EXHIBIT K
CONTROL PERSONS AND PRINCIPAL HOLDERS OF SECURITIES
As of January 13, 2009, the following are all of the beneficial and record owners of more than five percent of each class of each Fund known to the Fund. Except where indicated with an asterisk, the owners listed are record owners. These entities hold these shares of record for the accounts of certain of their clients and have informed the Funds of their policy to maintain the confidentiality of holdings in their client accounts, unless disclosure is expressly required by law.
NEUBERGER BERMAN EQUITY FUNDS
| | | | | | | Amount and | | |
| | | | | | | Nature of | | Percentage |
| | | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| Neuberger Berman | | Investor | | — | | — | | — |
| Century Fund | | | | | | | | |
| Neuberger Berman | | Institutional | | RIDGE CLEARING AND | | 239,851.370 | | 100.00% |
| Climate Change Fund | | | | OUTSOURCING | | | | |
| | | | | FBO 541-18066-14 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | A | | ROBERT A KAVESH | | 28,142.590 | | 12.44% |
| | | | | 60 E 8TH ST APT 32B | | | | |
| | | | | NEW YORK NY 10003-6501 | | | | |
| | | | | | | | |
| | | | | RIDGE CLEARING AND | | 19,947.840 | | 8.82% |
| | | | | OUTSOURCING | | | | |
| | | | | FBO 541-00911-19 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | | | | | | |
| | | | | RIDGE CLEARING AND | | 19,916.800 | | 8.80% |
| | | | | OUTSOURCING | | | | |
| | | | | FBO 541-00926-12 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | | | | | | |
| | | | | RIDGE CLEARING AND | | 19,554.670 | | 8.64% |
| | | | | OUTSOURCING | | | | |
| | | | | FBO 541-01878-18 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | | | | | | |
| | | | | RIDGE CLEARING AND | | 15,202.850 | | 6.72% |
| | | | | OUTSOURCING | | | | |
| | | | | FBO 541-25718-11 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
K-1
| | | | | | | Amount and | | |
| | | | | | | Nature of | | Percentage |
| | | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | | | MLPF&S FOR THE SOLE BENEFIT | | 13,435.700 | | 5.94% |
| | | | | OF ITS CUSTOMERS | | | | |
| | | | | ATTN FUND ADMINISTRATION | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| | | | | | | | |
| | | | | RIDGE CLEARING AND | | 12,607.780 | | 5.57% |
| | | | | OUTSOURCING | | | | |
| | | | | FBO 538-84171-14 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | | | | | | |
| | | | | LPL FINANCIAL | | 12,341.870 | | 5.45% |
| | | | FBO CUSTOMER ACCOUNTS | | | | |
| | | | | ATTN MUTUAL FUND | | | | |
| | | | | OPERATIONS | | | | |
| | | | | PO BOX 509046 | | | | |
| | | | | SAN DIEGO CA 92150-9046 | | | | |
| | | C | | RIDGE CLEARING AND | | 10,430.850 | | 55.70% |
| | | | | OUTSOURCING | | | | |
| | | | | FBO 541-18065-15 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| |
| | | | | BARCLAYS CAPITAL INC. | | 6,114.210 | | 32.65% |
| | | | | 835-57940-10 | | | | |
| | | | | 70 HUDSON STREET | | | | |
| | | | | 7TH FLOOR | | | | |
| | | | JERSEY CITY NJ 07302-4585 | | | | |
| | | | | MERRILL LYNCH PIERCE | | 937.080 | | 5.00% |
| | | | FENNER & SMITH INC FUND | | | | |
| |
| | | | | ADMINISTRATION | | | | |
| | | | | ATTN SERVICE TEAM | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| Neuberger Berman | | Institutional | | RIDGE CLEARING AND | | 288,285.060 | | 100.00% |
| Emerging | | | | OUTSOURCING | | | | |
| Markets Equity | | | | 2 JOURNAL SQ PLAZA | | | | |
| Fund | | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | A | | RIDGE CLEARING AND | | 9,886.030 | | 100.00% |
| | | | | OUTSOURCING | | | | |
| | | | | 2 JOURNAL SQ PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | C | | RIDGE CLEARING AND | | 10,273.320 | | 100.00% |
| | | | | OUTSOURCING | | | | |
| | | | | 2 JOURNAL SQ PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
K-2
| | | | | | | Amount and | | |
| | | | | | | Nature of | | Percentage |
| | | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| Neuberger Berman | | Institutional | | RIDGE CLEARING AND | | 9,176.390 | | 100.00% |
| Equity Income | | | | OUTSOURCING | | | | |
| Fund | | | | FBO 541-18061-19 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | A | | RIDGE CLEARING AND | | 235,036.730 | | 8.99% |
| | | | | OUTSOURCING | | | | |
| | | | | FBO 541-01915-13 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| |
| | | | | RIDGE CLEARING AND | | 163,201.930 | | 6.24% |
| | | | | OUTSOURCING | | | | |
| | | | | FBO 541-01210-15 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| |
| | | | | RIDGE CLEARING AND | | 158,055.890 | | 6.05% |
| | | | | OUTSOURCING | | | | |
| | | | | FBO 541-01222-11 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | C | | MLPF&S FOR THE SOLE BENEFIT | | 40,128.270 | | 29.02% |
| | | | | OF ITS CUSTOMERS | | | | |
| | | | | ATTN FUND ADMINISTRATION | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| |
| | | | | LPL FINANCIAL | | 18,150.640 | | 13.13% |
| | | | | A/C 6252-5982 | | | | |
| | | | | 9785 TOWNE CENTRE DR | | | | |
| | | | | SAN DIEGO CA 92121-1968 | | | | |
| | | | | | | | |
| | | | | LPL FINANCIAL | | 13,607.970 | | 9.84% |
| | | | | A/C 3184-2142 | | | | |
| | | | | 9785 TOWNE CENTRE DR | | | | |
| | | | | SAN DIEGO CA 92121-1968 | | | | |
| Neuberger Berman | | Investor | | CHARLES SCHWAB & CO INC | | 2,209,131.700 | | 6.33% |
| Focus Fund | | | | ATTN MUTUAL FUNDS | | | | |
| | | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | | Trust | | NATIONAL FINANCIAL SERV CORP | | 409,551.080 | | 17.15% |
| | | | | FOR THE EXCLUSIVE BENEFIT OF | | | | |
| | | | | OUR CUSTOMERS | | | | |
| | | | | PO BOX 3908 | | | | |
| | | | | CHURCH ST STATION | | | | |
| | | | | NEW YORK NY 10008-3908 | | | | |
K-3
| | | | | | | Amount and | | |
| | | | | | | Nature of | | Percentage |
| | | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | | | DELAWARE CHARTER | | 369,432.120 | | 15.47% |
| | | | | GUARANTEE & TRUST | | | | |
| | | | | CUST FBO PRINCIPAL | | | | |
| | | | | FINANCIAL GROUP | | | | |
| | | | ATTN RIS NPIO TRADE DESK | | | | |
| | | | | 711 HIGH ST | | | | |
| | | | DES MOINES IA 50392-0001 | | | | |
| |
| | | | | NATIONWIDE TRUST CO | | 253,470.380 | | 10.61% |
| | | | | FSB C/O IPO PORTFOLIO | | | | |
| | | | | ACCOUNTING | | | | |
| | | | | PO BOX 182029 | | | | |
| | | | | COLUMBUS OH 43218-2029 | | | | |
| | | | | | | | |
| | | | | CITIGROUP GLOBAL | | 233,571.940 | | 9.78% |
| | | | | MARKETS INC. | | | | |
| | | | | 00109801250 | | | | |
| | | | | 388 GREENWICH ST | | | | |
| | | | | NEW YORK NY 10013-2375 | | | | |
| | | | | | | | |
| | | | | DELAWARE CHARTER | | 194,729.270 | | 8.15% |
| | | | | GUARANTEE & TRUST | | | | |
| | | | | FBO VARIOUS QUALIFIED PLANS | | | | |
| | | | | 711 HIGH ST | | | | |
| | | | DES MOINES IA 50309-2732 | | | | |
| | | | | | | | |
| | | | | FIDELITY INVESTMENTS INST OPS | | 172,212.840 | | 7.21% |
| | | | | CO AS AGENT FOR CERTAIN EE | | | | |
| | | | | BENEFIT PL | | | | |
| | | | 100 MAGELLAN WAY # KWIC | | | | |
| | | | COVINGTON KY 41015-1999 | | | | |
| | | | | | | | |
| | | | | ING LIFE INSURANCE AND | | 125,244.870 | | 5.24% |
| | | | | ANNUITY CO | | | | |
| | | | ATTN VALUATION UNIT TS31 | | | | |
| | | | | 151 FARMINGTON AVE | | | | |
| | | | | HARTFORD CT 06156-0001 | | | | |
| | | Advisor | | NATIONAL FINANCIAL SERV CORP | | 684,580.070 | | 50.76% |
| | | | | FOR THE EXCLUSIVE BENEFIT OF | | | | |
| | | | | OUR CUSTOMERS | | | | |
| | | | | PO BOX 3908 | | | | |
| | | | CHURCH STREET STATION | | | | |
| |
| | | | | NEW YORK NY 10008-3908 | | 199,308.150 | | 14.77% |
| | | | | DELAWARE CHARTER | | | | |
| | | | GUARANTEE & TRUST FBO | | | | |
| | | | VARIOUS QUALIFED PLANS | | | | |
| | | | | 711 HIGH ST | | | | |
| | | | DES MOINES IA 50309-2732 | | | | |
K-4
| | | | | | | Amount and | | |
| | | | | | | Nature of | | Percentage |
| | | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | | | DELAWARE CHARTER | | 80,702.470 | | 5.98% |
| | | | | GUARANTEE & TRUST | | | | |
| | | | | FBO PRINCIPAL | | | | |
| | | | | FINANCIAL GROUP | | | | |
| | | | ATTN RIS NPIO TRADE DESK | | | | |
| | | | | 711 HIGH ST | | | | |
| | | | DES MOINES IA 50392-0001 | | | | |
| Neuberger Berman | | Investor | | CHARLES SCHWAB & CO INC | | 13,823,750.780 | | 21.54% |
| Genesis Fund | | | | ATTN MUTUAL FUNDS | | | | |
| | | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | | | | | | | |
| | | | | NATIONAL FINANCIAL | | 5,902,604.700 | | 9.19% |
| | | | | SERVICES FOR THE EXCLUSIVE | | | | |
| | | | BENEFIT OF THEIR CLIENTS | | | | |
| | | | | PO BOX 3908 | | | | |
| | | | | CHURCH ST STATION | | | | |
| | | | | NEW YORK NY 10008-3908 | | | | |
| | | Trust | | FIDELITY INVESTMENTS INST OPS | | 20,955,068.460 | | 21.49% |
| | | | | CO AS AGENT FOR CERTAIN EE | | | | |
| | | | | BENEFIT PL | | | | |
| | | | | MAILZONE KWIC | | | | |
| | | | 100 MAGELLAN WAY # KW1C | | | | |
| | | | COVINGTON KY 41015-1999 | | | | |
| | | | | | | | |
| | | | | NATIONAL FINANCIAL SERV | | 10,116,151.650 | | 10.37% |
| | | | CORP FOR THE EXCLUSIVE | | | | |
| | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | | PO BOX 3908 | | | | |
| | | | | CHURCH ST STATION | | | | |
| | | | | NEW YORK NY 10008-3908 | | | | |
| | | | | | | | |
| | | | | WACHOVIA BANK FBO | | 7,275,618.140 | | 7.46% |
| | | | VARIOUS RETIREMENT PLANS | | | | |
| | | | | 9888888836 NC 1151 | | | | |
| | | | 1525 WEST WT HARRIS BLVD | | | | |
| | | | CHARLOTTE NC 28288-0001 | | | | |
| | | | | | | | |
| | | | | MLPF&S FOR THE SOLE | | 6,124,319.490 | | 6.28% |
| | | | BENEFIT OF ITS CUSTOMERS | | | | |
| | | | | ATTN FUND ADMINISTRATION | | | | |
| | | | | (97NW7) | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| | | Institutional | | FIDELITY INVESTMENTS | | 45,684,678.340 | | 46.22% |
| | | | INST OPS CO AS AGENT FOR | | | | |
| | | | | CERTAIN EE BENEFIT PL | | | | |
| | | | | MAILZONE KWIC | | | | |
| | | | 100 MAGELLAN WAY # KW1C | | | | |
| | | | COVINGTON KY 41015-1999 | | | | |
K-5
| | | | | | | Amount and | | |
| | | | | | | Nature of | | Percentage |
| | | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | | | MAC & CO A/C PWKF1014002 | | 8,827,542.300 | | 8.93% |
| | | | | FBO PRICEWATERHOUSE | | | | |
| | | | | MUTUAL FUNDS OPS | | | | |
| | | | | PO BOX 3198 | | | | |
| | | | PITTSBURGH PA 15230-3198 | | | | |
| | | | | | | | |
| | | | | STATE STREET BANK & TRUST | | 8,492,578.840 | | 8.59% |
| | | | | CO AS TTE FOR THE SUN | | | | |
| | | | | MICROSYSTEMS INC TAX | | | | |
| | | | | DEFERRED RETIREMENT | | | | |
| | | | | SAVINGS PLAN | | | | |
| | | | | 105 ROSEMONT RD | | | | |
| | | | WESTWOOD MA 02090-2318 | | | | |
| | | Advisor | | FIRST UNION NATIONAL BANK | | 4,023,849.390 | | 21.33% |
| | | | FBO VARIOUS RETIREMENT | | | | |
| | | | | A/C #1080827609 | | | | |
| | | | | 1525 W WT HARRIS BLVD | | | | |
| | | | | CMGNC1151 | | | | |
| | | | CHARLOTTE NC 28262-8522 | | | | |
| | | | | | | | |
| | | | | CHARLES SCHWAB & CO | | 2,114,498.650 | | 11.20% |
| | | | | ATTN MUTUAL | | | | |
| | | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | | | | | | | |
| | | | | NATIONAL FINANCIAL SERV | | 1,761,923.320 | | 9.34% |
| | | | CORP FOR THE EXCLUSIVE | | | | |
| | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | | PO BOX 3908 | | | | |
| | | | CHURCH STREET STATION | | | | |
| | | | | NEW YORK NY 10008-3908 | | | | |
| | | | | | | | |
| | | | | HORACE MANN LIFE | | 1,595,397.030 | | 8.45% |
| | | | | INSURANCE CO | | | | |
| | | | | SEPARATE ACCOUNT | | | | |
| | | | | 1 HORACE MANN PLZ | | | | |
| | | | SPRINGFIELD IL 62715-0002 | | | | |
| | | | | | | | |
| | | | | DELAWARE CHARTER | | 961,439.010 | | 5.09% |
| | | | GUARANTEE & TRUST CUST | | | | |
| | | | FBO PRINCIPAL MUTUAL LIFE | | | | |
| | | | | INS CO DTD 1/1/96 | | | | |
| | | | | PO BOX 8704 | | | | |
| | | | | 1013 CENTRE RD | | | | |
| | | | | WILMINGTON DE 19899-8704 | | | | |
| Neuberger Berman | | Institutional | | RIDGE CLEARING AND | | 485,955.840 | | 100.00% |
| Global Real Estate | | | | OUTSOURCING | | | | |
| Fund | | | | FBO 541-18069-11 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | | JERSEY CITY NJ 07306-4001 | | | | |
K-6
| | | | | | | Amount and | | |
| | | | | | | Nature of | | Percentage |
| | | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | A | | RIDGE CLEARING AND | | 520,789.220 | | 92.58% |
| | | | | OUTSOURCING | | | | |
| | | | | FBO 541-18056-16 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | C | | RIDGE CLEARING AND | | 11,877.850 | | 99.99% |
| | | | | OUTSOURCING | | | | |
| | | | | FBO 541-18063-17 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| Neuberger Berman | | Investor | | CHARLES SCHWAB & CO INC | | 13,911,631.510 | | 16.83% |
| Guardian Fund | | | | ATTN MUTUAL FUNDS | | | | |
| | | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | | | | | | | |
| | | | | UNION CENTRAL LIFE | | 4,483,471.760 | | 5.42% |
| | | | | INSURANCE CO | | | | |
| | | | | 401K GROUP SEP ACCT | | | | |
| | | | ATTN MUTUAL FUNDS DEPT | | | | |
| | | | | STATION 3 | | | | |
| | | | | 1876 WAYCROSS RD | | | | |
| | | | | PO BOX 40888 | | | | |
| | | | CINCINNATI OH 45240-0888 | | | | |
| | | Trust | | NATIONAL FINANCIAL SERV | | 1,982,193.280 | | 22.75% |
| | | | CORP FOR THE EXCLUSIVE | | | | |
| | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | | PO BOX 3908 | | | | |
| | | | | CHURCH ST STATION | | | | |
| | | | | NEW YORK NY 10008-3908 | | | | |
| | | | | | | | |
| | | | | NATIONWIDE LIFE | | 1,714,944.090 | | 19.68% |
| | | | | INSURANCE CO QPVA | | | | |
| | | | | C/O IPO PORTFOLIO | | | | |
| | | | | ACCOUNTING | | | | |
| | | | | PO BOX 182029 | | | | |
| | | | | COLUMBUS OH 43218-2029 | | | | |
| | | | | | | | |
| | | | | NATIONWIDE TRUST CO | | 874,364.990 | | 10.03% |
| | | | | FSB C/O IPO PORTFOLIO | | | | |
| | | | | ACCOUNTING | | | | |
| | | | | PO BOX 182029 | | | | |
| | | | | COLUMBUS OH 43218-2029 | | | | |
| | | | | | | | |
| | | | | DELAWARE CHARTER | | 613,873.940 | | 7.04% |
| | | | | GUARANTEE & TRUST | | | | |
| | | | | FBO VARIOUS | | | | |
| | | | | QUALIFIED PLANS | | | | |
| | | | | 711 HIGH ST | | | | |
| | | | DES MOINES IA 50309-2732 | | | | |
K-7
| | | | | | | Amount and | | |
| | | | | | | Nature of | | Percentage |
| | | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | | | FIDELITY INVESTMENTS | | 448,952.940 | | 5.15% |
| | | | | INST OPS CO FBO TYCO | | | | |
| | | | RETIREMENT SAVINGS PLAN | | | | |
| | | | | AND INVESTMENT PLAN | | | | |
| | | | 100 MAGELLAN WAY # KW1C | | | | |
| | | | COVINGTON KY 41015-1999 | | | | |
| | | Advisor | | CHARLES SCHWAB & CO INC | | 21,596.060 | | 37.22% |
| | | | | ATTN MUTUAL FUNDS | | | | |
| | | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | | | | MG TRUST COMPANY CUST. FBO | | 9,934.340 | | 17.12% |
| | | | | J.R. PIERCE PLUMBING CO., INC. | | | | |
| | | | | 700 17TH STREET | | | | |
| | | | | SUITE 300 | | | | |
| | | | | DENVER CO 80202-3531 | | | | |
| | | | | | | | |
| | | | | RIDGE CLEARING AND | | 5,274.620 | | 9.09% |
| | | | | OUTSOURCING | | | | |
| | | | | FBO 097-00100-13 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| Neuberger Berman | | Investor | | CHARLES SCHWAB & CO INC | | 3,152,284.350 | | 17.71% |
| International Fund | | | | ATTN MUTUAL FUNDS | | | | |
| | | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | | | | | | | |
| | | | | NATIONAL FINANCIAL | | 2,083,154.010 | | 11.70% |
| | | | SERV CORP FOR EXCLUSIVE | | | | |
| | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | | PO BOX 3908 | | | | |
| | | | | CHURCH ST STATION | | | | |
| | | | | NEW YORK NY 10008-3908 | | | | |
| | | Trust | | CITIGROUP GLOBAL | | 6,579,962.890 | | 36.70% |
| | | | | MARKETS INC. | | | | |
| | | | | 00109801250 | | | | |
| | | | | 388 GREENWICH ST | | | | |
| | | | | NEW YORK NY 10013-2375 | | | | |
| | | | | | | | |
| | | | | MFPF&S FOR THE SOLE | | 1,840,025.150 | | 10.26% |
| | | | BENEFIT OF ITS CUSTOMERS | | | | |
| | | | | ATTN FUND ADMINISTRATION | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| | | | | | | | |
| | | | | FIDELITY INVESTMENT INST | | 1,332,955.020 | | 7.43% |
| | | | OPS CO (FIIOC) AS AGENT FOR | | | | |
| | | | CERTAIN EE BENEFIT PLANS | | | | |
| | | | 100 MAGELLAN WAY # KW1C | | | | |
| | | | COVINGTON KY 41015-1999 | | | | |
K-8
| | | | | | | Amount and | | |
| | | | | | | Nature of | | Percentage |
| | | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | | | NATIONAL FINANCIAL | | 1,290,199.490 | | 7.19% |
| | | | SERV CORP FOR EXCLUSIVE | | | | |
| | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | 200 LIBERTY ST - 1 WORLD | | | | |
| | | | | FIN CTR | | | | |
| | | | ATTN MUTUAL FUNDS DEPT - | | | | |
| | | | | 5TH FLOOR | | | | |
| | | | | NEW YORK NY 10281 | | | | |
| Neuberger Berman | | Institutional | | CHARLES SCHWAB & CO INC | | 6,764,130.410 | | 17.98% |
| International | | | | ATTN MUTUAL FUNDS | | | | |
| Institutional Fund | | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | | | | | | | |
| | | | | CHILDRENS HEALTHCARE OF | | 4,597,988.830 | | 12.22% |
| | | | | ATLANTA INC | | | | |
| | | | STATE STREET BANK & TRUST | | | | |
| | | | | 1584 TULLIE CIR NE | | | | |
| | | | | ATLANTA GA 30329-2311 | | | | |
| | | | | | | | |
| | | | | THOMAS SMITH TTEE | | 3,240,250.630 | | 8.61% |
| | | | | PERALTA COMMUNITY | | | | |
| | | | | COLLEGE DISTRICT | | | | |
| | | | | 333 E 8TH ST | | | | |
| | | | | OAKLAND CA 94606-2844 | | | | |
| | | | | | | | |
| | | | | MAC & CO A/C PIBF1856682 | | 3,112,735.940 | | 8.27% |
| | | | | ATTN MUTUAL FDS | | | | |
| | | | | OPERATIONS | | | | |
| | | | | PO BOX 3198 | | | | |
| | | | PITTSBURGH PA 15230-3198 | | | | |
| | | | | | | | |
| | | | | FIDELITY INVESMENTS INSTIT | | 2,689,198.430 | | 7.14% |
| | | | | OPER CO AS AGENT FOR | | | | |
| | | | | CERTAIN BENEFIT PLN | | | | |
| | | | 100 MAGELLAN WAY # KW1C | | | | |
| | | | COVINGTON KY 41015-1999 | | | | |
| | | | | | | | |
| | | | | GREATER HOUSTON | | 2,558,320.560 | | 6.80% |
| | | | | COMMUNITY FNDTN | | | | |
| | | | ATTN ROBERT W PADDOCK | | | | |
| | | | | 4550 POST OAK PLACE DR | | | | |
| | | | | STE 100 | | | | |
| | | | | HOUSTON TX 77027-3143 | | | | |
| Neuberger Berman | | Trust | | ADP CLEARING & OUTSOURCING | | 1,627,160.430 | | 43.60% |
| International | | | | FBO 097-00100-13 | | | | |
| Large Cap Fund | | | | 26 BROADWAY | | | | |
| | | | | NEW YORK NY 10004-1703 | | | | |
| | | | | | | | |
| | | | | CHARLES SCHWAB & CO INC | | 224,152.780 | | 6.00% |
| | | | | ATTN MUTUAL FUNDS | | | | |
| | | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
K-9
| | | | | | | Amount and | | |
| | | | | | | Nature of | | Percentage |
| | | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | Institutional | | VMI FOUNDATION INC | | 2,411,904.400 | | 22.27% |
| | | | | MELLON BANK TTEE | | | | |
| | | | | PO BOX 932 | | | | |
| | | | LEXINGTON VA 24450-0932 | | | | |
| | | | | | | | |
| | | | | MASSACHUSETTS LABORERS’ | | 1,945,687.950 | | 17.97% |
| | | | | PENSION FUND | | | | |
| | | | | 14 NEW ENGLAND | | | | |
| | | | | EXECUTIVE PARK | | | | |
| | | | | STE 200 | | | | |
| | | | BURLINGTON MA 01803-5201 | | | | |
| | | | | | | | |
| | | | | MASSACHUSETTS LABORERS’ | | 1,940,536.090 | | 17.92% |
| | | | | ANNUITY FUND | | | | |
| | | | | 14 NEW ENGLAND | | | | |
| | | | | EXECUTIVE PARK | | | | |
| | | | | STE 200 | | | | |
| | | | BURLINGTON MA 01803-5201 | | | | |
| | | | | | | | |
| | | | | BNY MELLON TTEE FBO THE | | 969,578.280 | | 8.95% |
| | | | REGENCE GROUP MONEY | | | | |
| | | | | PURCHASE PLAN | | | | |
| | | | | 1800 9TH AVE STE 1012 | | | | |
| | | | | SEATTLE WA 98101-1358 | | | | |
| | | | | | | | |
| | | | | RIDGE CLEARING AND | | 869,965.920 | | 8.03% |
| | | | | OUTSOURCING | | | | |
| | | | | FBO 541-20042-19 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | | | | | | |
| | | | | HEB BRAND SAVINGS & | | 817,333.600 | | 7.55% |
| | | | RETIREMENT PLAN TRUST | | | | |
| | | | | THOMAS WITT TTEE | | | | |
| | | | | 646 S MAIN AVE | | | | |
| | | | SAN ANTONIO TX 78204-1210 | | | | |
| | | | | | | | |
| | | | | THE HEALTH TRUST | | 687,283.070 | | 6.34% |
| | | | 2105 S BASCOM BLVD STE 220 | | | | |
| | | | | CAMPBELL CA 95008-3292 | | | | |
| | | | | | | | |
| | | | | MARLBOROUGH RETIREMENT | | 619,580.990 | | 5.72% |
| | | | | SYSTEM | | | | |
| | | | | 140 MAIN ST CITY HALL | | | | |
| | | | MARLBOROUGH MA 01752 | | | | |
| | | | | | | | |
| | | | | NATIONAL FINANCIAL | | 563,588.550 | | 5.20% |
| | | | | SERVICES CORP FOR THE | | | | |
| | | | | EXCLUSIVE BENEFIT OF | | | | |
| | | | | THEIR CLIENTS | | | | |
| | | | | PO BOX 3908 | | | | |
| | | | CHURCH STREET STATION | | | | |
| | | | | NEW YORK NY 10008-3908 | | | | |
K-10
| | | | | | | Amount and | | |
| | | | | | | Nature of | | Percentage |
| | | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | A | | STRAFE & CO FAO ONEOK INC | | 198,536.340 | | 92.22% |
| | | | COLL BARG UNIT EE’S H&W | | | | |
| | | | | AC 2600579400 | | | | |
| | | | | PO BOX 160 | | | | |
| | | | WESTERVILLE OH 43086-0160 | | | | |
| | | | | | | | |
| | | | | MERRILL LYNCH PIERCE | | 16,306.860 | | 7.57% |
| | | | FENNER & SMITH INC FUND | | | | |
| | | | | ADMINISTRATION | | | | |
| | | | | ATTN SERVICE TEAM | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| | | C | | RIDGE CLEARING AND | | 9,124.800 | | 56.37% |
| | | | | OUTSOURCING | | | | |
| | | | | FBO 541-18004-19 | | | | |
| | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | | | | | | |
| | | | | MERRILL LYNCH PIERCE | | 7,060.260 | | 43.62% |
| | | | FENNER & SMITH INC FUND | | | | |
| | | | | ADMINISTRATION | | | | |
| | | | | ATTN SERVICE TEAM | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| Neuberger Berman | | Institutional | | CITIGROUP GLOBAL | | 186,981.820 | | 98.82% |
| Large Cap | | | | MARKETS INC. | | | | |
| Disciplined | | | | 00109801250 | | | | |
| Growth Fund | | | | 388 GREENWICH STREET | | | | |
| | | | | NEW YORK NY 10013-2375 | | | | |
| | | A | | MERRILL LYNCH PIERCE | | 2,722,419.960 | | 91.73% |
| | | | FENNER & SMITH INC FUND | | | | |
| | | | | ADMINISTRATION | | | | |
| | | | | ATTN SERVICE TEAM | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| | | | | | | | |
| | | | | LPL FINANCIAL FBO | | 152,493.740 | | 5.13% |
| | | | | CUSTOMER ACCOUNTS | | | | |
| | | | | ATTN MUTUAL FUND | | | | |
| | | | | OPERATIONS | | | | |
| | | | | PO BOX 509046 | | | | |
| | | | | SAN DIEGO CA 92150-9046 | | | | |
| | | C | | MERRILL LYNCH PIERCE | | 1,266,039.200 | | 85.91% |
| | | | FENNER & SMITH INC FUND | | | | |
| | | | | ADMINISTRATION | | | | |
| | | | | ATTN SERVICE TEAM | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
K-11
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | | CITIGROUP GLOBAL | | 201,223.770 | | 13.65% |
| | | | MARKETS INC. | | | | |
| | | | | 00109801250 | | | | |
| | | | | 388 GREENWICH STREET | | | | |
| | | | NEW YORK NY 10013-2375 | | | | |
| Neuberger Berman | | Investor | | EDWARD D JONES & CO | | 5,879,331.050 | | 64.26% |
| Mid Cap | | | | ATTN: MUTUAL FUND | | | | |
| Growth Fund | | | | SHAREHOLDER ACCOUNTING | | | | |
| | | | 201 PROGRESS PKWY | | | | |
| | | | MARYLAND HTS MO 63043-3009 | | | | |
| | | | | | | | |
| | | | INVESMART UNITIZED | | 1,926,326.320 | | 21.05% |
| | | | RELIANCE TRUST COMPANY | | | | |
| | | | 1100 ABERNATHY RD | | | | |
| | | | 500 NORTHPARK STE 400 | | | | |
| | | | ATLANTA GA 30328-5634 | | | | |
| | | | | | | | |
| | | | THE STANDARD INSURANCE | | 1,341,689.330 | | 14.66% |
| | | | P11D ATTN SEPERATE ACCT A | | | | |
| | | | 1100 SW 6TH AVENUE | | | | |
| | | | PORTLAND OR 97204-1020 | | | | |
| | Trust | | NATIONAL FINANCIAL SERV | | 246,778.440 | | 30.12% |
| | | | CORP FOR THE EXCLUSIVE | | | | |
| | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | PO BOX 3908 | | | | |
| | | | CHURCH ST STATION | | | | |
| | | | NEW YORK NY 10008-3908 | | | | |
| | | | | | | | |
| | | | PRUDENTIAL INVESTMENT | | 137,978.360 | | 16.84% |
| | | | MANAGEMENT SERVICE FBO | | | | |
| | | | MUTUAL FUND CLIENTS | | | | |
| | | | 100 MULBERRY ST | | | | |
| | | | 3 GATEWAY CENTER FL 11 | | | | |
| | | | MAIL STOP NJ 05-11-20 | | | | |
| | | | NEWARK NJ 07102-4000 | | | | |
| | | | | | | | |
| | | | DELAWARE CHARTER | | 96,885.150 | | 11.82% |
| | | | GUARANTEE & TRUST | | | | |
| | | | FBO VARIOUS QUALIFIED | | | | |
| | | | PLANS | | | | |
| | | | 711 HIGH ST | | | | |
| | | | DES MOINES IA 50309-2732 | | | | |
| | | | | | | | |
| | | | FIDELITY INVESTMENTS | | 58,677.930 | | 7.16% |
| | | | INST OPS CO AS AGENT FOR | | | | |
| | | | CERTAIN EE BENEFIT PL | | | | |
| | | | 100 MAGELLAN WAY # KW1C | | | | |
| | | | COVINGTON KY 41015-1999 | | | | |
| | Advisor | | CHARLES SCHWAB & CO INC | | 96,783.350 | | 42.57% |
| | | | ATTN MUTUAL FUNDS | | | | |
| | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
K-12
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | | MFPF&S FOR THE SOLE | | 17,685.530 | | 7.77% |
| | | | BENEFIT OF ITS CUSTOMERS | | | | |
| | | | ATTN FUND ADMINISTRATION | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| | | | | | | | |
| | | | JP MORGAN CHASE BANK | | 16,734.130 | | 7.36% |
| | | | FBO ADP MID MARKET | | | | |
| | | | 3 METROTECH CTR FL 6 | | | | |
| | | | BROOKLYN NY 11245-0001 | | | | |
| | | | | | | | |
| | | | RELIANCE TRUST COMPANY FBO | | 11,809.750 | | 5.19% |
| | | | VAN NOTE-HAR | | | | |
| | | | P.O. BOX 48529 | | | | |
| | | | ATLANTA GA 30362-1529 | | | | |
| | Institutional | | CHARLES SCHWAB & CO INC | | 3,401,343.240 | | 8.46% |
| | | | ATTN MUTUAL FUNDS | | | | |
| | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| Neuberger Berman | | Investor | | CHARLES SCHWAB & CO INC | | 11,753,132.580 | | 17.42% |
| Partners Fund | | | | ATTN MUTUAL FUNDS | | | | |
| | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | | | | | | | |
| | | | NATIONAL FINANCIAL | | 3,922,705.740 | | 5.81% |
| | | | SERVICES FOR THE | | | | |
| | | | EXCLUSIVE BENEFIT OF | | | | |
| | | | THEIR CLIENTS | | | | |
| | | | PO BOX 3908 | | | | |
| | | | CHURCH ST STATION | | | | |
| | | | NEW YORK NY 10008-3908 | | | | |
| | Trust | | FIDELITY INVESTMENTS | | 13,632,722.010 | | 33.04% |
| | | | INSTIT OPER CO AS AGENT | | | | |
| | | | FOR CERTAIN BENEFIT PLN | | | | |
| | | | 100 MAGELLAN WAY # KW1C | | | | |
| | | | COVINGTON KY 41015-1999 | | | | |
| | | | | | | | |
| | | | NATIONAL FINANCIAL SERV | | 6,755,366.410 | | 16.37% |
| | | | CORP FOR THE EXCLUSIVE | | | | |
| | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | PO BOX 3908 | | | | |
| | | | CHURCH ST STATION | | | | |
| | | | NEW YORK NY 10008-3908 | | | | |
| | | | | | | | |
| | | | WELLS FARGO BANK NA FBO | | 2,372,413.990 | | 5.75% |
| | | | SAKS INCORPORATED 401K | | | | |
| | | | RET PLAN | | | | |
| | | | 10493525 | | | | |
| | | | PO BOX 1533 | | | | |
| | | | MINNEAPOLIS MN 55480-1533 | | | | |
K-13
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | | MLPF&S FOR THE SOLE BENEFIT | | 2,085,807.610 | | 5.05% |
| | | | OF ITS CUSTOMERS | | | | |
| | | | ATTN FUND ADMINISTRATION | | | | |
| | | | (97NX1) | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| | Advisor | | STATE STREET BANK AND | | 10,383,114.760 | | 35.55% |
| | | | TRUST FBO ADP DAILY 401(K) | | | | |
| | | | PRODUCT | | | | |
| | | | 105 ROSEMONT RD | | | | |
| | | | WESTWOOD MA 02090-2318 | | | | |
| | | | | | | | |
| | | | NATIONAL FINANCIAL SERV | | 4,071,973.190 | | 13.94% |
| | | | CORP FOR THE EXCLUSIVE | | | | |
| | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | PO BOX 3908 | | | | |
| | | | CHURCH STREET STATION | | | | |
| | | | NEW YORK NY 10008-3908 | | | | |
| | | | | | | | |
| | | | CHARLES SCHWAB & CO INC | | 2,100,627.040 | | 7.19% |
| | | | ATTN MUTUAL FUNDS | | | | |
| | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | | | | | | | |
| | | | MFPF&S FOR THE SOLE | | 1,725,340.580 | | 5.90% |
| | | | BENEFIT OF ITS CUSTOMERS | | | | |
| | | | ATTN FUND ADMINISTRATION | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| | | | | | | | |
| | | | DCGT AS TTEE AND/OR CUST | | 1,546,110.100 | | 5.29% |
| | | | FBO VARIOUS QUALIFIED PLANS | | | | |
| | | | ATTN NPIO TRADE DESK | | | | |
| | | | 711 HIGH STREET | | | | |
| | | | DES MOINES IA 50309-2732 | | | | |
| | Institutional | | FIDELITY INVESTMENTS | | 2,019,367.390 | | 31.38% |
| | | | INST OPS CO AS AGENT FOR | | | | |
| | | | CERTAIN EE BENEFIT PL | | | | |
| | | | MAILZONE KWIC | | | | |
| | | | 100 MAGELLAN WAY # KW1C | | | | |
| | | | COVINGTON KY 41015-1999 | | | | |
| | | | | | | | |
| | | | STATE OF MARYLAND | | 1,986,085.040 | | 30.87% |
| | | | SAVINGS & INVESTMENT | | | | |
| | | | PLAN (457) | | | | |
| | | | C/O IPO PORTFOLIO | | | | |
| | | | ACCOUNTING | | | | |
| | | | PO BOX 182029 | | | | |
| | | | COLUMBUS OH 43218-2029 | | | | |
K-14
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | | STATE OF MARYLAND | | 1,709,519.390 | | 26.57% |
| | | | SAVINGS & INVESTMENT | | | | |
| | | | PLAN (401K) | | | | |
| | | | C/O IPO PORTFOLIO | | | | |
| | | | ACCOUNTING | | | | |
| | | | PO BOX 182029 | | | | |
| | | | COLUMBUS OH 43218-2029 | | | | |
| | | | | | | | |
| | | | STATE OF MARYLAND | | 331,230.740 | | 5.14% |
| | | | SAVINGS & INVESTMENT | | | | |
| | | | PLAN 401A | | | | |
| | | | C/O IPO PORTFOLIO | | | | |
| | | | ACCOUNTING | | | | |
| | | | PO BOX 182029 | | | | |
| | | | COLUMBUS OH 43218-2029 | | | | |
| Neuberger Berman | | Trust | | CHARLES SCHWAB & CO INC | | 1,159,244.320 | | 19.07% |
| Real Estate Fund | | | | ATTN MUTUAL FUNDS | | | | |
| | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | | | | | | | |
| | | | NATIONWIDE TRUST CO FSB | | 940,630.500 | | 15.47% |
| | | | C/O IPO PORTFOLIO ACCOUNTING | | | | |
| | | | PO BOX 182029 | | | | |
| | | | COLUMBUS OH 43218-2029 | | | | |
| | | | | | | | |
| | | | NATIONAL FINANCIAL SERV | | 753,286.390 | | 12.39% |
| | | | CORP FOR THE EXCLUSIVE | | | | |
| | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | PO BOX 3908 | | | | |
| | | | CHURCH ST STATION | | | | |
| | | | NEW YORK NY 10008-3908 | | | | |
| | | | | | | | |
| | | | RIDGE CLEARING AND | | 486,580.950 | | 8.00% |
| | | | OUTSOURCING | | | | |
| | | | FBO 097-00100-13 | | | | |
| | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | Institutional | | PATTERSON & CO FBO | | 66,833.470 | | 87.62% |
| | | | OMNIBUS CASH/CASH/CASH | | | | |
| | | | 9999999980 NC-1076 | | | | |
| | | | 1525 WEST WT HARRIS BLVD | | | | |
| | | | CHARLOTTE NC 28288-0001 | | | | |
| | | | | | | | |
| | | | LEHMAN BROTHERS F/B/O | | 9,438.550 | | 12.37% |
| | | | A/C# 59800243 | | | | |
| | | | 70 HUDSON ST FL 7 | | | | |
| | | | JERSEY CITY NJ 07302-4585 | | | | |
| Neuberger Berman | | Investor | | CHARLES SCHWAB & CO INC | | 722,744.300 | | 15.04% |
| Regency Fund | | | | ATTN MUTUAL FUNDS | | | | |
| | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
K-15
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | | NATIONAL FINANCIAL | | 388,500.610 | | 8.08% |
| | | | SERVICES CORP FOR THE | | | | |
| | | | EXCLUSIVE BENEFIT OF THEIR | | | | |
| | | | CLIENTS | | | | |
| | | | PO BOX 3908 | | | | |
| | | | CHURCH STREET STATION | | | | |
| | | | NEW YORK NY 10008-3908 | | | | |
| | Trust | | UNION CENTRAL LIFE | | 597,246.100 | | 13.99% |
| | | | INSURANCE CO | | | | |
| | | | 401K GROUP SEP ACCT | | | | |
| | | | 1876 WAYCROSS RD | | | | |
| | | | PO BOX 40888 | | | | |
| | | | CINCINNATI OH 45240-0888 | | | | |
| | | | | | | | |
| | | | NATIONWIDE TRUST | | 477,663.060 | | 11.19% |
| | | | COMPANY FSB | | | | |
| | | | C/O IPO PORTFOLIO | | | | |
| | | | ACCOUNTING | | | | |
| | | | PO BOX 182029 | | | | |
| | | | COLUMBUS OH 43218-2029 | | | | |
| | | | | | | | |
| | | | NATIONAL FINANCIAL SERV | | 336,188.800 | | 7.87% |
| | | | CORP FOR THE EXCLUSIVE | | | | |
| | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | PO BOX 3908 | | | | |
| | | | CHURCH ST STATION | | | | |
| | | | NEW YORK NY 10008-3908 | | | | |
| | | | | | | | |
| | | | AMERITAS LIFE INSURANCE | | 238,343.480 | | 5.58% |
| | | | CORP SEPARATE ACCOUNT D | | | | |
| | | | 5900 O ST | | | | |
| | | | LINCOLN NE 68510-2234 | | | | |
| Neuberger Berman | | Institutional | | CITIGROUP GLOBAL | | 11,645.890 | | 63.86% |
| Select Equities | | | | MARKETS INC. | | | | |
| Fund | | | | 00109801250 | | | | |
| | | | 388 GREENWICH STREET | | | | |
| | | | NEW YORK NY 10013-2375 | | | | |
| | | | | | | | |
| | | | RIDGE CLEARING AND | | 6,588.680 | | 36.13% |
| | | | OUTSOURCING | | | | |
| | | | FBO 541-18011-10 | | | | |
| | | | 2 JOURNAL SQ. PLAZA | | | | |
| | A | | — | | — | | — |
| | C | | MERRILL LYNCH PIERCE | | 27,344.650 | | 10.17% |
| | | | FENNER & SMITH INC FUND | | | | |
| | | | ADMINISTRATION | | | | |
| | | | ATTN SERVICE TEAM | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
K-16
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| Neuberger Berman | | Investor | | PRUDENTIAL INVESTMENT | | 6,272,720.300 | | 41.33% |
| Small Cap | | | | MANAGEMENT SERVICE FBO | | | | |
| Growth Fund | | | | MUTUAL FUND CLIENTS | | | | |
| | | | 100 MULBERRY ST | | | | |
| | | | 3 GATEWAY CENTER FL 11 | | | | |
| | | | MAIL STOP NJ 05-11-20 | | | | |
| | | | NEWARK NJ 07102-4000 | | | | |
| | | | | | | | |
| | | | CHARLES SCHWAB & CO INC | | 3,446,805.320 | | 22.71% |
| | | | ATTN MUTUAL FUNDS | | | | |
| | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | | | | | | | |
| | | | PATTERSON & CO FBO | | 1,239,426.990 | | 8.16% |
| | | | NETWORK OMNIBUS C/C/C | | | | |
| | | | 9999999980 NC-1076 | | | | |
| | | | 1525 WEST WT HARRIS BLVD | | | | |
| | | | CHARLOTTE NC 28288-0001 | | | | |
| | | | | | | | |
| | | | CITIGROUP GLOBAL MARKETS | | 809,763.670 | | 5.33% |
| | | | INC. 00109801250 | | | | |
| | | | 388 GREENWICH ST | | | | |
| | | | NEW YORK NY 10013-2375 | | | | |
| | Trust | | CITIGROUP GLOBAL | | 1,171,229.810 | | 60.84% |
| | | | MARKETS INC. 00109801250 | | | | |
| | | | 388 GREENWICH STREET | | | | |
| | | | NEW YORK NY 10013-2375 | | | | |
| | | | | | | | |
| | | | NATIONAL FINANCIAL SERV | | 365,973.380 | | 19.01% |
| | | | CORP FOR THE EXCLUSIVE | | | | |
| | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | PO BOX 3908 | | | | |
| | | | CHURCH ST STATION | | | | |
| | | | NEW YORK NY 10008-3908 | | | | |
| | Advisor | | CHARLES SCHWAB & CO INC | | 250,406.280 | | 25.93% |
| | | | ATTN MUTUAL FUNDS | | | | |
| | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | | | | | | | |
| | | | WACHOVIA BANK FBO | | 120,144.280 | | 12.44% |
| | | | VARIOUS RETIREMENT PLANS | | | | |
| | | | 9888888836 NC 1076 | | | | |
| | | | 1525 WEST WT HARRIS BLVD | | | | |
| | | | CHARLOTTE NC 28288-0001 | | | | |
| | | | | | | | |
| | | | DCGT AS TTEE AND/OR CUST | | 109,366.750 | | 11.32% |
| | | | FBO PRINCIPAL FINANCIAL | | | | |
| | | | GROUP QUALI | | | | |
| | | | FIED FIA OMNIBUS | | | | |
| | | | ATTN NPIO TRADE DESK | | | | |
| | | | 711 HIGH STREET | | | | |
| | | | DES MOINES IA 50309-2732 | | | | |
K-17
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | | AMERICAN UNITED LIFE INS | | 82,948.290 | | 8.59% |
| | | | CO UNIT INVESTMENT TRUST | | | | |
| | | | PO BOX 1995 | | | | |
| | | | INDIANAPOLIS IN 46206-9102 | | | | |
| | | | | | | | |
| | | | AMERICAN UNITED LIFE INS | | 75,192.760 | | 7.78% |
| | | | CO FBO GROUP RETIREMENT | | | | |
| | | | ANNUITY | | | | |
| | | | PO BOX 1995 | | | | |
| | | | INDIANAPOLIS IN 46206-9102 | | | | |
| | | | | | | | |
| | | | NATIONAL FINANCIAL SERV | | 63,831.250 | | 6.61% |
| | | | CORP FOR THE EXCLUSIVE | | | | |
| | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | PO BOX 3908 | | | | |
| | | | CHURCH STREET STATION | | | | |
| | | | NEW YORK NY 10008-3908 | | | | |
| | Institutional | | THE POETRY FOUNDATION | | 235,420.010 | | 68.32% |
| | | | 444 N MICHIGAN AVE STE 1850 | | | | |
| | | | CHICAGO IL 60611-4034 | | | | |
| | | | | | | | |
| | | | FIDELITY INVESTMENT INST | | 109,132.360 | | 31.67% |
| | | | OPS CO (FIIOC) AS AGENT FOR | | | | |
| | | | CERTAIN EE BENEFIT PLANS | | | | |
| | | | 100 MAGELLAN WAY # KW1C | | | | |
| | | | COVINGTON KY 41015-1999 | | | | |
| Neuberger Berman | | Trust | | RIDGE CLEARING AND | | 541,985.640 | | 74.78% |
| Small and Mid | | | | OUTSOURCING | | | | |
| Cap Growth | | | | FBO 541-18036-11 | | | | |
| Fund | | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| Neuberger Berman | | Investor | | CHARLES SCHWAB & CO INC | | 8,730,208.550 | | 27.49% |
| Socially | | | | ATTN MUTUAL FUNDS | | | | |
| Responsive | | | | 101 MONTGOMERY ST | | | | |
| Fund | | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | | | | | | | |
| | | | NATIONAL FINANCIAL | | 2,529,075.500 | | 7.96% |
| | | | SERVICES FOR THE EXCLUSIVE | | | | |
| | | | BENEFIT OF THEIR CLIENTS | | | | |
| | | | PO BOX 3908 | | | | |
| | | | CHURCH ST STATION | | | | |
| | | | NEW YORK NY 10008-3908 | | | | |
| | Trust | | HARTFORD LIFE INSURANCE | | 4,127,107.080 | | 18.52% |
| | | | CO SEPARATE ACCOUNT TK | | | | |
| | | | ATTN DAVID TEN BROECK | | | | |
| | | | 1 GRIFFIN RD N | | | | |
| | | | WINDSOR CT 06095-1512 | | | | |
K-18
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | | FIDELITY INVESTMENTS | | 3,011,248.560 | | 13.51% |
| | | | INST OPS CO AS AGENT FOR | | | | |
| | | | CERTAIN EE BENEFIT PL | | | | |
| | | | 100 MAGELLAN WAY # KW1C | | | | |
| | | | COVINGTON KY 41015-1999 | | | | |
| | | | | | | | |
| | | | NATIONAL FINANCIAL SERV | | 2,333,948.390 | | 10.47% |
| | | | CORP FOR THE EXCLUSIVE | | | | |
| | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | PO BOX 3908 | | | | |
| | | | CHURCH ST STATION | | | | |
| | | | NEW YORK NY 10008-3908 | | | | |
| | Institutional | | FIDELITY INVESTMENT INST | | 1,877,834.950 | | 57.09% |
| | | | OPS CO (FIIOC) AS AGENT FOR | | | | |
| | | | CERTAIN EE BENEFIT PLANS | | | | |
| | | | 100 MAGELLAN WAY # KW1C | | | | |
| | | | COVINGTON KY 41015-1999 | | | | |
| | | | | | | | |
| | | | COMPTON FOUNDATION | | 623,740.950 | | 18.96% |
| | | | 255 SHORELINE DR STE 540 | | | | |
| | | | REDWOOD CITY CA 94065-1444 | | | | |
| | | | | | | | |
| | | | AIG RETIREMENT SERVICES | | 354,264.330 | | 10.77% |
| | | | CO FBO AIGFSB [CUST] [TTEE] | | | | |
| | | | FBO BAPTIST HEALTH SO | | | | |
| | | | FLORIDA 403B PLAN | | | | |
| | | | 2929 ALLEN PARKWAY, A6-20 | | | | |
| | | | HOUSTON TX 77019-2118 | | | | |
| | | | | | | | |
| | | | MINNESOTA LIFE INSURANCE | | 201,988.070 | | 6.14% |
| | | | COMPANY | | | | |
| | | | 400 ROBERT ST N STE A6-4105 | | | | |
| | | | SAINT PAUL MN 55101-2037 | | | | |
LEHMAN BROTHERS INCOME FUNDS
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| Neuberger Berman | | Investor | | LEHMAN BROTHERS | | 20,000,000.000 | | 88.76% |
| California Tax-Free | | | | HOLDINGS INC | | | | |
| Money Fund | | | | ATTN STEVEN ENGEL | | | | |
| | | | 745 7TH AVE FL 4 | | | | |
| | | | NEW YORK NY 10019-6801 | | | | |
| | | | | | | | |
| | | | RIDGE CLEARING AND | | 2,056,444.010 | | 9.12% |
| | | | OUTSOURCING FOR THE | | | | |
| | | | EXCLUSIVE USE OF OUR | | | | |
| | | | CUSTOMERS | | | | |
| | | | ATTN ROB WALSH | | | | |
| | | | 2 JOURNAL SQ | | | | |
| | | | JERSEY CITY NJ 07306-4006 | | | | |
K-19
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| Neuberger Berman | | Investor | | NEUBERGER BERMAN LLC | | 374,619,898.740 | | 36.70% |
| Cash Reserves | | | | ATTN ANTONIO PEREIRA | | | | |
| | | | 399 PARK AVE ST FL 5 | | | | |
| | | | NEW YORK NY 11020 | | | | |
| | | | | | | | |
| | | | NEUBERGER BERMAN | | 261,290,585.920 | | 25.59% |
| | | | MANAGEMENT INC | | | | |
| | | | ATTN CHENG LIU | | | | |
| | | | 399 PARK AVE FL 11 | | | | |
| | | | NEW YORK NY 10022-4614 | | | | |
| | | | | | | | |
| | | | RIDGE CLEARING & | | 120,498,117.850 | | 11.80% |
| | | | OUTSOURCING FOR THE | | | | |
| | | | EXCLUSIVE USE OF OUR | | | | |
| | | | CUSTOMERS | | | | |
| | | | ATTN ROB WALSH | | | | |
| | | | 2 JOURNAL SQ | | | | |
| | | | JERSEY CITY NJ 07306-4006 | | | | |
| | | | | | | | |
| | | | NEUBERGER BERMAN LLC | | 107,811,259.640 | | 10.56% |
| | | | ATTN ANTONIO PEREIRA IA | | | | |
| | | | FEES | | | | |
| | | | 399 PARK AVE FRNT 5 | | | | |
| | | | NEW YORK NY 10022-4688 | | | | |
| Neuberger Berman | | Investor | | FIDUCIARY TRUST CO OF NEW | | 1,124,976.400 | | 23.67% |
| Core Bond Fund | | | | HAMPSHIRE AS FIDUCIARY FOR | | | | |
| | | | VARIOUS RETIREMENT | | | | |
| | | | ACCOUNTS | | | | |
| | | | 1 SW SECURITY BENEFIT PL | | | | |
| | | | TOPEKA KS 66636-1000 | | | | |
| | | | | | | | |
| | | | UMB BANK, NA FIDUCIARY FOR | | 863,582.970 | | 18.17% |
| | | | VARIOUS | | | | |
| | | | TAX DEFERRED ACCOUNTS | | | | |
| | | | 1 SW SECURITY BENEFIT PL | | | | |
| | | | TOPEKA KS 66636-1000 | | | | |
| | | | | | | | |
| | | | SECURITY BENEFIT LIFE | | 607,363.550 | | 12.78% |
| | | | INSURANCE CO | | | | |
| | | | 1 SW SECURITY BENEFIT PL | | | | |
| | | | TOPEKA KS 66636-1000 | | | | |
| | | | | | | | |
| | | | MLPF&S FOR THE SOLE | | 567,908.410 | | 11.95% |
| | | | BENEFIT OF ITS CUSTOMERS | | | | |
| | | | ATTN FUND ADMINISTRATION | | | | |
| | | | 4800 DEER LAKE DR E 3RD FL | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| | | | | | | | |
| | | | NATIONAL FINANCIAL SVCS | | 418,037.620 | | 8.79% |
| | | | CORP FOR EXCLUSIVE BENEFIT | | | | |
| | | | OF OUR CUSTOMERS | | | | |
| | | | SAL VELLA | | | | |
| | | | 200 LIBERTY ST | | | | |
| | | | NEW YORK NY 10281-1003 | | | | |
K-20
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | Institutional | | MERCER TRUST CO CUST | | 2,506,935.610 | | 76.23% |
| | | | IBEW LOCAL 134 JOINT PENSION | | | | |
| | | | TRUST OF CHICAGO PENSION | | | | |
| | | | PLAN NO 5 | | | | |
| | | | ATTN DCPA DOUG DENIGRIS | | | | |
| | | | LOC 35 INVESTORS WAY | | | | |
| | | | NORWOOD MA 02062 | | | | |
| | | | | | | | |
| | | | CHARLES SCHWAB & CO INC | | 358,777.690 | | 10.91% |
| | | | ATTN MUTUAL FUNDS | | | | |
| | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | A | | RIDGE CLEARING AND | | 10,687.340 | | 48.46% |
| | | | OUTSOURCING | | | | |
| | | | FBO 541-18005-18 | | | | |
| | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | | | | | | |
| | | | MERRILL LYNCH PIERCE | | 8,812.200 | | 39.96% |
| | | | FENNER & SMITH INC FUND | | | | |
| | | | ADMINISTRATION | | | | |
| | | | ATTN SERVICE TEAM | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| | | | | | | | |
| | | | RIDGE CLEARING AND | | 2,551.220 | | 11.56% |
| | | | OUTSOURCING | | | | |
| | | | FBO 539-00284-12 | | | | |
| | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | C | | RIDGE CLEARING AND | | 10,603.470 | | 63.54% |
| | | | OUTSOURCING | | | | |
| | | | FBO 541-18006-17 | | | | |
| | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | | | | | | |
| | | | MERRILL LYNCH PIERCE | | 5,343.320 | | 32.02% |
| | | | FENNER & SMITH INC FUND | | | | |
| | | | ADMINISTRATION | | | | |
| | | | ATTN SERVICE TEAM | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| Neuberger Berman | | Investor | | RIDGE CLEARING & | | 2,354,001,323.620 | | 97.79% |
| Government | | | | OUTSOURCING FOR THE | | | | |
| Money Fund | | | | EXCLUSIVE USE OF OUR | | | | |
| | | | CUSTOMERS | | | | |
| | | | ATTN ROB WALSH | | | | |
| | | | 2 JOURNAL SQ | | | | |
| | | | JERSEY CITY NJ 07306-4006 | | | | |
K-21
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| Neuberger Berman | | Investor | | NATIONAL FINANCIAL | | 5,780,876.490 | | 18.89% |
| High Income Bond | | | | SERVICES FOR THE EXCLUSIVE | | | | |
| Fund | | | | BENEFIT OF THEIR CLIENTS | | | | |
| | | | PO BOX 3908 | | | | |
| | | | CHURCH ST STATION | | | | |
| | | | NEW YORK NY 10008-3908 | | | | |
| | | | | | | | |
| | | | FIDELITY INVESTMENTS | | 5,713,043.910 | | 18.67% |
| | | | INSTITUTIONAL OPS CO INC | | | | |
| | | | FIIOC AS AGENT FOR CERTAIN | | | | |
| | | | EMPLOYEE BENEFIT PLAN | | | | |
| | | | 100 MAGELLAN WAY # KW1C | | | | |
| | | | COVINGTON KY 41015-1999 | | | | |
| | | | | | | | |
| | | | CHARLES SCHWAB & CO INC | | 4,931,492.360 | | 16.12% |
| | | | ATTN MUTUAL FUNDS | | | | |
| | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| Neuberger Berman | | Investor | | RIDGE CLEARING & | | 222,907,353.360 | | 49.10% |
| Municipal Money | | | | OUTSOURCING FOR THE | | | | |
| Fund | | | | EXCLUSIVE USE OF OUR | | | | |
| | | | CUSTOMERS | | | | |
| | | | ATTN ROB WALSH | | | | |
| | | | 2 JOURNAL SQ | | | | |
| | | | JERSEY CITY NJ 07306-4006 | | | | |
| | | | | | | | |
| | | | BARCLAYS CAPITAL INC | | 214,547,054.920 | | 47.26% |
| | | | FOR THE EXCLUSIVE BENEFIT | | | | |
| | | | OF CUSTOMERS | | | | |
| | | | ATTN MUTUAL FUNDS | | | | |
| | | | OPERATIONS | | | | |
| | | | 70 HUDSON ST FL 7 | | | | |
| | | | JERSEY CITY NJ 07302-4585 | | | | |
| Neuberger Berman | | Investor | | CHARLES SCHWAB & CO INC | | 478,660.070 | | 19.87% |
| Municipal | | | | ATTN MUTUAL FUNDS | | | | |
| Securities Trust | | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| Neuberger Berman | | Investor | | RIDGE CLEARING & | | 247,731,177.670 | | 52.01% |
| New York | | | | OUTSOURCING FOR THE | | | | |
| Municipal Money | | | | EXCLUSIVE USE OF OUR | | | | |
| Fund | | | | CUSTOMERS | | | | |
| | | | ATTN ROB WALSH | | | | |
| | | | 2 JOURNAL SQ | | | | |
| | | | JERSEY CITY NJ 07306-4006 | | | | |
| | | | | | | | |
| | | | BARCLAYS CAPITAL INC | | 228,480,006.230 | | 47.97% |
| | | | FOR THE EXCLUSIVE BENEFIT | | | | |
| | | | OF CUSTOMERS | | | | |
| | | | ATTN MUTUAL FUNDS | | | | |
| | | | OPERATIONS | | | | |
| | | | 70 HUDSON ST FL 7 | | | | |
| | | | JERSEY CITY NJ 07302-4585 | | | | |
K-22
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| Neuberger Berman | | Investor | | CHARLES SCHWAB & CO INC | | 1,149,074.410 | | 16.11% |
| Short Duration | | | | ATTN MUTUAL FUNDS | | | | |
| Bond Fund | | | | 101 MONTGOMERY ST | | | | |
| | | | SAN FRANCISCO CA 94104-4151 | | | | |
| | Trust | | HARTFORD LIFE INSURANCE CO | | 595,450.830 | | 50.63% |
| | | | SEPARATE ACCOUNT TK | | | | |
| | | | ATTN DAVID TEN BROECK | | | | |
| | | | 1 GRIFFIN RD N | | | | |
| | | | WINDSOR CT 06095-1512 | | | | |
| | | | | | | | |
| | | | NATIONWIDE LIFE INSURANCE | | 257,500.770 | | 21.89% |
| | | | QPVA | | | | |
| | | | C/O IPO PORTFOLIO | | | | |
| | | | ACCOUNTING | | | | |
| | | | PO BOX 182029 | | | | |
| | | | COLUMBUS OH 43218-2029 | | | | |
| | | | | | | | |
| | | | NATIONWIDE TRUST COMPANY | | 73,974.300 | | 6.29% |
| | | | FSB | | | | |
| | | | C/O IPO PORTFOLIO | | | | |
| | | | ACCOUNTING | | | | |
| | | | PO BOX 182029 | | | | |
| | | | COLUMBUS OH 43218-2029 | | | | |
| | | | | | | | |
| | | | ING LIFE INSURANCE AND | | 68,706.890 | | 5.84% |
| | | | ANNUITY CO | | | | |
| | | | ATTN VALUATION UNIT TS31 | | | | |
| | | | 151 FARMINGTON AVE | | | | |
| | | | HARTFORD CT 06156-0001 | | | | |
| | | | | | | | |
| | | | NATIONAL FINANCIAL SERV | | 65,672.860 | | 5.58% |
| | | | CORP FOR THE EXCLUSIVE | | | | |
| | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | PO BOX 3908 | | | | |
| | | | CHURCH ST STATION | | | | |
| | | | NEW YORK NY 10008-3908 | | | | |
| Neuberger Berman | | Trust | | NATIONAL FINANCIAL SERV | | 53,352.860 | | 62.34% |
| Strategic Income | | | | CORP FOR THE EXCLUSIVE | | | | |
| Fund | | | | BENEFIT OF OUR CUSTOMERS | | | | |
| | | | PO BOX 3908 | | | | |
| | | | CHURCH ST STATION | | | | |
| | | | NEW YORK NY 10008-3908 | | | | |
| | | | | | | | |
| | | | RIDGE CLEARING AND | | 10,966.950 | | 12.81% |
| | | | OUTSOURCING | | | | |
| | | | FBO 541-18039-18 | | | | |
| | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | | | | | | |
| | | | STEPHEN A BLANKSTEEN | | 5,545.740 | | 6.48% |
| | | | BETTY J BLANKSTEEN JT WROS | | | | |
| | | | 1419 UNDERWOOD RD | | | | |
| | | | MOUNT JULIET TN 37122-4615 | | | | |
K-23
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | Institutional | | RIDGE CLEARING AND | | 97,442.400 | | 18.95% |
| | | | OUTSOURCING | | | | |
| | | | FBO 541-15550-13 | | | | |
| | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | | | | | | |
| | | | RIDGE CLEARING AND | | 50,850.330 | | 9.88% |
| | | | OUTSOURCING | | | | |
| | | | FBO 539-16130-14 | | | | |
| | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | | | | | | |
| | | | RIDGE CLEARING AND | | 48,033.110 | | 9.34% |
| | | | OUTSOURCING | | | | |
| | | | FBO 538-80247-12 | | | | |
| | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | | | | | | |
| | | | RIDGE CLEARING AND | | 33,538.570 | | 6.52% |
| | | | OUTSOURCING | | | | |
| | | | FBO 537-04020-17 | | | | |
| | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | | | | | | | |
| | | | RIDGE CLEARING AND | | 27,026.490 | | 5.25% |
| | | | OUTSOURCING | | | | |
| | | | FBO 537-17758-25 | | | | |
| | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
| | A | | MERRILL LYNCH PIERCE | | 187,277.410 | | 81.36% |
| | | | FENNER & SMITH INC FUND | | | | |
| | | | ADMINISTRATION | | | | |
| | | | ATTN SERVICE TEAM | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| | | | | | | | |
| | | | RAYMOND JAMES & ASSOC INC | | 19,556.030 | | 8.49% |
| | | | 3040 FBO CHARLES BARKLEY | | | | |
| | | | FOUNDATION INC | | | | |
| | | | PO BOX 11624 | | | | |
| | | | BIRMINGHAM AL 35202-1624 | | | | |
| | C | | MERRILL LYNCH PIERCE | | 16,159.980 | | 51.35% |
| | | | FENNER & SMITH INC FUND | | | | |
| | | | ADMINISTRATION ATTN | | | | |
| | | | SERVICE TEAM | | | | |
| | | | 4800 DEER LAKE DR E FL 2 | | | | |
| | | | JACKSONVILLE FL 32246-6484 | | | | |
| | | | | | | | |
| | | | RIDGE CLEARING AND | | 10,858.500 | | 34.50% |
| | | | OUTSOURCING | | | | |
| | | | FBO 541-18008-15 | | | | |
| | | | 2 JOURNAL SQ. PLAZA | | | | |
| | | | JERSEY CITY NJ 07306-4001 | | | | |
K-24
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| Neuberger Berman | | Reserve | | RIDGE CLEARING & | | 395,986,983.950 | | 71.18% |
| Tax-Free Money | | | | OUTSOURCING | | | | |
| Fund | | | | FOR THE EXCLUSIVE USE OF | | | | |
| | | | OUR CUSTOMERS | | | | |
| | | | ATTN ROB WALSH | | | | |
| | | | 2 JOURNAL SQ | | | | |
| | | | JERSEY CITY NJ 07306-4006 | | | | |
| | | | | | | | |
| | | | BARCLAYS CAPITAL INC | | 160,305,705.250 | | 28.81% |
| | | | FOR THE EXCLUSIVE BENEFIT | | | | |
| | | | OF CUSTOMERS | | | | |
| | | | ATTN MUTUAL FUNDS | | | | |
| | | | OPERATIONS | | | | |
| | | | 70 HUDSON ST FL 7 | | | | |
| | | | JERSEY CITY NJ 07302-4585 | | | | |
LEHMANBROTHERSINSTITUTIONALLIQUIDITYFUNDS
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| Neuberger Berman | | Institutional | | RIDGE CLEARING & | | 1,140,127,205.160 | | 83.78% |
| Treasury Fund | | | | OUTSOURCING FOR | | | | |
| | | | THE EXCLUSIVE USE OF OUR | | | | |
| | | | CUSTOMERS | | | | |
| | | | ATTN ROB WALSH | | | | |
| | | | 2 JOURNAL SQ | | | | |
| | | | JERSEY CITY NJ 07306-4006 | | | | |
| | | | | | | | |
| | | | BARCLAYS CAPITAL INC | | 95,444,092.740 | | 7.01% |
| | | | FOR THE EXCLUSIVE BENEFIT | | | | |
| | | | OF CUSTOMERS | | | | |
| | | | ATTN MUTUAL FUNDS | | | | |
| | | | OPERATIONS | | | | |
| | | | 70 HUDSON ST FL 7 | | | | |
| | | | JERSEY CITY NJ 07302-4585 | | | | |
| Prime Portfolio | | Institutional | | WELLS FARGO BANK NA AS | | 13,070,839.210 | | 55.65% |
| | | | TRUSTEE FOR THE BENEFIT | | | | |
| | | | OF SASCO 2008-C2 LLC | | | | |
| | | | BRIAN SMITH ANN CUNG | | | | |
| | | | 750 BERING DR STE 500 | | | | |
| | | | HOUSTON TX 77057-2132 | | | | |
| | | | | | | | |
| | | | BAND & CO C/O US BANK | | 5,695,074.720 | | 24.24% |
| | | | ATTN WILLY BLOOM | | | | |
| | | | PO BOX 1787 | | | | |
| | | | MILWAUKEE WI 53201-1787 | | | | |
| | | | | | | | |
| | | | BARCLAYS CAPITAL INC FOR | | 1,648,270.760 | | 7.01% |
| | | | THE EXCLUSIVE BENEFIT OF | | | | |
| | | | CUSTOMERS | | | | |
| | | | ATTN MUTUAL FUNDS | | | | |
| | | | OPERATIONS | | | | |
| | | | 70 HUDSON ST FL 7 | | | | |
| | | | JERSEY CITY NJ 07302-4585 | | | | |
K-25
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| | | | STRAFE & CO FAO CONGRESS | | 1,526,427.900 | | 6.49% |
| | | | LIFE INSURANCE - | | | | |
| | | | APPALACHIAN | | | | |
| | | | A/C 9500127404 | | | | |
| | | | PO BOX 160 | | | | |
| | | | WESTERVILLE OH 43086-0160 | | | | |
| | Service | | SAVEDAILY.COM INC FBO IT’S | | 5,573,930.690 | | 100.00% |
| | | | CLIENTS KEN CARROLL JEFF | | | | |
| | | | MAHONY TTEES | | | | |
| | | | ATTN TRADING | | | | |
| | | | 3020 OLD RANCH PKWY STE 140 | | | | |
| | | | SEAL BEACH CA 90740-2751 | | | | |
| | Premier | | BARCLAYS CAPITAL INC FOR | | 131,924,926.740 | | 83.95% |
| | | | THE EXCLUSIVE BENEFIT OF | | | | |
| | | | CUSTOMERS | | | | |
| | | | ATTN MUTUAL FUNDS | | | | |
| | | | OPERATIONS | | | | |
| | | | 70 HUDSON ST FL 7 | | | | |
| | | | JERSEY CITY NJ 07302-4585 | | | | |
| | | | | | | | |
| | | | RIDGE CLEARING AND | | 19,098,102.890 | | 12.15% |
| | | | OUTSOURCING FOR | | | | |
| | | | EXCLUSIVE USE OF OUR | | | | |
| | | | CUSTOMERS | | | | |
| | | | ATTN ROB WALSH | | | | |
| | | | 2 JOURNAL SQ | | | | |
| | | | JERSEY CITY NJ 07306-4006 | | | | |
NEUBERGERBERMANINSTITUTIONALLIQUIDITYSERIES
| | | | | | Amount and | | |
| | | | | | Nature of | | Percentage |
| | | | | | Beneficial | | of Class |
| Fund | | Class | | Name and Address | | Ownership | | Owned |
| Neuberger Berman | | Trust | | RIDGE CLEARING & | | 1,975,373,283.150 | | 99.99% |
| Institutional Cash | | | | OUTSOURCING FOR THE | | | | |
| Fund | | | | EXCLUSIVE USE OF OUR | | | | |
| | | | CUSTOMERS | | | | |
| | | | ATTN ROB WALSH | | | | |
| | | | 2 JOURNAL SQ | | | | |
| | | | JERSEY CITY NJ 07306-4006 | | | | |
| Neuberger Berman | | Trust | | NEUBERGER BERMAN | | 542,331,320.670 | | 67.45% |
| Prime Money Fund | | | | GENESIS CASH SWEEP | | | | |
| | | | ACCOUNT | | | | |
| | | | ATTN BARBARA MUINOS | | | | |
| | | | 605 3RD AVE FRNT 2 | | | | |
| | | | NEW YORK NY 10158-0101 | | | | |
K-26
