UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 14A
Proxy Statement Pursuant to Section 14(a)
of the Securities Exchange Act of 1934
(Amendment No.)
Filed by the Registrant [X]
Filed by a Party other than the Registrant [ ]
Check the appropriate box:
[ ] Preliminary Proxy Statement
[ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))
[X] ] Definitive Proxy Statement
[ ]X] Definitive Additional Materials
[ ] Soliciting Material under Rule14a-12
AMCAP Fund
American Balanced Fund
American Funds College Target Date Series
American Funds Corporate Bond Fund
American Funds Developing World Growth and Income Fund
American Funds Emerging Markets Bond Fund
American Funds Fundamental Investors
American Funds Global Balanced Fund
The American Funds Income Series
American Funds Inflation Linked Bond Fund
American Funds Mortgage Fund
American Funds Portfolio Series
American Funds Retirement Income Portfolio Series
American Funds Short-Term Tax-Exempt Bond Fund
American Funds Strategic Bond Fund
American Funds Target Date Retirement Series
American Funds Tax-Exempt Fund of New York
American Funds Tax-Exempt Series II
American Funds U.S. Government Money Market Fund
American High-Income Municipal Bond Fund
American High-Income Trust
American Mutual Fund
The Bond Fund of America
Capital Income Builder
Capital World Bond Fund
Capital World Growth and Income Fund
EuroPacific Growth Fund
The Growth Fund of America
The Income Fund of America
Intermediate Bond Fund of America
International Growth and Income Fund
The Investment Company of America
Limited Term Tax-Exempt Bond Fund of America
The New Economy Fund
New Perspective Fund
New World Fund, Inc.
Short-Term Bond Fund of America
SMALLCAP World Fund, Inc.
The Tax-Exempt Bond Fund of America
Washington Mutual Investors Fund
(Name of Registrant as Specified in Its Charter)
(Name of Person(s) Filing Proxy Statement, if other than the Registrant)
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Important news about American Funds®
shareholder meetings
Joint proxy statement
Important Proxy Material
PLEASE CAST YOUR VOTE NOW
American Funds
333 South Hope Street, 55th Floor
Los Angeles, California 90071
August 31, 2018
Dear Shareholder:
I am writing to let you know that special shareholder meetings for the American Funds will be held on November 28, 2018 at the office of Capital Group, 333 South Hope Street, Los Angeles, California 90071 at 9:00 a.m. Pacific Time. On the following page you will find a listing of the series and the funds that will be holding meetings (each a “Fund” and, collectively, the “Funds”).
At the meetings, shareholders of each Fund will be asked to vote to elect board members of the Fund. Detailed information about the proposal, including, in particular, a description of the proposed slate of board members for each Fund, is contained in the enclosed material and Joint Proxy Statement, which we invite you to review closely.
Importantly, the current board members of each Fund, most of whom are not affiliated with Capital Group, have considered the proposal and have determined that the proposal detailed in the Joint Proxy Statement is in the best interest of the applicable Fund and its shareholders, and unanimously recommend that you vote “FOR” each of the nominees.
Whether or not you plan to attend the meetings in person,we need your vote regardless of how many shares you own. We realize that you lead a busy life and may be tempted to put aside this proxy information for another time. By responding promptly, you will save your Fund(s) the expense of additionalfollow-up mailings and solicitations.Please vote today.
Voting is quick and easy. You may vote your shares by telephone, via the Internet or by simply completing and signing the enclosed proxy card (your ballot), and mailing it in the postage-paid envelope included in this package. If you have questions, please call us toll-free at(800) 421-4225. We will be glad to help you cast your vote quickly. Thank you for participating in this important initiative.
Sincerely,
[/s/ Timothy D. Armour ]
Timothy D. Armour
Chairman of the Board and Principal Executive Officer
Capital Research and Management Company,
Investment Adviser to American Funds
JOINT SPECIAL MEETINGS OF SHAREHOLDERS
OF AMERICAN FUNDS
The following series or funds (each a “Fund,” and, collectively, the “Funds”) will each hold special shareholder meetings on November 28, 2018, at the office of Capital Group, 333 South Hope Street, Los Angeles, California 90071 at 9:00 a.m. Pacific Time:
AMCAP Fund®
American Balanced Fund®
American Funds College Target Date Series®
American Funds Corporate Bond Fund®
American Funds Developing World Growth and Income FundSM
American Funds Emerging Markets Bond Fund®
American Funds Fundamental Investors®
American Funds Global Balanced FundSM
The American Funds Income Series® – U.S. Government Securities Fund®
American Funds Inflation Linked Bond Fund®
American Funds Mortgage Fund®
American Funds Portfolio SeriesSM
American Funds Retirement Income Portfolio SeriesSM
American Funds Short-TermTax-Exempt Bond Fund®
American Funds Strategic Bond FundSM
American Funds Target Date Retirement Series®
American FundsTax-Exempt Fund of New York®
American FundsTax-Exempt Series IISM – TheTax-Exempt Fund of California®
American Funds U.S. Government Money Market FundSM
American High-Income Municipal Bond Fund®
American High-Income Trust®
American Mutual Fund®
The Bond Fund of America®
Capital Income Builder®
Capital World Bond Fund®
Capital World Growth and Income Fund®
EuroPacific Growth Fund®
The Growth Fund of America®
The Income Fund of America®
Intermediate Bond Fund of America®
International Growth and Income FundSM
The Investment Company of America®
Limited TermTax-Exempt Bond Fund of America®
The New Economy Fund®
New Perspective Fund®
New World Fund®, Inc.
Short-Term Bond Fund of America®
SMALLCAP World Fund®, Inc.
TheTax-Exempt Bond Fund of America®
Washington Mutual Investors FundSM
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IMPORTANT INFORMATION
TO HELP YOU UNDERSTAND AND VOTE ON THE PROPOSAL
Please read the full text of the Joint Proxy Statement. Below is a brief overview of the proposal to be voted upon. Your vote is important.
Why am I being asked to vote?
You are, or were as of the record date (August 31, 2018), a shareholder of one or more of the Funds. The proposal with respect to each Fund requires the approval of shareholders of such Fund. The Board of Directors or Trustees (the “Board”) of each Fund has approved the proposal to elect Board members for the Fund, as further described below, and recommends that you vote “FOR” each of the nominees.
What am I being asked to vote on?
You are being asked to vote on a proposal (hereinafter, the “Proposal”) to elect Board members of each of the Fund(s) for which you are a shareholder. It has been a number of years since the Funds held special meetings of shareholders to elect Board members, and subsequent changes in the composition of each Fund’s Board now necessitate the election of the nominees. Under the Investment Company Act of 1940 (the “1940 Act”), the Board may fill vacancies by appointment so long as, after the Board fills the vacancy, at least two-thirds of the Board members were elected by shareholders. By electing Board members now, the Funds’ Boards will be able to add new members for a longer period without the expense of conducting additional shareholder meetings. The Joint Proxy Statement contains information relevant to the consideration of nominees for the Boards. Shareholders of each Fund will vote as a separate class to elect members of the Board of the respective Fund. Shareholders of each Fund that offers multiple series of shares with respect to distinct portfolio funds (i.e., American Funds College Target Date Series, American Funds Portfolio Series, American Funds Retirement Income Portfolio Series and American Funds Target Date Series) will vote together as a single class and not by individual portfolio fund.
Have the Funds’ Boards approved the Proposal?
The Board of each Fund has approved the Proposal and recommends that you vote “FOR” each of the nominees.
What are the reasons for and advantages of the Proposal?
The Proposal is intended to give the Funds flexibility to add Board members and to efficiently manage costs for the Funds over the long term.
What if the Proposal is not approved?
If there are not enough votes by shareholders of a Fund to approve the Proposal by the time of the Fund’s shareholder meeting, that Fund’s meeting may be adjourned to permit further solicitation of proxy votes. If a Fund’s shareholders do not ultimately approve the Proposal, its Board and Capital Research and Management Company (“CRMC”), the investment adviser to each Fund, will continue to operate the Fund as they currently do. Note, though, that approval of the Proposal for each Fund (other
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than EUPAC) requires the affirmative vote of a plurality of votes cast at the applicable Shareholder Meeting. Given the plurality voting standard and because each nominee is running unopposed, so long as a quorum is present at a Fund’s Shareholder Meeting, it is likely that each nominee will be elected. See the section of this Joint Proxy Statement captioned “Method of tabulation” for more information regarding the plurality voting standard.
Who is Computershare Fund Services?
Computershare Fund Services (“Computershare”) is not affiliated with the Funds or CRMC, and is a company that specializes in assisting financial firms with shareholder meetings. The Funds have hired Computershare to contact shareholders and record proxy votes. As the shareholder meetings approach, shareholders who have not yet voted their shares may receive a phone call from Computershare asking for shareholders’ votes so that the meetings will not need to be adjourned or postponed.
Who will pay the costs associated with obtaining shareholder approval of the Proposal?
The Board of each Fund has determined that the expenses associated with obtaining shareholder approval of the Proposal, including printing and mailing of this Joint Proxy Statement and solicitation of proxies, are appropriate expenses for the Fund to incur. Accordingly, the Funds will bear these costs. We estimate that these costs will average across all Funds less than $1.00 per shareholder account.
How many votes am I entitled to cast?
As a shareholder of a Fund, you are entitled to one vote per share and a proportionate fractional vote for each fractional share you own of the Fund on the record date (August 31, 2018) with respect to that Fund’s shareholder meeting.
How do I vote my shares?
You may vote your shares via the Internet or by telephone, by mail or by attending a shareholder meeting in person. To vote via the Internet (24 hours a day) or by telephone (24 hours a day), please visit the website or call the number on your proxy card(s) and follow the instructions. When voting via the Internet or by telephone you will be required to enter the identifying numbers that appear on your proxy card(s).
You can vote by mail by completing, signing and dating the enclosed proxy card (or cards) and mailing it (or them) in the enclosed postage-paid envelope. Proxy cards that are signed and dated but not completed will be voted “FOR” each of the nominees.
If you need assistance, or have any questions regarding the Proposal or how to vote your shares, please call American Funds at (800)421-4225.
You can help reduce shareholder costs by voting promptly. Your vote is important, regardless of the number of shares you own. Please read the enclosed material and vote your shares.
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How do I sign the proxy card?
When voting via the Internet or by telephone you will be required to enter the identifying numbers that appear on your proxy card(s). If voting by mail, please complete, sign and date the proxy card(s). When signing the proxy card(s):
Individual accounts: Shareholders should sign exactly as their names appear on the account registration shown on the proxy card.
Joint accounts: Either owner may sign the proxy card, but the name of the person signing should conform exactly to the name shown in the registration.
All other accounts: The person signing must indicate his or her capacity. For example, a trustee for a trust or other entity should sign “Mary Smith, Trustee.”
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NOTICE OF SPECIAL MEETINGS OF SHAREHOLDERS
August 31, 2018
To shareholders:
Notice is given that a special meeting of shareholders of each of AMCAP Fund, American Balanced Fund, American Funds College Target Date Series, American Funds Corporate Bond Fund, American Funds Developing World Growth and Income Fund, American Funds Emerging Markets Bond Fund, American Funds Fundamental Investors, American Funds Global Balanced Fund, The American Funds Income Series, American Funds Inflation Linked Bond Fund, American Funds Mortgage Fund, American Funds Portfolio Series, American Funds Retirement Income Portfolio Series, American Funds Short-TermTax-Exempt Bond Fund, American Funds Strategic Bond Fund, American Funds Target Date Retirement Series, American FundsTax-Exempt Fund of New York, American FundsTax-Exempt Series II, American Funds U.S. Government Money Market Fund, American High-Income Municipal Bond Fund, American High-Income Trust, American Mutual Fund, The Bond Fund of America, Capital Income Builder, Capital World Bond Fund, Capital World Growth and Income Fund, EuroPacific Growth Fund, The Growth Fund of America, The Income Fund of America, Intermediate Bond Fund of America, International Growth and Income Fund, The Investment Company of America, Limited TermTax-Exempt Bond Fund of America, The New Economy Fund, New Perspective Fund, New World Fund, Inc., Short-Term Bond Fund of America, SMALLCAP World Fund, Inc., TheTax-Exempt Bond Fund of America and Washington Mutual Investors Fund (each a “Fund,” and collectively, the “Funds”) will be held on Wednesday, November 28, 2018, at the office of Capital Group, 333 South Hope Street, Los Angeles, California 90071, at 9:00 a.m. Pacific Time (each meeting of shareholders is referred to as a “Shareholder Meeting,” and, collectively, they are referred to as the “Shareholder Meetings”), and at any adjournment or adjournments thereof, for the following purposes:
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The Board of Directors or Trustees (the “Board”) of each Fund recommends that you vote “FOR” each of the nominees.
The proposed business cannot be conducted for a Fund at its Shareholder Meeting unless the required quorum of shares of the Fund outstanding on August 31, 2018 (the “Record Date”) is present in person or by proxy. Therefore, please cast your vote via the Internet or by telephone or mark, sign, date and return the enclosed proxy card(s) as soon as possible. You may revoke your proxy at any time before its use. Only shareholders of record of a Fund at the close of business on the Record Date are entitled to notice of and to vote at the Fund’s Shareholder Meeting and any adjournment or adjournments thereof.
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This notice and the accompanying proxy material are first being sent to shareholders on or about August 31, 2018.
By order of the Boards of the Funds,
You are invited to attend the Shareholder Meetings in person. However, you may vote prior to the Shareholder Meetings via the Internet, by telephone or by returning your completed proxy card(s). Your vote is important no matter how many shares you owned on the Record Date.
Important
You can help your Fund(s) avoid the expense of further proxy solicitation by promptly voting your shares using one of three convenient methods: (a) by accessing the Internet website as described in the enclosed proxy card(s); (b) by calling the toll-free number as described in the enclosed proxy card(s); or (c) by signing, dating and returning the enclosed proxy card(s) in the enclosed postage-paid envelope.
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JOINT PROXY STATEMENT
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Throughout this Joint Proxy Statement, except where the context indicates otherwise, all references to the “Fund” shall apply to each Fund. A list of the Funds and abbreviations used for each Fund in this Joint Proxy Statement is set forth on the next page.
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With the exception of EUPAC, which is a Massachusetts business trust, and NWF and SCWF, which are Maryland corporations, each of the Funds is a Delaware statutory trust.
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PART I — THE PROPOSAL
Shareholders of each Fund will vote separately on the Proposal. The successful passage of the Proposal as to any Fund is not conditioned on the approval of the Proposal by the shareholders of any other Fund.
THE PROPOSAL:TO ELECT BOARD MEMBERS
The purpose of the Proposal is to elect members of the board of directors/trustees (the “Board”) for each of the Funds. You are being asked to vote for the election of directors or trustees for your Fund(s).
It is intended that the enclosed proxy card(s) will be voted for all nominees (the “nominees”) listed below for the applicable Board unless a proxy contains specific instructions to the contrary. If elected by shareholders, each nominee’s term in office will commence on January 1, 2019 and will continue until his or her resignation, death or disability, or until his or her successor is elected and qualified.
Each nominee has consented to serve on the applicable Board if elected by shareholders. If, however, before the election, any nominee refuses or is unable to serve, proxies may be voted for a replacement nominee, if any, designated by the applicable Board.
Pertinent information about each of the nominees, including information relating to the experience, attributes and skills relevant to the nominee’s qualifications to serve on the Board, is set forth inAppendix 1 to this Joint Proxy Statement. Following is the list of nominees and the Fund(s) for which he or she is standing for election.
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The following current Independent Directors (defined below) are planning to retire from their respective Board(s) at the end of 2018: Leonard R. Fuller (AFCTD, AFPS, AFRIS, AFTD, AMCAP, AMF, Fixed Income Funds, GBAL and ICA) and Frank M. Sanchez (AFCTD, AFPS, AFRIS, AFTD and Fixed Income Funds). These Board members will remain on their respective Board(s) until their retirement (or, if later, until their respective successors are elected and qualified) but will not stand for election at the upcoming Shareholder Meetings. Pertinent information about each of these Board members is included inAppendix 1 to this Joint Proxy Statement.
THE BOARD OF EACH OF THE RESPECTIVE FUNDS RECOMMENDS THAT YOU VOTE “FOR” EACH OF THE NOMINEES FOR YOUR FUND(S).
PROXIES WILL BE VOTED “FOR” THE ELECTION OF THE NOMINEES, UNLESS OTHERWISE SPECIFIED.
Board leadership structure
The chair of each Board is currently an independent director/trustee who is not an “interested person” of his or her applicable Fund within the meaning of the 1940 Act (an “Independent Director”). The Boards have determined that an independent chair facilitates oversight and enhances the effectiveness of the Boards. Each independent chair’s duties include, without limitation, generally presiding at meetings of the respective Board, approving Board meeting schedules and agendas, leading meetings of the Independent Directors in executive session, facilitating communication with committee chairs and serving as the principal Independent Director contact for Fund management and counsel to the Independent Directors and the Fund.
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Board role in risk oversight
The operations of each Fund are supervised by its Board, which meets periodically and performs duties required by applicable state and federal laws.Day-to-day management of each Fund, including risk management, is the responsibility of the Fund’s contractual service providers, including the Fund’s investment adviser, principal underwriter/distributor and transfer agent. Each of these entities is responsible for specific portions of the Fund’s operations, including the processes and associated risks relating to the Fund’s investments, integrity of cash movements, financial reporting, operations and compliance. The Boards oversee the service providers’ discharge of their responsibilities, including the processes they use to manage relevant risks. In that regard, the Boards receive reports regarding the operations of a Fund’s service providers, including risks. For example, the Boards receive reports from investment professionals regarding risks related to a Fund’s investments and trading. The Boards also receive compliance reports from the chief compliance officers of the Funds and CRMC addressing certain areas of risk.
As described in greater detail below, each Board has organized three standing committees, each of which is comprised entirely of Independent Directors: an audit committee, a contracts committee and a nominating and governance committee. Those committees, as well as joint committees of Independent Directors of the Funds, also explore risk management procedures in particular areas and report back to the full Board.
Not all risks that may affect the Funds can be identified or processes and controls developed to eliminate or mitigate their effect. Moreover, it is necessary to bear certain risks (such as investment-related risks) to achieve a Fund’s objectives. As a result of the foregoing and other factors, the ability of the Funds’ service providers to eliminate or mitigate risks is subject to limitations.
Board committees and membership
Each Board member serving on a committee was an “Independent Director” during such Fund’s most recent fiscal year. The current membership for each committee is set forth inAppendix 2 to this Joint Proxy Statement. If the nominees are elected, each Board may reconstitute its committees; however, each Board expects that only Independent Directors will continue to comprise the committees.
Each Fund has an audit committee composed of certain Independent Directors. The audit committee provides oversight regarding the Fund’s accounting and financial reporting policies and practices, its internal controls and the internal controls of the Fund’s principal service providers. The audit committee acts as a liaison between the Fund’s independent registered public accounting firm and its full Board.
Each Fund has a contracts committee composed of all of the Board’s Independent Directors. The contracts committee’s principal function is to request, review and consider the information deemed necessary to evaluate the terms of certain agreements between the Fund and its investment adviser or the investment adviser’s affiliates, such as the Investment Advisory and Service Agreement, Principal
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Underwriting Agreement, Administrative Services Agreement and Plans of Distribution under Rule12b-1 adopted under the 1940 Act, that the Fund may enter into, renew or continue, and to make recommendations to the Fund’s full Board on these matters.
Each Fund has a nominating and governance committee composed of certain Independent Directors. The nominating and governance committee operates under a written charter, a form of which is set forth inExhibit A to this Joint Proxy Statement. The nominating and governance committee periodically reviews such issues as the Board’s composition, responsibilities, committees, compensation and other relevant issues, and recommends any appropriate changes to the full Board. The nominating and governance committee also coordinates annual self-assessments of each Fund’s Board and evaluates, selects and nominates Independent Directors to the full Board. While the nominating and governance committee of each Fund normally is able to identify from its own and other resources an ample number of qualified candidates, it will consider shareholder suggestions of persons to be considered as nominees to fill future vacancies on the Board. Such suggestions must be made in writing to the nominating and governance committee of the Fund, addressed to the Fund’s secretary, and accompanied by complete biographical and occupational data of the prospective nominee, along with a written consent of the prospective nominee for consideration of his or her name by the nominating and governance committee (see also the section of this Joint Proxy Statement titled “Shareholder Proposals”).
Board member compensation and Fund ownership
Compensation paid to each Independent Director for the Fund(s) he or she oversees as a Board member, during the most recent fiscal year for each Fund, is set forth inAppendix 3 to this Joint Proxy Statement. The value of Fund shares owned by each Director or nominee in the Fund(s) he or she oversees, or would oversee, as a Board member as of June 30, 2018, is also set forth inAppendix 3 to this Joint Proxy Statement. No compensation is paid by the Fund to any Director who is affiliated with the investment adviser. No pension or retirement benefits are accrued to any nominee as part of Fund expenses.
Other officers
Set forth inAppendix 4 to this Joint Proxy Statement are the executive officers of each Fund as of the date of this Joint Proxy Statement. Each officer listed was appointed and each will hold office until his or her resignation, removal or retirement, or until a successor is duly elected and qualified.
No officer, director or employee of CRMC receives any remuneration from any Fund.
Board correspondence
The Funds do not hold annual meetings of shareholders and, therefore, do not have a policy with regard to Board member attendance at such meetings. If a shareholder wishes to send a communication to any of the Boards, or to a specified Board member, the communication should be submitted in writing to the Secretary of the applicable Fund(s) at 333 South Hope Street, 55th Floor, Los Angeles, California 90071, who will forward such communication to the applicable Board member(s).
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PART II
ADDITIONAL INFORMATION ABOUT THE FUNDS
THE INVESTMENT ADVISER. CRMC, an experienced investment management organization founded in 1931, serves as investment adviser to each Fund. CRMC is a wholly owned subsidiary of The Capital Group Companies, Inc. and is located at 333 South Hope Street, Los Angeles, CA 90071. CRMC manages the investment portfolios and business affairs of each Fund pursuant to an Investment Advisory and Service Agreement with the Fund.
THE UNDERWRITER. American Funds Distributors, Inc., a wholly owned subsidiary of CRMC, is the principal underwriter of the Funds’ shares. American Funds Distributors, Inc. is located at 333 South Hope Street, Los Angeles, CA 90071; 6455 Irvine Center Drive, Irvine, CA 92618; 3500 Wiseman Boulevard, San Antonio, TX 78251; and 12811 N. Meridian Street, Indianapolis, IN 46032.
THE TRANSFER AGENT. American Funds Service Company, a wholly owned subsidiary of CRMC, maintains the records of shareholder accounts, processes purchases and redemptions of the Funds’ shares, acts as dividend and capital gain distribution disbursing agent, and performs other related shareholder service functions for each Fund. The principal office of American Funds Service Company is located at 6455 Irvine Center Drive, Irvine, CA 92618. In the case of certain shareholder accounts, third parties who may be unaffiliated with the investment adviser provide transfer agency and shareholder services in place of American Funds Service Company. These services are rendered under agreements with American Funds Service Company, or its affiliates, and the third parties receive compensation in accordance with the terms of such agreements.
THE CUSTODIAN. State Street Bank and Trust Company, One Lincoln Street, Boston, MA 02111, is the custodian for the cash and securities of AFCTD, FI, GFA, NEF and SCWF. Bank of New York Mellon, One Wall Street, New York, NY 10286, is the custodian for the cash and securities of AFMF, AFRIS, CBF, DWGI, EMBF, GBAL, ILBF, and TEFNY. JP Morgan Chase Bank N.A., 270 Park Avenue, New York, NY 10017, is the custodian for the cash and securities of each of the other Funds.
OTHER MATTERS. Each Fund’s last audited financial statements and most recent annual and semi-annual reports are available free of charge. Copies of these documents can be obtained by writing to the secretary of the Fund at 333 South Hope Street, Los Angeles, CA 90071 or by calling American Funds Service Company, toll free, at (800)421-4225.
SHAREHOLDERS SHARING THE SAME ADDRESS. If two or more shareholders share the same address, only one copy of this proxy statement is being delivered to that address, unless the Funds have received contrary instructions from one or more of the shareholders at that shared address. Upon written or oral request, the Funds will deliver promptly a separate copy of this proxy statement to a shareholder at a shared address. Please call American Funds Service Company at (800)421-4225 or write to the secretary of the Fund at 333 South Hope Street, Los Angeles, CA 90071 if you would like to (1) receive a separate copy of this proxy statement; (2) receive your
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annual or semi-annual reports or proxy statements separately in the future; or (3) request delivery of a single copy of annual or semi-annual reports or proxy statements if you are currently receiving multiple copies at a shared address.
PRINCIPAL SHAREHOLDERS. The outstanding shares and classes of each Fund as of June 30, 2018 were as set forth inAppendix 5.
Each Fund’s shareholders who are known by the Fund to have been the beneficial owners of more than 5% of any class of the Fund’s shares as of June 30, 2018 are set forth inAppendix 6.
As of June 30, 2018, the officers and directors/trustees of each Fund, as a group, owned of record and beneficially less than 1% of the outstanding voting securities of such Fund.
AUDIT COMMITTEE AND INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. Each Fund’s Audit Committee acts as the liaison between the full Board and the Fund’s independent registered public accounting firm (“auditors”). The Audit Committee of each Fund is responsible for the appointment, compensation and retention of the Fund’s auditors, including evaluating their independence, recommending the selection of the Fund’s auditors to the full Board, and meeting with such auditors to consider and review matters relating to the Fund’s financial reports and internal accounting. The members of each Fund’s Audit Committee, all of whom are Independent Directors, are indicated inAppendix 2.
SELECTION OF AUDITORS. The Audit Committee and the Board of each Fund have selected either Deloitte & Touche LLP (“D&T”) or PricewaterhouseCoopers LLP (“PwC”), as indicated inAppendix 7, as auditors of such Fund for the current fiscal year. The Funds do not expect representatives of D&T or PwC to be present at the Shareholder Meetings; however, representatives of D&T and/or PWC will have the opportunity to make a statement if they wish and will be available should any matter arise requiring their presence.
AUDIT FEES. The aggregate fees paid to D&T or PwC by each Fund for professional services rendered for the audit of the Fund’s annual financial statements or for services that are normally provided in connection with statutory and regulatory filings or engagements for the Fund’s last two fiscal years are set forth inAppendix 7.
AUDIT-RELATED FEES. The aggregate fees paid to D&T or PwC by each Fund for assurance and other services rendered that are reasonably related to the performance of the audit or review of the Fund’s financial statements for the Fund’s last two fiscal years and not reported under “Audit Fees” above are set forth inAppendix 7.
TAX FEES. The aggregate fees paid to D&T or PwC by each Fund for tax compliance, tax advice or tax planning services (“tax services”) rendered by D&T or PwC to a Fund for that Fund’s last two fiscal years are set forth inAppendix 7. The tax services for which these fees were paid related to the preparation of the Fund’s tax returns.
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ALL OTHER FEES. The Funds did not pay any fees for products or services provided by D&T or PwC to the Funds, other than those reported above, for each Fund’s last two fiscal years.
AGGREGATENON-AUDIT FEES. The aggregate fees paid to D&T or PwC by each Fund fornon-audit services provided to such Fund, to CRMC and to any entity controlling, controlled by, or under common control with CRMC that provide ongoing services to the Fund for each Fund’s last two fiscal years are set forth inAppendix 7. The Audit Committee of each Fund has determined that the provision of suchnon-audit services, includingtax-related services, to CRMC and to any entities controlling, controlled by, or under common control with CRMC that provide ongoing services to the Fund is compatible with maintaining D&T’s or PwC’s independence.
AUDIT COMMITTEEPRE-APPROVAL POLICIES AND PROCEDURES. The Audit Committee of each Fund has adoptedpre-approval policies and procedures that require all audit, audit-related, tax and other services provided by D&T or PwC bepre-approved by the Audit Committee. The Audit Committee of each Fund has further delegated the authority to review andpre-approve such fees for services not to exceed an aggregate amount of $5,000 to the Audit Committee Chair, provided the Audit Committee Chair reports such matters to the full Audit Committee at its next meeting.
FURTHER INFORMATION ABOUT VOTING AND THE SHAREHOLDER MEETINGS
SOLICITATION OF PROXIES. Your vote is being solicited by, and on behalf of, the Directors of each Fund. The cost of soliciting proxies, including the fees of a proxy soliciting agent, will be borne by the Funds. The Funds reimburse brokerage firms and others for their expenses in forwarding proxy material to the beneficial owners and soliciting them to execute proxies. The Funds have engaged Computershare Fund Services (“Computershare”), a professional proxy solicitation firm, to solicit proxies from brokers, banks, other institutional holders and individual shareholders. We estimate the total costs associated with obtaining shareholder approval of the Proposal, including printing and mailing of this Joint Proxy Statement and solicitation of shareholders’ votes, will average across all Funds less than $1.00 per shareholder account. The Funds expect that the solicitation will be primarily by mail, but may also include telephone, facsimile, electronic or other means of communication. If your Fund does not receive your proxy by a certain time you may receive a telephone call from Computershare asking you to vote. In any case, Computershare will be: (i) required to maintain the confidentiality of all shareholder information; (ii) prohibited from selling or otherwise disclosing shareholder information to any third party; and (iii) required to comply with applicable state telemarketing laws. The Fund does not reimburse Directors and officers of the Fund or regular employees and agents of CRMC involved in the solicitation of proxies. The Funds intend to pay all costs associated with the solicitation and the Shareholder Meetings. Such costs will be allocated among the Funds.
VOTING BY BROKER-DEALERS. The Funds expect that, before the Shareholder Meetings, broker-dealer firms holding shares of the Funds in “street name” for their
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customers will request voting instructions from their customers and beneficial owners. If these instructions are not received by the date specified in the broker-dealer firms’ proxy solicitation material, the Funds understand that broker-dealers may vote on the Proposal on behalf of their customers and beneficial owners. Certain broker-dealers may exercise discretion over shares held in their name for which no instructions are received by voting these shares in the same proportion as they vote shares for which they received instructions.
QUORUM. Holders of a majority of the outstanding shares of EUPAC and holders ofone-third of the outstanding shares of every other Fund, present in person or represented by proxy, constitute a quorum at the applicable Shareholder Meeting for purposes of acting upon the Proposal with respect to that Fund. Proxies returned with respect to shares over which broker-dealers have discretionary voting power, shares that represent “brokernon-votes” (i.e., shares held by brokers or nominees as to which (i) instructions have not been received from the beneficial owners or persons entitled to vote and (ii) the broker or nominee does not have discretionary voting power on a particular matter), and shares whose proxy instructions reflect an abstention will all be counted as shares present and entitled to vote for purposes of determining whether the required quorum of shares exists.
METHOD OF TABULATION. Except for EUPAC, approval of the Proposal as to each Fund requires the affirmative vote of a plurality of the votes cast in person or by proxy at the applicable Shareholder Meeting. It is expected that, as to each of these Funds, the Proposal will be approved and each nominee to the respective Board will be elected. Under a plurality voting standard, the nominee receiving the greatest number of affirmative votes will be elected for the board seat for which he or she has been nominated, regardless of whether the nominee receives a majority of the votes cast. In other words, a majority of a Fund’s shareholders could withhold approval of a nominee’s election, but, so long as a quorum is present, the nominee could be elected with a single “FOR” vote so long as no other person receives any “FOR” votes. Because a single nominee has been nominated for each available Board seat and because each nominee is running unopposed, provided a quorum is present, each nominee for each Fund (other than EUPAC) is expected to be elected.
For EUPAC, approval of the Proposal requires the affirmative vote of a majority of the votes cast in person or by proxy at the Shareholder Meeting of the Fund.
Abstentions and brokernon-votes will be treated as votes present at the Shareholder Meetings, but will not be treated as votes cast. Abstentions and brokernon-votes, therefore, will have no effect on the Proposal. Proxy cards that are signed and dated, but not completed, will be voted “FOR” each of the nominees for the applicable Fund(s).
ADJOURNMENT. With respect to any Fund, whether or not a quorum is present, the Shareholder Meeting may be adjourned by a majority of the votes properly cast upon the question of adjourning the Shareholder Meeting to another date and time. For each Fund (other than EUPAC, NWF and SCWF), the Shareholder Meeting may also be adjourned to another date and time by, or upon the authority of, the Chairman of the Board or the Directors of the Fund. For EUPAC, NWF and SCWF, the
11
Shareholder Meeting may also be adjourned to another date, time or place by the Chairman of the meeting. Such authority to adjourn the Shareholder Meeting may be exercised if a quorum is not present at the Shareholder Meeting, or, if a quorum is present but sufficient votes have not been received to approve the Proposal or for any other reason consistent with applicable laws and the Fund’s charter, bylaws or other governing documents, including to allow for the further solicitation of proxies. Any adjournment may be made with respect to any business which might have been transacted at such Shareholder Meeting, and any adjournment will not delay or otherwise affect the effectiveness and validity of any business transacted at the Shareholder Meeting prior to adjournment. Unless otherwise instructed by a shareholder granting a proxy, the persons designated as proxies may use their discretionary authority to vote as instructed by management of the Fund on questions of adjournment and on any other proposals raised at the Shareholder Meeting to the extent permitted by federal proxy rules, including proposals for which management of the Fund did not have timely notice.
SHAREHOLDER PROPOSALS. The Funds are not required and do not intend to hold regular annual meetings of shareholders. A shareholder who wishes to submit a proposal for consideration for inclusion in a Fund’s proxy statement for its next meeting of shareholders should send a written proposal to the Fund’s office at 333 South Hope Street, Los Angeles, CA 90071, Attention: Secretary, so that it is received within a reasonable time in advance of such meeting in order to be included in the Fund’s proxy statement and proxy card relating to that meeting and presented at the meeting. A shareholder proposal may be presented at a meeting of shareholders only if such proposal concerns a matter that may be properly brought before the meeting under applicable federal proxy rules, state law and other governing instruments. Submission of a proposal by a shareholder does not guarantee that the proposal will be included in a Fund’s proxy statement or presented at the meeting.
REVOKING YOUR PROXY. Your latest vote is the one that counts. Therefore, you can revoke a prior proxy simply by voting again — via the Internet, with your proxy card, or by toll-free telephone call. You can also revoke a prior proxy by writing to the Fund’s secretary at 333 South Hope Street, Los Angeles, CA 90071 or by voting in person at the Shareholder Meeting. You may revoke your proxy at any time up until voting results are announced at the Shareholder Meeting.
OTHER BUSINESS. No business other than the matter described above is expected to come before the Shareholder Meetings, but should any other matter requiring a vote of any Fund’s shareholders arise, including any questions as to an adjournment or postponement of a Shareholder Meeting, the persons designated as proxies named on the enclosed proxy card will vote on such matters in accordance with the views of management.
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August 31, 2018
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EXHIBIT A
FORM OF
NOMINATING AND GOVERNANCE COMMITTEE CHARTER
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The Nominating and Governance Committee (the “Committee”), a committee established by the Board of Directors/Trustees (the “Board”) of the Fund/Trust, will be comprised solely of members of the Board who are not considered “interested persons” of the Fund/Trust under the Investment Company Act of 1940 (the “Act”), and who are otherwise independent. To be considered independent a member may not, other than in his or her capacity as a member of the Board, the Committee or any other committee of the Board, accept any consulting, advisory or other compensatory fee from the Fund/Trust, or be a former officer or director of Capital Research and Management Company (“CRMC”) or any of its affiliates.
The Board will appoint the members of the Committee. If the Board has not designated a Chair of the Committee, the Committee members may designate a Chair by majority vote of all members. The Committee will be composed of at least three independent board members. The Fund’s/Trust’s Secretary will serve as Secretary of the Committee.
The Committee will meet with the frequency, and at the times, determined by the Committee Chair or a majority of Committee members. Under normal circumstances, the Committee is expected to meet at least annually. The Chair will cause notice of each meeting, together with the agenda and any related material, to be sent to each member, normally at least one week before the meeting. The Chair will cause minutes of each Committee meeting to be prepared and distributed to Committee members promptly. The Committee may ask independent legal counsel, representatives of CRMC or others to attend Committee meetings and provide pertinent information as necessary or desirable. The Committee may also meet in executive session.
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The Committee will:
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The Committee will have the resources and authority appropriate to discharge its responsibilities, including, among other things, the authority to retain a search firm to assist the Committee in identifying, screening and attracting independent board members.
Independent legal counsel to the independent board members will serve as independent legal counsel to the Committee.
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The Committee’s policies and procedures may change from time to time to reflect new or evolving business conditions or nominating committee practices. In meeting its responsibilities, the Committee is expected to:
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A-3
APPENDIX 1
Director/Trustee and Nominee Information
Each Fund’s nominating and governance committee and Board select nominees with a view toward constituting a Board that, as a body, possesses the qualifications, skills, attributes and experience to appropriately oversee the actions of the Fund’s service providers, decide upon matters of general policy and represent the long-term interests of Fund shareholders. In doing so, they consider the qualifications, skills, attributes and experience of the current Board members, with a view toward maintaining a Board that is diverse in viewpoint, experience, education and skills.
Each Fund seeks nominees who have high ethical standards and the highest levels of integrity and commitment, who have inquiring and independent minds, mature judgment, good communication skills, and other complementary personal qualifications and skills that enable them to function effectively in the context of the Fund’s board and committee structure and who have the ability and willingness to dedicate sufficient time to effectively fulfill their duties and responsibilities.
Each nominee has a significant record of accomplishments in governance, business,not-for-profit organizations, government service, academia, law, accounting or other professions. Although no single list could identify all experience upon which the Fund’s Independent Directors draw in connection with their service, the following table summarizes key experience for each nominee. These references to the qualifications, attributes and skills of the nominees are pursuant to federal proxy disclosure requirements, and shall not be deemed to impose any greater responsibility or liability on any nominee, director/trustee or the Board as a whole. Notwithstanding the accomplishments listed below, none of the nominees is considered an “expert” within the meaning of the federal securities laws with respect to information in this Joint Proxy Statement.
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The address for all directors/trustees and nominees of the Funds is 333 South Hope Street, 55th Floor, Los Angeles, California 90071, Attention: Secretary.
1-19
APPENDIX 2
Board and Committee Meetings; Committee Composition1,2
Audit Committee | Contracts Committee | Nominating and Governance Committee | ||||||||||||||
Fund | Most recent fiscal year end | Number of board meetings3 | Members | Number of meetings3 | Members | Number of meetings3 | Members | Number of meetings3 | ||||||||
AFCTD AFPS AFRIS AFTD | 10/31/2017 10/31/2017 10/31/2017 10/31/2017 | 4 | Fuller, Holt, Mitchell, Sanchez, Trower | 5 | All Independent Directors | 1 | Baribault, Ellis, Farvardin, Hooper, Janow, Spellings | 2 | ||||||||
AMBAL DWGI IGI | 12/31/2017 11/30/2017 6/30/2018 | 4 | Baribault, Chang, Griego, L. Jones, Postl, Spellings | 5 | All Independent Directors | 1 | Griego, L. Jones, W. Jones, Postl, Spellings, Stein | 4 | ||||||||
AMCAP4 ICA4 | 2/28/2018 12/31/2017 | 4 | Ellis, Fuller, González, McLaughlin | 5 | All Independent Directors | 1 | Bryson, Dolan, Mazziotta | 3 | ||||||||
AMF GBAL | 10/31/2017 10/31/2017 | 4 | Ellis, Fuller, González, McLaughlin | 4 | All Independent Directors | 1 | Bryson, Dolan, Mazziotta | 2 | ||||||||
CIB NEF WGI | 10/31/2017 11/30/2017 11/30/2017 | 4 | Freund, Greer, Lewis | 5 | All Independent Directors | 1 | Dolan, Hooper, Janow, L. Jones, Stone | 2 |
2-1
Audit Committee | Contracts Committee | Nominating and Governance Committee | ||||||||||||||
Fund | Most recent fiscal year end | Number of board meetings3 | Members | Number of meetings3 | Members | Number of meetings3 | Members | Number of meetings3 | ||||||||
EUPAC | 3/31/2018 | 4 | Allison, Chang, González, Sheeran | 4 | All Independent Directors | 1 | Koehler, Miller, Ovi | 5 | ||||||||
FI GFA SCWF | 12/31/2017 8/31/2017 9/30/2017 | 4 | Griego, Meers, Simril, Stone | 5 | All Independent Directors | 1 | Berenato, Bryson, Freund, L. Jones | 3 | ||||||||
Fixed Income Funds5 | Various6 | 4 | Fuller, Holt, Mitchell, Sanchez, Trower | 5 | All Independent Directors | 1 | Baribault, Ellis, Farvardin, Hooper, Janow, Spellings | 2 | ||||||||
IFA | 7/31/2017 | 4 | Baribault, Chang, Griego, L. Jones, Postl, Spellings | 5 | All Independent Directors | 1 | Griego, L. Jones, W. Jones, Postl, Spellings, Stein | 2 | ||||||||
NPF NWF | 9/30/2017 10/31/2017 | 4 | Allison, Chang, González, Sheeran | 5 | All Independent Directors | 1 | Koehler, Miller, Ovi | 4 |
2-2
Audit Committee | Contracts Committee | Nominating and Governance Committee | ||||||||||||||
Fund | Most recent fiscal year end | Number of board meetings3 | Members | Number of meetings3 | Members | Number of meetings3 | Members | Number of meetings3 | ||||||||
WMIF | 4/30/2018 | 4 | Andrews, Holt, Hooper, Spellings | 5 | All Independent Directors | 1 | Farvardin, Nickles, Singleton, Thomas | 3 |
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2-3
APPENDIX 3
Board Member Compensation and Fund Ownership
The following tables set forth for each nominee or continuing director/trustee the total compensation paid to him or her by the Fund and by all Funds managed by CRMC or its affiliates that he or she oversees as a director/trustee during the most recent fiscal year, as well as the value of his or her holdings in each Fund and in all of the Funds he or she oversees (or would oversee, if elected) as a director/trustee as of June 30, 2018. As of June 30, 2018, the nominees, continuing directors/trustees and officers of each Fund owned, in aggregate, less than 1% of each Fund’s outstanding shares.
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
AFCTD | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $3,306 | $390,631 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 3,294 | 393,969 | None | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 183,750 | None | Over $100,000 | NA | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 3,215 | 387,131 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||||||
Mary Davis Holt | 1,010 | 216,396 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 3,831 | 485,562 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 3,169 | 402,381 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 4,195 | 301,162 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 3,833 | 272,662 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 2,800 | 426,387 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||||||
Bradley J. Vogt | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A |
3-1
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
AFMF | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $1,728 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||
James G. Ellis | 1,720 | 392,438 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 1,664 | 385,600 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 80 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 1,993 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 1,630 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 2,245 | 300,662 | $1 - $10,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Frank M. Sanchez9 | 2,034 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 1,414 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | $10,000 - $50,000 | Over $100,000 | N/A | N/A | ||||||
AFPS | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $15,132 | $390,631 | $10,001 - $50,000 | Over $100,000 | $1 - $10,000 | Over $100,000 | ||||||
James G. Ellis | 15,075 | 393,969 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 183,750 | $50,001 - $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Leonard R. Fuller8 | 14,718 | 387,131 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 4,502 | 216,396 | None | Over $100,000 | N/A | N/A |
3-2
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
R. Clark Hooper | 17,696 | 485,562 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 14,503 | 402,381 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 19,195 | 301,162 | Over $100,000 | Over $100,000 | $1 - $10,000 | Over $100,000 | ||||||
Frank M. Sanchez9 | 17,452 | 272,662 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 12,818 | 426,387 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Bradley J. Vogt | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
AFRIS | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $433 | $390,631 | None | Over $100,000 | N/A | Over $100,000 | ||||||
James G. Ellis | $432 | 393,969 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 183,750 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 421 | 387,131 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 163 | 216,396 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 462 | 485,562 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 415 | 402,381 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 551 | 301,162 | $10,001 - $50,000 | Over $100,000 | $1 - $10,000 | Over $100,000 | ||||||
Frank M. Sanchez9 | 526 | 272,662 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 366 | 426,387 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | $10,000 - $50,000 | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A |
3-3
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Bradley J. Vogt | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
AFTD | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $31,422 | $390,631 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||
James G. Ellis | 31,303 | 393,969 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 183,750 | $50,001 - $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Leonard R. Fuller8 | 30,560 | 387,131 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 9,661 | 216,396 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 36,326 | 485,562 | $50,001 - $100,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 30,114 | 402,381 | $1 - $10,000 | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 39,868 | 301,162 | $50,001 - $100,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Frank M. Sanchez9 | 36,483 | 272,662 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 26,605 | 426,387 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | $10,000 - $50,000 | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Bradley J. Vogt7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
AHIM | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $3,292 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||
James G. Ellis | 3,276 | 392,438 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 183,750 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 3,170 | 385,600 | None | $10,001 - $50,000 | N/A | Over $100,000 |
3-4
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Mary Davis Holt | 144 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 3,816 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 3,106 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 4,275 | 300,662 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Frank M. Sanchez9 | 3,857 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 2,695 | 428,212 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
AHIT | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $12,117 | $390,631 | None | Over $100,000 | $1 - $10,000 | Over $100,000 | ||||||
James G. Ellis | 12,055 | 393,969 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 183,750 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 11,664 | 387,131 | None | $10,001 - $50,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Mary Davis Holt | 3,391 | 216,396 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 14,156 | 485,562 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 11,430 | 402,381 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 15,835 | 301,162 | $10,001 - $50,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Frank M. Sanchez9 | 14,151 | 272,662 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 9,865 | 426,387 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 |
3-5
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
AMBAL | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $39,375 | $385,500 | $1 - $10,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Michael C. Camuñez4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Vanessa C. L. Chang | 42,313 | 370,500 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Linda Griego | 50,125 | 332,500 | None | Over $100,000 | N/A | N/A | ||||||
Leonade D. Jones | 42,900 | 409,100 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
William D. Jones | 41,500 | 373,000 | $50,001 - $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
James J. Postl | 64,625 | 258,500 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Josette Sheeran4,7 | N/A | 178,000 | None | Over $100,000 | N/A | N/A | ||||||
Margaret Spellings | 41,088 | 438,400 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Isaac Stein | 72,500 | 290,000 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Hilda L. Applbaum7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Gregory D. Johnson | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
AMCAP | ||||||||||||
Independent Trustees1 | ||||||||||||
Louise H. Bryson | $39,563 | $300,500 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Mary Anne Dolan | 25,984 | 386,100 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
James G. Ellis | 41,250 | 392,000 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Leonard R. Fuller8 | 38,438 | 382,000 | $10,001 - $50,000 | $10,001 - $50,000 | $10,001 - $50,000 | Over $100,000 |
3-6
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Pablo R. González Guajardo | 38,125 | 286,500 | None | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
William D. Jones | 51,750 | 373,000 | $50,001 - $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
John C. Mazziotta | 56,375 | 225,500 | None | None | Over $100,000 | Over $100,000 | ||||||
William R. McLaughlin | 54,750 | 219,000 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Kenneth M. Simril4,7 | N/A | 183,500 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Kathy J. Williams4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Interested Trustees5 | ||||||||||||
Claudia P. Huntington10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
William L. Robbins7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
James Terrile | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
AMF | ||||||||||||
Independent Trustees1 | ||||||||||||
Louise H. Bryson | $37,180 | $295,313 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Mary Anne Dolan | 32,815 | 428,125 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
James G. Ellis | 41,430 | 393,969 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Leonard R. Fuller8 | 37,742 | 387,131 | $1 - $10,000 | $10,001 - $50,000 | $1 - $10,000 | Over $100,000 | ||||||
Pablo R. González Guajardo | 37,742 | 283,312 | None | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
William D. Jones | 49,055 | 343,438 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||
John C. Mazziotta | 53,188 | 212,750 | None | None | Over $100,000 | Over $100,000 | ||||||
William R. McLaughlin | 52,938 | 211,750 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Kenneth M. Simril4,7 | N/A | 176,375 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Kathy J. Williams4,7 | N/A | N/A | None | None | N/A | N/A |
3-7
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Interested Trustees5 | ||||||||||||
Joyce E. Gordon10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
William L. Robbins | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
James Terrile7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
BFA | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $22,445 | $388,500 | None | Over $100,000 | N/A | Over $100,000 | ||||||
James G. Ellis | 22,329 | 392,000 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 21,602 | 382,000 | None | $10,001 - $50,000 | $50,001 - $100,000 | Over $100,000 | ||||||
Mary Davis Holt | 12,298 | 264,834 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 25,799 | 463,800 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 21,457 | 364,000 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 29,481 | 294,500 | $10,001 - $50,000 | Over $100,000 | $10,001 - $50,0000 | Over $100,000 | ||||||
Frank M. Sanchez9 | 28,202 | 283,500 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 18,142 | 438,400 | $10,001 - $50,0000 | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||
CBF | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $122 | $386,875 | None | Over $100,000 | N/A | Over $100,000 |
3-8
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
James G. Ellis | 121 | 393,375 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin | 61 | 223,925 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 117 | 382,750 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 104 | 301,259 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 136 | 464,644 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 116 | 364,750 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 162 | 297,250 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Frank M. Sanchez9 | 155 | 286,250 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 99 | 439,194 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower | 305 | 72,875 | None | $10,000 - $50,000 | N/A | $50,001 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
CIB | ||||||||||||
Independent Trustees1 | ||||||||||||
Joseph C. Berenato | $52,115 | $369,525 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Mary Anne Dolan | 42,519 | 428,125 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John G. Freund | 40,698 | 265,687 | None | None | Over $100,000 | Over $100,000 | ||||||
Pedro J. Greer, Jr. | 58,792 | 176,375 | None | None | $50,001 - $100,000 | Over $100,000 | ||||||
R. Clark Hooper | 41,686 | 485,562 | $10,001 - $50,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Merit E. Janow | 57,490 | 402,381 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Leonade D. Jones | 39,366 | 393,375 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Earl Lewis, Jr. | 38,000 | 114,000 | $1 - $10,000 | $10,001 - $50,000 | $10,001 - $50,000 | $50,001 - $100,000 |
3-9
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Christopher E. Stone | 47,094 | 270,938 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||
Interested Trustees5 | ||||||||||||
Joyce E. Gordon10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Winnie Kwan7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Sung Lee7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
James B. Lovelace10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
DWGI | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $38,680 | $390,631 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Michael C. Camuñez4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Vanessa C. L. Chang | 41,742 | 360,900 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Linda Griego | 45,430 | 316,813 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||
Leonade D. Jones | 38,419 | 393,375 | Over $100,000 | Over $100,000 | N/A | Over $100,000 | ||||||
William D. Jones | 36,805 | 343,438 | $10,001 - $50,000 | Over $100,000 | $50,000 - $100,000 | Over $100,000 | ||||||
James J. Postl | 58,688 | 234,750 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Josette Sheeran4,7 | N/A | 178,125 | None | Over $100,000 | N/A | N/A | ||||||
Margaret Spellings | 36,919 | 426,387 | Over $100,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Isaac Stein | 64,688 | 258,750 | None | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Hilda L. Applbaum7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
Gregory D. Johnson7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
Shaw B. Wagener10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A |
3-10
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
EMBF | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $41 | $385,500 | None | Over $100,000 | N/A | Over $100,000 | ||||||
James G. Ellis | 41 | 392,000 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 39 | 382,000 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 22 | 264,834 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 47 | 463,800 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 39 | 364,000 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 54 | 294,500 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Frank M. Sanchez9 | 51 | 283,500 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 33 | 438,400 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
EUPAC | ||||||||||||
Independent Trustees1 | ||||||||||||
Elisabeth Allison | $63,543 | $190,625 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Vanessa C.L. Chang | 45,126 | 372,900 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Pablo R. González Guajardo | 44,875 | 287,750 | $10,001 - $50,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Martin E. Koehler | 63,417 | 190,250 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||
Pascal Millaire4,7 | N/A | N/A | Over $100,000 | Over $100,000 | N/A | N/A |
3-11
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
William I. Miller | 70,043 | 210,125 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Alessandro Ovi | 68,667 | 206,000 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Josette Sheeran | 60,209 | 180,625 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Amy Zegart4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Interested Trustees5 | ||||||||||||
Joanna F. Jonsson7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
Carl M. Kawaja | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
FI | ||||||||||||
Independent Trustees1 | ||||||||||||
Joseph C. Berenato | $49,333 | 368,500 | $1 - $10,000 | Over $100,000 | N/A | N/A | ||||||
Joseph J. Bonner4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Louise H. Bryson | 47,416 | 300,500 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Mary Anne Dolan | 56,777 | 386,100 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||
John G. Freund | 46,500 | 273,000 | None | None | Over $100,000 | Over $100,000 | ||||||
Yvonne L. Greenstreet4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Linda Griego | 44,000 | 332,500 | None | Over $100,000 | N/A | N/A | ||||||
Leonade D. Jones | 42,667 | 409,100 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Sharon I. Meers | 14,000 | 42,000 | $50,001 - $100,000 | Over $100,000 | $10,001 - $50,000 | $50,001 - $100,000 | ||||||
Kenneth M. Simril | 61,167 | 183,500 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Christopher E. Stone | 44,500 | 277,000 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Interested” Trustees5 | ||||||||||||
Brady L. Enright | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Dina N. Perry10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Anne-Marie Peterson7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A |
3-12
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
GBAL | ||||||||||||
Independent Trustees1 | ||||||||||||
Louise H. Bryson | $37,180 | $295,313 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Mary Anne Dolan | 32,815 | 428,125 | $50,001 - 100,000 | Over $100,000 | N/A | N/A | ||||||
James G. Ellis | 41,430 | 393,969 | $50,001 - 100,000 | Over $100,000 | N/A | N/A | ||||||
Leonard R. Fuller8 | 37,742 | 387,131 | $1 - $10,000 | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Pablo R. González Guajardo | 37,742 | 283,312 | None | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
William D. Jones | 49,055 | 343,438 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||
John C. Mazziotta | 53,188 | 212,750 | None | None | $10,001 - $50,000 | Over $100,000 | ||||||
William R. McLaughlin | 52,938 | 211,750 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Kenneth M. Simril4,7 | N/A | 176,376 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Kathy J. Williams4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Interested Trustees5 | ||||||||||||
Eric S. Richter10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
William L. Robbins7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
James Terrile7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
GFA | ||||||||||||
Independent Trustees1 | ||||||||||||
Joseph C. Berenato | $49,396 | $361,550 | $1 - $10,000 | Over $100,000 | N/A | N/A | ||||||
Joseph J. Bonner4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Louise H. Bryson | 47,896 | 289,625 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Mary Anne Dolan | 56,095 | 427,650 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John G. Freund | 46,812 | 257,375 | None | None | Over $100,000 | Over $100,000 |
3-13
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Yvonne L. Greenstreet4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Linda Griego | 44,063 | 311,125 | None | Over $100,000 | N/A | N/A | ||||||
Leonade D. Jones | 40,400 | 390,650 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Sharon I. Meers4 | N/A | N/A | $10,001 - $50,000 | Over $100,000 | N/A | $50,001 - $100,000 | ||||||
Kenneth M. Simril | 43,750 | 131,250 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Christopher E. Stone | 41,938 | 264,875 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Interested Trustees5 | ||||||||||||
Brady L. Enright7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Michael T. Kerr10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Donald D. O’Neal10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Anne-Marie Peterson7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
GVT | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $5,928 | $389,099 | None | Over $100,000 | $1 - $10,000 | Over $100,000 | ||||||
James G. Ellis | 5,898 | 392,438 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 5,707 | 385,600 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 254 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 6,880 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 5,593 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 7,696 | 300,662 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Frank M. Sanchez9 | 6,936 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 4,853 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 |
3-14
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | $50,000 - $100,000 | Over $100,000 | N/A | N/A | ||||||
IBFA | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $9,039 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||
James G. Ellis | 8,992 | 392,438 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 8,701 | 385,600 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 376 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 10,513 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 8,527 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 11,731 | 300,662 | $1 - $10,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Frank M. Sanchez9 | 10,552 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 7,402 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | $50,000 - $100,000 | Over $100,000 | N/A | N/A | ||||||
ICA | ||||||||||||
Independent Trustees1 | ||||||||||||
Louise H. Bryson | $39,563 | $300,500 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 |
3-15
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Mary Anne Dolan | 25,984 | 386,100 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
James G. Ellis | 41,250 | 392,000 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||
Leonard R. Fuller8 | �� | 38,438 | 382,000 | None | $10,001 - $50,000 | Over $100,000 | Over $100,000 | |||||
Pablo R. González Guajardo | 38,125 | 286,500 | None | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
William D. Jones | 51,750 | 373,000 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||
John C. Mazziotta | 56,375 | 225,500 | None | None | Over $100,000 | Over $100,000 | ||||||
William R. McLaughlin | 54,750 | 219,000 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Kenneth M. Simril4,7 | N/A | 183,500 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Kathy J. Williams4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Interested Trustees5 | ||||||||||||
James B. Lovelace10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Donald D. O’Neal10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
William L. Robbins7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
James Terrile7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
IFA | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $37,985 | $389,099 | $10,001 - $50,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Michael C. Camuñez4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Vanessa C. L. Chang | 41,047 | 350,800 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Linda Griego | 44,735 | 311,125 | None | Over $100,000 | N/A | N/A | ||||||
Leonade D. Jones | 37,938 | 390,650 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
William D. Jones | 36,110 | 337,875 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||
Josette Sheeran4,7 | N/A | 172,750 | None | Over $100,000 | N/A | N/A |
3-16
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
James J. Postl | 57,500 | 230,000 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Margaret Spellings | 36,750 | 428,212 | None | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Isaac Stein | 63,500 | 254,000 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Hilda L. Applbaum | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Gregory D. Johnson7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
IGI | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $39,688 | $388,250 | None | Over $100,000 | $1 - $10,000 | Over $100,000 | ||||||
Michael C. Camuñez4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Vanessa C. L. Chang | 42,625 | 375,300 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Linda Griego | 49,969 | 335,000 | None | Over $100,000 | N/A | N/A | ||||||
Leonade D. Jones | 43,000 | 404,750 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
William D. Jones | 41,813 | 375,500 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||
James J. Postl | 65,938 | 263,750 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Josette Sheeran4,7 | N/A | 183,250 | None | Over $100,000 | N/A | N/A | ||||||
Margaret Spellings | 41,187 | 439,988 | Over $100,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Isaac Stein | 73,500 | 294,000 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Hilda L. Applbaum7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Gregory D. Johnson7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
Steven T. Watson10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A |
3-17
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
ILBF | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $1,332 | $390,631 | None | Over $100,000 | N/A | Over $100,000 | ||||||
James G. Ellis | 1,326 | 393,969 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 183,750 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 1,282 | 387,131 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 426 | 216,396 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 1,513 | 485,562 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 1,257 | 402,381 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 1,742 | 301,162 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Frank M. Sanchez9 | 1,595 | 272,662 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 1,802 | 426,387 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
LTEX | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $2,639 | $389,099 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
James G. Ellis | 2,625 | 392,438 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 2,540 | 385,600 | None | $10,001 - $50,000 | $1 - $10,000 | Over $100,000 | ||||||
Mary Davis Holt | 111 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 3,068 | 493,687 | None | Over $100,000 | N/A | Over $100,000 |
3-18
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Merit E. Janow | 2,489 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 3,425 | 300,662 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 3,082 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 2,161 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
MMF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $13,367 | $390,631 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
James G. Ellis | 13,298 | 393,969 | None | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | $1 - $10,000 | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 12,867 | 387,131 | $1 - $10,000 | $10,001 - $50,000 | $10,001 - $50,000 | Over $100,000 | ||||||||||
Mary Davis Holt | 3,847 | 216,396 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 15,528 | 485,562 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 12,608 | 402,381 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 17,468 | 301,162 | None | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 15,689 | 272,662 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 10,877 | 426,387 | None | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,00011 | Over $100,000 | N/A | N/A | ||||||||||
Kristine M. Nishiyama10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A |
3-19
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Karl J. Zeile7 | None6 | None6 | $10,000 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
NEF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
Joseph C. Berenato | $52,114 | $369,525 | $1 - $10,000 | Over $100,000 | N/A | N/A | ||||||||||
Mary Anne Dolan | 42,519 | 428,125 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
John G. Freund | 40,698 | 265,687 | None | None | Over $100,000 | Over $100,000 | ||||||||||
Pedro J. Greer, Jr. | 58,791 | 176,375 | None | None | $50,0001 - $100,000 | Over $100,000 | ||||||||||
R. Clark Hooper | 41,686 | 485,562 | $10,001 - $50,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||||||
Merit E. Janow | 57,489 | 402,381 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Leonade D. Jones | 39,366 | 393,375 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Earl Lewis, Jr. | 38,000 | 114,000 | $10,001 - $50,000 | $10,001 - $50,000 | $10,001 - $50,000 | $50,001 - $100,000 | ||||||||||
Christopher E. Stone | 47,094 | 270,938 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Interested Trustees5 | ||||||||||||||||
Timothy D. Armour10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Winnie Kwan7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||||||
Sung Lee7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||||||
Claudia P. Huntington10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
NPF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
Elisabeth Allison | $61,249 | $183,750 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Vanessa C.L. Chang | 43,948 | 360,900 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Pablo R. González Guajardo | 44,115 | 283,312 | $10,001 - $50,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Martin E. Koehler | 59,375 | 178,125 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 |
3-20
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Pascal Millaire4,7 | N/A | N/A | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
William I. Miller | 60,750 | 182,250 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Alessandro Ovi | 58,584 | 175,750 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Josette Sheeran | 59,375 | 178,125 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
Amy Zegart4,7 | N/A | N/A | None | None | N/A | N/A | ||||||||||
Interested Trustees5 | ||||||||||||||||
Joanna F. Jonsson | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Carl M. Kawaja7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Robert W. Lovelace10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
NWF | ||||||||||||||||
Independent Directors1 | ||||||||||||||||
Elisabeth Allison | $61,250 | $183,750 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Vanessa C.L. Chang | 43,947 | 360,900 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Pablo R. González Guajardo | 44,115 | 283,312 | $10,001 - $50,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Martin E. Koehler | 59,374 | 178,125 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||||||
Pascal Millaire4,7 | N/A | N/A | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
William I. Miller | 60,749 | 182,250 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Alessandro Ovi | 58,583 | 175,750 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Josette Sheeran | 59,374 | 178,125 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Amy Zegart4,7 | N/A | N/A | None | None | N/A | N/A | ||||||||||
Interested Directors5 | ||||||||||||||||
Nicholas J. Grace10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Joanna F. Jonsson7 | None6 | None6 | None | Over $100,000 | N/A | N/A |
3-21
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Carl M. Kawaja7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Robert W. Lovelace10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
SBF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $183 | $385,500 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 182 | 392,000 | None | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 176 | 382,000 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||||||
Mary Davis Holt | 100 | 264,834 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 211 | 463,800 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 175 | 364,000 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 241 | 294,500 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 230 | 283,500 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 148 | 438,400 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile7 | None6 | None6 | $50,000 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
SCWF | ||||||||||||||||
Independent Directors1 | ||||||||||||||||
Joseph C. Berenato | $50,364 | $369,525 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Joseph J. Bonner4,7 | N/A | N/A | None | None | N/A | N/A | ||||||||||
Louise H. Bryson | 48,864 | 295,313 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 |
3-22
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Mary Anne Dolan | 56,436 | 428,125 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
John G. Freund | 47.865 | 265,687 | None | None | Over $100,000 | Over $100,000 | ||||||||||
Yvonne L. Greenstreet4,7 | N/A | N/A | None | None | N/A | N/A | ||||||||||
Linda Griego | 45,031 | 316,813 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Leonade D. Jones | 40,533 | 393,375 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Sharon I. Meers4 | N/A | N/A | $10,001 - $50,000 | Over $100,000 | $10,001 - $50,000 | $50,001 - $100,000 | ||||||||||
Kenneth M. Simril | 58,791 | 176,375 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
Christopher E. Stone | 43,219 | 270,938 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Interested Directors5 | ||||||||||||||||
Brady L. Enright7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Jonathan Knowles10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Anne-Marie Peterson7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Gregory W. Wendt10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
STBF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $3,936 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 3,916 | 392,438 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | �� | 187,500 | None | Over $100,000 | NA | Over $100,000 | |||||||||
Leonard R. Fuller8 | 3,789 | 385,000 | None | $10,001 - $50,000 | $50,001 - $100,000 | Over $100,000 | ||||||||||
Mary Davis Holt | 163 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 4,579 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 3,713 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 5,108 | 300,662 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 4,595 | 272,162 | $1 - $10,000 | $1 - $10,000 | N/A | N/A |
3-23
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Margaret Spellings | 3,223 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile7 | None6 | None6 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
STEX | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $586 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 583 | 392,438 | None | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 564 | 385,600 | None | $10,001 - $50,000 | $1 - $10,000 | Over $100,000 | ||||||||||
Mary Davis Holt | 24 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 683 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 553 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 761 | 300,662 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 683 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 480 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A |
3-24
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
TEBF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $9,226 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 9,179 | 392,438 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 8,882 | 385,600 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||||||
Mary Davis Holt | 400 | 174,959 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 10,699 | 493,687 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 8,704 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 11,978 | 300,662 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 10,802 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 7,552 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
TEFCA | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $1,388 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 1,381 | 392,438 | None | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 1,336 | 385,600 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||||||
Mary Davis Holt | 58 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 1,614 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | $1,310 | 407,599 | None | Over $100,000 | N/A | N/A |
3-25
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Laurel B. Mitchell | 1,802 | 300,662 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 1,622 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 1,137 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
TEFNY | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $138 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 137 | 392,438 | None | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 133 | 385,600 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||||||
Mary Davis Holt | 6 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 160 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 130 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 179 | 300,662 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 162 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 113 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4 | N/A | N/A | $10,000 - $50,000 | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile | None6 | None6 | None | Over $100,000 | N/A | N/A |
3-26
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
WBF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $8,410 | $385,500 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 8,366 | 392,000 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 8,094 | 382,000 | None | $10,001 - $50,000 | $10,001 - $50,000 | Over $100,000 | ||||||||||
Mary Davis Holt | 4,608 | 264,834 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 9,666 | 463,800 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 8,040 | 364,000 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 11,046 | 294,500 | $10, 001 - $50,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 10,567 | 283,500 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 6,798 | 438,400 | None | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile7 | None6 | None6 | $50,000 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
WGI | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
Joseph C. Berenato | $52,114 | $369,525 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Mary Anne Dolan | 42,519 | 428,125 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
John G. Freund | 40,698 | 265,687 | None | None | Over $100,000 | Over $100,000 | ||||||||||
Pedro J. Greer, Jr. | 58,792 | 176,375 | None | None | $50,0001 - $100,000 | Over $100,000 | ||||||||||
R. Clark Hooper | 41,686 | 485,562 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 57,489 | 402,381 | Over $100,000 | Over $100,000 | N/A | N/A |
3-27
Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Leonade D. Jones | 39,366 | 393,375 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Earl Lewis, Jr. | 38,000 | 114,000 | $10,001 - $50,000 | $10,001 - $50,000 | N/A | $50,001 - $100,000 | ||||||||||
Christopher E. Stone | 47,094 | 270,938 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Interested Trustees5 | ||||||||||||||||
Mark E. Denning10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Winnie Kwan7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||||||
Sung Lee7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
WMIF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
Gina F. Adams4,7 | N/A | N/A | $10,001 - $50,000 | $10,001 - $50,000 | N/A | N/A | ||||||||||
Charles E. Andrews | $188,750 | $188,750 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin | 169,300 | 223,925 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Mary Davis Holt | 119,280 | 301,259 | $50,001 - $100,0000 | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 89,833 | 464,644 | $50,001 - $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Laurel B. Mitchell4,7 | N/A | 297,250 | $50, 001 - $100,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Donald L. Nickles | 179,250 | 179,250 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
John Knox Singleton | 229,750 | 229,750 | None | None | Over $100,000 | Over $100,000 | ||||||||||
Margaret Spellings | 85,250 | 439,194 | $10,001 - $50,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Lydia Waters Thomas | 185,625 | 185,625 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Interested Trustees5 | ||||||||||||||||
Alan N. Berro | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Paul F. Roye10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Eric H. Stern7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A |
3-28
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3-29
APPENDIX 4
Executive Officers
Following are the executive officers of each Fund. Each officer listed was appointed and each will hold office until his or her resignation, removal or retirement, or until a successor is duly elected and qualified.
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4-1
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4-2
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4-3
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4-4
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4-5
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4-6
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4-7
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4-8
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4-9
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4-10
APPENDIX 5
Total Shares Outstanding
(as of June 30, 2018)
Fund | All share classes | Fund | All share classes | |||||
AFCTD | 691,288,457 | IBFA | 1,318,540,233 | |||||
AFMF | 469,134,303 | ICA | 2,342,712,001 | |||||
AFPS | 2,366,230,781 | IFA | 4,736,185,896 | |||||
AFRIS | 180,210,406 | IGI | 428,614,234 | |||||
AFTD | 7,130,488,509 | ILBF | 463,472,098 | |||||
AHIM | 407,598,956 | LTEX | 255,668,847 | |||||
AHIT | 1,591,211,252 | MMF | 15,819,828,967 | |||||
AMBAL | 4,762,782,342 | NEF | 436,484,939 | |||||
AMCAP | 1,971,268,845 | NPF | 1,824,300,575 | |||||
AMF | 1,218,943,021 | NWF | 556,468,319 | |||||
BFA | 3,023,274,878 | SBF | 60,335,644 | |||||
CBF | 51,338,491 | SCWF | 720,841,312 | |||||
CIB | 1,742,647,834 | STBF | 612,400,969 | |||||
DWGI | 296,840,054 | STEX | 97,633,858 | |||||
EMBF | 76,215,001 | TEBF | 1,475,286,356 | |||||
EUPAC | 3,070,233,742 | TEFCA | 128,716,675 | |||||
FI | 1,563,628,472 | TEFNY | 22,754,179 | |||||
GBAL | 520,961,850 | WBF | 679,856,348 | |||||
GFA | 3,546,324,130 | WGI | 1,939,193,748 | |||||
GVT | 881,255,377 | WMIF | 2,335,475,261 |
5-1
APPENDIX 6
Principal Beneficial Holders
(as of June 30, 2018)
AFMF | AFTD 2020 | CBF | AFCTD 2036 | CIB | DWGI | |||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||
Hancheck Family Dentistry 401K Plan Individual Investor Morgantown WV | R-2 | 22,428 | 6.81 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
401K Plan #1 Individual Investor University Place WA | R-5 | 7,984 | 6.45 | - | - | 13,077 | 18.50 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
401K Plan #2 Individual Investor Tacoma WA | R-5 | 7,700 | 6.22 | - | - | 12,726 | 18.00 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
401K Plan #3 Individual Investor Gadsden AL | R-5 | 6,471 | 5.22 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Delaware Bankers Association 401K Individual Investor #1 Alloway NJ | R-5E | 3,874 | 54.73 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Delaware Bankers Association 401K Individual Investor #2 Harrington DE | R-5E | 1,682 | 23.77 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Jackson Pathology Association Profit Sharing Plan Individual Investor Dexter MI | R-1 | - | - | 83,650 | 5.97 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
6-1
AFMF | AFTD 2020 | CBF | AFCTD 2036 | CIB | DWGI | |||||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica Individual Investor #1 Horseheads NY | 529-E | - | - | - | - | 4,966 | 5.40 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica Individual Investor #2 Northbrook IL | 529-F-1 | - | - | - | - | 14,239 | 5.67 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Iowa Business Growth Co 401K Plan Individual Investor Johnston IA | R-1 | - | - | - | - | 10,165 | 38.14 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Capital Research & Management Company | R-1 | - | - | - | - | 2,365 | 8.87 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Corporate Account | R-2E | 979 | 9.20 | - | - | 2,365 | 7.43 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Los Angeles CA | R-5E | 975 | 13.78 | - | - | 2,365 | 10.48 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
CB&T Custodian Edwin Fair Community Mental Health Center Inc 403B Plan Greenwood Village Co | R-2E | - | - | - | - | 6,004 | 18.87 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan Individual Investor Slidell LA | R-4 | - | - | - | - | 42,847 | 24.09 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Plastic Surgeons of Lex PLLC 401K Individual Investor Lexington KY | R-4 | - | - | - | - | 27,489 | 15.46 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Piedmont Eye Center Inc 401K PSP&T | R-5 | - | - | - | - | 11,355 | 16.06 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Lynchburg VA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Piedmont Eye Center Inc 401K PSP&T | R-5 | - | - | - | - | 5,199 | 7.35 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Amherst VA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-2
AFMF | AFTD 2020 | CBF | AFCTD 2036 | CIB | DWGI | |||||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Willapa Harbor Hospital | R-5E | - | - | - | - | 11,333 | 50.22 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirment Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Raymond WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Willapa Harbor Hospital | R-5E | - | - | - | - | 2,524 | 11.18 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirment Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Raymond WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Willapa Harbor Hospital | R-5E | - | - | - | - | 2,331 | 10.33 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirment Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor #3 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Raymond WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Willapa Harbor Hospital | R-5E | - | - | - | - | 1,370 | 6.07 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirment Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor #4 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Raymond WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 19,452 | 13.88 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #3 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Greenville NC | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 16,210 | 11.56 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #4 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Greenville NC | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 12,503 | 8.92 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #5 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Richmond VA | �� | |||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 10,676 | 7.62 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #6 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Greenville NC | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 9,639 | 6.88 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #7 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
S Portland ME | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-3
AFMF | AFTD 2020 | CBF | AFCTD 2036 | CIB | DWGI | |||||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-F-1 | - | - | - | - | - | - | 24,630 | 11.82 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #8 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Longmeadow MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-F-1 | - | - | - | - | - | - | 14,059 | 6.75 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #9 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Indianapolis IN | ||||||||||||||||||||||||||||||||||||||||||||||||||||
National Financial Services LLC | R-5 | - | - | - | - | - | - | - | - | 336,679 | 8.51 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Jersey City NJ | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Neurologic Associates Of | R-1 | - | - | - | - | - | - | - | - | - | - | 12,413 | 9.52 | |||||||||||||||||||||||||||||||||||||||
Central Brevard Inc | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Merritt IS FL | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan #1 | R-5E | - | - | - | - | - | - | - | - | - | - | 14,942 | 38.39 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Collingswood NJ | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Lifepoint Financial Solutions 401K Individual Investor Miamisburg OH | R-5E | - | - | - | - | - | - | - | - | - | - | 3,426 | 8.81 | |||||||||||||||||||||||||||||||||||||||
Auto Park Truck 401K Individual Investor Kuna ID | R-5E | - | - | - | - | �� | - | - | - | - | - | - | 2,839 | 7.30 | ||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan #2 Individual Investor Bellmawr NJ | R-5E | - | - | - | - | - | - | - | - | - | - | 1,991 | 5.12 | |||||||||||||||||||||||||||||||||||||||
CT Pest Elimination 401K Plan Individual Investor West Haven CT | R-5E | - | - | - | - | - | - | - | - | - | - | 1,954 | 5.02 | |||||||||||||||||||||||||||||||||||||||
6-4
EMBF | GBAL | GVT | IBFA | IFA | IGI | |||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||
Capital Research & Management Company Corporate Account Los Angeles CA | A 529-E R-1 R-5 R-5E | | 4,393,661 2,723 2,453 2,453 2,453 | | | 14.24 6.43 20.67 6.61 73.09 | | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica Individual Investor #1 Lewisville TX | 529-E | 18,640 | 43.98 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Copeland Surveying Inc Profit Sharing Plan Individual Investor Medford NJ | R-1 | 2,422 | 20.42 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Bird-B-Gone 401K PSP Individual Investor #1 Laguna Beach CA | R-3 | 12,881 | 9.42 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Ocean Machinery Retirement Plan Individual Investor Fort Lauderdale FL | R-3 | 12,814 | 9.37 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Bird-B-Gone 401K PSP Individual Investor #2 Laguna Beach CA | R-3 | 11,755 | 8.59 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Ginsburg Financial Advisors 401(K) Individual Investor Oakland CA | R-4 | 12,606 | 14.85 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Acci 401K PSP Individual Investor Berkeley CA | R-4 | 9,731 | 11.46 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Weber Murphy Fox 401K Retirement Individual Investor North East PA | R-4 | 5,586 | 6.58 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
6-5
EMBF | GBAL | GVT | IBFA | IFA | IGI | |||||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Snyder Fuel Service Inc 401(K) Plan | R-4 | 4,964 | 5.85 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Newport NY | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Solano Sports PT Inc 401K PSP | R-4 | 4,720 | 5.56 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Vacaville CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Dunham Enterprises 401K | R-5 | 12,919 | 34.82 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Poland OH | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Dunham Enterprises 401K | R-5 | 10,498 | 28.29 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Poland OH | ||||||||||||||||||||||||||||||||||||||||||||||||||||
401K Plan #1 | R-5 | 7,276 | 19.61 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cleveland OH | ||||||||||||||||||||||||||||||||||||||||||||||||||||
R.B. Smith Company Assoc. Inc. | R-5 | 2,487 | 6.71 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Valparaiso IN | ||||||||||||||||||||||||||||||||||||||||||||||||||||
O’Connor Law Group P C 401K PSP | R-5E | 323 | 9.64 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Laguna Beach CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Korean Health ED Info Ref Cntr 403B | R-5E | 188 | 5.62 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Los Angeles CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
The Financial SVCS Network 401K | R-5E | 185 | 5.54 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Carmichael CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Sole Proprietor 401K PSP | R-5E | - | - | 3,591 | 23.10 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Orinda CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
CT Pest Elimination 401K Plan | R-5E | - | - | 1,257 | 8.09 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
West Haven CT | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-6
EMBF | GBAL | GVT | IBFA | IFA | IGI | |||||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Roberts & Durkee PA 401K Plan | R-5E | - | - | 1,256 | 8.08 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Coral Gables FL | ||||||||||||||||||||||||||||||||||||||||||||||||||||
CT Pest Elimination 401K Plan | R-5E | - | - | 1,191 | 7.66 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
West Haven CT | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Watermark Financial Serv Inc 401K | R-5E | - | - | 982 | 6.32 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Hilbert WI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Aftermarket Specialty 401K Plan | R-5E | - | - | 884 | 5.69 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cheshire CT | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Proto & Loskey 401(K) PSP | R-5E | - | - | 876 | 5.64 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Olean NY | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Oxford Architecture 401(K) Plan | R-5E | - | - | - | - | 5,472 | 11.44 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Nashville TN | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Willapa Harbor Hospital | R-5E | - | - | - | - | 3,774 | 7.89 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirment Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Raymond WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cutting Edge Cabinet Inc 401K PSP | R-5E | - | - | - | - | 2,628 | 5.49 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Idaho Falls ID | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Pinellas Primary Care Inc 401K PSP | R-5E | - | - | - | - | 2,469 | 5.16 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Tampa FL | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Wealth Management Associates | R-5E | - | - | - | - | - | - | 9,324 | 12.08 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Eagle ID | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan | R-5E | - | - | - | - | - | - | 5,221 | 6.76 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Thornton PA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-7
EMBF | GBAL | GVT | IBFA | IFA | IGI | |||||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Door Creek Financial 401K Plan | R-5E | - | - | - | - | - | - | 4,161 | 5.39 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cottage Grove WI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
401K Plan #2 | R-5E | - | - | - | - | - | - | 3,890 | 5.04 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Hillsborough CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
National Financial Services LLC | R-5 | - | - | - | - | - | - | - | - | 973,637 | 5.05 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Jersey City NJ | ||||||||||||||||||||||||||||||||||||||||||||||||||||
United Processing PSP | R-5E | - | - | - | - | - | - | - | - | - | - | 2,834 | 12.36 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Chicago IL |
ILBF | MMF | PSCGI | PSGG | PSMGI | PSP | |||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||
401K Plan | R-4 | 60,686 | 12.87 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||
West Chester PA | ||||||||||||||||||||||||||||||||||||||||||||||||||
Icenogle & Boggins 401K Plan | R-5 | 41,936 | 18.49 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||
Austin TX | ||||||||||||||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan | R-5 | 15,349 | 6.77 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||
Roanoke VA | ||||||||||||||||||||||||||||||||||||||||||||||||||
Dunham Enterprises 401K | R-5 | 13,567 | 5.98 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||
Poland OH | ||||||||||||||||||||||||||||||||||||||||||||||||||
6-8
ILBF | MMF | PSCGI | PSGG | PSMGI | PSP | |||||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Individual Investor | R-5E | - | - | 2,474,003 | 21.05 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Hillsdale MI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | 29,228 | 5.69 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Vienna VA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
National Financial Services LLC | R-1 | - | - | - | - | 27,628 | 19.60 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Account | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Jersey City NJ | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Capital Research & Management Company | R-2E | - | - | - | - | 828 | 7.17 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Corporate Account | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Los Angeles CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Healthy Solutions Inc | R-5 | - | - | - | - | 42,391 | 7.69 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Overland Park KS | ||||||||||||||||||||||||||||||||||||||||||||||||||||
NW Portland Dental 401K Plan | R-5E | - | - | - | - | 26,788 | 10.98 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Portland OR | ||||||||||||||||||||||||||||||||||||||||||||||||||||
CB&T Custodian | R-2E | - | - | - | - | - | - | 12,902 | 7.94 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Edwin Fair Community | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Mental Health Center Inc 403B Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Greenwood Village Co | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Compton Wealth Advisory GRP 401K | R-5 | - | - | - | - | - | - | 28,355 | 5.73 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Virginia Beach VA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Premier Builders Inc 401K Plan | R-5E | - | - | - | - | - | - | 11,488 | 16.95 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Georgetown MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Shamrock Wealth Management 401K | R-5E | - | - | - | - | - | - | 10,301 | 15.20 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Saint Paul MN | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-9
ILBF | MMF | PSCGI | PSGG | PSMGI | PSP | |||||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Talent Advantage Group LLC 401K | R-5E | - | - | - | - | - | - | 7,243 | 10.69 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Rochester MI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Talent Advantage Group LLC 401K | R-5E | - | - | - | - | - | - | 7,216 | 10.65 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Rochester MI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Lexington Financial 401K Plan | R-5E | - | - | - | - | - | - | 5,350 | 7.89 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Bradenton FL | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cohen Investment Advisors LLC 401K | R-5E | - | - | - | - | - | - | 4,065 | 6.00 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Manchester NH | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Thompson Consulting Group Inc 401K | R-5 | - | - | - | - | - | - | - | - | 107,162 | 7.33 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Tacoma WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Tabco Inc | R-4 | - | - | - | - | - | - | - | - | - | - | 64,271 | 5.30 | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Baltimore MD | ||||||||||||||||||||||||||||||||||||||||||||||||||||
TMTC 401K Plan | R-5 | - | - | - | - | - | - | - | - | - | - | 23,813 | 10.37 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Houston TX | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Lankford Fendler & Associates 401K | R-5 | - | - | - | - | - | - | - | - | - | - | 21,321 | 9.28 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Kansas City MO | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan | R-5 | - | - | - | - | - | - | - | - | - | - | 18,404 | 8.01 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Newton MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Davis Harrison Dion Inc 401K PSP | R-5 | - | - | - | - | - | - | - | - | - | - | 17,328 | 7.55 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
New Lenox IL | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-10
ILBF | MMF | PSCGI | PSGG | PSMGI | PSP | |||||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Desanctis Insurance Agency 401K PSP | R-5 | - | - | - | - | - | - | - | - | - | - | 13,477 | 5.87 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Westford MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Spectra Associates Inc 401K PSP | R-5E | - | - | - | - | - | - | - | - | - | - | 3,750 | 15.80 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Moorestown NJ | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Prieto Machine Company Inc 401K | R-5E | - | - | - | - | - | - | - | - | - | - | 2,330 | 9.82 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Quakertown PA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Waterford Township | R-5E | - | - | - | - | - | - | - | - | - | - | 2,020 | 8.51 | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Waterford PA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Dermatology & Skin Surgery CTR 401K | R-5E | - | - | - | - | - | - | - | - | - | - | 1,642 | 6.92 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Marstons Mills MA |
RIC | RIE | RIM | SBF | STBF | TEFNY | |||||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
National Financial Services LLC | R-1 | - | - | 1,885 | 32.15 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Account | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Jersey City NJ | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-11
RIC | RIE | RIM | SBF | STBF | TEFNY | |||||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
401K Plan | R-4 | - | - | - | - | 3,252 | 9.21 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Honolulu HI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Capital Research & Management Company | A | - | - | - | - | - | - | 3,702,681 | 8.93 | - | - | 3,106,801 | 17.75 | |||||||||||||||||||||||||||||||||||||||
Corporate Account | F-1 | - | - | - | - | - | - | - | - | - | - | 42,000 | 21.13 | |||||||||||||||||||||||||||||||||||||||
Los Angeles CA | R-1 | - | - | 1,000 | 17.05 | 1,000 | 8.53 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
R-2E | 1,000 | 100.00 | 1,000 | 100.00 | 1,000 | 100.00 | 2,500 | 43.31 | - | - | - | - | ||||||||||||||||||||||||||||||||||||||||
R-5 | 1,000 | 100.00 | 1,000 | 100.00 | 1,000 | 83.95 | - | - | - | - | - | - | ||||||||||||||||||||||||||||||||||||||||
R-5E | - | - | 970 | 100.00 | 977 | 100.00 | 2,500 | 23.62 | - | - | - | - | ||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 9,224 | 7.88 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Bristol RI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 7,114 | 6.07 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Manchester MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 7,019 | 5.99 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #3 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Daniel Island SC | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 6,871 | 5.87 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #4 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Belmont MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Bloom Hochberg & Co PC 401K | R-2 | - | - | - | - | - | - | 14,726 | 8.29 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Massapequa Park NY | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Heart Center of Acadiana Inc 401K | R-2 | - | - | - | - | - | - | 11,831 | 6.66 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Lafayette LA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Fennell and Associates Inc | R-2 | - | - | - | - | - | - | 10,739 | 6.04 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Marietta OK | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-12
RIC | RIE | RIM | SBF | STBF | TEFNY | |||||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Southwest Michigan Center | R-3 | - | - | - | - | - | - | 19,977 | 7.70 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
St Joseph MI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Compreh Infect Disease CTR 401K PSP | R-3 | - | - | - | - | - | - | 18,652 | 7.19 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Tulsa OK | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Poplar Bluff Radiology 401K PSP | R-3 | - | - | - | - | - | - | 14,675 | 5.66 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Poplar Bluff MO | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Central Coast Emergency Physicians Inc | R-4 | - | - | - | - | - | - | 14,170 | 6.08 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
401K Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Templeton CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Stone Oven Bakery Inc 401K PSP | R-5 | - | - | - | - | - | - | 18,467 | 25.83 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cleveland Heights OH | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Stone Oven Bakery Inc 401K PSP | R-5 | - | - | - | - | - | - | 11,908 | 16.65 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cleveland Heights OH | ||||||||||||||||||||||||||||||||||||||||||||||||||||
401K Plan | R-5 | - | - | - | - | - | - | 11,754 | 16.44 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Peoria IL | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan | R-5 | - | - | - | - | - | - | 7,546 | 10.55 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cleveland OH | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Scott Trucking Service Inc. PSP | R-5 | - | - | - | - | - | - | 5,224 | 7.31 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Lawton MI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-13
RIC | RIE | RIM | SBF | STBF | TEFNY | |||||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Lubatkin Fin Group | R-5 | - | - | - | - | - | - | 4,965 | 6.94 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Fort Lee NJ | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cutting Edge Cabinet Inc | R-5E | - | - | - | - | - | - | 4,392 | 41.50 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Idaho Falls ID | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cutting Edge Cabinet Inc | R-5E | - | - | - | - | - | - | 2,867 | 27.09 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Idaho Falls ID | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Retirement Plan | R-5E | - | - | - | - | - | - | - | - | 6,742 | 15.59 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Stonington CT | ||||||||||||||||||||||||||||||||||||||||||||||||||||
HY-Rock Excavation LLC | R-5E | - | - | - | - | - | - | - | - | 6,531 | 15.11 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Logandale NV | ||||||||||||||||||||||||||||||||||||||||||||||||||||
HY-Rock Excavation LLC | R-5E | - | - | - | - | - | - | - | - | 5,980 | 13.83 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Logandale NV | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Stevenson-Seeley Inc 401K Plan | R-5E | - | - | - | - | - | - | - | - | 4,927 | 11.40 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Philadelphia PA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Egumball 401K Plan | R-5E | - | - | - | - | - | - | - | - | 4,258 | 9.85 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Tustin CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Columbia Gem House 401K RTMT Plan | R-5E | - | - | - | - | - | - | - | - | 3,647 | 8.44 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Vancouver WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
401K Plan | R-5E | - | - | - | - | - | - | - | - | 2,976 | 6.88 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Los Angeles CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-14
WBF | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Name and Address | Class | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||||||||||||
Willapa Harbor Hospital | R-5E | 8,156 | 9.70 | |||||||||||||||||||||||||||||||||||||||||||||||||
Retirment Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Raymond WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
North Bridge Podiatry 401K PSP | R-5E | 6,658 | 7.92 | |||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Acton MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
401K Plan | R-5E | 4,205 | 5.00 | |||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Flint MI |
Note: If a Fund is not listed, no shareholders of the Fund are known by the Fund to have been the beneficial owners of more than 5% of any class of the Fund’s shares as of June 30, 2018.
6-15
Appendix 7
Independent Auditors and Related Fees
Audit Fees | Audit-Related Fees | Tax Fees | Aggregate Non-Audit Fees | |||||||||||||||||||||||||||||||||||||
Fund | FYE | Audit Firm | 2018 | 2017 | 2018 | 2017 | 2018 | 2017 | 2018 | 2017 | ||||||||||||||||||||||||||||||
AMCAP | Feb 28/29 | D&T | $ | 98,000 | $ | 110,000 | $ | 14,000 | $ | 14,000 | $ | 14,000 | $ | 8,000 | $ | 1,124,000 | $ | 1,485,000 | ||||||||||||||||||||||
EUPAC | Mar 31 | D&T | 139,000 | 140,000 | 42,000 | 36,000 | 33,000 | 36,000 | 1,197,000 | 1,378,000 | ||||||||||||||||||||||||||||||
IGI | June 30 | D&T | 107,000 | 122,000 | 3,000 | 3,000 | 15,000 | 12,000 | 960,000 | 1,408,000 | ||||||||||||||||||||||||||||||
WMIF | April 30 | PwC | 137,000 | 110,000 | None | None | 9,000 | 9,000 | 9,000 | 28,000 | ||||||||||||||||||||||||||||||
CBF | May 31 | PwC | 106,000 | 83,000 | None | None | 9,000 | 9,000 | 60,000 | 11,000 | ||||||||||||||||||||||||||||||
Audit Fees | Audit-Related Fees | Tax Fees | Aggregate Non-Audit Fees | |||||||||||||||||||||||||||||||||||||
Fund | FYE | Audit Firm | 2017 | 2016 | 2017 | 2016 | 2017 | 2016 | 2017 | 2016 | ||||||||||||||||||||||||||||||
AFCTD | Oct 31 | D&T | 59,000 | 59,000 | 2,000 | 1,000 | 25,000 | 28,000 | 1,409,000 | 1,222,000 | ||||||||||||||||||||||||||||||
AFMF | Aug 31 | PwC | 78,000 | 71,000 | None | None | 7,000 | 7,000 | 7,000 | 37,000 | ||||||||||||||||||||||||||||||
AFPS | Oct 31 | D&T | 68,000 | 81,000 | 7,000 | 6,000 | 30,000 | 29,000 | 1,419,000 | 1,228,000 | ||||||||||||||||||||||||||||||
AFRIS | Oct 31 | D&T | 28,000 | 17,000 | 274 | 70 | 7,000 | 4,000 | 1,389,000 | 1,196,000 | ||||||||||||||||||||||||||||||
AFTD | Oct 31 | D&T | 84,000 | 97,000 | 16,000 | 11,000 | 40,000 | 39,000 | 1,438,000 | 1,243,000 | ||||||||||||||||||||||||||||||
AHIM | July 31 | PwC | 80,000 | 61,000 | None | None | 8,000 | 8,000 | 8,000 | 38,000 | ||||||||||||||||||||||||||||||
AHIT | Sept 30 | D&T | 174,000 | 169,000 | 4,000 | 5,000 | 8,000 | 8,000 | 1,364,000 | 1,235,000 | ||||||||||||||||||||||||||||||
AMBAL | Dec 31 | D&T | 141,000 | 112,000 | 29,000 | 27,000 | 10,000 | 9,000 | 1,554,000 | 1,281,000 | ||||||||||||||||||||||||||||||
AMF | Oct 31 | D&T | 96,000 | 105,000 | 12,000 | 11,000 | 8,000 | 8,000 | 1,401,000 | 1,211,000 | ||||||||||||||||||||||||||||||
BFA | Dec 31 | D&T | 250,000 | 177,000 | 9,000 | 9,000 | 8,000 | 8,000 | 1,533,000 | 1,262,000 | ||||||||||||||||||||||||||||||
CIB | Oct 31 | PwC | 177,000 | 182,000 | None | None | 9,000 | 9,000 | 62,000 | 22,000 | ||||||||||||||||||||||||||||||
DWGI | Nov 30 | D&T | 127,000 | 123,000 | 1,000 | 1,000 | 6,000 | 6,000 | 1,183,000 | 1,464,000 |
7-1
Audit Fees | Audit-Related Fees | Tax Fees | Aggregate Non-Audit Fees | |||||||||||||||||||||||||||||||||||
Fund | FYE | Audit Firm | 2017 | 2016 | 2017 | 2016 | 2017 | 2016 | 2017 | 2016 | ||||||||||||||||||||||||||||
EMBF | Dec 31 | D&T | $ | 77,000 | $ | 28,000 | None | None | $ | 3,000 | None | $ | 1,518,000 | $ | 1,244,000 | |||||||||||||||||||||||
FI | Dec 31 | D&T | 115,000 | 105,000 | $ | 22,000 | $ | 23,000 | 8,000 | $ | 11,000 | 1,546,000 | 1,278,000 | |||||||||||||||||||||||||
GBAL | Oct 31 | D&T | 94,000 | 103,000 | 3,000 | 3,000 | 11,000 | 15,000 | 1,396,000 | 1,211,000 | ||||||||||||||||||||||||||||
GFA | Aug 31 | D&T | 127,000 | 103,000 | 54,000 | 24,000 | 9,000 | 12,000 | 1,528,000 | 1,239,000 | ||||||||||||||||||||||||||||
GVT | Aug 31 | D&T | 124,000 | 105,000 | 3,000 | 1,000 | 8,000 | 8,000 | 1,528,000 | 1,212,000 | ||||||||||||||||||||||||||||
IBFA | Aug 31 | D&T | 141,000 | 121,000 | 5,000 | 2,000 | 8,000 | 8,000 | 1,477,000 | 1,213,000 | ||||||||||||||||||||||||||||
ICA | Dec 31 | D&T | 124,000 | 113,000 | 22,000 | 23,000 | 8,000 | 8,000 | 1,546,000 | 1,275,000 | ||||||||||||||||||||||||||||
IFA | July 31 | D&T | 184,000 | 165,000 | 30,000 | 30,000 | 11,000 | 10,000 | 1,388,000 | 644,000 | ||||||||||||||||||||||||||||
ILBF | Nov 30 | PwC | 62,000 | 53,000 | None | None | 6,000 | 5,000 | 56,000 | 35,000 | ||||||||||||||||||||||||||||
LTEX | July 31 | PwC | 75,000 | 56,000 | None | None | 8,000 | 8,000 | 8,000 | 38,000 | ||||||||||||||||||||||||||||
MMF | Sept 30 | PwC | 50,000 | 53,000 | None | None | 7,000 | 7,000 | 58,000 | 35,000 | ||||||||||||||||||||||||||||
NEF | Nov 30 | PwC | 134,000 | 125,000 | None | None | 9,000 | 9,000 | 60,000 | 39,000 | ||||||||||||||||||||||||||||
NPF | Sept 30 | D&T | 92,000 | 98,000 | 14,000 | 18,000 | 14,000 | 14,000 | 1,381,000 | 1,254,000 | ||||||||||||||||||||||||||||
NWF | Oct 31 | D&T | 122,000 | 126,000 | 8,000 | 7,000 | 26,000 | 44,000 | 1,445,000 | 1,273,000 | ||||||||||||||||||||||||||||
SBF | Dec 31 | D&T | 74,000 | 26,000 | None | None | 3,000 | None | 1,518,000 | 1,244,000 | ||||||||||||||||||||||||||||
SCWF | Sept 30 | D&T | 167,000 | 169,000 | 7,000 | 9,000 | 27,000 | 56,000 | 1,387,000 | 1,286,000 | ||||||||||||||||||||||||||||
STBF | Aug 31 | PwC | 74,000 | 66,000 | None | None | 7,000 | 7,000 | 7,000 | 37,000 | ||||||||||||||||||||||||||||
STEX | July 31 | PwC | 63,000 | 44,000 | None | None | 7,000 | 7,000 | 7,000 | 37,000 | ||||||||||||||||||||||||||||
TEBF | July 31 | PwC | 126,000 | 108,000 | None | None | 17,000 | 8,000 | 17,000 | 38,000 | ||||||||||||||||||||||||||||
TEFCA | July 31 | PwC | 107,000 | 87,000 | None | None | 8,000 | 8,000 | 8,000 | 38,000 | ||||||||||||||||||||||||||||
TEFNY | July 31 | PwC | 75,000 | 56,000 | None | None | 7,000 | 7,000 | 7,000 | 37,000 | ||||||||||||||||||||||||||||
WBF | Dec 31 | D&T | 263,000 | 5,000 | 3,000 | None | 16,000 | None | 1,535,000 | 105,000 | ||||||||||||||||||||||||||||
WGI | Nov 30 | PwC | 145,000 | 136,000 | None | None | 9,000 | 9,000 | 60,000 | 39,000 |
7-2
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AMERICAN FUNDS® - PROXY CARD
FOR THE SPECIAL MEETING(S) OF SHAREHOLDERS TO BE HELD ON NOVEMBER 28, 2018
THIS PROXY IS SOLICITED ON BEHALF OF THE BOARD OF DIRECTORS/TRUSTEES
The undersigned hereby acknowledges receipt of the Notice of Special Meetings of Shareholders and the accompanying Joint Proxy Statement. The undersigned, revoking all previous proxies, hereby appoints Paul F. Roye and Erik A. Vayntrub, and each of them, his/her true and lawful agents and proxies with full power of substitution to represent and vote on behalf of the undersigned at the Special Shareholder Meeting of each Fund listed below to be held at the office of Capital Group, 333 South Hope Street, Los Angeles, CA 90071 on Wednesday, November 28, 2018 at 9:00 a.m. Pacific time, and any adjournments or postponements thereof on all matters coming before the meeting.
This proxy when properly executed will be voted in the manner directed herein by the undersigned shareholder or, if no direction is indicated, “FOR” each director/trustee nominee in Proposal 1A-1H, and in accordance with the discretion of the proxies as to any other matter that is properly presented at the Special Meeting(s) of Shareholders.
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AFS_30092_082218
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A Proposal
1A. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
1B. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
1C. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
1D. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
1E. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
1F. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
1G. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
1H. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
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.
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Article for Investor website
SEPTEMBER 10, 2018
Vote on important proposal to elect board members of your fund(s)
As an American Funds and/or American Funds Insurance Series® shareholder, you were sent proxy statements and ballots to vote on an important proposal for the upcoming American Funds shareholder meetings. This measure is designed primarily to streamline fund administration and to provide the funds with more operational flexibility.
What is the proposal? Shareholders are asked to vote on one proposal — the election of board members for each fund in which they invest. The election of the nominated board slates (comprised of both current board members and newly nominated candidates) is intended to give each fund more flexibility and create efficiency, which will help manage the costs of the funds over the long term. How do I vote? Shareholders received either a complete kit containing the full proxy statement and ballot or a notice outlining the proposal and informing shareholders how to access more detailed proxy and voting material. Shareholders with multiple accounts may receive multiple mailings. In this case, shareholders should vote all ballots they receive. The board of each fund believes that election of the proposed board member slate is in the best interests of shareholders and recommends that shareholders vote ‘FOR’ each of the nominees. We want to hear from you As an American Funds and/or American Funds Insurance Series shareholder, your participation in this proxy vote is key. We encourage you to read the materials you received, as they contain important information regarding the proposal. To cast your vote now, go toamericanfunds.com/vote or call the telephone number listed on your proxy card(s). Be sure to have your proxy materials handy as you will need your control number and security code before voting online. You can also vote by mailing in your signed, dated and completed ballot(s). By responding promptly, you will help reduce fund expenses by avoiding the need for follow-up solicitations. If you have questions or would like more information, please contact us.
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PLEASE USE THE 14-DIGITCONTROL NUMBER & 8-DIGITSECURITY CODE LISTED IN THE BOXES BELOW 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.Article for Advisor website
SEPTEMBER 10, 2018
Shareholder vote on important proposal to elect board members of American Funds
All American Funds and/or American Funds Insurance Series® shareholders were sent proxy statements and ballots to vote on an important proposal for the upcoming American Funds shareholder meetings. This measure is designed primarily to streamline fund administration and to provide the funds with more operational flexibility.
Please alert your clients who are invested in American Funds and/or American Funds Insurance Series that they will receive proxy materials for each account by mail. Encourage them to vote promptly in order to avoid receiving follow-up phone calls and mailings about this important proxy measure.
What is the proposal?
Shareholders are asked to vote on one proposal — the election of board members for each fund in which they invest. The election of the nominated board slates (comprised of both current board members and newly nominated candidates) is intended to give each fund more flexibility and create efficiency, which will help manage the costs of the funds over the long term.
How do shareholders vote?
Shareholders received either a complete kit containing the full proxy statement and ballot or a notice outlining the proposal and informing shareholders how to access more detailed proxy and voting material. Shareholders with multiple accounts may receive multiple mailings. In this case, shareholders should vote all ballots they receive.
The board of each fund believes that election of the proposed board member slate is in the best interests of shareholders and recommends that shareholders vote ‘FOR’ each of the nominees.
We want to hear from shareholders
Shareholder participation in this proxy vote is key. We recommend that you encourage shareholders to read the materials they received, as they contain important information regarding the proposal.
To cast their vote now, shareholders may go toamericanfunds.com/vote or call the telephone number listed on their proxy card(s). Shareholders should be sure to have their proxy materials handy as they will need their control number and security code before voting online. Shareholders can also vote by mailing in their signed, dated and completed ballots. By responding promptly, shareholders will help reduce fund expenses by avoiding the need for follow-up solicitations. If you have questions or would like more information, please contact us.
Article for Institutional website
SEPTEMBER 10, 2018
Shareholder vote on important proposal to elect board members of American Funds and Capital Group funds
All American Funds and Capital Group funds shareholders or their representatives were sent proxy statements and ballots to vote on an important proposal for the upcoming American Funds and Capital Group funds shareholder meetings. This measure is designed primarily to streamline fund administration and to provide the funds with more operational flexibility.
As a shareholder, itWhat is importantthe proposal?
Shareholders or their representatives are asked to vote on one proposal — the election of board members for youeach fund in which the shareholders invest. The election of nominated board slates (comprised of both current board members and newly nominated candidates) is intended to vote!
Ongive each fund more flexibility and create efficiency, which will help manage the back of this Notice, you will find a proposal summary that requires a shareholder vote at the Special Meetings of Shareholderscosts of the American Funds (together,funds over the “Shareholder Meeting”).long term.
This communication presents only an overview ofHow do shareholders or their representatives vote?
Shareholders or their representatives received either a complete kit containing the full proxy statement and ballot or a notice outlining the proposal and informing shareholders how to access more completedetailed proxy material that is available to you on the Internetand voting material. Shareholders with multiple accounts may receive multiple mailings. In this case, shareholders or by mail and is NOT a form for voting.their representatives should vote all ballots they receive.
The Proxy Statement forboard of each fund believes that election of the Shareholder Meetingproposed board member slate is in the best interests of shareholders and Formrecommends that shareholders or their representatives vote ‘FOR’ each of Proxy Card are available at:
https://www.proxy-direct.com/afs-30092the nominees.
If youWe want to receive a paper copy ofhear from shareholders
Shareholder participation in this proxy vote is key. We recommend that you encourage shareholders to read the proxy material or an email with a link to the proxy material, you must request them. There is no charge to you for requesting a copy. Paper material will be mailed to the address on file within three business days of receipt of the request. Please make your requestmaterials they received, as soon as possible, but no later than November 19, 2018, to facilitate timely delivery. The Shareholder Meeting will be held on Wednesday, November 28, 2018, at 9:00 a.m., Pacific time, at the office of Capital Group, 333 South Hope Street, Los Angeles, CA 90071.
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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American Funds Holdings:
The following matter will be considered at the Shareholder Meeting:
THE BOARD OF DIRECTORS/TRUSTEES OF EACH APPLICABLE FUND RECOMMENDS THAT YOU VOTE “FOR” EACH BOARD MEMBER NOMINEE:
If you wish to attend and vote at the Shareholder Meeting, please bring this Notice and proper photo identification with you.
Please refer to the Proxy Material for further details onthey contain important information regarding the proposal.
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Common Questions about Notice and Access
To cast their vote now, shareholders or their representatives may go toWhy am I receiving a Notice of Internet Availability instead of a Proxy Card and Proxy Statement?
americanfunds.com/vote
Your Fund(s) has elected or call the telephone number listed on their proxy card(s). Shareholders or their representatives should be sure to utilize a distribution model authorized by the Securities and Exchange Commission (“SEC”) in 2007. This model, knownhave their proxy materials handy as Notice and Access, allows mutual funds and public companies to send you a Notice instead of a full set of printed proxy material. As a shareholder, you can select the means by which you access the proxy material.
You can view the material online, or request a full set of printed material 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 material, set my preference for future shareholder meeting material, and record my vote?
On the front side of this Notice are easy-to-follow instructions on how to access proxy material electronically or request a full set of printed material.
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 phonethey will need their control number and is displayed onsecurity code before voting online. Shareholders or their representatives can also vote by mailing in their signed, dated and completed ballots. By responding promptly, shareholders will help reduce fund expenses by avoiding the website.need for follow-up solicitations. If you want to vote via U.S. Mail, you will need to request a paper copy of the material to receive a Proxy Card and Return Envelope.have questions or would like more information, please contact us.
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 material, how long will it take for me to receive them?
The SEC rule requires that the material be sent via first class mail within three business days of receipt of your request.
AFS_30092_NA_083118