | CHARLES SCHWAB & CO INC | 46,933,622.46 | 44.06(b) | |
FUND—I CLASS | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 11,343,425.39 | 10.65 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| SEI PRIVATE TRUST COMPANY | 9,994,166.85 | 9.38 | |
| C/O PRINCIPAL FINANCIAL | |||
| ATTN MUTUAL FUND ADMINISTRATOR | |||
U.S. EQUITY RESEARCH | RETIREMENT I 2030 FUND | 7,049,346.43 | 6.43 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 6,171,669.31 | 5.63 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 7,425,798.99 | 6.77 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2045 FUND | 5,708,196.42 | 5.20 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2050 FUND | 5,583,984.99 | 5.09 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 10,113,174.15 | 9.22 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 6,644,709.47 | 6.06 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 10,774,148.95 | 9.82 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 8,182,988.47 | 7.46 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2045 | 6,462,501.45 | 5.89 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2050 | 5,828,201.89 | 5.31 | |
| T ROWE PRICE ASSOCIATES | |||
U.S. HIGH YIELD ETF | CITIGROUP GLOBAL MARKETS INC. | 400,000 | 94.12(f) | |
U.S. HIGH YIELD FUND | LPL FINANCIAL | 4,641,642.28 | 17.17 | |
| OMNIBUS CUSTOMER ACCOUNT | |||
| MORGAN STANLEY SMITH BARNEY LLC | 5,626,067.35 | 20.81 | |
| FOR THE EXCL BENEFIT OF ITS CUST | |||
| PERSHING LLC | 1,758,536.24 | 6.51 |
115
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
U.S. HIGH YIELD FUND— | MORGAN STANLEY SMITH BARNEY LLC | 40,016.26 | 6.42 | |
ADVISOR CLASS | FOR THE EXCL BENEFIT OF ITS CUST | |||
| NATIONAL FINANCIAL SERVICES | 63,417.96 | 10.18 | |
| FOR EXCLUSIVE BENEFIT OF OUR CUST | |||
| PERSHING LLC | 59,342.55 | 9.52 | |
| RBC CAPITAL MARKETS, LLC | 147,096.79 | 23.60 | |
| MUTUAL FUND OMNIBUS PROCESSING | |||
| TD AMERITRADE INC FBO | 218,905.77 | 35.13(b) | |
| OUR CUSTOMERS | |||
U.S. HIGH YIELD FUND— | NATIONAL FINANCIAL SERVICES | 2,419,970.20 | 10.25 | |
I CLASS | FOR EXCLUSIVE BENEFIT OF OUR CUST | |||
| PERSHING LLC | 2,552,489.34 | 10.81 | |
U.S. LARGE-CAP CORE | NATIONAL FINANCIAL SERVICES | 4,600,071.72 | 8.98 | |
FUND | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE TRUST CO INC | 2,754,624.30 | 5.38 | |
| OMNI ACCOUNT | |||
U.S. LARGE-CAP CORE | CHARLES SCHWAB & CO INC | 28,578.43 | 8.34 | |
FUND—ADVISOR CLASS | REINVEST ACCOUNT | |||
| MLPF&S FOR THE SOLE BENEFIT OF | 17,818.76 | 5.20 | |
| ITS CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 50,309.73 | 14.68 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 67,119.79 | 19.59 | |
| STATE STREET BANK AND TRUST AS | 39,863.97 | 11.63 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| TD AMERITRADE INC FBO | 45,077.86 | 13.15 | |
| OUR CUSTOMERS | |||
U.S. LARGE-CAP CORE | RETIREMENT I 2030 FUND | 13,337,361.84 | 5.96 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 11,700,949.29 | 5.23 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 14,200,295.57 | 6.34 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 19,301,299.36 | 8.62 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 12,531,157.77 | 5.60 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 20,419,861.70 | 9.12 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 15,569,448.01 | 6.95 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2045 | 12,380,547.51 | 5.53 | |
| T ROWE PRICE ASSOCIATES | |||
| SPECTRUM DIVERSIFIED EQUITY | 14,620,207.43 | 6.53 | |
| T. ROWE PRICE ASSOCIATES | |||
U.S. LIMITED DURATION | CHARLES SCHWAB & CO INC | 317,340.00 | 18.63 | |
TIPS INDEX FUND | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| PERSHING LLC | 144,857.19 | 8.50 |
116
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
U.S. LIMITED DURATION | EDUCATION TRUST OF ALASKA | 20,201,216.78 | 12.60 | |
TIPS INDEX FUND—I CLASS | PORTFOLIO 2024 | |||
| C/O T ROWE PRICE ASSOCIATES | |||
| MARYLAND COLLEGE INVESTMENT PLAN | 39,939,772.71 | 24.92 | |
| PORTFOLIO 2024 | |||
| T ROWE PRICE SERVICES INC FBO | 28,023,789.20 | 17.48 | |
| EDUCATION TRUST OF ALASKA | |||
| PORTFOLIO FOR EDUCATION TODAY | |||
| T ROWE PRICE SERVICES INC FBO | 55,896,339.88 | 34.87(b) | |
| MARYLAND COLLEGE INVESTMENT PLAN | |||
| PORTFOLIO FOR EDUCATION TODAY | |||
U.S. LIMITED DURATION | RETIREMENT BLEND 2005 FUND | 145,387.41 | 6.68 | |
TIPS INDEX FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2015 FUND | 232,909.93 | 10.70 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2020 FUND | 717,868.56 | 32.98(a) | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2025 FUND | 726,522.31 | 33.38(a) | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2030 FUND | 251,539.90 | 11.56 | |
| T ROWE PRICE ASSOCIATES | |||
U.S. TREASURY | LPL FINANCIAL | 39,163,161.31 | 29.04(b) | |
INTERMEDIATE | OMNIBUS CUSTOMER ACCOUNT | |||
INDEX FUND | MLPF&S FOR THE SOLE BENEFIT OF | 51,000,928.53 | 37.82(b) | |
| ITS CUSTOMERS | |||
U.S. TREASURY | CHARLES SCHWAB & CO INC | 1,644,424.28 | 5.93 | |
INTERMEDIATE | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
INDEX FUND—I CLASS | ||||
U.S. TREASURY | SPECTRUM INCOME FUND | 91,059.08 | 100.00(a) | |
INTERMEDIATE INDEX | T. ROWE PRICE ASSOCIATES | |||
FUND—Z CLASS | ||||
U.S. TREASURY | CHARLES SCHWAB & CO INC | 1,967,506.83 | 7.30 | |
LONG-TERM INDEX FUND | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 5,209,643.23 | 19.34 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 2,660,377.97 | 9.88 | |
U.S. TREASURY | LADYBIRD & CO | 5,388,166.58 | 13.33 | |
LONG-TERM INDEX | LADYBUG & CO | 7,441,490.17 | 18.41 | |
FUND—I CLASS | LAKESIDE & CO | 8,129,100.43 | 20.11 | |
| MARIL & CO FBO | 2,130,723.00 | 5.27 | |
| PERSHING LLC | 3,028,700.76 | 7.49 |
117
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
U.S. TREASURY | RETIREMENT I 2025 FUND | 32,263,308.34 | 6.60 | |
LONG-TERM INDEX | T ROWE PRICE ASSOCIATES | |||
FUND—Z CLASS | RETIREMENT I 2030 FUND | 45,551,872.09 | 9.32 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 28,560,177.33 | 5.85 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2020 | 43,114,173.29 | 8.82 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 50,344,478.14 | 10.30 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 69,915,755.43 | 14.31 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 38,192,190.21 | 7.82 | |
| T ROWE PRICE ASSOCIATES | |||
| SPECTRUM INCOME FUND | 35,676,461.01 | 7.30 | |
| T. ROWE PRICE ASSOCIATES | |||
U.S. TREASURY MONEY | EDWARD D JONES & CO | 1,079,609,048.33 | 29.88(b) | |
FUND—I CLASS | FOR THE BENEFIT OF CUSTOMERS | |||
| MARYLAND COLLEGE INVESTMENT PLAN | 232,245,820.62 | 6.43 | |
| US TREASURY MONEY MARKET | |||
U.S. TREASURY MONEY | RETIREMENT I 2030 FUND | 269,531,324.61 | 6.04 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 226,904,378.82 | 5.09 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 335,489,579.29 | 7.52 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2020 | 312,219,935.97 | 7.00 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 311,550,073.46 | 6.99 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 428,408,582.70 | 9.61 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 300,696,447.04 | 6.74 | |
| T ROWE PRICE ASSOCIATES | |||
ULTRA SHORT-TERM | CITIGROUP GLOBAL MARKETS INC. | 400,000 | 36.36(f) | |
BOND ETF | CHARLES SCHWAB & CO INC | 197,351 | 17.94 | |
| NATIONAL FINANCIAL SERVICES LLC | 105,505 | 9.59 | |
| PERSHING LLC | 115,862 | 10.53 | |
| TD AMERITRADE CLEARING, INC. | 202,616 | 18.42 | |
ULTRA SHORT-TERM | CHARLES SCHWAB & CO INC | 55,733,833.43 | 17.83 | |
BOND FUND | REINVEST ACCOUNT | |||
| LPL FINANCIAL | 29,885,576.50 | 9.56 | |
| OMNIBUS CUSTOMER ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 108,540,228.29 | 34.73(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TD AMERITRADE INC FBO | 19,695,141.17 | 6.30 | |
| OUR CUSTOMERS | |||
| UBS WM USA | 28,697,669.14 | 9.18 | |
| SPEC CDY A/C EXL BEN CUSTOMERS | |||
| OF UBSFI |
118
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
ULTRA SHORT-TERM BOND | CHARLES SCHWAB & CO INC | 46,233,242.02 | 23.95 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 10,292,572.68 | 5.33 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
ULTRA SHORT-TERM BOND | T ROWE PRICE ASSOCIATES | 19,607.84 | 100.00(c) | |
FUND—Z CLASS | ||||
VALUE FUND | CHARLES SCHWAB & CO INC | 6,266,936.96 | 6.86 | |
| REINVESTMENT ACCOUNT | |||
| LPL FINANCIAL | 8,113,341.47 | 8.88 | |
| OMNIBUS CUSTOMER ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 15,770,789.84 | 17.27 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 6,689,280.59 | 7.32 | |
| T ROWE PRICE TRUST CO | 7,179,850.25 | 7.86 | |
| ATTN INSTALLATION TEAM FOR | |||
| TRPS INST CONTROL DEPT | |||
VALUE FUND—ADVISOR | CHARLES SCHWAB & CO INC | 321,822.02 | 5.41 | |
CLASS | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 1,873,113.94 | 31.48(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 385,905.56 | 6.49 | |
| PIMS/PRUDENTIAL RETIREMENT | 732,298.25 | 12.31 | |
| AS NOMINEE FOR THE TTEE/CUST PL 980 | |||
| DEFERRED COMPENSATION PLAN FOR | |||
| WHITE PLAINS NY 10601-3311 | |||
| VOYA RETIREMENT INS & ANNUITY CO | 771,520.93 | 12.97 | |
VALUE FUND—I CLASS | CHARLES SCHWAB & CO INC | 9,669,002.41 | 8.90 | |
| SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 11,933,530.82 | 10.99 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
VALUE FUND—Z CLASS | RETIREMENT I 2030 FUND | 31,756,737.54 | 6.30 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 27,665,307.92 | 5.49 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 33,211,979.86 | 6.59 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2045 FUND | 25,582,956.24 | 5.08 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 45,122,614.43 | 8.95 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 30,062,612.83 | 5.97 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 48,630,902.25 | 9.65 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 36,652,958.13 | 7.27 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2045 | 28,748,653.57 | 5.70 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2050 | 25,890,498.06 | 5.14 | |
| T ROWE PRICE ASSOCIATES |
119
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
VIRGINIA TAX-FREE | CHARLES SCHWAB & CO INC | 6,823,228.29 | 11.07 | |
BOND FUND | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 14,973,151.24 | 24.30 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 3,672,443.98 | 5.96 | |
| RAYMOND JAMES | 3,700,206.63 | 6.01 | |
| OMNIBUS FOR MUTUAL FUNDS | |||
| TD AMERITRADE INC FBO | 3,755,453.73 | 6.10 | |
| OUR CUSTOMERS | |||
VIRGINIA TAX-FREE BOND | CHARLES SCHWAB & CO INC | 5,368,503.35 | 10.02 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
(a) | T. Rowe Price Retirement Plan Services, Inc., is a wholly owned subsidiary of T. Rowe Price, |
(b) | At the level of ownership indicated, the shareholder may be able to determine the outcome of any matters affecting a |
(c) | T. Rowe Price |
PAGE 106
(d) | The indicated percentage of the outstanding shares of this |
(e) | T. Rowe Price Trust Company is a wholly owned subsidiary of T. Rowe Price, |
(f) | At the level of ownership indicated, the shareholder may be able to determine the outcome of any matters that are submitted to shareholders for vote. |
(g) | Security Benefit Life Insurance Company, organized under the laws of Kansas, owns the percentage indicated (in connection with issuing the T. Rowe Price Variable Annuity) of the outstanding shares of the |
PAGE 107
INFORMATION ABOUT INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS
The Joint Audit Committee has selected PricewaterhouseCoopers LLP (“PricewaterhouseCoopers”)(PricewaterhouseCoopers) as the independent registered public accounting firm for the T. Rowe Price Funds for their current fiscal years, and such selection has also been approved by the Funds’ independent directors. Representatives of PricewaterhouseCoopers are not expected to be present at the Shareholder Meeting or available to make a statement or respond to any shareholders’ questions.
The following table, entitled “Independent Auditor Fees,” sets forth the amounts accrued by each Fund for audit audit-related,and tax and all other fees induring each of theFund’s last two fiscal years. None of the Funds accrued any fees for audit-related or other fees during each Fund’s last two fiscal years. The table also includes aggregate fees billed by PricewaterhouseCoopers for non-audit services rendered to the Fund, T. Rowe Price,
120
and any entity controlling, controlled by, or under common control with T. Rowe Price that provides ongoing services to the Funds for each Fund’s last two fiscal years.
Audit fees are billed for professional services rendered by PricewaterhouseCoopers for the audit of each Fund’s annual financial statements and for services normally provided in connection with statutory and regulatory filings.
Audit-related fees are billed to the T. Rowe Price Funds for assurance and related services by PricewaterhouseCoopers that are reasonably related to the performance of the audit of each Fund’s financial statements. The nature of services comprising these fees is the issuance of a report on internal controls. Tax fees are billed to the T. Rowe Price FundsETFs for services rendered by PricewaterhouseCoopers for tax compliance, tax advice, and tax planning.
The nature of services comprising these fees includes the review of distribution calculations and the preparation of federal, state, and excise tax returns. All other fees are billed for all other services rendered
Pursuant to the T. Rowe Price Funds by PricewaterhouseCoopers. The nature ofJoint Audit Committee’s charter, the service comprising these fees is based on agreed-upon procedures relating to advisory contract approvals by the T. Rowe Price Funds’ Boards of Directors. The Joint Audit Committee has considered whether the provisionsis responsible for approving in advance any permissible non-audit services to be provided by PricewaterhouseCoopers to: i. The Price Funds; and ii. Any investment advisers of the Price Funds or any affiliates of such investment advisers if such investment advisers or affiliates provide ongoing services covered under “Other Fees”to the Price Funds and the engagement relates directly to the operations and financial reporting of the Price Funds; provided, that any single member of the Committee may approve such services on behalf of the Committee if such approval is compatible with maintainingreported to the independence of PricewaterhouseCoopers.Committee at its next regular meeting. These pre-approval requirements were not waived for any Fund during its last two fiscal year-ends.
Independent Auditor FeesIndependent Auditor Fees
Fund | Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||||||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Africa & Middle East | $17,778 | $22,311 | $389 | — | $4,281 | $4,414 | $128 | — | $24,030 | $24,055 | — | $3,600,000 | $2,760,000 | |
All-Cap Opportunities | 21,464 | 21,409 | — | 3,732,000— | 2,037,000 | |||||||||
All-Cap Opportunities Portfolio | 21,464 | 21,409 | — | 3,732,000 | 2,037,000 | |||||||||
Asia Opportunities | 5,957 | 22,034 | 389 | — | 2,097 | 4,353 | 128 | — | 24,030 | 24,055 | — | 3,600,000 | 2,760,000 | |
Balanced | 19,784 | 26,283 | 232 | — | 4,312 | 5,707 | 125 | — | 30,530 | 30,755 | — | 3,732,000 | 2,037,000 | |
Blue Chip Growth ETF | 19,964 | 20,562 | $4,382 | $4,514 | 3,732,000 | 2,037,000 | ||||||||
Blue Chip Growth | 54,521 | 31,441 | 232 | — | 11,331 | 6,691 | 125 | — | 21,464 | 21,409 | — | 3,732,000 | 2,037,000 | |
Blue Chip Growth Portfolio | 15,648 | 18,276 | 232 | — | 3,494 | 3,962 | 125 | — | 21,464 | 21,409 | — | 3,732,000 | 2,037,000 | |
California Tax-Free Bond | 14,174 | 30,479 | 75 | — | 3,142 | 5,790 | 123 | — | 30,530 | 30,755 | — | 3,749,000 | 1,454,000 | |
Capital Appreciation | 41,344 | 41,889 | — | 3,732,000 | 2,037,000 | |||||||||
Cash Reserves | 23,424 | 23,429 | — | 3,600,000 | 2,760,000 | |||||||||
China Evolution Equity | 24,030 | 24,005 | — | 3,600,000 | 2,760,000 | |||||||||
Communications & Technology | 41,344 | 41,889 | — | 3,732,000 | 2,037,000 | |||||||||
Corporate Income | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 | ||||||||
Credit Opportunities | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 | ||||||||
PAGE 106121
Fund | Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | ||||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
California Tax-Free Money | 12,974 | 24,170 | 75 | — | 2,892 | 4,246 | 123 | — |
Capital Appreciation | 47,004 | 39,486 | 232 | — | 9,792 | 8,502 | 125 | — |
Capital Opportunity | 19,351 | 18,135 | 232 | — | 3,429 | 3,933 | 125 | — |
Cash Reserves | 22,887 | 21,274 | 389 | — | 4,780 | 4,660 | 128 | — |
Communications & Technology | 26,282 | 32,439 | 232 | — | 4,195 | 6,533 | 125 | — |
Corporate Income | 15,593 | 15,969 | 848 | — | 3,164 | 3,474 | 134 | — |
Credit Opportunities | 4,472 | 14,732 | 848 | — | 1,010 | 3,108 | 134 | — |
Diversified Mid-Cap Growth | 17,857 | 23,954 | 232 | — | 3,433 | 3,938 | 125 | — |
Dividend Growth | 21,383 | 20,299 | 232 | — | 4,647 | 4,377 | 125 | — |
Dynamic Global Bond | 31,892 | 25,835 | 149 | — | 3,756 | 5,624 | 109 | — |
Emerging Europe | 17,735 | 22,400 | 389 | — | 4,267 | 4,433 | 128 | — |
Emerging Markets Bond | 40,792 | 34,446 | 232 | — | 9,152 | 7,488 | 125 | — |
Emerging Markets Corporate Bond | 18,137 | 25,886 | 232 | — | 4,174 | 5,636 | 125 | — |
Emerging Markets Corporate Multi-Sector Account Portfolio | 17,676 | 25,009 | 853 | — | 3,880 | 5,490 | — | — |
Emerging Markets Local Currency Bond | 18,808 | 26,158 | 232 | — | 4,333 | 5,695 | 125 | — |
Emerging Markets Local Multi-Sector Account Portfolio | 17,676 | 25,009 | 853 | — | 3,880 | 5,490 | — | — |
Emerging Markets Stock | 59,896 | 43,699 | 389 | — | 13,419 | 9,555 | 128 | — |
Emerging Markets Value Stock | 12,121 | 18,972 | — | — | 2,661 | 3,682 | 60 | — |
Equity Income | 44,514 | 27,278 | 232 | — | 9,132 | 5,846 | 125 | — |
Equity Income Portfolio | 15,781 | 18,255 | 232 | — | 3,510 | 3,959 | 125 | — |
Equity Index 500 | 47,947 | 29,015 | 232 | — | 9,973 | 6,195 | 125 | — |
Equity Index 500 Portfolio | 14,677 | 17,932 | 232 | — | 3,296 | 3,890 | 125 | — |
European Stock | 24,117 | 25,846 | 389 | — | 5,636 | 5,186 | 128 | — |
Extended Equity Market Index | 15,609 | 18,233 | 232 | — | 3,482 | 3,953 | 125 | — |
Financial Services | 19,399 | 18,158 | 232 | — | 3,441 | 3,937 | 125 | — |
Floating Rate | 13,272 | 18,495 | 848 | — | 3,126 | 3,546 | 134 | — |
Floating Rate Multi-Sector Account Portfolio | 27,243 | 38,041 | 853 | — | 5,980 | 8,351 | — | — |
Georgia Tax-Free Bond | 13,569 | 30,379 | 75 | — | 3,017 | 5,770 | 123 | — |
Global Allocation | 13,647 | 9,548 | 389 | — | 2,926 | 2,024 | 128 | — |
Global Consumer | 11,542 | 20,869 | — | — | 2,534 | 4,535 | 79 | — |
Global Growth Stock | 17,519 | 22,218 | 389 | — | 4,227 | 4,394 | 128 | — |
PAGE 109
Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Diversified Mid-Cap Growth | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Dividend Growth ETF | 19,964 | 20,562 | 4,382 | 4,514 | 3,732,000 | 2,037,000 |
Dividend Growth | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Dynamic Credit | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Dynamic Global Bond | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Emerging Europe | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Emerging Markets Bond | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
Emerging Markets Corporate Bond | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
Emerging Markets Corporate Multi-Sector Account Portfolio | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
Emerging Markets Discovery Stock | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Emerging Markets Local Currency Bond | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
Emerging Markets Local Multi-Sector Account Portfolio | 35,966 | 18,121 | — | — | 3,732,000 | 2,037,000 |
Emerging Markets Stock | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Equity Income ETF | 19,964 | 20,562 | 4,382 | 4,514 | 3,732,000 | 2,037,000 |
Equity Income | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Equity Income Portfolio | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Equity Index 500 | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Equity Index 500 Portfolio | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
European Stock | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Extended Equity Market Index | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Financial Services | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Floating Rate ETF | — | 2,600 | — | — | — | 2,959,000 |
Floating Rate | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
Floating Rate Multi-Sector Account Portfolio | 41,344 | 41,889 | — | — | 3,749,000 | 1,454,000 |
Georgia Tax-Free Bond | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Global Allocation | 41,344 | 41,889 | — | — | 3,600,000 | 2,760,000 |
Global Consumer | 24,030 | 24,055 | — | — | 3,732,000 | 2,037,000 |
Global Growth Stock | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Global High Income Bond | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
Global Impact Equity | 26,530 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Global Industrials | 24,030 | 24,055 | — | — | 3,732,000 | 2,037,000 |
122
Fund | Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | ||||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Global High Income Bond | 31,854 | 25,823 | 149 | — | 3,754 | 5,622 | 109 | — |
Global Industrials | 12,137 | 24,939 | 232 | — | 2,868 | 4,419 | 125 | — |
Global Multi-Sector Bond | 14,730 | 20,872 | 848 | — | 3,001 | 4,552 | 134 | — |
Global Real Estate | 22,924 | 20,765 | 232 | — | 4,357 | 4,511 | 125 | — |
Global Stock | 19,625 | 23,407 | 389 | — | 4,683 | 4,652 | 128 | — |
Global Technology | 27,064 | 31,340 | 232 | — | 3,988 | 6,464 | 125 | — |
GNMA | 15,630 | 17,531 | 848 | — | 3,559 | 3,816 | 134 | — |
Government Money | 27,408 | 31,925 | 848 | — | 5,771 | 6,958 | 134 | — |
Government Money Portfolio | 13,021 | 18,132 | 232 | — | 2,873 | 3,934 | 125 | — |
Growth & Income | 20,700 | 18,607 | 232 | — | 3,701 | 4,031 | 125 | — |
Growth Stock | 72,273 | 37,589 | 232 | — | 14,812 | 7,815 | 125 | — |
Health Sciences | 37,199 | 34,429 | 232 | — | 6,915 | 7,291 | 125 | — |
Health Sciences Portfolio | 18,132 | 29,576 | 232 | — | 3,488 | 6,269 | 125 | — |
High Yield | 38,773 | 35,787 | 848 | — | 7,519 | 7,807 | 134 | — |
High Yield Multi-Sector Account Portfolio | 17,676 | 25,009 | 853 | — | 3,880 | 5,490 | — | — |
Inflation Protected Bond | 14,861 | 14,913 | 848 | — | 3,024 | 3,243 | 134 | — |
Institutional Africa & Middle East | 17,920 | 20,190 | 389 | — | 4,312 | 4,431 | 128 | — |
Institutional Cash Reserves | — | 7,505 | — | — | — | 702 | — | — |
Institutional Core Plus | 13,340 | 15,149 | 848 | — | 3,137 | 3,295 | 134 | — |
Institutional Credit Opportunities | 4,464 | 12,475 | 848 | — | 1,008 | 3,096 | 134 | — |
Institutional Emerging Markets Bond | 19,134 | 26,274 | 232 | — | 4,402 | 5,720 | 125 | — |
Institutional Emerging Markets Equity | 21,668 | 22,399 | 389 | — | 5,119 | 4,911 | 128 | — |
Institutional Floating Rate | 20,230 | 22,884 | 848 | — | 4,420 | 4,986 | 134 | — |
Institutional Frontier Markets Equity | 19,536 | 19,882 | (878)(a) | — | 4,288 | 4,364 | 60 | — |
Institutional Global Focused Growth Equity | 17,525 | 20,019 | 389 | — | 4,229 | 4,394 | 128 | — |
Institutional Global Growth Equity | 18,666 | 20,673 | 389 | — | 4,479 | 4,536 | 128 | — |
Institutional Global Multi-Sector Bond | 11,824 | 792 | 848 | — | 3,072 | (1,430)(a) | 134 | — |
Institutional Global Value Equity | 17,090 | 19,785 | 389 | — | 4,134 | 4,343 | 128 | — |
Institutional High Yield | 17,079 | 18,448 | 848 | — | 3,815 | 4,017 | 134 | — |
Institutional International Bond | 19,465 | 26,422 | 232 | — | 4,474 | 5,753 | 125 | — |
PAGE 110
Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Global Multi-Sector Bond | 35,141 | 36,351 | 6,334 | — | 3,481,000 | 2,959,000 |
Global Real Estate | 24,030 | 24,055 | — | — | 3,732,000 | 2,037,000 |
Global Stock | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Global Technology | 24,030 | 24,055 | — | — | 3,732,000 | 2,037,000 |
Global Value Equity | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
GNMA | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Government Money | 22,599 | 23,429 | 3,581 | — | 3,481,000 | 2,959,000 |
Government Money Portfolio | 23,424 | — | — | — | 3,732,000 | — |
Government Reserve | 22,599 | 23,429 | 3,581 | — | 3,481,000 | 2,959,000 |
Growth Stock ETF | 19,964 | 20,562 | 4,382 | 4,514 | 3,732,000 | 2,037,000 |
Growth Stock | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Health Sciences | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Health Sciences Portfolio | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
High Yield | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
High Yield Multi-Sector Account Portfolio | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Inflation Protected Bond | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Institutional Emerging Markets Bond | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
Institutional Emerging Markets Equity | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Institutional Floating Rate | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
Institutional High Yield | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
Institutional International Disciplined Equity | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Institutional Large-Cap Core Growth | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Institutional Long Duration Credit | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Institutional Mid-Cap Equity Growth | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Institutional Small-Cap Stock | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Integrated Global Equity | 24,030 | 24,055 | — | — | 3,732,000 | 2,037,000 |
Integrated U.S. Large-Cap Value Equity | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Integrated U.S. Small-Cap Growth Equity | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Integrated U.S. Small-Mid Cap Core Equity | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
123
Fund | Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | ||||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Institutional International Concentrated Equity | 18,328 | 20,439 | 389 | — | 4,406 | 4,485 | 128 | — |
Institutional International Core Equity | 17,796 | 20,097 | 389 | — | 4,290 | 4,411 | 128 | — |
Institutional International Growth Equity | 17,342 | 19,904 | 389 | — | 4,188 | 4,369 | 128 | — |
Institutional Large-Cap Core Growth | 17,392 | 18,861 | 232 | — | 3,850 | 4,082 | 125 | — |
Institutional Large-Cap Growth | 31,636 | 23,934 | 232 | — | 6,712 | 5,061 | 125 | — |
Institutional Large-Cap Value | 18,030 | 19,087 | 232 | — | 3,974 | 4,129 | 125 | — |
Institutional Long Duration Credit | 8,158 | 1,915 | 848 | — | 1,982 | 153 | 134 | — |
Institutional Mid-Cap Equity Growth | 23,994 | 20,997 | 232 | — | 4,665 | 4,362 | 125 | — |
Institutional Small-Cap Stock | 20,204 | 20,166 | 232 | — | 3,908 | 4,104 | 125 | — |
Institutional U.S. Structured Research | 15,567 | 18,193 | 232 | — | 3,473 | 3,945 | 125 | — |
Intermediate Tax-Free High Yield | 13,452 | 27,967 | — | — | 2,953 | 5,746 | 99 | — |
International Bond | 43,848 | 35,700 | 232 | — | 9,821 | 7,769 | 125 | — |
International Bond (USD Hedged) | — | 1,463 | — | — | — | 321 | — | — |
International Concentrated Equity | 19,456 | 22,001 | (878)(a) | — | 4,271 | 4,346 | 60 | — |
International Discovery | 40,765 | 32,333 | 389 | — | 8,809 | 7,071 | 128 | — |
International Equity Index | 19,525 | 21,128 | 389 | — | 4,659 | 4,635 | 128 | — |
International Stock | 89,492 | 59,693 | 389 | — | 19,847 | 13,035 | 128 | — |
International Stock Portfolio | 19,277 | 20,884 | 232 | — | 4,433 | 4,537 | 125 | — |
International Value Equity | 76,558 | 52,364 | 389 | — | 17,064 | 11,437 | 128 | — |
Investment-Grade Corporate Multi-Sector Account Portfolio | 27,243 | 38,041 | 853 | — | 5,980 | 8,351 | — | — |
Japan | 18,735 | 22,974 | 389 | — | 4,490 | 4,557 | 128 | — |
Latin America | 19,376 | 23,452 | 389 | — | 4,607 | 4,662 | 128 | — |
Limited Duration Inflation Focused Bond | 32,719 | 30,043 | 848 | — | 6,422 | 6,553 | 134 | — |
Limited-Term Bond Portfolio | 13,954 | 24,269 | 232 | — | 3,065 | 5,280 | 125 | — |
Maryland Short-Term Tax-Free Bond | 13,327 | 30,332 | 75 | — | 2,965 | 5,760 | 123 | — |
PAGE 111
Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Intermediate Tax-Free High Yield | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
International Bond | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
International Bond (USD Hedged) | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
International Disciplined Equity | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
International Discovery | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
International Equity Index | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
International Stock | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
International Stock Portfolio | 24,030 | 24,055 | — | — | 3,732,000 | 2,037,000 |
International Value Equity | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Investment-Grade Corporate Multi-Sector Account Portfolio | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Japan | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Large-Cap Growth | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Large-Cap Value | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Latin America | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Limited Duration Inflation Focused Bond | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Limited-Term Bond Portfolio | 30,530 | 30,755 | — | — | 3,732,000 | 2,037,000 |
Maryland Short-Term Tax-Free Bond | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Maryland Tax-Free Bond | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Maryland Tax-Free Money | 23,424 | 23,429 | — | — | 3,749,000 | 1,454,000 |
Mid-Cap Growth | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Mid-Cap Growth Portfolio | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Mid-Cap Index | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Mid-Cap Value | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Moderate Allocation Portfolio | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Mortgage-Backed Securities Multi-Sector Account Portfolio | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Multi-Strategy Total Return | 66,958 | 68,153 | — | — | 3,600,000 | 2,760,000 |
New Asia | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
124
Fund | Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | ||||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Maryland Tax-Free Bond | 18,153 | 31,155 | 75 | — | 3,962 | 5,932 | 123 | — |
Maryland Tax-Free Money | 13,137 | 24,196 | 75 | — | 2,926 | 4,251 | 123 | — |
Mid-Cap Growth | 49,374 | 29,275 | 232 | — | 9,725 | 6,088 | 125 | — |
Mid-Cap Growth Portfolio | 17,691 | 18,892 | 232 | — | 3,397 | 3,925 | 125 | — |
Mid-Cap Index | 12,617 | 13,556 | — | — | 1,948 | 3,670 | 79 | — |
Mid-Cap Value | 29,768 | 23,015 | 232 | — | 6,298 | 4,950 | 125 | — |
Mortgage-Backed Securities Multi-Sector Account Portfolio | 17,676 | 25,009 | 853 | — | 3,880 | 5,490 | — | — |
New America Growth | 19,888 | 19,976 | 232 | — | 4,331 | 4,235 | 125 | — |
New America Growth Portfolio | 14,880 | 18,396 | 232 | — | 3,337 | 3,905 | 125 | — |
New Asia | 35,122 | 26,578 | 389 | — | 7,574 | 5,822 | 128 | — |
New Era | 18,560 | 19,320 | 232 | — | 4,049 | 4,180 | 125 | — |
New Horizons | 40,019 | 41,188 | 232 | — | 14,597 | 6,104 | 125 | — |
New Income | 84,502 | 80,064 | 848 | — | 16,215 | 17,480 | 134 | — |
New Jersey Tax-Free Bond | 13,734 | 30,403 | 75 | — | 3,050 | 5,775 | 123 | — |
New York Tax-Free Bond | 13,959 | 30,443 | 75 | — | 3,096 | 5,783 | 123 | — |
New York Tax-Free Money | 12,993 | 24,173 | 75 | — | 2,896 | 4,246 | 123 | — |
Overseas Stock | 74,546 | 52,332 | 389 | — | 16,634 | 11,424 | 128 | — |
Personal Strategy Balanced | 17,754 | 17,894 | 848 | — | 3,756 | 3,864 | 134 | — |
Personal Strategy Balanced Portfolio | 17,381 | 19,186 | 232 | — | 3,335 | 3,903 | 125 | — |
Personal Strategy Growth | 17,346 | 17,435 | 848 | — | 3,677 | 3,767 | 134 | — |
Personal Strategy Income | 17,136 | 17,906 | 848 | — | 3,634 | 3,871 | 134 | — |
QM Global Equity | 12,104 | 20,325 | — | — | 2,657 | 4,416 | 79 | — |
QM U.S. Small & Mid-Cap Core Equity | 10,392 | 17,546 | — | — | 2,281 | 3,806 | 79 | — |
QM U.S. Small-Cap Growth Equity | 19,697 | 21,241 | 232 | — | 3,900 | 4,116 | 125 | — |
QM U.S. Value Equity | 10,392 | 17,545 | — | — | 2,281 | 3,805 | 79 | — |
Real Assets | 20,213 | 19,714 | 232 | — | 4,398 | 4,267 | 125 | — |
Real Estate | 22,029 | 20,529 | 232 | — | 4,778 | 4,434 | 125 | — |
Retirement 2005 | 5,929 | 10,568 | 848 | — | 1,566 | 2,268 | 134 | — |
Retirement 2010 | 8,688 | 14,678 | 848 | — | 2,107 | 3,122 | 134 | — |
Retirement 2015 | 11,166 | 18,570 | 848 | — | 2,597 | 3,938 | 134 | — |
Retirement 2020 | 21,149 | 34,537 | 848 | — | 4,568 | 7,288 | 134 | — |
Retirement 2025 | 16,692 | 28,328 | 848 | — | 3,693 | 6,000 | 134 | — |
Retirement 2030 | 20,795 | 34,413 | 848 | — | 4,501 | 7,270 | 134 | — |
Retirement 2035 | 13,675 | 23,228 | 848 | — | 3,098 | 4,930 | 134 | — |
Retirement 2040 | 15,999 | 26,526 | 848 | — | 3,555 | 5,618 | 134 | — |
Retirement 2045 | 10,000 | 17,316 | 848 | — | 2,372 | 3,690 | 134 | — |
PAGE 112
Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
New Era | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
New Horizons | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
New Income | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
New Jersey Tax-Free Bond | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
New York Tax-Free Bond | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Overseas Stock | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
QM U.S. Bond ETF | 17,595 | 29,899 | 3,314 | 6,563 | 3,600,000 | 2,760,000 |
QM U.S. Bond Index | 30,530 | 30,755 | — | — | 3,600,000 | 2,760,000 |
Real Assets | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Real Estate | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Retirement 2005 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2010 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2015 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2020 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2025 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2030 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2035 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2040 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2045 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2050 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2055 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2060 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2065 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement Balanced | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement Blend 2005 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2010 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2015 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2020 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2025 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2030 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2035 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2040 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2045 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2050 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2055 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2060 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2065 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement I 2005 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2010 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
125
Fund | Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | ||||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Retirement 2050 | 8,794 | 15,529 | 848 | — | 2,134 | 3,316 | 134 | — |
Retirement 2055 | 6,173 | 11,281 | 848 | — | 1,616 | 2,423 | 134 | — |
Retirement 2060 | 4,619 | 5,926 | 229 | — | 1,014 | 1,034 | 33 | — |
Retirement Balanced | 6,971 | 11,804 | 848 | — | 1,770 | 2,521 | 134 | — |
Retirement I 2005 Fund—I Class | 5,200 | 3,808 | 70 | — | 1,141 | 836 | 10 | — |
Retirement I 2010 Fund—I Class | 5,200 | 3,884 | 70 | — | 1,141 | 852 | 10 | — |
Retirement I 2015 Fund—I Class | 5,200 | 3,933 | 70 | — | 1,141 | 864 | 10 | — |
Retirement I 2020 Fund—I Class | 5,200 | 4,357 | 70 | — | 1,141 | 956 | 10 | — |
Retirement I 2025 Fund—I Class | 5,200 | 4,200 | 70 | — | 1,141 | 922 | 10 | — |
Retirement I 2030 Fund—I Class | 5,200 | 4,408 | 70 | — | 1,141 | 968 | 10 | — |
Retirement I 2035 Fund—I Class | 5,200 | 4,085 | 70 | — | 1,141 | 897 | 10 | — |
Retirement I 2040 Fund—I Class | 5,200 | 4,230 | 70 | — | 1,141 | 929 | 10 | — |
Retirement I 2045 Fund—I Class | 5,200 | 3,982 | 70 | — | 1,141 | 874 | 10 | — |
Retirement I 2050 Fund—I Class | 5,200 | 3,974 | 70 | — | 1,141 | 873 | 10 | — |
Retirement I 2055 Fund—I Class | 5,200 | 3,836 | 70 | — | 1,141 | 842 | 10 | — |
Retirement I 2060 Fund—I Class | 5,200 | 3,796 | 70 | — | 1,141 | 833 | 10 | — |
Retirement Balanced I Fund—I Class | 5,200 | 3,829 | 70 | — | 1,141 | 841 | 10 | — |
Retirement Income 2020 | — | 7,267 | — | — | — | 1,595 | — | — |
Science & Technology | 26,385 | 31,204 | 232 | — | 4,209 | 6,522 | 125 | — |
Short-Term Bond | 28,453 | 25,942 | 848 | — | 5,565 | 5,655 | 134 | — |
Short-Term | 14,704 | 4,842 | 848 | — | 3,371 | 1,480 | 134 | — |
Small-Cap Index | 12,617 | 13,556 | — | — | 1,948 | 3,670 | 79 | — |
Small-Cap Stock | 28,522 | 22,902 | 232 | — | 5,537 | 4,679 | 125 | — |
Small-Cap Value | 24,564 | 32,180 | 232 | — | 12,485 | 5,389 | 125 | — |
Spectrum Growth | 10,215 | 12,104 | 232 | — | 2,192 | 2,596 | 125 | — |
Spectrum Income | 12,663 | 13,091 | 232 | — | 2,676 | 2,800 | 125 | — |
Spectrum International | 7,972 | 11,279 | 232 | — | 1,754 | 2,425 | 125 | — |
Summit Municipal Income | 15,230 | 22,659 | 389 | — | 3,416 | 4,969 | 128 | — |
Summit Municipal Intermediate | 22,801 | 26,035 | 389 | — | 4,856 | 5,696 | 128 | — |
Summit Municipal Money Market | 12,932 | 16,534 | 389 | — | 2,972 | 3,629 | 128 | — |
Target 2005 | 11,674 | (888)(a) | 848 | — | 1,930 | — | 134 | — |
Target 2010 | 11,684 | (879)(a) | 848 | — | 1,932 | — | 134 | — |
Target 2015 | 11,719 | (848)(a) | 848 | — | 1,938 | — | 134 | — |
Target 2020 | 11,731 | (834)(a) | 848 | — | 1,940 | — | 134 | — |
PAGE 113
Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Retirement I 2015 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2020 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2025 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2030 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2035 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2040 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2045 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2050 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2055 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2060 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2065 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement Balanced I Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement Income 2020 | 13,478 | 13,183 | — | — | 3,732,000 | 2,037,000 |
Science & Technology | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Short Duration Income | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Short-Term | 22,599 | — | 3,581 | — | 3,481,000 | — |
Short-Term Bond | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Short-Term Government | — | — | — | — | — | — |
Small-Cap Index | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Small-Cap Stock | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Small-Cap Value | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Spectrum Conservative Allocation | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Spectrum Diversified Equity | 13,478 | 13,183 | — | — | 3,732,000 | 2,037,000 |
Spectrum Income | 13,478 | 13,183 | — | — | 3,732,000 | 2,037,000 |
Spectrum International Equity | 13,478 | 13,183 | — | — | 3,732,000 | 2,037,000 |
Spectrum Moderate Allocation | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
Spectrum Moderate Growth Allocation | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
126
Fund | Audit Fees | Audit Related Fees | Tax Fees | All Other Fees | ||||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Target 2025 | 11,713 | (847)(a) | 848 | — | 1,937 | — | 134 | — |
Target 2030 | 11,717 | (846)(a) | 848 | — | 1,938 | — | 134 | — |
Target 2035 | 11,693 | (867)(a) | 848 | — | 1,933 | — | 134 | — |
Target 2040 | 11,688 | (872)(a) | 848 | — | 1,932 | — | 134 | — |
Target 2045 | 11,683 | (880)(a) | 848 | — | 1,931 | — | 134 | — |
Target 2050 | 11,675 | (887)(a) | 848 | — | 1,930 | — | 134 | — |
Target 2055 | 11,673 | (891)(a) | 848 | — | 1,929 | — | 134 | — |
Target 2060 | 8,617 | 3,934 | 229 | — | 970 | 1,059 | 33 | — |
Tax-Efficient Equity | 14,922 | 33,847 | 75 | — | 3,349 | 7,058 | 123 | — |
Tax-Exempt Money | 14,604 | 22,114 | 75 | — | 3,221 | 4,298 | 123 | — |
Tax-Free High Yield | 27,008 | 27,421 | 75 | — | 4,982 | 6,111 | 123 | — |
Tax-Free Income | 19,227 | 29,032 | 75 | — | 4,180 | 5,969 | 123 | — |
Tax-Free Short-Intermediate | 21,956 | 26,504 | 75 | — | 3,917 | 5,922 | 123 | — |
Total Equity Market Index | 16,263 | 18,466 | 232 | — | 3,615 | 4,001 | 125 | — |
Total Return | — | 6,521 | — | — | — | 603 | — | — |
Treasury Reserve | 72,008 | 86,663 | 1,696 | — | 14,747 | 18,890 | 268 | — |
U.S. Bond Enhanced Index | 13,982 | 22,076 | 389 | — | 3,172 | 4,843 | 128 | — |
U.S. High Yield | — | 18,596 | — | — | — | 206 | — | — |
U.S. Large-Cap Core | 18,943 | 18,045 | 232 | — | 3,352 | 3,913 | 125 | — |
U.S. Treasury Intermediate | 12,863 | 15,086 | 848 | — | 3,045 | 3,281 | 134 | — |
U.S. Treasury Long-Term | 12,634 | 15,039 | 848 | — | 3,000 | 3,270 | 134 | — |
U.S. Treasury Money | 16,838 | 20,534 | 848 | — | 3,792 | 4,472 | 134 | — |
Ultra Short-Term Bond | 13,152 | 1,970 | 848 | — | 3,096 | — | 134 | — |
Value | 43,707 | 27,536 | 232 | — | 9,105 | 5,895 | 125 | — |
Virginia Tax-Free Bond | 15,660 | 30,737 | 75 | — | 3,450 | 5,845 | 123 | — |
(a) Amount shown is negative due to a correction in fees accrued versus fees actually paid by the fund.
Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Summit Municipal Income | 30,530 | 30,755 | — | — | 3,600,000 | 2,760,000 |
Summit Municipal Intermediate | 30,530 | 30,755 | — | — | 3,600,000 | 2,760,000 |
Target 2005 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2010 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2015 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2020 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2025 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2030 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2035 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2040 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2045 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2050 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2055 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2060 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2065 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Tax-Efficient Equity | 21,464 | 21,409 | — | — | 3,749,000 | 1,454,000 |
Tax-Exempt Money | 29,924 | 23,429 | — | — | 3,749,000 | 1,454,000 |
Tax-Free High Yield | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Tax-Free Income | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Tax-Free Short-Intermediate | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Total Equity Market Index | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Total Return ETF | 2,500 | 29,899 | — | 6,563 | 3,481,000 | 2,959,000 |
Total Return | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
Transition | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Treasury Reserve | 22,599 | 23,429 | 3,581 | — | 3,481,000 | 2,959,000 |
U.S. Equity Research ETF | 22,464 | 20,562 | 4,382 | 4,514 | 2,732,000 | 3,732,000 |
U.S. Equity Research | 25,964 | 21,409 | — | — | 3,732,000 | 2,037,000 |
U.S. High Yield ETF | — | 2,600 | — | — | — | 2,959,000 |
U.S. High Yield | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
U.S. Large-Cap Core | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
U.S. Limited Duration TIPS Index | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
U.S. Treasury Intermediate Index | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
U.S. Treasury Long-Term Index | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
U.S. Treasury Money | 22,599 | 23,429 | 3,581 | — | 3,481,000 | 2,959,000 |
Ultra Short-Term Bond ETF | 2,500 | 29,899 | — | 6,563 | 3,481,000 | 2,959,000 |
Ultra Short-Term Bond | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
PAGE 114127
Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Value | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Virginia Tax-Free Bond | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
128
Exhibit 1
T. ROWE PRICE FUNDS
(each a “fund” and collectively, the “funds” or “Price Funds”)
Funds | Ticker | Fiscal |
T. ROWE PRICE ALL-CAP OPPORTUNITIES FUND, INC. | ||
T. Rowe Price All-Cap Opportunities Fund | PRWAX | 12/31 |
T. Rowe Price All-Cap Opportunities Fund—Advisor Class | PAWAX | 12/31 |
T. Rowe Price All-Cap Opportunities Fund—I Class | PNAIX | 12/31 |
T. ROWE PRICE BALANCED FUND, INC. | ||
T. Rowe Price Balanced Fund | RPBAX | 12/31 |
T. Rowe Price Balanced Fund—I Class | RBAIX | 12/31 |
T. ROWE PRICE BLUE CHIP GROWTH FUND, INC. | ||
T. Rowe Price Blue Chip Growth Fund | TRBCX | 12/31 |
T. Rowe Price Blue Chip Growth Fund—Advisor Class | PABGX | 12/31 |
T. Rowe Price Blue Chip Growth Fund—I Class | TBCIX | 12/31 |
T. Rowe Price Blue Chip Growth Fund—R Class | RRBGX | 12/31 |
T. Rowe Price Blue Chip Growth Fund—Z Class | TRZBX | 12/31 |
T. ROWE PRICE CAPITAL APPRECIATION FUND, INC. | ||
T. Rowe Price Capital Appreciation Fund | PRWCX | 12/31 |
T. Rowe Price Capital Appreciation Fund—Advisor Class | PACLX | 12/31 |
T. Rowe Price Capital Appreciation Fund—I Class | TRAIX |
|
| ||
|
|
|
|
|
|
|
|
|
| ||
|
|
|
|
|
|
|
|
|
|
| 12/31 |
T. ROWE PRICE COMMUNICATIONS & TECHNOLOGY FUND, INC. | ||
T. Rowe Price Communications & Technology Fund | PRMTX | 12/31 |
T. Rowe Price Communications & Technology Fund—I Class | TTMIX | 12/31 |
T. ROWE PRICE CORPORATE INCOME FUND, INC. | ||
T. Rowe Price Corporate Income Fund | PRPIX | 5/31 |
T. Rowe Price Corporate Income Fund—I Class | TICCX | 5/31 |
T. Rowe Price Corporate Income Fund—Z Class | TRZCX | 5/31 |
T. ROWE PRICE CREDIT OPPORTUNITIES FUND, INC. | ||
T. Rowe Price Credit Opportunities Fund | PRCPX | 5/31 |
T. Rowe Price Credit Opportunities Fund—Advisor Class | PAOPX | 5/31 |
T. Rowe Price Credit Opportunities Fund—I Class | TCRRX | 5/31 |
T. ROWE PRICE DIVERSIFIED MID-CAP GROWTH FUND, INC. | ||
T. Rowe Price Diversified Mid-Cap Growth Fund | PRDMX | 12/31 |
T. Rowe Price Diversified Mid-Cap Growth Fund—I Class | RPTTX | 12/31 |
T. ROWE PRICE DIVIDEND GROWTH FUND, INC. | ||
T. Rowe Price Dividend Growth Fund | PRDGX | 12/31 |
T. Rowe Price Dividend Growth Fund—Advisor Class | TADGX | 12/31 |
T. Rowe Price Dividend Growth Fund—I Class | PDGIX | 12/31 |
T. Rowe Price Dividend Growth Fund—Z Class | TRZDX | 12/31 |
T. ROWE PRICE EQUITY FUNDS, INC. | ||
T. Rowe Price Institutional Large-Cap Core Growth Fund | TPLGX | 12/31 |
T. Rowe Price Institutional Mid-Cap Equity Growth Fund | PMEGX | 12/31 |
T. Rowe Price Institutional Small-Cap Stock Fund | TRSSX | 12/31 |
T. Rowe Price Large-Cap Growth Fund | TRGOX | 12/31 |
T. Rowe Price Large-Cap Growth Fund—I Class | TRLGX | 12/31 |
T. Rowe Price Large-Cap Value Fund | TRLUX | 12/31 |
T. Rowe Price Large-Cap Value Fund—I Class | TILCX | 12/31 |
T. ROWE PRICE EQUITY INCOME FUND, INC. | ||
T. Rowe Price Equity Income Fund | PRFDX | 12/31 |
T. Rowe Price Equity Income Fund—Advisor Class | PAFDX | 12/31 |
T. Rowe Price Equity Income Fund—I Class | REIPX | 12/31 |
T. Rowe Price Equity Income Fund—R Class | RRFDX | 12/31 |
T. Rowe Price Equity Income Fund—Z Class | TRZQX | 12/31 |
129
Funds | Ticker | Fiscal |
T. ROWE PRICE EQUITY SERIES, INC. | ||
T. Rowe Price All-Cap Opportunities Portfolio | QAOSWX | 12/31 |
T. Rowe Price Blue Chip Growth Portfolio | QAAAJX | 12/31 |
T. Rowe Price Blue Chip Growth Portfolio—II | QAAGXX | 12/31 |
T. Rowe Price Equity Income Portfolio | QAAHCX | 12/31 |
T. Rowe Price Equity Income Portfolio—II | QAAHAX | 12/31 |
T. Rowe Price Equity Index 500 Portfolio | QAAGTX | 12/31 |
T. Rowe Price Health Sciences Portfolio | QAAGZX | 12/31 |
T. Rowe Price Health Sciences Portfolio—II | QAAHBX | 12/31 |
PAGE 113
|
|
|
T. Rowe Price Mid-Cap Growth Portfolio | QAMWEX | 12/31 |
T. Rowe Price Mid-Cap Growth Portfolio—II | QAAGSX | 12/31 |
T. Rowe Price | QAAGRX | 12/31 |
T. ROWE PRICE EXCHANGE-TRADED FUNDS, INC. | ||
T. Rowe Price Blue Chip Growth ETF | TCHP | 12/31 |
T. Rowe Price | TCAF | 12/31 |
T. Rowe Price Dividend Growth ETF | TDVG | 12/31 |
T. Rowe Price Equity Income ETF | TEQI | 12/31 |
T. Rowe Price Floating Rate ETF | TFLR | 5/31 |
T. Rowe Price Growth ETF | TGRT | 12/31 |
T. Rowe Price Growth Stock ETF | TGRW | 12/31 |
T. Rowe Price International Equity ETF | TOUS | 10/31 |
T. Rowe Price QM U.S. Bond ETF | TAGG | 10/31 |
T. Rowe Price Small-Mid Cap ETF | TMSL | 12/31 |
T. Rowe Price Total Return ETF | TOTR | 5/31 |
T. Rowe Price Ultra Short-Term Bond ETF | TBUX | 5/31 |
T. Rowe Price U.S. Equity Research ETF | TSPA | 12/31 |
T. Rowe Price U.S. High Yield ETF | THYF | 5/31 |
T. Rowe Price Value ETF | TVAL | 12/31 |
T. ROWE PRICE FINANCIAL SERVICES FUND, INC. | ||
T. Rowe Price Financial Services Fund | PRISX | 12/31 |
T. Rowe Price Financial Services Fund—I Class | TFIFX | 12/31 |
T. ROWE PRICE FIXED INCOME SERIES, INC. | ||
T. Rowe Price Limited-Term Bond Portfolio | QAAGWX | 12/31 |
T. Rowe Price Limited-Term Bond Portfolio—II |
| |
| QAAGUX | 12/31 |
T. ROWE PRICE FLOATING RATE FUND, INC. | ||
T. Rowe Price Floating Rate Fund | PRFRX | 5/31 |
T. Rowe Price Floating Rate Fund—Advisor Class | PAFRX | 5/31 |
T. Rowe Price Floating Rate Fund—I Class | TFAIX | 5/31 |
T. Rowe Price Floating Rate Fund—Z Class | TRIZX | 5/31 |
T. ROWE PRICE GLOBAL ALLOCATION FUND, INC. | ||
T. Rowe Price Global Allocation Fund | RPGAX | 10/31 |
T. Rowe Price Global Allocation Fund—Advisor Class | PAFGX | 10/31 |
T. Rowe Price Global Allocation Fund—I Class | TGAFX | 10/31 |
T. ROWE PRICE GLOBAL FUNDS, INC. | ||
T. Rowe Price Global Value Equity Fund | TRGVX | 10/31 |
T. Rowe Price Global Value Equity Fund—I Class | PRIGX | 10/31 |
T. Rowe Price Institutional Emerging Markets Bond Fund | TREBX | 12/31 |
T. Rowe Price Institutional Emerging Markets Equity Fund | IEMFX | 10/31 |
T. Rowe Price Institutional International Disciplined Equity Fund | RPICX | 10/31 |
T. ROWE PRICE GLOBAL MULTI-SECTOR BOND FUND, INC. | ||
T. Rowe Price Global Multi-Sector Bond Fund | PRSNX | 5/31 |
T. Rowe Price Global Multi-Sector Bond Fund—Advisor Class | PRSAX | 5/31 |
T. Rowe Price Global Multi-Sector Bond Fund—I Class | PGMSX | 5/31 |
130
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T. ROWE PRICE GLOBAL REAL ESTATE FUND, INC. | ||
T. Rowe Price Global Real Estate Fund | TRGRX | 12/31 |
T. Rowe Price Global Real Estate Fund—Advisor Class | PAGEX | 12/31 |
T. Rowe Price Global Real Estate Fund—I Class | TIRGX | 12/31 |
T. ROWE PRICE GLOBAL TECHNOLOGY FUND, INC. | ||
T. Rowe Price Global Technology Fund | PRGTX | 12/31 |
T. Rowe Price Global Technology Fund—I Class | PGTIX | 12/31 |
T. ROWE PRICE GNMA FUND, INC. | ||
T. Rowe Price GNMA Fund | PRGMX | 5/31 |
T. Rowe Price GNMA Fund—I Class | PRXAX | 5/31 |
T. Rowe Price GNMA Fund—Z Class | TRZGX | 5/31 |
T. ROWE PRICE GOVERNMENT MONEY FUND, INC. | ||
T. Rowe Price Government Money Fund | PRRXX | 5/31 |
T. Rowe Price Government Money Fund—I Class | TTGXX | 5/ |
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T. ROWE PRICE GROWTH STOCK FUND, INC. | ||
T. Rowe Price Growth Stock Fund | PRGFX | 12/31 |
T. Rowe Price Growth Stock Fund—Advisor Class | TRSAX | 12/31 |
T. Rowe Price Growth Stock Fund—I Class | PRUFX | 12/31 |
T. Rowe Price Growth Stock Fund—R Class | RRGSX | 12/31 |
T. Rowe Price Growth Stock Fund—Z Class | TRJZX | 12/31 |
T. ROWE PRICE HEALTH SCIENCES FUND, INC. | ||
T. Rowe Price Health Sciences Fund | PRHSX | 12/31 |
T. Rowe Price Health Sciences Fund—I Class | THISX | 12/31 |
T. ROWE PRICE HIGH YIELD FUND, INC. | ||
T. Rowe Price High Yield Fund | PRHYX | 5/31 |
T. Rowe Price High Yield Fund—Advisor Class | PAHIX | 5/31 |
T. Rowe Price High Yield Fund—I Class | PRHIX | 5/31 |
T. Rowe Price High Yield Fund—Z Class | TRKZX | 5/31 |
T. Rowe Price U.S. High Yield Fund | TUHYX | 5/31 |
T. Rowe Price U.S. High Yield Fund—Advisor Class | TUHAX | 5/31 |
T. Rowe Price U.S. High Yield Fund—I Class | TUHIX | 5/31 |
T. ROWE PRICE INDEX TRUST, INC. | ||
T. Rowe Price Equity Index 500 Fund | PREIX | 12/31 |
T. Rowe Price Equity Index 500 Fund—I Class | PRUIX | 12/31 |
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T. Rowe Price Extended Equity Market Index Fund | PEXMX | 12/31 |
T. Rowe Price Mid-Cap Index Fund | TRMNX | 12/31 |
T. Rowe Price Mid-Cap Index Fund—I Class | TRMSX | 12/31 |
T. Rowe Price Mid-Cap Index Fund—Z Class | TRSZX | 12/31 |
T. Rowe Price Small-Cap Index Fund | TRSYX | 12/31 |
T. Rowe Price Small-Cap Index Fund—I Class | TRCSX | 12/31 |
T. Rowe Price Small-Cap Index Fund—Z Class | TRZIX | 12/31 |
T. Rowe Price Total Equity Market Index Fund | POMIX | 12/31 |
T. Rowe Price U.S. Limited Duration TIPS Index Fund | TLDTX | 5/31 |
T. Rowe Price U.S. Limited Duration TIPS Index Fund—I Class | TLDUX | 5/31 |
T. Rowe Price U.S. Limited Duration TIPS Index Fund—Z Class | TLDZX | 5/31 |
T. ROWE PRICE INFLATION PROTECTED BOND FUND, INC. | ||
T. Rowe Price Inflation Protected Bond Fund | PRIPX | 5/31 |
T. Rowe Price Inflation Protected Bond Fund—I Class | TIIPX | 5/31 |
T. | TRZHX | 5/31 |
131
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T. ROWE PRICE INSTITUTIONAL INCOME FUNDS, INC. | ||
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T. Rowe Price Institutional Floating Rate Fund | RPIFX | 5/31 |
T. Rowe Price Institutional Floating Rate Fund—F Class | PFFRX | 5/31 |
T. Rowe Price Institutional |
| 5/31 |
T. Rowe Price Institutional High Yield Fund | TRHYX | 5/31 |
T. Rowe Price Institutional High Yield Fund—Z Class | TRCZX | 5/31 |
T. Rowe Price Institutional Long Duration Credit Fund | RPLCX | 5/31 |
T. ROWE PRICE | ||
T. Rowe Price |
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T. Rowe Price |
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T. Rowe Price |
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T. Rowe Price | TQVAX | 12/31 |
T. Rowe Price Integrated U.S. Large-Cap Value Equity Fund—I Class (formerly T. Rowe Price QM U.S. Value Equity Fund—I Class) | TQVIX | 12/31 |
T. Rowe Price Integrated U.S. Small-Cap Growth Equity Fund (formerly T. Rowe Price QM U.S. Small-Cap Growth Equity Fund) |
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T. Rowe Price Integrated U.S. Small-Cap Growth Equity Fund—Advisor Class (formerly T. Rowe Price QM U.S. Small-Cap Growth Equity Fund—Advisor Class) | TQAAX | 12/31 |
T. Rowe Price Integrated U.S. Small-Cap Growth Equity Fund—I Class (formerly T. Rowe Price QM U.S. Small-Cap Growth Equity Fund—I Class) | TQAIX | 12/31 |
T. Rowe Price Integrated U.S. Small-Mid Cap Core Equity Fund (formerly T. Rowe Price QM U.S. Small & Mid-Cap Core Equity Fund) | TQSMX | 12/31 |
T. Rowe Price Integrated U.S. Small-Mid Cap Core Equity Fund—Advisor Class (formerly T. Rowe Price QM U.S. Small & Mid-Cap Core Equity Fund—Advisor Class) | TQSAX | 12/31 |
T. Rowe Price Integrated U.S. Small-Mid Cap Core Equity Fund—I Class (formerly T. Rowe Price QM U.S. Small & Mid-Cap Core Equity Fund—I Class) | TQSIX | 12/31 |
T. ROWE PRICE INTERMEDIATE TAX-FREE HIGH YIELD FUND, INC. | ||
T. Rowe Price Intermediate Tax-Free High Yield Fund | PRIHX | 2/28 |
T. Rowe Price Intermediate Tax-Free High Yield Fund—Advisor Class | PRAHX | 2/28 |
T. Rowe Price Intermediate Tax-Free High Yield Fund—I Class | TFHAX | 2/28 |
T. ROWE PRICE INTERNATIONAL FUNDS, INC. | ||
T. Rowe Price Africa & Middle East Fund | TRAMX | 10/31 |
T. Rowe Price Africa & Middle East Fund—I Class | PRAMX | 10/31 |
T. Rowe Price Africa & Middle East Fund—Z Class | TRZMX | 10/31 |
T. Rowe Price Asia Opportunities Fund | TRAOX | 10/31 |
T. Rowe Price Asia Opportunities Fund—Advisor Class | PAAOX | 10/31 |
T. Rowe Price Asia Opportunities Fund—I Class | TRASX | 10/31 |
T. Rowe Price China Evolution Equity Fund | TCELX | 10/31 |
T. Rowe Price China Evolution Equity Fund—I Class | TRCLX | 10/31 |
T. Rowe Price Dynamic Credit Fund | RPIDX | 12/31 |
T. Rowe Price Dynamic Credit Fund—I Class | RPELX | 12/31 |
T. Rowe Price Dynamic Global Bond Fund | RPIEX | 12/31 |
T. Rowe Price Dynamic Global Bond Fund—Advisor Class | PAIEX | 12/31 |
T. Rowe Price Dynamic Global Bond Fund—I Class | RPEIX | 12/31 |
T. Rowe Price Dynamic Global Bond Fund—Z Class | TRDZX | 12/31 |
132
Funds | Ticker | Fiscal |
T. Rowe Price Emerging Europe Fund | TREMX | 10/31 |
T. Rowe Price Emerging Europe Fund—I Class | TTEEX | 10/31 |
T. Rowe Price Emerging Europe Fund—Z Class | TRZEX | 10/31 |
T. Rowe Price Emerging Markets Bond Fund | PREMX | 12/31 |
T. Rowe Price Emerging Markets Bond Fund—Advisor Class | PAIKX | 12/31 |
T. Rowe Price Emerging Markets Bond Fund—I Class | PRXIX | 12/31 |
T. Rowe Price Emerging Markets Bond Fund—Z Class | TREZX | 12/31 |
T. Rowe Price Emerging Markets Corporate Bond Fund | TRECX | 12/31 |
T. Rowe Price Emerging Markets Corporate Bond Fund—Advisor Class | PACEX | 12/31 |
PAGE 117
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T. Rowe Price Emerging Markets Corporate Bond Fund—I Class | TECIX | 12/31 |
T. Rowe Price Emerging Markets Discovery Stock Fund | PRIJX | 10/31 |
T. Rowe Price Emerging Markets Discovery Stock Fund—Advisor Class | PAIJX | 10/31 |
T. Rowe Price Emerging Markets Discovery Stock Fund—I Class | REVIX | 10/31 |
T. Rowe Price Emerging Markets Discovery Stock Fund—Z Class | TRFZX | 10/31 |
T. Rowe Price Emerging Markets Local Currency Bond Fund | PRELX | 12/31 |
T. Rowe Price Emerging Markets Local Currency Bond Fund—Advisor Class | PAELX | 12/31 |
T. Rowe Price Emerging Markets Local Currency Bond Fund—I Class | TEIMX | 12/31 |
T. Rowe Price Emerging Markets Local Currency Bond Fund—Z Class | TRZFX | 12/31 |
T. Rowe Price Emerging Markets Stock Fund | PRMSX | 10/31 |
T. Rowe Price Emerging Markets Stock Fund—I Class | PRZIX | 10/31 |
T. Rowe Price Emerging Markets |
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T. Rowe Price European Stock Fund | PRESX | 10/31 |
T. Rowe Price European Stock Fund—I Class | TEUIX | 10/31 |
T. Rowe Price European Stock Fund—Z Class | TRZPX | 10/31 |
T. Rowe Price Global Consumer Fund | PGLOX | 12/31 |
T. Rowe Price Global Growth Stock Fund | RPGEX | 10/31 |
T. Rowe Price Global Growth Stock Fund—Advisor Class | PAGLX | 10/31 |
T. Rowe Price Global Growth Stock Fund—I Class | RGGIX | 10/31 |
T. Rowe Price Global High Income Bond Fund | RPIHX | 12/31 |
T. Rowe Price Global High Income Bond Fund—Advisor Class | PAIHX | 12/31 |
T. Rowe Price Global High Income Bond Fund—I Class | RPOIX | 12/31 |
T. Rowe Price Global Impact Equity Fund | TGPEX | 10/31 |
T. Rowe Price Global Impact Equity Fund—I Class | TGBLX | 10/31 |
T. Rowe Price Global Industrials Fund | RPGIX | 12/31 |
T. Rowe Price Global Industrials Fund—I Class | TRGAX | 12/31 |
T. Rowe Price Global Stock Fund | PRGSX | 10/31 |
T. Rowe Price Global Stock Fund—Advisor Class | PAGSX | 10/31 |
T. Rowe Price Global Stock Fund—I Class | TRGLX | 10/31 |
T. Rowe Price International Bond Fund | RPIBX | 12/31 |
T. Rowe Price International Bond Fund—Advisor Class | PAIBX | 12/31 |
T. Rowe Price International Bond Fund—I Class | RPISX | 12/31 |
T. Rowe Price International Bond Fund—Z Class | TRLZX | 12/31 |
T. Rowe Price International Bond Fund (USD Hedged) | TNIBX | 12/31 |
T. Rowe Price International Bond Fund (USD Hedged)—Advisor Class | TTABX | 12/31 |
T. Rowe Price International Bond Fund (USD Hedged)—I Class | TNBMX | 12/31 |
T. Rowe Price International | TRMZX | 12/31 |
T. Rowe Price International Disciplined Equity Fund | PRCNX | 10/31 |
T. Rowe Price International | PRNCX | 10/31 |
T. Rowe Price International | RICIX | 10/31 |
T. Rowe Price International Discovery Fund | PRIDX | 10/31 |
T. Rowe Price International Discovery Fund—I Class | TIDDX | 10/31 |
T. Rowe Price International Discovery Fund—Z Class | TRZKX | 10/31 |
133
Funds | Ticker | Fiscal |
T. Rowe Price International Stock Fund | PRITX | 10/31 |
T. Rowe Price International Stock Fund—Advisor Class | PAITX | 10/31 |
T. Rowe Price International Stock Fund—I Class | PRIUX | 10/31 |
T. Rowe Price International Stock Fund—R Class | RRITX | 10/31 |
T. Rowe Price International Stock Fund—Z Class | TRNZX | 10/31 |
T. Rowe Price International Value Equity Fund | TRIGX | 10/31 |
T. Rowe Price International Value Equity Fund—Advisor Class | PAIGX | 10/31 |
T. Rowe Price International Value Equity Fund—I Class | TRTIX | 10/31 |
T. Rowe Price International Value Equity Fund—R Class | RRIGX | 10/31 |
T. Rowe Price International Value Equity Fund—Z Class | TROZX | 10/31 |
T. Rowe Price Japan Fund | PRJPX | 10/31 |
T. Rowe Price Japan Fund—I Class | RJAIX | 10/31 |
T. Rowe Price Japan Fund—Z Class | TRZJX | 10/31 |
T. Rowe Price Latin America Fund | PRLAX | 10/31 |
T. Rowe Price Latin America Fund—I Class | RLAIX | 10/31 |
T. Rowe Price Latin America Fund—Z Class | TRZYX | 10/31 |
T. Rowe Price New Asia Fund | PRASX | 10/31 |
T. Rowe Price New Asia | PNSIX | 10/31 |
T. Rowe Price New Asia Fund—Z Class | TRZNX | 10/31 |
T. Rowe Price Overseas Stock Fund | TROSX | 10/31 |
T. Rowe Price Overseas Stock Fund—Advisor Class | PAEIX | 10/31 |
T. Rowe Price Overseas Stock Fund—I Class | TROIX | 10/31 |
T. Rowe Price Overseas Stock Fund—Z Class | TRZSX | 10/31 |
T. ROWE PRICE INTERNATIONAL INDEX FUND, INC. | ||
T. Rowe Price International Equity Index Fund | PIEQX | 10/31 |
T. Rowe Price International Equity Index Fund—Z Class | TLIEX | 10/31 |
T. ROWE PRICE INTERNATIONAL SERIES, INC. | ||
T. Rowe Price International Stock Portfolio | QAAGYX | 12/31 |
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T. ROWE PRICE LIMITED DURATION INFLATION FOCUSED BOND FUND, INC. | ||
T. Rowe Price Limited Duration Inflation Focused Bond Fund | TRBFX | 5/31 |
T. Rowe Price Limited Duration Inflation Focused Bond Fund—I Class | TRLDX | 5/31 |
T. Rowe Price Limited Duration Inflation Focused Bond Fund—Z Class | TRPZX | 5/31 |
T. ROWE PRICE MID-CAP GROWTH FUND, INC. | ||
T. Rowe Price Mid-Cap Growth Fund | RPMGX | 12/31 |
T. Rowe Price Mid-Cap Growth Fund—Advisor Class | PAMCX | 12/31 |
T. Rowe Price Mid-Cap Growth Fund—I Class | RPTIX | 12/31 |
T. Rowe Price Mid-Cap Growth Fund—R Class | RRMGX | 12/31 |
T. Rowe Price Mid-Cap Growth Fund—Z Class | TRQZX | 12/31 |
T. ROWE PRICE MID-CAP VALUE FUND, INC. | ||
T. Rowe Price Mid-Cap Value Fund | TRMCX | 12/31 |
T. Rowe Price Mid-Cap Value Fund—Advisor Class | TAMVX | 12/31 |
T. Rowe Price Mid-Cap Value Fund—I Class | TRMIX | 12/31 |
T. Rowe Price Mid-Cap Value Fund—R Class | RRMVX | 12/31 |
T. Rowe Price Mid-Cap Value Fund—Z Class | TRTZX | 12/31 |
T. ROWE PRICE MULTI-SECTOR ACCOUNT PORTFOLIOS, INC. | ||
T. Rowe Price Emerging Markets Corporate Multi-Sector Account Portfolio | 12/31 | |
T. Rowe Price Emerging Markets Local Multi-Sector Account Portfolio | 12/31 | |
T. Rowe Price Floating Rate Multi-Sector Account Portfolio | 2/28 | |
T. Rowe Price High Yield Multi-Sector Account Portfolio | 2/28 | |
T. Rowe Price Investment-Grade Corporate Multi-Sector Account Portfolio | 2/28 | |
T. Rowe Price Mortgage-Backed Securities Multi-Sector Account Portfolio | 2/28 |
134
Funds | Ticker | Fiscal |
T. ROWE PRICE MULTI-STRATEGY TOTAL RETURN FUND, INC. | ||
T. Rowe Price Multi-Strategy Total Return Fund | TMSRX | 10/31 |
T. Rowe Price Multi-Strategy Total Return Fund—Advisor Class | TMSAX | 10/31 |
T. Rowe Price Multi-Strategy Total Return Fund—I Class | TMSSX | 10/ |
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T. ROWE PRICE NEW ERA FUND, INC. | ||
T. Rowe Price New Era Fund | PRNEX | 12/31 |
T. Rowe Price New Era Fund—I Class | TRNEX | 12/31 |
T. ROWE PRICE NEW HORIZONS FUND, INC. | ||
T. Rowe Price New Horizons Fund | PRNHX | 12/31 |
T. Rowe Price New Horizons Fund—I Class | PRJIX | 12/31 |
T. Rowe Price New Horizons Fund—Z Class | TRUZX | 12/31 |
T. ROWE PRICE NEW INCOME FUND, INC. | ||
T. Rowe Price New Income Fund | PRCIX | 5/31 |
T. Rowe Price New Income Fund—Advisor Class | PANIX | 5/31 |
T. Rowe Price New Income Fund—I Class | PRXEX | 5/31 |
T. Rowe Price New Income Fund—R Class | RRNIX | 5/31 |
T. | ||
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T. ROWE PRICE | ||
T. Rowe Price QM |
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T. Rowe Price QM U.S. |
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T. Rowe Price QM U.S. |
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PAGE 119
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T. ROWE PRICE REAL ASSETS FUND, INC. | ||
T. Rowe Price Real Assets Fund | PRAFX | 12/31 |
T. Rowe Price Real Assets Fund—I Class | PRIKX | 12/31 |
T. Rowe Price Real Assets Fund—Z Class | TRZRX | 12/31 |
T. ROWE PRICE REAL ESTATE FUND, INC. | ||
T. Rowe Price Real Estate Fund | TRREX | 12/31 |
T. Rowe Price Real Estate Fund—Advisor Class | PAREX | 12/31 |
T. Rowe Price Real Estate Fund—I Class | TIRRX | 12/31 |
T. ROWE PRICE RESERVE INVESTMENT FUNDS, INC. | ||
T. Rowe Price Government Reserve Fund | 5/31 | |
T. Rowe Price Short-Term Fund | 5/31 | |
T. Rowe Price Short-Term Government Fund | 5/31 | |
T. Rowe Price Transition Fund | 12/31 | |
T. Rowe Price Treasury Reserve Fund | 5/31 | |
T. ROWE PRICE RETIREMENT FUNDS, INC. | ||
T. Rowe Price Retirement 2005 Fund | TRRFX | 5/31 |
T. Rowe Price Retirement 2005 Fund—Advisor Class | PARGX | 5/31 |
T. Rowe Price Retirement 2005 Fund—R Class | RRTLX | 5/31 |
T. Rowe Price Retirement 2010 Fund | TRRAX | 5/31 |
T. Rowe Price Retirement 2010 Fund—Advisor Class | PARAX | 5/31 |
T. Rowe Price Retirement 2010 Fund—R Class | RRTAX | 5/31 |
T. Rowe Price Retirement 2015 Fund | TRRGX | 5/31 |
T. Rowe Price Retirement 2015 Fund—Advisor Class | PARHX | 5/31 |
T. Rowe Price Retirement 2015 Fund—R Class | RRTMX | 5/31 |
T. Rowe Price Retirement 2020 Fund | TRRBX | 5/31 |
T. Rowe Price Retirement 2020 Fund—Advisor Class | PARBX | 5/31 |
T. Rowe Price Retirement 2020 Fund—R Class | RRTBX | 5/31 |
T. Rowe Price Retirement 2025 Fund | TRRHX | 5/31 |
T. Rowe Price Retirement 2025 Fund—Advisor Class | PARJX | 5/31 |
T. Rowe Price Retirement 2025 Fund—R Class | RRTNX | 5/31 |
T. Rowe Price Retirement 2030 Fund | TRRCX | 5/31 |
T. Rowe Price Retirement 2030 Fund—Advisor Class | PARCX | 5/31 |
135
Funds | Ticker | Fiscal |
T. Rowe Price Retirement 2030 Fund—R Class | RRTCX | 5/31 |
T. Rowe Price Retirement 2035 Fund | TRRJX | 5/31 |
T. Rowe Price Retirement 2035 Fund—Advisor Class | PARKX | 5/31 |
T. Rowe Price Retirement 2035 Fund—R Class | RRTPX | 5/31 |
T. Rowe Price Retirement 2040 Fund | TRRDX | 5/31 |
T. Rowe Price Retirement 2040 Fund—Advisor Class | PARDX | 5/31 |
T. Rowe Price Retirement 2040 Fund—R Class | RRTDX | 5/31 |
T. Rowe Price Retirement 2045 Fund | TRRKX | 5/31 |
T. Rowe Price Retirement 2045 Fund—Advisor Class | PARLX | 5/31 |
T. Rowe Price Retirement 2045 Fund—R Class | RRTRX | 5/31 |
T. Rowe Price Retirement 2050 Fund | TRRMX | 5/31 |
T. Rowe Price Retirement 2050 Fund—Advisor Class | PARFX | 5/31 |
T. Rowe Price Retirement 2050 Fund—R Class | RRTFX | 5/31 |
T. Rowe Price Retirement 2055 Fund | TRRNX | 5/31 |
T. Rowe Price Retirement 2055 Fund—Advisor Class | PAROX | 5/31 |
T. Rowe Price Retirement 2055 Fund—R Class | RRTVX | 5/31 |
T. Rowe Price Retirement 2060 Fund | TRRLX | 5/31 |
T. Rowe Price Retirement 2060 Fund—Advisor Class | TRRYX | 5/31 |
T. Rowe Price Retirement 2060 Fund—R Class | TRRZX | 5/31 |
T. Rowe Price Retirement 2065 Fund | TRSJX | 5/31 |
T. Rowe Price Retirement 2065 Fund—Advisor Class | PASUX | 5/31 |
T. Rowe Price Retirement 2065 Fund—R Class | RRSUX | 5/31 |
T. Rowe Price Retirement Balanced Fund | TRRIX | 5/31 |
T. Rowe Price Retirement Balanced Fund—Advisor Class | PARIX | 5/31 |
T. Rowe Price Retirement Balanced Fund—R Class | RRTIX | 5/31 |
T. Rowe Price Retirement Blend 2005 Fund | TBLPX | 5/31 |
T. Rowe Price Retirement Blend 2005 Fund—I Class | TBLAX | 5/31 |
T. Rowe Price Retirement Blend 2010 Fund | TBLQX | 5/31 |
T. Rowe Price Retirement Blend 2010 Fund—I Class | TBLBX | 5/31 |
T. Rowe Price Retirement Blend 2015 Fund | TBLSX | 5/31 |
T. Rowe Price Retirement Blend 2015 Fund—I Class | TBLCX | 5/31 |
T. Rowe Price Retirement Blend 2020 Fund | TSBAX | 5/31 |
T. Rowe Price Retirement Blend 2020 Fund—I Class | TBLDX | 5/31 |
T. Rowe Price Retirement Blend 2025 Fund | TBLVX | 5/31 |
T. Rowe Price Retirement Blend 2025 Fund—I Class | TBLEX | 5/31 |
T. Rowe Price Retirement Blend 2030 Fund | TBLWX | 5/31 |
T. Rowe Price Retirement Blend 2030 Fund—I Class | TBLGX | 5/31 |
T. Rowe Price Retirement Blend 2035 Fund | TBLYX | 5/31 |
T. Rowe Price Retirement Blend 2035 Fund—I Class | TBLHX | 5/31 |
T. Rowe Price Retirement Blend 2040 Fund | TRBLX | 5/31 |
T. Rowe Price Retirement Blend 2040 Fund—I Class | TBLJX | 5/31 |
T. Rowe Price Retirement Blend 2045 Fund | TRBQX | 5/31 |
T. Rowe Price Retirement Blend 2045 Fund—I Class | TBLKX | 5/31 |
T. Rowe Price Retirement Blend 2050 Fund | TRBSX | 5/31 |
T. Rowe Price Retirement Blend 2050 Fund—I Class | TBLLX | 5/31 |
T. Rowe Price Retirement Blend 2055 Fund | TRBOX | 5/31 |
T. Rowe Price Retirement Blend 2055 Fund—I Class | TBLMX | 5/31 |
T. Rowe Price Retirement Blend 2060 Fund | TRBNX | 5/31 |
T. Rowe Price Retirement Blend 2060 Fund—I Class | TBLNX | 5/31 |
T. Rowe Price Retirement Blend 2065 Fund | TRBPX | 5/31 |
T. Rowe Price Retirement Blend 2065 Fund—I Class | TBLOX | 5/31 |
T. Rowe Price Retirement I 2005 Fund—I Class | TRPFX | 5/31 |
T. Rowe Price Retirement I 2010 Fund—I Class | TRPAX | 5/31 |
136
Funds | Ticker | Fiscal |
T. Rowe Price Retirement I 2015 Fund—I Class | TRFGX | 5/31 |
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T. Rowe Price Retirement I 2020 Fund—I Class | TRBRX | 5/31 |
T. Rowe Price Retirement I 2025 Fund—I Class | TRPHX | 5/31 |
T. Rowe Price Retirement I 2030 Fund—I Class | TRPCX | 5/31 |
T. Rowe Price Retirement I 2035 Fund—I Class | TRPJX | 5/31 |
T. Rowe Price Retirement I 2040 Fund—I Class | TRPDX | 5/31 |
T. Rowe Price Retirement I 2045 Fund—I Class | TRPKX | 5/31 |
T. Rowe Price Retirement I 2050 Fund—I Class | TRPMX | 5/31 |
T. Rowe Price Retirement I 2055 Fund—I Class | TRPNX | 5/31 |
T. Rowe Price Retirement I 2060 Fund—I Class | TRPLX | 5/31 |
T. Rowe Price Retirement I 2065 Fund—I Class | TRFKX | 5/31 |
T. Rowe Price Retirement Balanced I Fund—I Class | TRPTX | 5/31 |
T. Rowe Price Retirement Income 2020 Fund | TRLAX | 12/31 |
T. Rowe Price Target 2005 Fund | TRARX | 5/31 |
T. Rowe Price Target 2005 Fund—Advisor Class | PANRX | 5/31 |
T. Rowe Price Target 2005 Fund—I Class | TFRRX | 5/31 |
T. Rowe Price Target 2010 Fund | TRROX | 5/31 |
T. Rowe Price Target 2010 Fund—Advisor Class | PAERX | 5/31 |
T. Rowe Price Target 2010 Fund—I Class | TORFX | 5/31 |
T. Rowe Price Target 2015 Fund | TRRTX | 5/31 |
T. Rowe Price Target 2015 Fund—Advisor Class | PAHRX | 5/31 |
T. Rowe Price Target 2015 Fund—I Class | TTRTX | 5/31 |
T. Rowe Price Target 2020 Fund | TRRUX | 5/31 |
T. Rowe Price Target 2020 Fund—Advisor Class | PAIRX | 5/31 |
T. Rowe Price Target 2020 Fund—I Class | TTURX | 5/31 |
T. Rowe Price Target 2025 Fund | TRRVX | 5/31 |
T. Rowe Price Target 2025 Fund—Advisor Class | PAJRX | 5/31 |
T. Rowe Price Target 2025 Fund—I Class | TRVVX | 5/31 |
T. Rowe Price Target 2030 Fund | TRRWX | 5/31 |
T. Rowe Price Target 2030 Fund—Advisor Class | PAKRX | 5/31 |
T. Rowe Price Target 2030 Fund—I Class | TWRRX | 5/31 |
T. Rowe Price Target 2035 Fund | RPGRX | 5/31 |
T. Rowe Price Target 2035 Fund—Advisor Class | PATVX | 5/31 |
T. Rowe Price Target 2035 Fund—I Class | TPGPX | 5/31 |
T. Rowe Price Target 2040 Fund | TRHRX | 5/31 |
T. Rowe Price Target 2040 Fund—Advisor Class | PAHHX | 5/31 |
T. Rowe Price Target 2040 Fund—I Class | TRXRX | 5/31 |
T. Rowe Price Target 2045 Fund | RPTFX | 5/31 |
T. Rowe Price Target 2045 Fund—Advisor Class | PAFFX | 5/31 |
T. Rowe Price Target 2045 Fund—I Class | TRFWX | 5/31 |
T. Rowe Price Target 2050 Fund | TRFOX | 5/31 |
T. Rowe Price Target 2050 Fund—Advisor Class | PAOFX | 5/31 |
T. Rowe Price Target 2050 Fund—I Class | TOORX | 5/31 |
T. Rowe Price Target 2055 Fund | TRFFX | 5/31 |
T. Rowe Price Target 2055 Fund—Advisor Class | PAFTX | 5/31 |
T. Rowe Price Target 2055 Fund—I Class | TRPPX | 5/31 |
T. Rowe Price Target 2060 Fund | TRTFX | 5/31 |
T. Rowe Price Target 2060 Fund—Advisor Class | TRTGX | 5/31 |
T. Rowe Price Target 2060 Fund—I Class | TTOIX | 5/31 |
T. Rowe Price Target 2065 Fund | PRSLX | 5/31 |
T. Rowe Price Target 2065 Fund—Advisor Class | PAZLX | 5/31 |
T. Rowe Price Target 2065 Fund—I Class | RPFDX | 5/31 |
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Funds | Ticker | Fiscal |
T. ROWE PRICE SCIENCE & TECHNOLOGY FUND, INC. | ||
T. Rowe Price Science & Technology Fund | PRSCX | 12/31 |
T. Rowe Price Science & Technology Fund—Advisor Class | PASTX | 12/31 |
T. Rowe Price Science & Technology Fund—I Class | TSNIX | 12/31 |
T. ROWE PRICE SHORT-TERM BOND FUND, INC. | ||
T. Rowe Price Short-Term Bond Fund | PRWBX | 5/31 |
T. Rowe Price Short-Term Bond Fund—Advisor Class | PASHX | 5/31 |
T. Rowe Price Short-Term Bond Fund—I Class | TBSIX | 5/31 |
T. Rowe Price Short-Term Bond Fund—Z Class | TRZOX | 5/31 |
T. Rowe Price Short Duration Income Fund | TSDLX | 5/31 |
T. Rowe Price Short Duration Income Fund—I Class | TSIDX | 5/31 |
T. Rowe Price Ultra Short-Term Bond Fund | TRBUX | 5/31 |
T. Rowe Price Ultra Short-Term Bond Fund—I Class | TRSTX | 5/31 |
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T. ROWE PRICE SMALL-CAP STOCK FUND, INC. | ||
T. Rowe Price Small-Cap Stock Fund | OTCFX | 12/31 |
T. Rowe Price Small-Cap Stock Fund—Advisor Class | PASSX | 12/31 |
T. Rowe Price Small-Cap Stock Fund—I Class | OTIIX | 12/31 |
T. Rowe Price Small-Cap Stock Fund—Z Class | TRZZX | 12/31 |
T. ROWE PRICE SMALL-CAP VALUE FUND, INC. | ||
T. Rowe Price Small-Cap Value Fund | PRSVX | 12/31 |
T. Rowe Price Small-Cap Value Fund—Advisor Class | PASVX | 12/31 |
T. Rowe Price Small-Cap Value Fund—I Class | PRVIX | 12/31 |
T. Rowe Price Small-Cap Value Fund—Z Class | TRZVX | 12/31 |
T. ROWE PRICE SPECTRUM FUND, INC. |
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T. Rowe Price Spectrum | PRSGX | 12/31 |
T. Rowe Price Spectrum Diversified Equity Fund—I Class | TSVPX | 12/31 |
T. Rowe Price Spectrum Income Fund | RPSIX | 12/31 |
T. Rowe Price Spectrum Income Fund—I Class | TSPNX | 12/31 |
T. Rowe Price Spectrum International Equity Fund | PSILX | 12/31 |
T. Rowe Price Spectrum International Equity Fund—I Class | TSINX | 12/31 |
T. ROWE PRICE SPECTRUM FUNDS II, INC. | ||
T. Rowe Price Spectrum Conservative Allocation Fund | PRSIX | 5/31 |
T. Rowe Price Spectrum Conservative Allocation Fund—I Class | PPIPX | 5/31 |
T. Rowe Price Spectrum Moderate Allocation Fund | TRPBX | 5/31 |
T. Rowe Price Spectrum Moderate Allocation Fund—I Class | TPPAX | 5/31 |
T. Rowe Price Spectrum Moderate Growth Allocation Fund | TRSGX | 5/31 |
T. Rowe Price Spectrum Moderate Growth Allocation Fund—I Class | TGIPX | 5/31 |
T. ROWE PRICE STATE TAX-FREE FUNDS, INC. |
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T. Rowe Price California Tax-Free Bond Fund | PRXCX | 2/28 |
T. Rowe Price California Tax-Free Bond Fund—I Class | TCFEX |
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T. Rowe Price Georgia Tax-Free Bond Fund | GTFBX | 2/28 |
T. Rowe Price Georgia Tax-Free Bond Fund—I Class | TBGAX | 2/28 |
T. Rowe Price Maryland Short-Term Tax-Free Bond Fund | PRMDX | 2/28 |
T. Rowe Price Maryland Short-Term Tax-Free Bond Fund—I Class | TRMUX | 2/28 |
T. Rowe Price Maryland Tax-Free Bond Fund | MDXBX | 2/28 |
T. Rowe Price Maryland Tax-Free Bond Fund—I Class | TFBIX | 2/28 |
T. Rowe Price Maryland Tax-Free Money Fund | TMDXX | 2/28 |
T. Rowe Price Maryland Tax-Free Money Fund—I Class | TWNXX | 2/28 |
T. Rowe Price New Jersey Tax-Free Bond Fund | NJTFX | 2/28 |
T. Rowe Price New Jersey Tax-Free Bond Fund—I Class | TRJIX | 2/28 |
T. Rowe Price New York Tax-Free Bond Fund | PRNYX | 2/28 |
T. Rowe Price New York Tax-Free Bond Fund—I Class | TRYIX | 2/28 |
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T. Rowe Price Virginia Tax-Free Bond Fund | PRVAX | 2/28 |
T. Rowe Price Virginia Tax-Free Bond Fund—I Class | TFBVX | 2/28 |
T. ROWE PRICE SUMMIT FUNDS, INC. |
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T. Rowe Price Cash Reserves Fund | TSCXX | 10/31 |
T. ROWE PRICE SUMMIT MUNICIPAL FUNDS, INC. |
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T. Rowe Price Summit Municipal Income Fund | PRINX | 10/31 |
T. Rowe Price Summit Municipal Income Fund—Advisor Class | PAIMX | 10/31 |
T. Rowe Price Summit Municipal Income Fund—I Class | PRIMX | 10/31 |
T. Rowe Price Summit Municipal Intermediate Fund | PRSMX | 10/31 |
T. Rowe Price Summit Municipal Intermediate Fund—Advisor Class | PAIFX | 10/31 |
T. Rowe Price Summit Municipal |
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T. ROWE PRICE TAX-EFFICIENT FUNDS, INC. |
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T. Rowe Price Tax-Efficient Equity Fund | PREFX | 2/28 |
T. Rowe Price Tax-Efficient Equity Fund—I Class | TEEFX | 2/28 |
T. ROWE PRICE TAX-EXEMPT MONEY FUND, INC. | ||
T. Rowe Price Tax-Exempt Money Fund | PTEXX | 2/28 |
T. Rowe Price Tax-Exempt Money Fund—I Class | TERXX | 2/28 |
T. ROWE PRICE TAX-FREE HIGH YIELD FUND, INC. | ||
T. Rowe Price Tax-Free High Yield Fund | PRFHX | 2/28 |
T. Rowe Price Tax-Free High Yield Fund—Advisor Class | PATFX | 2/28 |
T. Rowe Price Tax-Free High Yield Fund—I Class | PTYIX | 2/28 |
T. ROWE PRICE TAX-FREE INCOME FUND, INC. | ||
T. Rowe Price Tax-Free Income Fund | PRTAX | 2/28 |
T. Rowe Price Tax-Free Income Fund—Advisor Class | PATAX | 2/28 |
T. Rowe Price Tax-Free Income Fund—I Class | TFILX | 2/28 |
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T. ROWE PRICE TAX-FREE SHORT-INTERMEDIATE FUND, INC. | ||
T. Rowe Price Tax-Free Short-Intermediate Fund | PRFSX | 2/28 |
T. Rowe Price Tax-Free Short-Intermediate Fund—Advisor Class | PATIX | 2/28 |
T. Rowe Price Tax-Free Short-Intermediate Fund—I Class | TTSIX | 2/28 |
T. ROWE PRICE TOTAL RETURN FUND, INC. | ||
T. Rowe Price Total Return Fund | PTTFX | 5/31 |
T. Rowe Price Total Return Fund—Advisor Class | PTATX | 5/31 |
T. Rowe Price Total Return Fund—I Class | PTKIX | 5/31 |
T. ROWE PRICE U.S. | ||
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T. Rowe Price U.S Equity Research Fund—Advisor Class | PACOX | 12/31 |
T. Rowe Price U.S Equity Research Fund—I Class | PCCOX | 12/31 |
T. Rowe Price U.S Equity Research Fund—R Class | RRCOX | 12/31 |
T. Rowe Price U.S Equity Research Fund—Z Class | PCUZX | 12/31 |
T. ROWE PRICE U.S. LARGE-CAP CORE FUND, INC. | ||
T. Rowe Price U.S. Large-Cap Core Fund | TRULX | 12/31 |
T. Rowe Price U.S. Large-Cap Core Fund—Advisor Class | PAULX | 12/31 |
T. Rowe Price U.S. Large-Cap Core Fund—I Class | RCLIX | 12/31 |
T. Rowe Price U.S. Large-Cap Core Fund—Z Class | TRZLX | 12/31 |
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Funds | Ticker | Fiscal |
T. ROWE PRICE U.S. TREASURY FUNDS, INC. |
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T. Rowe Price U.S. Treasury Intermediate Index Fund | PRTIX | 5/31 |
T. Rowe Price U.S. Treasury Intermediate Index Fund—I Class | PRKIK | 5/31 |
T. Rowe Price U.S. Treasury Intermediate Index Fund—Z Class | TRZTX | 5/31 |
T. Rowe Price U.S. Treasury Long-Term Index Fund | PRULX | 5/31 |
T. Rowe Price U.S. Treasury Long-Term Index Fund—I Class | PRUUX | 5/31 |
T. Rowe Price U.S. Treasury Long-Term Index Fund—Z Class | TRZUX | 5/31 |
T. Rowe Price U.S. Treasury Money Fund | PRTXX | 5/31 |
T. Rowe Price U.S. Treasury Money Fund—I Class | TRGXX | 5/31 |
T. Rowe Price U.S. Treasury Money Fund—Z Class | TRZXX | 5/31 |
T. ROWE PRICE VALUE FUND, INC. | ||
T. Rowe Price Value Fund | TRVLX | 12/31 |
T. Rowe Price Value Fund—Advisor Class | PAVLX | 12/31 |
T. Rowe Price Value Fund—I Class | TRPIX | 12/31 |
T. Rowe Price Value Fund—Z Class | TRZAX | 12/31 |
PAGE 121140
Appendix
T. ROWE PRICE FUNDS CHARTER OF
JOINT NOMINATING AND GOVERNANCE COMMITTEE
The Joint Nominating and Governance Committee (the “Committee”) of the Boards of Directors (the “Board” or “Directors”) of the T. Rowe Price registered funds (the “Price Funds” or the “Funds”) has the oversight responsibility, authority and duties described in this Charter (the “Charter”). “Independent Directors” means those Directors of the Price Funds who are not “interested persons” of the Price Funds (“Independent Directors”), as that term is defined in Section 2(a)(19) of the Investment Company Act of 1940, as amended (the “1940 Act”).
Purpose
The primary purpose of the Committee is to seek, review, and select candidates to fill Independent Director vacancies on each Price Fund’s Board, periodically evaluate the compensation payable to the Independent Directors, and perform certain functions with respect to the governance of the Price Funds.
Composition
The membership of the Committee shall be composed of all of the Independent Directors of the Price Funds.
If the Chairman of the Board is an Independent Director, he or she will serve as Chair of the Committee. If the Chairman of the Board is not an Independent Director, then the Independent Director who has been appointed as the Lead Independent Director will serve as Chair of the Committee. The Chair shall preside at all Committee meetings at which he or she is present and shall have such other duties and powers as may be determined by the Committee members. The Chair shall serve until his or her successor is duly appointed.
Meetings
The Committee shall hold meetings at least annually. The Committee shall hold such additional meetings as deemed necessary or desirable by the Committee.
Duties and Powers
The following shall be the principal recurring functions of the Committee in carrying out its responsibilities. The functions are set forth as a guide with the understanding that the Committee may modify or supplement them as appropriate.
Selection and Nomination of Independent Directors
·The Committee shall have the responsibility to select and nominate persons to serve as Independent Directors of the Price Funds.
·In furtherance of the advisory responsibility vested in it, the Committee is authorized, in the name and on behalf of the Price Funds, to:
i.Seek out appropriate, qualified candidates to serve as Independent Directors of the Price Funds;
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ii.Seek to ensure that the Independent Directors possess, in the aggregate, the strategic, managerial, and financial skills and experience necessary to fulfill the Board’s duties and, in recognizing diversity as a strategic enabler to long-term success, seek to ensure that the Board is comprised of Independent Directors who bring diverse perspectives to the Board, including diverse experiences, backgrounds, race, ethnicity, gender, qualifications, skills, thoughts, viewpoints, and other qualities;
iii.Recommend to the Board the appropriate skills and characteristics required of Independent Directors, as well as any additional qualifications appropriate for any one or more Independent Directors, based on the needs of the Price Funds from time to time;
iv.Encourage recommendations for Independent Director candidates;
v.Receive recommendations for Independent Director candidates;
vi.Interview and otherwise examine Independent Director candidates and their credentials, including considering the independence of such candidates from the Price Funds’ investment adviser and other principal service providers. The Committee shall also consider the effect of any relationships beyond those delineated in the 1940 Act that might impair independence, e.g., business, financial, or family relationships with the investment adviser or service providers; and
vii.Nominate candidates to the Board for Independent Directors of the Price Funds.
Nomination of any persons to serve on the Board other than as an Independent Director shall be made by the Board.
Governance
·With regard to fund governance, the Committee is authorized, in the name and on behalf of the Price Funds, to:
i.Periodically evaluate the compensation payable to the Independent Directors, including for service on any committee (or for serving as Chair of the Board or a committee), and recommend adjustments as and when appropriate;
ii.At least annually, perform a self-assessment of the effectiveness of the Independent Directors in their role as Independent Directors of the Price Funds and participate in a self-assessment of the effectiveness of the Board as a whole and its Committees;
iii.Periodically review the retirement policy for Independent Directors and make any recommendations to the Board with respect thereto;
iv.At least once annually, evaluate the independence (pursuant to Rule 0-1 under the1940 Act) and overall performance of independent counsel to the Price Funds and Independent Directors; and
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v.Perform such other functions with respect to the governance of the Price Funds not inconsistent with the foregoing as the members of the Committee shall determine to be necessary, appropriate, or desirable.
Other Responsibilities
·An Independent Director seeking a relationship with a profitmaking enterprise outside of the Price Funds shall receive approval from the Committee prior to accepting any such position or directorship to avoid any potential conflict of interest, and an Independent Director may not accept such a position or directorship if the Committee determines that to do so would be inappropriate given legal or other conflict issues.
·The Committee is authorized and directed to meet at least once annually and at such other times and places, to formulate such guidelines, policies, and procedures, and to make such reports and recommendations, as the Committee shall from time to time determine to be necessary, appropriate or desirable to carry out the responsibilities set forth in this Charter.
·The Committee is authorized, in the Price Funds’ names and on their behalf, to seek such assistance, staff or facilities from the investment adviser(s) of the Price Funds, the independent auditors and legal counsel to the Price Funds, and to engage such persons, or other experts or consultants, at the expense of the Price Funds, as the Committee shall deem appropriate, necessary or desirable in order to carry out its responsibilities under this Charter.
·Nothing in this Charter shall be deemed to confer on the Committee, and the Committee shall not have, authority to bind the Price Funds or otherwise deprive the Board or shareholders of the Price Funds of any authority vested in it or them with respect to the nomination, election, or removal of Directors or any other matter within the scope of the authority and responsibility of Directors and shareholders under applicable law.
Resources and Authority
The Committee shall have the resources and authority appropriate to discharge its responsibilities and to retain and determine the necessary funding for a special counsel, a search firm, and other experts or consultants, which shall be paid by the Price Funds.
Annual Review
The Committee shall review, on at least an annual basis, this Charter and the scope of the responsibilities of this Committee. Any proposed changes, where indicated, shall be referred to the Board for appropriate action.
Operating Procedures
Formal actions to be taken by the Committee shall be at a meeting at which a quorum is present. A quorum shall consist of a majority of the members of the Committee. Except as otherwise required by applicable law, members may participate in a meeting of the Committee by means of conference call or similar communications equipment by means of which all persons participating in the meeting can hear each other, and
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may also act by unanimous written consent in lieu of a meeting. The Committee shall cause to be kept such minutes of its meetings as it shall deem appropriate.
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C00-060 5/10/23 |
IMPORTANT NOTICE REGARDING THE AVAILABILITY OF PROXY MATERIALS
FOR A JOINT SPECIAL MEETING OF SHAREHOLDERS OF ALL T. ROWE PRICE FUNDS ON JULY 24, 2023
MAY 2023
As a shareholder of a T. Rowe Price Fund(s):
You are receiving this notice regarding the Internet availability of proxy materials related to a joint special meeting of shareholders (the “Meeting”) of all mutual funds and exchange-traded funds sponsored and managed by T. Rowe Price Associates, Inc. (the “Funds”). The Meeting will be held via live webcast by accessing the portable document format (“PDF”) document available at the following url: vote.proxyonline.com/trowe/docs/2023virtualmeetinginformation.pdf. The PDF will provide instructions on how to register to attend the Shareholder Meeting and vote your shares. You must have PDF viewing software, such as Adobe Reader, installed on your computer to view the document and attend the Shareholder Meeting at 12:15 p.m., Eastern time, on July 24, 2023. Shareholders of the Funds will be asked to vote to elect four (4) director-nominees, and any other business that may come before the Meeting. The Boards of Directors of the Funds have unanimously recommended that you elect each director-nominee.
This Notice presents only an overview of the proxy materials. To review the proxy materials (including the proxy statement and notice of shareholder meeting) and vote your shares, go to vote.proxyonline.com/trowe/18900 and enter your voter control number found above. For details about the Meeting, or about how to cast your proxy vote at the Meeting, please see the enclosed proxy statement (also available at the URL below).
The proxy materials are also publicly available at: vote.proxyonline.com/trowe/docs/2023jointspecialmeeting.pdf
Please review the proxy materials and vote your shares. Thank you in advance for your participation and for your investment.
QUESTIONS? Please read the proxy materials carefully and vote your shares. If you have any questions about this notice, the proxy materials, or how to attend the virtual Meeting, please call (800) 434-3719 Monday through Friday between the hours of 9:00 a.m. and 10:00 p.m. Eastern Time.
REQUEST FOR PROXY MATERIALS AND OTHER DOCUMENTS
If you would like to receive a paper or e-mail copy of the proxy statement, each fund’s most recent annual report, and the proxy card, you must request one. There is no charge to you for requesting a copy. Please make your request for a copy using any of the options below. Please be sure to request your copy on or before July 17, 2023, to allow for timely delivery. If you do not request a paper or e-mail copy of these documents, you will not otherwise receive one.
You may also elect to receive all future proxy materials from the T. Rowe Price Funds via the U.S. Postal Service or e-mail.
Request By Internet
Go to vote.proxyonline.com/trowe/18900 and enter the voter control number found on the upper right of the reverse side of this notice or use the QR code on the reverse side to be automatically logged in on a smart phone. Once you have logged in, you may request a copy of the proxy materials to be sent to your e-mail address or to your physical address associated with your account.
Each fund’s most recent annual report is available at troweprice.com/prospectus
Request By Phone
You can request either an electronic copy or hardcopy of the proxy materials by calling (800) 434-3719 Monday through Friday between the hours of 9:00 a.m. and 10:00 p.m. Eastern Time and referencing the voter control number found in the box on the upper right of the reverse side of this notice.
Request by Email
To request a copy of the proxy materials, please send an e-mail with your voter control number in the subject line to one of the addresses noted below:
To receive a physical copy by mail: trppaperproxy@equiniti.com
For an electronic copy: trpemailproxy@equiniti.com
(“equiniti” is a proxy services provider to the Funds)
To elect to receive all future proxy materials from the Funds via the referenced delivery method, please type “Permanent Request” in the body of the e-mail.
Dear Shareholder,
We have scheduled a Joint Special Meeting for Shareholders of all mutual funds and exchange-traded funds sponsored and managed by T. Rowe Price Associates, Inc. to be held at 12:15 p.m., Eastern time, on July 24, 2023 by means of a live webcast. The Funds’ Boards of Directors has sent you this notice to ask for your vote on the proposal to elect four (4) directors-nominees for each Fund who have not been previously elected by shareholders.
Your vote is important no matter how many shares you own. Please take the time to read the proxy statement and cast your proxy vote today!
HOW TO VOTE:
To be automatically logged in to vote online, please click on the link below and follow the on-screen instructions.
TO VIEW THE PROXY STATEMENT AND VOTE YOUR SHARES CLICK HERE
For Reference:
·To vote with a live agent or for questions, call (800) 434-3719 Monday through Friday between the hours of 9:00 a.m. and 10:00 p.m. Eastern Time.
·To vote through the Internet, enter your Control Number at https://vote.proxyonline.com/TRowe/18900 and follow the on-screen instructions.
·To vote by touchtone telephone, call 888-227-9349, and follow the recorded instructions.
YOUR CONTROL NUMBER IS:
(Control Number Here)
ADDITIONAL INFORMATION:
To access the electronic Proxy Materials, you may need Adobe Acrobat Reader software. This software is available for download at no cost at https://get.adobe.com/reader/ Downloading time may vary. To request a paper copy of Proxy Materials relating to this proxy, please call (800) 434-3719. There is no charge to you for requesting a paper copy. Please make your request for a copy on or before July 10, 2023 to facilitate timely delivery of the materials.
Thank you for choosing eDelivery. We look forward to serving your investment needs in years to come.
Best regards,
T. Rowe Price Associates, Inc.
Sincerely,
Visit troweprice.comto get more information about T. Rowe Price funds. |
Robert W. Sharps
Chief Executive Officer, T. Rowe Price Group, Inc.
PROXY FOR A JOINT SPECIAL MEETING OF SHAREHOLDERS TO BE HELD ON JULY 25, 201824, 2023
All mutual funds and exchange-traded funds sponsored and managed by T. Rowe Price Associates, Inc.
[FUND NAME PRINTED HERE]
The undersigned, revoking all Proxies heretofore given, hereby appoints Fran Pollack-Matz and David Oestreicher as Proxies of the undersigned, with full power of substitution to each, to vote on behalf of the undersigned all shares of the above listed Fund(s) that the undersigned is entitled to vote at the joint special meeting of shareholders, and at any adjournment(s) thereof, to be held at 12:15 p.m., Eastern time, on July 24, 2023 by means of a live webcast, as fully as the undersigned would be entitled to vote if personally present. The undersigned hereby acknowledges receipt of the Notice of Joint Special Meeting of Shareholders and the Joint Proxy Statement.
To attend the live webcast of the Joint Special Meeting on July 24, 2023 at 12:15 pm E.T please follow the URL: vote.proxyonline.com/trowe/docs/2023virtualmeetinginformation.pdf You will be asked to enter your name and your email address. For details about the Meeting, or about how to cast your proxy vote at the Meeting, please see the enclosed proxy statement (also available at the URL below).
Important Notice Regarding the Availability of Proxy Materials for this Joint Special Meeting of Shareholders to Be Held on July 24, 2023. The proxy statement and the accompanying notice of joint special meeting of shareholders for this meeting are available at: https://vote.proxyonline.com/trowe/docs/2023jointspecialmeeting.pdf
The votes entitled to be cast by the undersigned will be cast according to instructions given below with respect to the Proposal. If this Proxy Ballot is executed but no instructions are given, the undersigned acknowledges that the votes entitled to be cast by the undersigned will be cast by the proxies, or any of them, “FOR” the proposals. Additionally, the votes entitled to be cast by the undersigned will be cast at the discretion of the proxy holder on any other matter that may properly come before the joint special meeting.
THIS PROXY IS SOLICITED ON BEHALF OF THE T. ROWE PRICE FUNDS’ BOARDS OF DIRECTORS
By my signature below, I appoint Edward C. Bernard and David Oestreicher as proxies to vote all the shares of the Fund or Funds named below that I am entitled to vote at the Joint Special Meeting of Shareholders to be held on July 25, 2018 at 8:00 a.m., ET at the headquarters of T. Rowe Price, 100 East Pratt Street, Baltimore, MD 21202, and at any adjournments of the meeting. Messrs. Bernard and Oestreicher may vote my shares, and they may appoint substitutes to vote my shares on their behalf. I instruct Messrs. Bernard and Oestreicher to vote this proxy as specified on the reverse side, and I revoke any previous proxies that I have executed. The proxies will vote any other matters that arise at the meeting in accordance with their best judgment. I acknowledge receipt of the Fund’s or Funds’ Notice of Joint Special Meeting of Shareholders and proxy statement.
IMPORTANT NOTICE
REGARDING WHICH UNANIMOUSLY RECOMMENDS THAT YOU VOTE FOR THE AVAILABILITY OF PROXY MATERIALSPROPOSAL.
for the Joint Special Meeting of Shareholders on July 25, 2018.
The Proxy Statement for this meeting is available at:
https://www.proxy-direct.com/trp-29734
VOTE ON THE INTERNET
Log on to:
or scan the QR code
Follow the on-screen instructions
available 24 hours
VOTE VIA THE TELEPHONE: 1-800-337-3503
TRP_29734_040418
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TO VOTE YOUR SHARES FOR ALL T. ROWE PRICE FUNDS INDICATED ABOVE, MARK BLOCKS BELOWCIRCLE IN BLUE OR BLACK INK AS SHOWN IN THIS EXAMPLE: X
A
A. Proposals
1a. Election of four (4) Directors:
To withhold authority to vote for any individual nominee(s) mark the box “FOR ALL EXCEPT” and write the nominee number(s) on the line provided.
01. Teresa Bryce Bazemore 02. Ronald J. Daniels 03. David Oestreicher 04. Robert W. SharpsINK. Example: ●
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1b. Election of (4) Directors:
To withhold authority to vote for any individual nominee(s) mark the box “FOR ALL EXCEPT” and write the nominee number(s) on the line provided.
01. Teresa Bryce Bazemore 02. Ronald J. Daniels 03. David Oestreicher 04. Edward A. Wiese
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2.Amend the Fund’s investment objective.
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3.Amend the Fund’s fundamental policy on commodities.
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4. Amend the Fund’s industry concentration policy.
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5. Reclassify the Fund’s diversification status from diversified to nondiversified.
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6. To transact such other business as may properly come before the Shareholder Meeting and any adjournments or postponements thereof.
IF YOU VOTE ON THE INTERNET OR BY TELEPHONE, YOU NEED NOT RETURN THIS PROXY CARD
B. Authorized Signatures — This section must be completed for your vote to be counted.— Sign and Date Below
Note: Please sign exactly as your name(s) appear(s) on this proxy card, and date it. When shares are held jointly, each holder should sign. When signing as attorney, executor, administrator, trustee, officer of corporation or other entity or in another representative capacity, please give the full title under the signature.
Date (mm/dd/yyyy) — Please print date below Signature 1 — Please keep signature within the box Signature 2 — Please keep signature within thebox
608999900109999999999
T. ROWE PRICE FUNDS
JOINT SPECIAL MEETING OF SHAREHOLDERS TO BE HELD ON JULY 25, 2018
THIS PROXY IS SOLICITED ON BEHALF OF THE BOARDS OF DIRECTORS
INSURANCE COMPANY DROP-IN
The above-referenced insurance company (the “Company”) is using this Voting Instruction Card to solicit voting instructions from its contract owners who hold unit values in a separate account of the Company that invests in the below-named fund(s) (the “Fund”).
The undersigned contract owner instructs the Company to vote, at the Joint Special Meeting of Shareholders and at any adjournments or postponements thereof (the “Meeting”), all shares of the Fund(s) attributable to his or her contract or interest in the relevant separate account as directed below. The undersigned acknowledges receipt of the Fund’s Notice of Joint Special Meeting of Shareholders and Proxy Statement.
IMPORTANT NOTICE
REGARDING THE AVAILABILITY OF PROXY MATERIALS
for the Joint Special Meeting of Shareholders on July 25, 2018.
The Proxy Statement for this meeting is available at:
https://www.proxy-direct.com/trp-29734
VOTE ON THE INTERNET
Log on to:
or scan the QR code
Follow the on-screen instructions
available 24 hours
VOTE VIA THE TELEPHONE: 1-800-298-8476
TRP_29734_040418_VI
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TO VOTE MARK BLOCKS BELOW IN BLUE OR BLACK INK AS SHOWN IN THIS EXAMPLE: X
A
A. Proposals
1a. Election of four (4) Directors:
To withhold authority to vote for any individual nominee(s) mark the box “FOR ALL EXCEPT” and write the nominee number(s) on the line provided.
01. Teresa Bryce Bazemore 02. Ronald J. Daniels 03. David Oestreicher 04. Robert W. Sharps
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1b. Election of (4) Directors:
To withhold authority to vote for any individual nominee(s) mark the box “FOR ALL EXCEPT” and write the nominee number(s) on the line provided.
01. Teresa Bryce Bazemore 02. Ronald J. Daniels 03. David Oestreicher 04. Edward A. Wiese
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2.Amend the Fund’s investment objective.
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3.Amend the Fund’s fundamental policy on commodities.
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1. |
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| Melody Bianchetto |
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| Mark J. Parrell |
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4. Amend the Fund’s industry concentration policy.
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| Kellye L. Walker | ○ | ○ | ||||||||||||||
5. Reclassify the Fund’s diversification status from diversified to nondiversified.
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6. To transact such other business as may properly come before the Shareholder Meeting and any adjournments or postponements thereof.
IFTHANK YOU VOTE ON THE INTERNET OR BY TELEPHONE, YOU NEED NOT RETURN THISFOR VOTING INSTRUCTION CARD
B. Authorized Signatures — This section must be completed for your vote to be counted. — Sign and Date Below
Note: Please sign exactly as your name(s) appear(s) on this voting instruction card, and date it. When shares are held jointly, each holder should sign. When signing as attorney, executor, administrator, trustee, officer of corporation or other entity or in another representative capacity, please give the full title under the signature.
Date (mm/dd/yyyy) — Please print date below Signature 1 — Please keep signature within the box Signature 2 — Please keep signature within thebox
608999900109999999999
IMPORTANT PROXY INFORMATIONFOR A JOINT SPECIAL MEETING OF SHAREHOLDERS TO BE HELD ON JULY 24, 2023
Your Vote Counts
PLEASE USE THE 14-DIGIT CONTROL NUMBER &8-DIGIT SECURITY CODE LISTED IN THE BOXESBELOW WHEN REQUESTING MATERIAL VIA THE TELEPHONE & INTERNET. When you are ready to vote, you can use the same Control Number & Security Code to record your vote.
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As a shareholder, it is important for you to vote!
On the back of this Notice, you will find a summary of the proposals that require a shareholder vote at the Shareholder Meeting.
This communication presents only an overview of the more complete proxy materials that are available to you on the Internet or by mail and is NOT a form for voting. We encourage you to access and review all of the important information contained in the proxy materials before voting.
The Joint Proxy Statement for this Shareholder Meeting and Form of Proxy Card are available at:
https://www.proxy-direct.com/trp-29734
If you want to receive a paper copy of the proxy materials or an email with a link to the proxy materials, you must request them. There is no charge to you for requesting a copy. Paper materials will be mailed to the address on file within three business days of receipt of the request. Please make your request as soon as possible, but no later than July 16, 2018, to facilitate timely delivery. The Joint Special Meeting of Shareholders of T. Rowe Price Funds will be held on July 25, 2018, at 8:00 a.m., ET, at the headquarters of T. Rowe Price, 100 East Pratt Street, Baltimore, MD 21202. To obtain directions to be able to attend the Shareholder Meeting and vote in person, call 1-866-392-1489.
ONLINE MATERIAL ACCESS AND PAPER COPY REQUESTS CAN BE MADE UTILIZING ONE OF THE THREE METHODS BELOW.
YOU ALSO CAN ELECT A PERMANENT DELIVERY PREFERENCE FOR FUTURE SHAREHOLDER MEETINGS USING THE ONLINE ACCESS INSTRUCTIONS BELOW.
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Your Fund Holdings:
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The following matters will be considered at the Shareholder Meeting:
1a. Election of four (4) directors.
1b. Election of four (4) directors.
2. Amend the Fund’s investment objective.
3. Amend the Fund’s fundamental policy on commodities.
4. Amend the Fund’s industry concentration policy.
5. Reclassify the Fund’s diversification status from diversified to nondiversified.
6. To transact such other business as may properly come before the Shareholder Meeting and any adjournments or postponements thereof.
If you wish to attend and vote at the Shareholder Meeting, please bring this Notice and proper photo identification with you to the Meeting.
Please refer to the Proxy Materials for further details on the proposals.
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PAPER COPY REQUESTS SHOULD BE MADE NO LATER THAN JULY 16, 2018, TO FACILITATE TIMELY DELIVERY.
Common Questions about Notice and Access
Why am I receiving a Notice of Internet Availability instead of a Proxy Card and Proxy Statement?
Your Fund(s) has elected to utilize a distribution model authorized by the Securities and Exchange Commission (“SEC”) in 2007. This model, known as Notice and Access, allowsAll mutual funds and public companies to send you a Notice instead of a full set of printed proxy materials. As a shareholder, you can select the means by which you access those proxy materials. You can view the materials online, or request a full set of printed materials for this Shareholder Meeting and all future shareholder meetings, or you can make that choice on a case-by-case basis.
How do I access the materials, set my preference for future shareholder meeting materials, and record my vote?
On the front side of this Notice are easy-to-follow instructions on how to access proxy materials electronically or request a full set of printed materials.
When you are ready to vote, electronic voting is available by Internet or Touch Tone Phone by using the Control Number and Security Code on the front of this Notice. The Touch Tone voting phone number is different from the ordering phone number and is displayed on the website. If you want to vote via U.S. Mail, you will need to request a paper copy of the materials to receive a Proxy Card and Return Envelope.
You can set your delivery preferences for future shareholder meetings by recording your vote electronically and following the instructions on the confirmation screen.
If I request printed proxy materials, how long will it take for me to receive them?
The SEC rule requires that the materials be sent via first class mail within three business days of receipt of your request.
TRP_29734_NA_040418
Shareholder Meeting and Proxy Vote
On July 25, 2018, all of the mutualexchange-traded funds sponsored and managed by T. Rowe Price Associates, Inc. (each, a “Fund”
The undersigned, revoking all Proxies heretofore given, hereby appoints Fran Pollack-Matz and collectively,David Oestreicher as Proxies of the “T. Rowe Price Funds” orundersigned, with full power of substitution to each, to vote on behalf of the “Funds”) will hold aundersigned all shares of the above listed Fund(s) that the undersigned is entitled to vote at the joint special shareholder meeting of shareholders, and at any adjournment(s) thereof, to consider and act upon proposals that impactbe held at 12:15 p.m., Eastern time, on July 24, 2023 by means of a live webcast, as fully as the T. Rowe Price Funds, including the election of new Fund directors and, for certain T. Rowe Price Funds, investment objective and/or policy changes.
In the enclosed proxy materials, you will find everything you needundersigned would be entitled to vote in this important campaign.
HOW TO VOTEif personally present. The undersigned hereby acknowledges receipt of the Notice of Joint Special Meeting of Shareholders and the Joint Proxy Statement.
Voting is easy! There are a numberTo attend the live webcast of ways you can vote:
§Online: Simply scan the QR code or logJoint Special Meeting on to the website listed on the proxy card andJuly 24, 2023 at 12:15 pm E.T please follow the instructions on the screen. If you received a proxy statement via email, click the link to vote supplied in the email.
URL: §vote.proxyonline.com/trowe/docs/2023virtualmeetinginformation.pdf By phone: Call the number listed on the proxy card and follow the recorded instructions. Voting is available 24 hours a day.
§By Mail: Vote, sign, and date the enclosed proxy card and return it in the postage paid envelope provided as soon as possible.
§In person: Attend the shareholder meeting in Baltimore, Maryland, on July 25, 2018.
IMPORTANT: As soon as your vote is registered, all calls and solicitations of your vote will cease.By voting promptly, you will save the Funds from having to do additional solicitations, which can be costly.
THE PROPOSALS
1. Elect four directors for every T. Rowe Price Fund who have not previously been elected by shareholders
Since the T. Rowe Price Funds’ last joint shareholder meeting in 2013, several directors have retired, one director recently passed away, and new directors have been added to replace those who have retired. In conjunction with these changes and more long-term succession planning, it has become necessary to seek shareholder approval to elect four directors, three of whom already serve on the boards of the T. Rowe Price Funds.
2. Amend the investment objective of three Funds
The proposed amendments seek to modernize and simplify the investment objective of each Fund to provide it with greater long-term flexibility. There will be no material changes to the Fund’s current investment program, or overall risk profile, as a result of these changes.
3. Amend the fundamental policy on commodities of nine Funds
The proposed, modernized policy is intended to clarify the Funds’ authority to enter into a variety of derivative transactions relating to commodities. This change would align the Funds’ policy on commodities with other T. Rowe Price Funds.
201804-460670
4. Amend the industry concentration policy of the Emerging Europe Fund
The emerging Europe investable universe can have significant concentration in a single industry, given its limited geographic scope and underdeveloped nature. By adjusting the industry concentration policy to allow the Fund to concentrate in any industry that the emerging Europe investible universe concentrates, T. Rowe Price believes that the Fund can better capitalize on investment opportunities.
5. Reclassify the diversification status of ten sector Funds from diversified to nondiversified
Sector Funds tend to have more concentrated benchmarks with limited investable opportunity sets. The proposed change to each Fund’s diversification policy will provide each sector Fund with greater flexibility, but will not substantially affect the way each Fund is managed.
You can find more information on each of these proposals in the enclosed proxy materials.
FREQUENTLY ASKED QUESTIONS
§ WHAT IS A PROXY VOTE?
Prior to any shareholder meeting, shareholders receive proxy materials, which notify them of an upcoming meeting, and provide detailed information on certain proposals on which they will be asked to enter your name and your email address. For details about the Meeting, or about how to cast your proxy vote at the upcoming meeting. Voting byMeeting, please see the enclosed proxy allows shareholdersstatement (also available at the URL below).
Important Notice Regarding the Availability of Proxy Materials for this Joint Special Meeting of Shareholders to exercise their right to vote without attendingBe Held on July 24, 2023. The proxy statement and the shareholderaccompanying notice of joint special meeting in person. You can vote easily by following the instructions included with your proxy materials and proxy card.
§ WHY DO MUTUAL FUNDS SEND PROXY MATERIALS AND ASK SHAREHOLDERS TO VOTE?
Under Securities and Exchange Commission (“SEC”) regulations, mutual funds are required to seek shareholder approval on certain fund changes, including, for example, the election of new directors or whether certain investment policies should be modified. The SEC requires mutual funds to send proxy materials whenever shareholders are asked to vote. These materials are enclosed, and they provide important details on the proposals and how you can vote.
§ WHY IS IT IMPORTANT?
Each T. Rowe Price Fund is owned by its shareholders, so your participation is important. SEC regulations require that a specific percentage of shareholders vote in order to approve or reject certain proposals, and each Fund’s governing documents require a certain number of shareholders be present at thefor this meeting in person or by proxy in order to reach a quorum for the transaction of business. If many shareholders choose not to vote by proxy, the Price Funds might not have a sufficient number of shareholders present at the meeting to reach a quorum and conduct the shareholder meeting in July. If that appears likely to happen, the T. Rowe Price Funds will have to send additional mailings to shareholders to try to get more votes—a process that would be very costly for the Funds and for you, as a shareholder. By voting early, you help limit the additional costs associated with soliciting your vote.
are available at: §vote.proxyonline.com/trowe/docs/2023jointspecialmeeting.pdf WHAT IS THE DEADLINE FOR SUBMITTING MY VOTE?
If you vote online or by telephone, your vote must be received no later than 7:59 a.m. on July 25, 2018. If you vote by mail, your vote must be received at the address referenced on the proxy card on or before July 24, 2018.
201804-460670
§MAIL ID: WHAT IS A PROXY SOLICITOR, AND WHAT IS ITS ROLE?BARCODECUSIP:
A proxy solicitor, also known as a proxy tabulator, is a company that works on behalf of a mutual fund firm to assist with the delivery of proxy materials, coordination of voting processes, the tabulation of votes to determine whether sufficient votes have been received for shareholder approval (or rejection), and, sometimes, solicitation of additional votes to ensure that a quorum is reached. The T. Rowe Price Funds have selected Computershare to perform this function on their behalf
§The votes entitled to be cast by the undersigned will be cast according to instructions given below with respect to the Proposal. WHAT HAPPENS IF I DO NOT VOTE?If this Proxy Ballot is executed but no instructions are given, the undersigned acknowledges that the votes entitled to be cast by the undersigned will be cast by the proxies, or any of them, “FOR” the proposals. Additionally, the votes entitled to be cast by the undersigned will be cast at the discretion of the proxy holder on any other matter that may properly come before the joint special meeting.
THIS PROXY IS SOLICITED ON BEHALF OF THE T. ROWE PRICE FUNDS’ BOARDS OF DIRECTORS WHICH UNANIMOUSLY RECOMMENDS THAT YOU VOTE FOR THE PROPOSAL.
TO VOTE YOUR SHARES FOR ALL T. ROWE PRICE FUNDS INDICATED ABOVE, MARK CIRCLE IN BLUE OR BLACK INK. Example: ●
PROPOSAL 1: Elect four (4) director-nominees for each Fund
THANK YOU FOR VOTING
§MAIL ID: Because regulations require that certain proposals receive a certain number of votes, Computershare, T. Rowe Price’s proxy solicitor, may reach out to you by phone or email if you do not vote promptly. Please be advised that they may call multiple times to solicit and record your vote.BARCODE These calls and emails will cease as soon as your vote is registered.
HOW DO I VOTE?
It’s easy!CUSIP: Follow the instructions on the enclosed proxy card to vote online (the fastest and easiest way to vote), send in your vote by U.S. Mail, provide your vote by telephone, or attend the shareholder meeting in person.
201804-460670