SCHEDULE 14A
(RULE 14a-101)
INFORMATION REQUIRED IN PROXY STATEMENT
SCHEDULE 14A INFORMATION
Proxy Statement Pursuant to Section 14(a) of the Securities
Exchange Act of 1934 (Amendment No. ______)
Filed by the registrantS
Filed by a Party other than the registrant£
Check the appropriate box:
| £ | Preliminary proxy statement. |
| S | Definitive proxy statement. |
| £ | Definitive additional materials. |
| £ | Soliciting material under Rule 14a-12. |
| £ | Confidential, for use of the Commission only (as permitted by Rule 14a-b(e)(2)) |
Lord Abbett Affiliated Fund, Inc.
Lord Abbett Bond-Debenture Fund, Inc.
Lord Abbett Developing Growth Fund, Inc.
Lord Abbett Equity Trust
Lord Abbett Global Fund, Inc.
Lord Abbett Investment Trust
Lord Abbett Mid Cap Stock Fund, Inc.
Lord Abbett Municipal Income Fund, Inc.
Lord Abbett Research Fund, Inc.
Lord Abbett Securities Trust
Lord Abbett Series Fund, Inc.
Lord Abbett U.S. Government & Government Sponsored
Enterprises Money Market Fund, Inc.
| (Name of Registrant as Specified in Its Charter) |
(Name of Person(s) Filing Proxy Statement,
if other than the Registrant)
Payment of filing fee (check the appropriate box):
| S | No fee required. |
| £ | Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11. |
| 1) | Title of each class of securities to which transaction applies: | |
| 2) | Aggregate number of securities to which transaction applies: | |
| 3) | Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined): | |
| 4) | Proposed maximum aggregate value of transaction: | |
| 5) | Total fee paid: | |
| £ Fee paid previously with preliminary materials. |
| £ Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the form or schedule and the date of its filing. |
| 1) | Amount Previously Paid: | |
| 2) | Form, Schedule or Registration Statement No.: | |
| 3) | Filing Party: | |
| 4) | Date Filed: | |
The Lord Abbett Family of Funds
90 Hudson Street
Jersey City, New Jersey 07302-3973
888-522-2388
Dear Fellow Shareholder,
You are cordially invited to participate in a joint special meeting of shareholders of the Lord Abbett Family of Funds. The meeting will take place on December 4, 2014 at 9:00 a.m. at the offices of Lord, Abbett & Co. LLC, 90 Hudson Street, Jersey City, New Jersey 07302-3973. The purpose of the meeting is to vote on a proposal to elect nine nominees named in the attached joint proxy statement to the Funds’ Boards of Directors/Trustees.
The attached materials provide more information about the proposal, including each nominee’s background and qualifications. Each Board recommends that you vote “FOR” each of the nominees. We urge you to read the full text of the attached joint proxy statement before voting.
The proxy materials are being provided beginning on or about October 10, 2014 to shareholders who owned Fund shares as of September 8, 2014.
Your vote is important. Even if you plan to attend the meeting, please vote promptly via the Internet, by telephone, or by mail. Your prompt vote will help save the Funds the costs of further proxy solicitation. If you have any questions or need assistance voting, please contact your financial intermediary or call the Funds at 888-522-2388.
Thank you for investing in the Lord Abbett Family of Funds. It is a privilege to manage your investment.
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| Sincerely, | |
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| Daria L. Foster |
The Lord Abbett Family of Funds 90 Hudson Street
Jersey City, New Jersey 07302-3973
888-522-2388
QUESTIONS AND ANSWERS
Your vote is important.
Although we urge you to read the full text of the attached joint proxy statement, for your convenience we have provided a brief overview of the proposal on which you are being asked to vote.
Why am I receiving the joint proxy statement?
The Funds are holding a joint special meeting of shareholders on December 4, 2014 to elect members of the Funds’ Boards of Directors/Trustees. This joint proxy statement describes a proposal to elect nine nominees to the Board of the Fund(s) in which you own shares and provides you with other information relating to the meeting. You are eligible to vote on the proposal (or to provide voting instructions to a financial intermediary holding Fund shares in its name for your benefit) if you owned shares of one or more of the Funds as of September 8, 2014. Your proxy card indicates the Fund(s) in which you own shares.
How do the Boards of the Funds recommend that I vote?
The Boards have reviewed the qualifications and backgrounds of the Board nominees named in the joint proxy statement and believe the Board nominees possess the requisite experience in overseeing investment companies and familiarity with the Funds and their investment adviser, Lord, Abbett & Co. LLC. Therefore, the Boards believe the election of each Board nominee is in your best interest and unanimously recommend that you vote “FOR” each Board nominee.
How can I vote?
You can vote in any of four ways:
• | Via the Internet.Access the Internet address provided on your proxy card and follow the instructions. You will need the control number provided on your proxy card. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
• | By telephone.Call the toll-free number provided on your proxy card and follow the instructions. You will need the control number provided on your proxy card. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
• | By mail.Complete, sign, and date your proxy card and mail it to the address shown on the card. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
• In person at the meeting.You may attend the meeting and vote in person; however, even if you intend to do so, we encourage you to vote early using one of the methods discussed above. Please see the proxy statement for instructions on how to vote at the meeting if you hold shares through a financial intermediary in its name for your benefit. Whichever method you choose, we urge you to read the full text of the attached joint proxy statement before voting. Will my vote make a difference? Yes! Your vote is needed to ensure that the Board nominees will be elected, no matter how many shares you own. You are entitled to one vote for each full share and a proportionate fractional vote for each fractional share you own of a Fund on the record date (September 8, 2014). Voting is an important way to participate in the governance and management of your Fund. Additionally, your prompt vote will help save the Funds the costs of further proxy solicitation. Who will pay the costs associated with the proxy solicitation? The Funds will bear all costs associated with the proxy solicitation, including printing, distribution, and proxy solicitation costs, and related legal and accounting fees. Costs borne by the Funds will be allocated among the Funds ratably based on their respective numbers of shareholder accounts, except when costs reasonably can be attributed to one or more specific Funds. The Funds have retained Broadridge Financial Solutions, Inc. (“Broadridge”), a proxy services firm, to assist in the distribution of proxy materials and the solicitation and tabulation of proxies. It is anticipated that the Funds will pay Broadridge approximately $3,300,000 for such services (including reimbursement of out-of-pocket expenses). Whom should I call if I have questions? If you need more information, or have any questions about voting, please call the Funds at 888-522-2388.
Please vote now.
To avoid the unnecessary costs of further proxy solicitation, please vote promptly via the Internet, by telephone, or by mail, no matter how large or small your Fund holdings may be.
Special Note to Variable Annuity Contract Owners
If you own a variable annuity contract whose values are allocated to one or more series of Lord Abbett Series Fund, you are receiving this material because your insurance company is asking you to provide it with instructions as to how to vote the shares attributable to your contract. Please complete the instruction card and return it to your insurance company as directed on the card or in the accompanying materials you received from the insurance company. Please do not return the instruction card to the Lord Abbett Family of Funds.
The Lord Abbett Family of Funds 90 Hudson Street
Jersey City, New Jersey 07302-3973
888-522-2388
NOTICE OF JOINT SPECIAL MEETING OF SHAREHOLDERS
To Be Held December 4, 2014
A joint special meeting of shareholders of the Lord Abbett Funds identified below (each, a “Fund”) will be held at the offices of Lord, Abbett & Co. LLC, 90 Hudson Street, Jersey City, New Jersey 07302-3973, on Thursday, December 4, 2014, at 9:00 a.m. (Eastern time), to consider and vote on the following proposal, as described more fully in the accompanying joint proxy statement:
PROPOSAL 1: To elect nine nominees to serve on each Fund’s Board of Directors/Trustees.
In addition, Fund shareholders will be asked to transact such other business as may properly come before the meeting or any adjournments, postponements, or delays of the meeting.
Shareholders of record of each Fund as of the close of business on September 8, 2014 are entitled to notice of and to vote at the meeting and any adjournments, postponements, or delays of the meeting. Shareholders are entitled to one vote for each full share owned and a proportionate vote for each fractional share owned.
Your vote is important, no matter how many shares you own. Your prompt vote will help save the Funds the costs of further proxy solicitation. Please vote via the Internet, by telephone, by mail, or by attending the meeting in person, as described more fully in the accompanying joint proxy statement. Whichever method you choose, we urge you to read the full text of the attached joint proxy statement before voting.
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| By Order of the Boards, | |
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| Lawrence H. Kaplan | |
October 10, 2014 | Vice President and Secretary |
Important Notice Regarding the Availability of Proxy Materials for the Joint Special Meeting of Shareholders to Be Held December 4, 2014
The Joint Proxy Statement is available at www.proxyvote.com. To access the Joint Proxy Statement, you will need the control number provided on your proxy card.
The Lord Abbett Family of Funds Lord Abbett Affiliated Fund Lord Abbett Bond Debenture Fund Lord Abbett Developing Growth Fund Lord Abbett Equity Trust Lord Abbett Calibrated Large Cap Value Fund Lord Abbett Global Fund Lord Abbett Emerging Markets Corporate Debt Fund Lord Abbett Investment Trust Lord Abbett Convertible Fund Lord Abbett Mid Cap Stock Fund Lord Abbett Municipal Income Fund Lord Abbett AMT Free Municipal Bond Fund Lord Abbett Research Fund Lord Abbett Calibrated Dividend Growth Fund Lord Abbett Securities Trust Lord Abbett Alpha Strategy Fund
Lord Abbett Calibrated Mid Cap Value Fund
Lord Abbett Emerging Markets Currency Fund
Lord Abbett Emerging Markets Local Bond Fund
Lord Abbett Multi-Asset Global Opportunity Fund
Lord Abbett Core Fixed Income Fund
Lord Abbett Diversified Equity Strategy Fund
Lord Abbett Floating Rate Fund
Lord Abbett High Yield Fund
Lord Abbett Income Fund
Lord Abbett Inflation Focused Fund
Lord Abbett Multi-Asset Balanced Opportunity Fund
Lord Abbett Multi-Asset Growth Fund
Lord Abbett Multi-Asset Income Fund
Lord Abbett Short Duration Income Fund
Lord Abbett Total Return Fund
Lord Abbett California Tax Free Fund
Lord Abbett High Yield Municipal Bond Fund
Lord Abbett Intermediate Tax Free Fund
Lord Abbett National Tax Free Fund
Lord Abbett New Jersey Tax Free Fund
Lord Abbett New York Tax Free Fund
Lord Abbett Short Duration Tax Free Fund
Lord Abbett Growth Opportunities Fund
Lord Abbett Small Cap Value Fund
Lord Abbett Fundamental Equity Fund
Lord Abbett Growth Leaders Fund Lord Abbett Series Fund Bond Debenture Portfolio Lord Abbett U.S. Government & Government Sponsored
Lord Abbett International Core Equity Fund
Lord Abbett International Dividend Income Fund
Lord Abbett International Opportunities Fund
Lord Abbett Micro Cap Growth Fund
Lord Abbett Micro Cap Value Fund
Lord Abbett Value Opportunities Fund
Calibrated Dividend Growth Portfolio
Classic Stock Portfolio
Developing Growth Portfolio
Fundamental Equity Portfolio
Growth and Income Portfolio
Growth Opportunities Portfolio
International Core Equity Portfolio
International Opportunities Portfolio
Mid Cap Stock Portfolio
Short Duration Income Portfolio
Total Return Portfolio
Value Opportunities Portfolio
Enterprises Money Market Fund
TABLE OF CONTENTS 2 2 2 3 4 5 Equity Securities Owned by Board Nominees and Executive Officers 6 Investment Adviser, Administrator, and Principal Underwriter 6 6 6 6 7 7 7 7 7 Special Requirements Applicable to Delaware Funds and Maryland Funds 8 8 9 9 9 10 10 10 11 A-1 B-1 C-1 Appendix D: Board Nominees’ Experience, Qualifications, and Skills D-1 E-1 F-1 G-1 H-1 I-1 Appendix J: Board Nominees’ and Executive Officers’ Aggregate Ownership of Fund Shares J-1 K-1 L-1 Appendix M: Fees Paid to the Funds’ Independent Registered Public Accounting Firm M-1
The Lord Abbett Family of Funds 90 Hudson Street
Jersey City, New Jersey 07302-3973
888-522-2388
JOINT PROXY STATEMENT
This joint proxy statement (the “Proxy Statement”) is furnished in connection with the solicitation of proxies by the Boards of Directors/Trustees (collectively, the “Board,” the members of which are referred to as “Board members”) of each Lord Abbett Fund listed inAppendix Aof this Proxy Statement (each, a “Fund”). The proxies will be voted at a joint special meeting of shareholders of the Funds to be held at the offices of Lord, Abbett & Co. LLC, the Funds’ investment adviser (“Lord Abbett”), 90 Hudson Street, Jersey City, New Jersey 07302-3973, on Thursday, December 4, 2014, at 9:00 a.m. (Eastern Time), and at any and all adjournments, postponements, or delays of the meeting (the “Meeting”). The Meeting will be held for the purposes set forth in the accompanying Notice of Joint Special Meeting of Shareholders to Be Held December 4, 2014. This proxy statement is first being made available to shareholders on or about October 10, 2014.
You are entitled to notice of, and to vote at, the Meeting (or to provide voting instructions to a financial intermediary holding Fund shares in its name for your benefit) only if you owned shares of a Fund as of the close of business on September 8, 2014 (the “Record Date”). Shareholders of the Funds are entitled to one vote for each full share and a proportionate fractional vote for each fractional share held as of the Record Date. Each properly executed proxy received before the Meeting, unless revoked, will be voted at the Meeting in accordance with the shareholder’s instructions. If a proxy card is properly executed and returned, but the shareholder did not provide any instruction on how to vote on the proposal, the shares represented by the card will be voted “FOR” the proposal.
To revoke a proxy, you must submit a written notice of revocation or a later dated proxy to the applicable Fund, or attend the Meeting and vote in person by ballot, in all cases before the proxy is exercised at the Meeting. If you hold Fund shares through a financial intermediary, please consult your financial intermediary regarding your ability to revoke voting instructions. For more information, please see the section of the proxy statement titled “Voting Information.”
Each Fund will furnish, without charge, a copy of its annual report and most recent semi-annual report succeeding the annual report, if any, to a shareholder upon request. Such requests should be directed to the applicable Fund at 90 Hudson Street, Jersey City, New Jersey 07302-3973, or by calling toll free at 888-522-2388. Copies of each Fund’s annual and semi-annual reports also are available on Lord Abbett’s website at www.lordabbett.com and at the U.S. Securities and Exchange Commission’s website at www.sec.gov.
Please vote now. Your vote is important.
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PROPOSAL 1: ELECTION OF BOARD NOMINEES Each Fund is an open-end investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”), whose management and operations are overseen by the Board. The Board ordinarily can appoint new Board members without a shareholder vote, provided that upon such appointment at least two-thirds of the Board members have been elected by shareholders. Currently, exactly two-thirds of the Board members have been elected by shareholders, which means the Board cannot appoint any new Board members without a shareholder vote. Electing each nominee to the Board therefore would give the Board flexibility to add new Board members or to fill any future vacancies created by the departure of one or more shareholder-elected Board members, if necessary. Accordingly, the Board has determined it is advisable for each Board member to stand for election. The Board, on the recommendation of its Nominating and Governance Committee, recommends a vote “FOR” the election of E. Thayer Bigelow, Robert B. Calhoun, Jr., Eric C. Fast, Daria L. Foster, Evelyn E. Guernsey, Julie A. Hill, Franklin W. Hobbs, James M. McTaggart, and James L.L. Tullis (the “Board nominees”). Please refer to the table inAppendix B, which provides certain biographical information about the Board nominees. The Board of each Fund consists of nine Board members, eight of whom are not “interested persons” of the Funds (as defined in the 1940 Act) (the “independent Board members”). Each Board nominee other than Ms. Foster is an independent Board member. Ms. Foster is an interested person of the Funds under the 1940 Act because she is Managing Partner of Lord Abbett, the Funds’ investment adviser. Shareholders of each Fund will consider electing all nine nominees at the Meeting. Each Board nominee elected at the Meeting will serve until his or her successor is duly elected and qualifies, or until his or her earlier death, resignation, retirement, or removal. Although every Fund’s Board consists of the same members (and the same nominees are proposed for election to the Board of every Fund), each Fund has a separate Board. Shareholders of each Fund, therefore, will vote separately on the election of members of their Fund’s Board (although all shareholders of all series within a Fund vote together as to that Fund’s Board). The election results as to any one Fund’s Board will not affect the results as to any other Fund’s Board. To vote for the Board nominees, please vote by telephone or via the Internet, or sign, date, and return the enclosed proxy card. Each of the Board nominees has consented to being named in this Proxy Statement and to serve as a Board member if elected. 2
Qualifications of Board Nominees The Nominating and Governance Committee operates pursuant to a written charter and is responsible for making nominations of candidates for appointment or election as independent Board members. Accordingly, the Nominating and Governance Committee nominated each independent Board member for election at the Meeting. The Board nominated Ms. Foster for election at the Meeting. The Nominating and Governance Committee and the Board evaluated each Board nominee both individually and in the broader context of the Board’s overall effectiveness, and made each nomination based on a variety of criteria, none of which in isolation was controlling. The factors summarized below led the Nominating and Governance Committee and the Board to conclude that each Board nominee should continue to serve on the Board. • Each Board nominee has executed his or her duties as a Board member with diligence, honesty, and integrity. • Each Board nominee has dedicated considerable time and has made substantial contributions during his or her service on the Board. Each Board nominee’s length of service on the Board is noted inAppendix C. • Each Board nominee possessed, at the time he or she initially was elected or appointed to the Board, and continues to possess, the experience, qualifications, skills, and attributes deemed necessary or desirable for Board members, including business acumen, experience relevant to the financial services industry generally and the asset management industry particularly, and sound business judgment. Furthermore, the Board nominees collectively have a balanced and diverse set of experiences, skills, attributes, and qualifications, enabling the Board to operate effectively in governing the Funds and protecting shareholders’ interests. The individual qualifications of each Board nominee are described inAppendix D. • Each Board nominee has demonstrated his or her ability to critically evaluate information presented to him or her and to interact collaboratively and effectively with Lord Abbett, other service providers, and other Board members. • Each Board nominee has significant experience and knowledge relevant to registered investment companies gained from years of educational and professional training, and from overseeing the Funds. This experience and knowledge encompasses the Funds’ day-to-day operations, investments representing a wide array of asset classes, contractual arrangements, and numerous regulatory and compliance matters. • Each Fund achieves operational efficiencies by having the same Board oversee it and each of the other Funds. 3
In addition to individual qualifications, the qualifications described above are among those that the Nominating and Governance Committee will consider for any future independent Board nominees. It is the Nominating and Governance Committee’s policy to consider Board member candidates recommended by shareholders using the same criteria the Committee uses to evaluate other candidates. However, any nominees recommended by shareholders must demonstrate an ability to represent all shareholders and not just a limited set of shareholders. A shareholder may submit a nomination to the Board by following the procedures detailed under “Shareholder Communications” below. Board Leadership Structure and Oversight The Board consists of nine Board members, eight of whom are independent Board members. E. Thayer Bigelow, an independent Board member, serves as the Chairman of the Board. The role of the Chairman of the Board is to preside over Board meetings and to interface with Lord Abbett, other service providers, and other Board members between meetings. The Board has determined that its leadership structure is appropriate in light of the composition of the Board and its committees and Mr. Bigelow’s long tenure with the Board. The Board believes its leadership structure enhances the effectiveness of the Board’s oversight role. As discussed more fully below, the Board has delegated certain aspects of its oversight function to standing committees comprised solely of independent Board members (the “Committees,” the members of which are referred to as “Committee members”). Each Committee is chaired by an independent Board member who is responsible for presiding over meetings and interfacing with Lord Abbett, other service providers, and other Board members between meetings. Committee chairs also perform such other functions as the Board or the Committee may delegate to them from time to time. Each Fund’s Board has four Committees: an Audit Committee; a Contract Committee; a Nominating and Governance Committee; and a Proxy Committee. The Funds do not have a compensation committee because their executive officers do not receive any direct compensation from the Funds. The Board comprehensively reviews the Chief Compliance Officer’s (“CCO”) compensation, which is paid by Lord Abbett. The committee structure facilitates the Board’s timely and efficient consideration of matters pertinent to the Funds’ business and affairs and their associated risks. The Board and each Committee conduct annual assessments of their oversight function and structure. Information regarding the composition and function of the Committees is provided inAppendix E. The Board generally meets seven times a year, and may hold additional special meetings to address specific matters that arise between regularly scheduled meetings. The Audit Committee generally holds four regularly scheduled meetings a year, the Proxy Committee generally holds two regularly scheduled meetings a year, and the Contract Committee and Nominating and Governance Committee meet as needed. The independent Board members also meet regularly without the presence of management and are advised by independent legal counsel. 4
Information about the number of times the Board and each Committee met during each Fund’s most recent fiscal year is provided inAppendix F. No Board member attended less than 75% of the total number of meetings of each Board and Committee on which the Board member served during each Fund’s most recently completed fiscal year. The Board has engaged Lord Abbett to manage the Funds on a day-to-day basis. Each Board is responsible for overseeing Lord Abbett, other service providers, the operations of each Fund and associated risks in accordance with the provisions of the 1940 Act, state law, other applicable laws, each Fund’s charter, and each Fund’s investment objective(s) and strategies. The Board reviews, on an ongoing basis, the Funds’ performance, operations, and investment strategies and techniques. The Board also conducts reviews of Lord Abbett and its role in running the operations of the Funds. Day-to-day risk management with respect to the Funds is the responsibility of Lord Abbett or other service providers (depending on the nature of the risk), subject to the supervision of Lord Abbett. The Funds are subject to a number of risks, including investment, compliance, operational, and valuation risks, among others. While there are a number of risk management functions performed by Lord Abbett or other service providers, as applicable, it is not possible to eliminate all of the risks applicable to the Funds. Risk oversight is part of the Board’s general oversight of the Funds and is addressed as part of various Board and Committee activities. The Board, directly or through Committees, also reviews reports from, among others, Lord Abbett and the independent registered public accounting firm for the Funds, as appropriate, regarding risks faced by the Funds and management’s or the service providers’ risk functions. The Committee system facilitates the timely and efficient consideration of matters by the Board members and facilitates effective oversight of compliance with legal and regulatory requirements and of the Funds’ activities and their associated risks. The Board has appointed a CCO, who oversees the implementation and testing of the Funds’ compliance program and reports regularly to the Board regarding compliance matters for the Funds and their service providers. The independent Board members have engaged independent legal counsel to assist them in performing their oversight responsibilities. Finally, the Board appoints officers of the Funds to oversee the Funds’ daily affairs. Each officer is an interested person of the Funds under the 1940 Act because he or she is a partner or employee of Lord Abbett. Information about the executive officers of each Fund is set forth inAppendix G. Information relating to compensation paid to Board members is provided inAppendix H. 5
Equity Securities Owned by Board Nominees and Executive Officers Information relating to the dollar range of equity securities owned by Board nominees in the Funds as of July 31, 2014 is set forth inAppendix I. Information concerning the Board nominees’ and the Funds’ executive officers aggregate ownership in the Funds is provided inAppendix J. Investment Adviser, Administrator, and Principal Underwriter Lord Abbett, a privately owned Delaware limited liability company, serves as each Fund’s investment adviser and administrator. Lord Abbett Distributor LLC (the “Distributor”), a wholly owned subsidiary of Lord Abbett, serves as each Fund’s principal underwriter. Lord Abbett and the Distributor are located at 90 Hudson Street, Jersey City, New Jersey 07302-3973. Founded in 1929, Lord Abbett manages one of the nation’s oldest mutual fund complexes and, as of July 31, 2014, manages approximately $139.7 billion in assets across a full range of funds, institutional accounts, and separately managed accounts, including $1.4 billion for which Lord Abbett provides investment models to managed account sponsors. The Board recommends that you vote “FOR” the election of each Board nominee. The table inAppendix Ksets forth the number of shares of each Fund issued and outstanding at the close of business on the Record Date. A list of each Fund’s shareholders of record as of the Record Date will be available for inspection at the Meeting. As of September 8, 2014, to the best of the Funds’ knowledge, the persons listed inAppendix Lbeneficially owned more than 5% or 25% of the outstanding shares of the class or Fund indicated. Solicitation may be made by mail, telephone, fax, e-mail, or the Internet by officers or employees of Lord Abbett, or by financial intermediaries and their representatives. The Funds may request that brokerage firms, custodians, banks, and other fiduciaries forward proxy solicitation material to beneficial owners of Fund shares. The Funds will reimburse brokerage firms, custodians, banks, and other fiduciaries for their expenses in forwarding this proxy statement and proxy materials to beneficial owners of each Fund’s shares (i.e., shareholders who hold Fund shares through a financial intermediary in its name for their benefit). The Funds also will reimburse insurance companies, to the extent required by any agreement between the Funds and such insurance companies, for the cost of forwarding this information to variable annuity contract owners for the purpose of obtaining their voting instructions as to shares attributable to their contracts. 6
The Funds have retained Broadridge Financial Solutions, Inc. (“Broadridge”), 1155 Long Island Avenue, Edgewood, NY 11717, a proxy services firm, to assist in the distribution of proxy materials and the solicitation and tabulation of proxies. It is anticipated that the Funds will pay Broadridge approximately $3,300,000 for such services (including reimbursement of out-of-pocket expenses). Broadridge may solicit proxies personally and by mail, telephone, fax, e-mail, or the Internet. The Funds will bear the cost of preparing, printing, and mailing this proxy statement, the enclosed proxy, and the accompanying notice, and costs in connection with the solicitation of proxies. The Funds also will incur additional out-of-pocket costs, such as legal expenses and auditor fees, in connection with the preparation of this proxy statement. Costs borne by the Funds collectively will be allocated among the Funds on the basis of their respective numbers of shareholder accounts, except when direct costs reasonably can be attributed to one or more specific Funds. Each Fund must achieve a quorum of shareholders to conduct business at the Meeting. For Global Fund, the holders of a majority of the shares entitled to vote on any matter at the Meeting, present in person or by proxy, will constitute a quorum of the Fund. For each of the other Funds, the holders of one-third of the shares entitled to vote on any matter at the Meeting, present in person or by proxy, will constitute a quorum of the Fund. The affirmative vote of a plurality of the votes cast with respect to a Board nominee at the Meeting, assuming a quorum is present, is necessary to elect each Board nominee under Proposal 1 for each Fund. Abstentions and Broker Non-Votes Abstentions and “broker non-votes” (i.e., proxies from brokers or nominees indicating that they have not received voting instructions from the beneficial owner on a particular proposal for which the brokers or nominees do not have discretionary voting authority or elect not to exercise such authority), if any, will be counted as represented at the Meeting for purposes of determining whether a quorum has been reached, but will have the same effect as a vote against Proposal 1. Recording and Tabulation of Votes Votes cast by proxy or in person at the Meeting will be tabulated by the inspectors of election appointed for the Meeting. The inspectors of election will determine whether a quorum is present at the Meeting for each Fund. 7
If you hold your shares directly (not through a financial intermediary) and you return a signed and dated proxy card that does not specify how you wish to vote, your shares will be voted “FOR” the Board nominees in Proposal 1. If you hold your shares through a financial intermediary, you must instruct the financial intermediary how to vote your shares. Because Proposal 1 is a “routine” matter under rules of the New York Stock Exchange, financial intermediaries may exercise their discretionary authority to vote shares of beneficial owners who do not provide timely voting instructions for Proposal 1 or to “echo vote” such shares in the same proportion as those shares for which the financial intermediaries have received voting instructions. In addition, a properly executed proxy card or other authorization by a beneficial owner of Fund shares that does not specify how the beneficial owner’s shares should be voted on Proposal 1 may be deemed an instruction to vote such shares “FOR” Proposal 1 or to echo vote such shares. Please consult your financial intermediary for more information about its practices with respect to voting beneficial owners’ shares. Special Requirements Applicable to Delaware Funds and Maryland Funds Each Fund is organized as a Delaware statutory trust (each, a “Delaware Fund”) or a Maryland corporation (each, a “Maryland Fund”). As indicated below, voting procedures may differ depending on whether you hold shares of a Delaware Fund (Equity Trust, Investment Trust, and Securities Trust and their respective series) or a Maryland Fund (all of the other Funds and their respective series). Under Delaware law, shares owned by two or more persons (whether as joint tenants, co-fiduciaries, or otherwise) will be voted as follows, unless a written instrument or court order providing to the contrary has been filed with the Secretary of the Fund: (1) if only one votes, that vote binds all; (2) if more than one votes, the vote of the majority binds all; and (3) if more than one votes and the vote is evenly divided, the vote will be cast proportionately. Under Maryland law, shares owned by two or more persons (whether as joint tenants, co-fiduciaries, or otherwise) will be voted as follows, unless a written instrument or court order providing to the contrary has been filed with the Secretary of the Fund: (1) if only one votes, that vote binds all; (2) if more than one votes, the vote of the majority binds all; and (3) if more than one votes and the vote is evenly divided, each faction may vote the shares in question proportionally or any person voting the shares or any beneficiary may apply to a court of competent jurisdiction to appoint an additional person to act with the persons voting the shares and the shares then will be voted as determined by a majority of those persons and the person appointed by the court. To revoke a proxy, you must submit a written notice of revocation or later dated proxy to the applicable Fund, or attend the Meeting and vote in person by ballot, in all cases before the proxy is exercised at the Meeting. Merely attending the 8
Meeting, however, will not revoke a previously executed proxy. If you hold shares through a financial intermediary, please consult your financial intermediary regarding your ability to revoke voting instructions after you have provided them. Attendance at the Meeting will be limited to each Fund’s shareholders as of the Record Date. If you plan to attend the Meeting in person, in order to gain admission you must show valid photographic identification, such as your driver’s license or passport. If you hold Fund shares through a financial intermediary, in order to gain admission you also must show satisfactory proof of ownership of shares in a Fund, such as your voting instruction form or a statement indicating ownership as of the Record Date. If you hold Fund shares through a financial intermediary, you will not be able to vote in person at the Meeting unless you previously have obtained a “legal proxy” from your financial intermediary and present it at the Meeting. Even if you plan to attend the Meeting, please promptly follow the enclosed instructions to submit voting instructions by telephone or via the Internet. Alternatively, you may submit voting instructions by signing, dating, and returning your proxy card. If any Fund does not receive sufficient votes to hold the Meeting, the Meeting may be adjourned to permit further solicitation of proxies. In determining whether to adjourn the Meeting, the persons named as proxies may consider the following factors, among other factors they deem relevant: the percentage of votes actually cast, the percentage of negative votes actually cast, and the nature of any further solicitation and any information to be provided to shareholders for such solicitation. Any such adjournment will require the affirmative vote of a majority of the shares of the applicable Fund present in person or by proxy (whether or not sufficient to constitute a quorum) and entitled to vote at the Meeting. The persons named as proxies will vote on adjournment after considering the best interests of all Fund shareholders. The Funds may hold an adjourned Meeting without issuing another notice to shareholders. INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM The Board members, including a majority of the independent Board members, of each Fund have selected Deloitte & Touche LLP (“D&T”) as the Fund’s independent registered public accounting firm for the current fiscal year. D&T also will prepare the Funds’ federal and state income tax returns and provide certain permitted non-audit services. D&T, in accordance with Independence Standards Board Standard No. 1, has confirmed to each Fund’s Audit Committee that they are independent auditors with respect to the Fund. Each Fund’s Audit Committee has considered whether the provision by D&T to the Fund of non-audit services to the Fund or of professional services to Lord Abbett and entities that control, are controlled by or are under common control with Lord Abbett is compatible with maintaining D&T’s independence and has discussed D&T’s independence with 9
them. Representatives of D&T are not expected to be present at the Meeting but have been given the opportunity to make a statement if they so desire and will be available if any matter arises requiring their presence. Appendix Msets forth for each Fund the amount of fees billed by D&T for the two most recent fiscal years for all audit, non-audit, tax, and all other services provided directly to the Fund. Submission of Shareholder Proposals The Funds do not hold annual shareholder meetings. A shareholder proposal intended to be presented at a future meeting of shareholders of a Fund must be received at the principal offices of the Funds a reasonable time before the Fund begins to print and makes available its proxy materials. Timely submission of a proposal does not guarantee that the Funds will include the proposal in a proxy statement. Shareholders who want to communicate with the Board or any individual Board member(s) should write their Fund to the attention of the Secretary of the Fund, 90 Hudson Street, Jersey City, New Jersey 07302-3973. Communications to the Board must be signed by the shareholder and must specify: (1) the shareholder’s name and address, (2) the number of Fund shares owned by the shareholder, (3) the Fund(s) in which the shareholder owns shares, and (4) for shares held in “street name,” the name of the financial intermediary that holds Fund shares in its name for the shareholder’s benefit. The Secretary will forward such communications to the Board or the applicable Board member(s) at the next regularly scheduled meeting, if practicable, or promptly after receipt if the Secretary determines that the communications require more immediate attention. Householding.We have adopted a policy that allows us to send only one copy of a prospectus, proxy statement, annual report, or semiannual report to certain shareholders residing in the same “household.” This reduces Fund expenses, which benefits you and other shareholders. If you need additional copies or do not want your mailings to be “householded,” please call us at 888-522-2388 or send a written request with your name, the name of your Fund or Funds, and your account number or numbers to the Lord Abbett Family of Funds, P.O. Box 219336, Kansas City, MO 64121. 10
Management does not intend to present any items other than Proposal 1 and is not aware that any other items of business will be presented at the Meeting. However, if other matters are properly presented for a vote at the Meeting, the persons named as proxies will vote on such matters in their sole discretion after considering the best interests of all Fund shareholders.
Whether or not you plan to attend the Meeting, please vote promptly using one of the methods below.
• | Internet.Access the Internet address provided on your proxy card and follow the instructions. You will need the control number provided on your proxy card. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
• | Telephone.Call the toll-free number provided on your proxy card and follow the instructions. You will need the control number provided on your proxy card. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
• | Mail.Complete, sign, and date your proxy card and mail it to the address shown on the card. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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| By Order of the Boards, | |
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| Lawrence H. Kaplan | |
October 10, 2014 | Vice President and Secretary |
11
The Funds will be referred to throughout this Proxy Statement as listed below: Fund Term Used in this Lord Abbett Affiliated Fund Affiliated Lord Abbett Bond Debenture Fund Bond Debenture Lord Abbett Developing Growth Fund Developing Growth Lord Abbett Equity Trust Equity Trust Lord Abbett Calibrated Large Cap Value Fund Calibrated Large Cap Value Lord Abbett Calibrated Mid Cap Value Fund Calibrated Mid Cap Value Lord Abbett Global Fund Global Fund Lord Abbett Emerging Markets Corporate Debt Fund Emerging Markets Corporate Debt Lord Abbett Emerging Markets Currency Fund Emerging Markets Currency Lord Abbett Emerging Markets Local Bond Fund Emerging Markets Local Bond Lord Abbett Multi-Asset Global Opportunity Fund Multi-Asset Global Lord Abbett Investment Trust Investment Trust Lord Abbett Convertible Fund Convertible Lord Abbett Core Fixed Income Fund Core Fixed Income Lord Abbett Diversified Equity Strategy Fund Diversified Equity Strategy Lord Abbett Floating Rate Fund Floating Rate Lord Abbett High Yield Fund High Yield Lord Abbett Income Fund Income Lord Abbett Inflation Focused Fund Inflation Focused Lord Abbett Multi-Asset Balanced Opportunity Fund Multi-Asset Balanced Lord Abbett Multi-Asset Growth Fund Multi-Asset Growth Lord Abbett Multi-Asset Income Fund Multi-Asset Income Lord Abbett Short Duration Income Fund Short Duration Income Lord Abbett Total Return Fund Total Return Lord Abbett Mid Cap Stock Fund Mid Cap Stock Lord Abbett Municipal Income Fund Municipal Income Fund Lord Abbett AMT Free Municipal Bond Fund AMT Free Lord Abbett California Tax Free Income Fund CA Tax Free Lord Abbett High Yield Municipal Bond Fund High Yield Municipal Lord Abbett Intermediate Tax Free Fund Intermediate Tax Free Lord Abbett National Tax Free Income Fund National Tax Free Lord Abbett New Jersey Tax Free Income Fund NJ Tax Free Lord Abbett New York Tax Free Income Fund NY Tax Free Lord Abbett Short Duration Tax Free Fund Short Duration Tax Free Lord Abbett Research Fund Research Fund Lord Abbett Calibrated Dividend Growth Fund Calibrated Dividend Growth Lord Abbett Growth Opportunities Fund Growth Opportunities Lord Abbett Small Cap Value Fund Small Cap Value A-1
Proxy Statement
Fund Term Used in this Lord Abbett Securities Trust Securities Trust Lord Abbett Alpha Strategy Fund Alpha Strategy Lord Abbett Fundamental Equity Fund Fundamental Equity Lord Abbett Growth Leaders Fund Growth Leaders Lord Abbett International Core Equity Fund International Core Equity Lord Abbett International Dividend Income Fund International Dividend Income Lord Abbett International Opportunities Fund International Opportunities Lord Abbett Micro Cap Growth Fund Micro Cap Growth Lord Abbett Micro Cap Value Fund Micro Cap Value Lord Abbett Value Opportunities Fund Value Opportunities Lord Abbett Series Fund Series Fund Bond Debenture Portfolio Bond Debenture Portfolio Calibrated Dividend Growth Portfolio Calibrated Dividend Growth Portfolio Classic Stock Portfolio Classic Stock Portfolio Developing Growth Portfolio Developing Growth Portfolio Fundamental Equity Portfolio Fundamental Equity Portfolio Growth and Income Portfolio Growth and Income Portfolio Growth Opportunities Portfolio Growth Opportunities Portfolio International Core Equity Portfolio International Core Equity Portfolio International Opportunities Portfolio International Opportunities Portfolio Mid Cap Stock Portfolio Mid Cap Stock Portfolio Short Duration Income Portfolio Short Duration Income Portfolio Total Return Portfolio Total Return Portfolio Value Opportunities Portfolio Value Opportunities Portfolio Lord Abbett U.S. Government & Government U.S. Government Money Market A-2
Proxy Statement
Sponsored Enterprises Money Market Fund
Appendix B: Board Nominees’ Biographical Information Table 1.Certain biographical and other information relating to the Board nominee who is an “interested person” of each Fund, as that term is defined in the 1940 Act, is set forth below. Ms. Foster is an interested person of the Funds because she is the Managing Partner and Chief Executive Officer of Lord Abbett, each Fund’s investment adviser. For information as to term of office and length of time served on each Board, see Appendix C. Name, Address, and Current Position Principal Occupation Other Directorships Daria L. Foster Director/Trustee; President; Chief Managing Partner of Lord Abbett (since 2007), and was formerly Director of Marketing and Client Service, joined Lord Abbett in 1990. None.
Year of Birth
with Each Fund*
During Past Five Years
Lord, Abbett & Co. LLC
90 Hudson Street
Jersey City, NJ 07302
(1954)
Executive Officer
* | Ms. Foster currently is a Director/Trustee and officer of each of the twelve investment companies in the Lord Abbett Family of Funds, consisting of 56 portfolios or series. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Table 2.Certain biographical and other information relating to the Board nominees who are not “interested persons” of each Fund, as that term is defined in the 1940 Act, is set forth below. For information as to term of office and length of time served on each Board, see Appendix C.
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Name, Address*, and | Current Position | Principal Occupation | Other Directorships | |||
E. Thayer Bigelow | Director/Trustee; | Managing General Partner, Bigelow Media, LLC (since 2000); Senior Advisor, Time Warner Inc. (1998-2000). | Currently serves as director of Crane Co. (since 1984) and Huttig Building Products Inc. (since 1998). Previously served as a director of R.H. Donnelley Inc. (2009-2010). | |||
Robert B. Calhoun, Jr. | Director/Trustee | Senior Advisor of Monitor Clipper Partners, a private equity investment fund (since 1997); President of Clipper Asset Management Corp. (1991-2009). | None. |
B-1
Name, Address*, and Current Position Principal Occupation Other Directorships Eric C. Fast Director/Trustee Chief Executive Officer of Crane Co., an industrial products company Currently serves as director of Automatic Data Processing, Inc. (since 2007) and Regions Financial Corporation (since 2010). Previously served as a director of Crane Co. Evelyn E. Guernsey Director/Trustee CEO, Americas of J.P. Morgan Asset Management (2004–2010). None. Julie A. Hill Director/Trustee Owner and CEO of Currently serves as director of WellPoint, Inc., a health benefits company (since 1994). Franklin W. Hobbs Director/Trustee Advisor of One Equity Partners, a private equity firm (since 2004). Currently serves as director and Chairman of the Board of Ally Financial Inc., a financial services firm (since 2009), and as director of Molson Coors Brewing Company (since 2002). James M. McTaggart Director/Trustee Independent management advisor and consultant (since 2012); Vice President, CRA International, Inc. (doing business as Charles River Associates), a global management consulting firm (2009–2012); Founder and Chairman of Marakon Associates, Inc., a strategy consulting firm (1978– 2009); and Officer and Director of Trinsum Group, a holding company (2007–2009). Currently serves as director of Blyth, Inc., a home products company (since 2004). B-2
Year of Birth
with Each Fund**
During Past Five Years
(1949)
(2001–2014).
(1999–2014).
(1955)
(1946)
The Hill Company, a business consulting firm (since 1998).
(1947)
(1947)
Name, Address*, and Current Position Principal Occupation Other Directorships James L.L. Tullis Director/Trustee CEO of Tullis-Dickerson and Co. Inc., a venture capital management firm (since 1990); CEO of Tullis Health Investors Inc. (since 2012). Currently serves as director of Crane Co. (since 1998).
Year of Birth
with Each Fund**
During Past Five Years
(1947)
* | The address of each Board nominee listed above in Table 2 is: Lord, Abbett & Co. LLC, c/o Legal Department, 90 Hudson Street, Jersey City, NJ 07302. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
** | Each of the independent Board members currently is a Director/Trustee of the twelve investment companies in the Lord Abbett Family of Funds, consisting of 56 portfolios or series. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
B-3
Appendix C: Board Nominees’ Term and Tenure Each Board member serves for an indefinite term (i.e., until his or her death, resignation, retirement, or removal). Set forth below is the year in which each current Board nominee became a member of each Fund’s Board. Fund Foster* Bigelow Calhoun Fast Guernsey Affiliated 2006 1994 1998 2014 2011 Bond Debenture 2006 1994 1998 2014 2011 Developing Growth 2006 1994 1998 2014 2011 Equity Trust 2006 2001 2001 2014 2011 Global Fund 2006 1994 1998 2014 2011 Investment Trust 2006 1994 1998 2014 2011 Mid Cap Stock 2006 1994 1998 2014 2011 Municipal Income Fund 2006 1994 1998 2014 2011 Research Fund 2006 1996 1998 2014 2011 Securities Trust 2006 1994 1998 2014 2011 Series Fund 2006 1994 1998 2014 2011 U.S. Government Money Market 2006 1994 1998 2014 2011 Fund Hill Hobbs McTaggart Tullis Affiliated 2004 2000 2012 2006 Bond Debenture 2004 2000 2012 2006 Developing Growth 2004 2000 2012 2006 Equity Trust 2004 2001 2012 2006 Global Fund 2004 2000 2012 2006 Investment Trust 2004 2000 2012 2006 Mid Cap Stock 2004 2000 2012 2006 Municipal Income Fund 2004 2000 2012 2006 Research Fund 2004 2001 2012 2006 Securities Trust 2004 2001 2012 2006 Series Fund 2004 2001 2012 2006 U.S. Government Money Market 2004 2000 2012 2006
* | Ms. Foster is an “interested person” of each Fund, as that term is defined in Section 2(a)(19) of the 1940 Act. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
C-1
Appendix D: Board Nominees’ Experience, Qualifications, and Skills Interested Board Nominee: • Daria L. Foster.Board tenure with the Lord Abbett Family of Funds (since 2006), financial services industry experience, chief executive officer experience, corporate governance experience, and civic/community involvement. Independent Board Nominees: • E. Thayer Bigelow.Board tenure with the Lord Abbett Family of Funds (since 1994), media investment and consulting experience, chief executive officer experience, entrepreneurial background, corporate governance experience, financial expertise, service in academia, and civic/community involvement. • Robert B. Calhoun, Jr.Board tenure with the Lord Abbett Family of Funds (since 1998), financial services industry experience, leadership experience, corporate governance experience, financial expertise, service in academia, and civic/community involvement. • Eric C. Fast.Board Tenure with the Lord Abbett Family of Funds (since 2014), financial services industry experience, chief executive officer experience, corporate governance experience, and civic/community involvement. • Evelyn E. Guernsey.Board tenure with the Lord Abbett Family of Funds (since 2011), financial services industry experience, chief executive officer experience, marketing experience, corporate governance experience, and civic/community involvement. • Julie A. Hill.Board tenure with the Lord Abbett Family of Funds (since 2004), business management and marketing experience, chief executive officer experience, entrepreneurial background, corporate governance experience, service in academia, and civic/community involvement. • Franklin W. Hobbs.Board tenure with the Lord Abbett Family of Funds (since 2000), financial services industry experience, chief executive officer experience, corporate governance experience, financial expertise, service in academia, and civic/community involvement. • James M. McTaggart.Board tenure with the Lord Abbett Family of Funds (since 2012), financial services industry experience, chief executive officer experience, entrepreneurial background, corporate governance experience, financial expertise, marketing experience, and civic/community involvement. • James L.L. Tullis.Board tenure with the Lord Abbett Family of Funds (since 2006), financial services industry experience, chief executive officer experience, corporate governance experience, financial expertise, and civic/community involvement. D-1
Appendix E: Standing Committees of the Board Committee Committee Members Description Audit E. Thayer Bigelow The Audit Committee is comprised solely of independent Board members. The Audit Committee provides assistance to the Board in fulfilling its responsibilities relating to accounting matters, the reporting practices of the Funds, and the quality and integrity of each Fund’s financial reports. Among other things, the Audit Committee is responsible for reviewing and evaluating the performance and independence of the Funds’ independent registered public accounting firm and considering violations of the Funds’ Code of Ethics to determine what action should be taken. The Audit Committee meets at least quarterly. Proxy Eric C. Fast The Proxy Committee is comprised of at least two independent Board members, and also may include one or more Board members who are partners or employees of Lord Abbett. Currently, the Proxy Committee comprises solely independent Board members. The Proxy Committee shall (i) monitor the actions of Lord Abbett in voting securities owned by the Funds; (ii) evaluate the policies of Lord Abbett in voting securities; and (iii) meet with Lord Abbett to review the policies in voting securities, the sources of information used in determining how to vote on particular matters, and the procedures used to determine the votes in any situation where there may be a conflict of interest. Nominating E. Thayer Bigelow The Nominating and Governance Committee is comprised solely of independent Board members. Among other things, the Nominating and Governance Committee is responsible for (i) evaluating and nominating individuals to serve as independent Board members and as committee members; and (ii) periodically reviewing Board member compensation. The Nominating and Governance Committee has adopted policies for its consideration of any individual recommended by the Funds’ shareholders to serve as an independent Board member. A shareholder who would like to recommend a candidate may write to the Funds. E-1
Committee
Robert B. Calhoun, Jr.
Evelyn E. Guernsey
James M. McTaggart
Committee
Julie A. Hill
Franklin W. Hobbs
James L.L. Tullis
and
Governance
Committee
Robert B. Calhoun, Jr.
Eric C. Fast
Evelyn E. Guernsey
Julie A. Hill
Franklin W. Hobbs
James M. McTaggart
James L.L. Tullis
Committee Committee Members Description Contract E. Thayer Bigelow The Contract Committee is comprised solely of independent Board members. The Contract Committee conducts much of the factual inquiry undertaken by the Board members in connection with the Board’s annual consideration of whether to renew the management and other contracts with Lord Abbett and Lord Abbett Distributor. During the year, the Committee meets with Lord Abbett management and portfolio management to monitor ongoing developments involving Lord Abbett and each Fund’s portfolio. E-2
Committee
Robert B. Calhoun, Jr.
Eric C. Fast
Evelyn E. Guernsey
Julie A. Hill
Franklin W. Hobbs
James M. McTaggart
James L.L. Tullis
Appendix F: Board and Committee Meetings Set forth in the table below is information regarding the number of meetings of the Board and the Committees held during each Fund’s most recently completed fiscal year. Fund Number of Meetings During Last Fiscal Year Board Audit Proxy Nominating Contract Affiliated 9 4 3 6 5 Bond Debenture 9 4 3 6 5 Developing Growth 9 4 2 4 5 Equity Trust 9 4 2 4 5 Global Fund 9 4 3 6 5 Investment Trust 9 4 3 6 5 Mid Cap Stock 9 4 3 6 5 Municipal Income Fund 9 4 2 4 5 Research Fund 9 4 3 6 5 Securities Trust 9 4 3 6 5 Series Fund 9 4 3 6 5 U.S. Government 9 4 2 3 5 F-1
Committee
Committee
and
Governance
Committee
Committee
Money Market
Appendix G: Executive Officers’ Biographical Information Certain biographical and other information relating to the executive officers of each Fund is set forth below. Each officer serves for an indefinite term (i.e., until his or her death, resignation, retirement, or removal). None of the officers listed below receives compensation from any Fund. Name, Address*, Fund Name Length of Principal Occupation Daria L. Foster All Funds 2006 Managing Partner of Lord Abbett (since 2007), and was formerly Director of Marketing and Client Service, joined Lord Abbett in 1990. Sean J. Aurigemma 2010 Portfolio Manager, joined Lord Abbett in 2007. Jeff D. Diamond 2008 Portfolio Manager, joined Lord Abbett in 2007. Robert I. Gerber 2007 Partner and Chief Investment Officer (since 2007), joined Lord Abbett in 1997 as Director of Taxable Fixed Income Management. Todd D. Jacobson 2003 Partner and Associate Director, joined Lord Abbett in 2003. Alan R. Kurtz Investment Trust 2013 Portfolio Manager, joined Lord Abbett in 2000. Jerald M. Lanzotti Global Fund 2013 Partner and Portfolio Manager, joined Lord Abbett in 1996. G-1
(Year of Birth),
and Position with
Each Fund
Service
(Year Elected)
During Past Five Years
(1954)
President
Chief Executive Officer
All Funds
2012
(1969)
Executive Vice President
Securities Trust
Series Fund
2010
(1960)
Executive Vice President
Mid Cap Stock
Series Fund
2008
(1954)
Executive Vice President
Affiliated
Bond Debenture
Developing Growth
Equity Trust
Global Fund
Investment Trust
Mid Cap Stock
Municipal Income Fund
Research Fund
Securities Trust
Series Fund
U.S. Government
Money Market
2007
2007
2007
2001
1998
2007
2006
2007
2005
2003
1997
(1966)
Executive Vice President
Securities Trust
Series Fund
2005
(1976)
Executive Vice President
(1967)
Executive Vice President
Vice President
Investment Trust
Series Fund
2012
2012
Name, Address*, Fund Name Length of Principal Occupation Jeffrey D. Lapin Portfolio Manager, joined Lord Abbett in 2012 and was formerly a Managing Director at Post Advisory Group, an asset management firm specializing in high yield securities (2005–2012). Robert A. Lee Partner and Director of Taxable Fixed Income, joined Lord Abbett in 1997. Thomas B. Maher 2013 Partner and Portfolio Manager, joined Lord Abbett in 2003. Justin C. Maurer 2013 Partner and Portfolio Manager, joined Lord Abbett in 2001. Vincent J. McBride 2003 Partner and Director, joined Lord Abbett in 2003. Andrew H. O’Brien 2007 Partner and Portfolio Manager, joined Lord Abbett in 1998. F. Thomas O’Halloran, III 2001 Partner and Director, joined Lord Abbett in 2001. Walter H. Prahl 2013 Partner and Director, joined Lord Abbett in 1997. Steven F. Rocco 2014 Partner and Portfolio Manager, joined Lord Abbett in 2004. G-2
(Year of Birth),
and Position with
Each Fund
Service
(Year Elected)
During Past Five Years
(1967)
Executive Vice President
Investment Trust
2012
(1969)
Executive Vice President
Bond Debenture
Global Fund
Investment Trust
Series Fund
U.S. Government
Money Market
2013
2013
1998
2010
2000
(1967)
Executive Vice President
Research Fund
Securities Trust
Series Fund
2008
2010
(1969)
Executive Vice President
Research Fund
Securities Trust
Series Fund
2008
2010
(1964)
Executive Vice President
Securities Trust
Series Fund
2010
(1973)
Executive Vice President
Vice President
Investment Trust
Series Fund
Global Fund
2010
2013
(1955)
Executive Vice President
Developing Growth
Securities Trust
Series Fund
2003
2010
(1958)
Executive Vice President
Affiliated
Equity Trust
Research Fund
Series Fund
2011
2012
2012
(1979)
Executive Vice President
Bond Debenture
Investment Trust
Series Fund
2010
2014
Name, Address*, Fund Name Length of Principal Occupation Frederick J. Ruvkun 2013 Partner and Director, joined Lord Abbett in 2006. Daniel S. Solender 2006 Partner and Director, joined Lord Abbett in 2006. Leah G. Traub Global Fund 2009 Partner and Director of Currency Management, joined Lord Abbett in 2007. Paul J. Volovich 2004 Partner and Director, joined Lord Abbett in 1997. Kewjin Yuoh Partner and Portfolio Manager, joined Lord Abbett in 2010 and was formerly a Senior Vice President—Director of Fundamental Research and Senior Portfolio at Alliance Bernstein, LLP (2003–2010). A. Edward Allinson 2011 Portfolio Manager, joined Lord Abbett in 2005. John W. Ashbrook All Funds 2014 Senior Counsel, joined Lord Abbett in 2008. Joan A. Binstock Partner and Chief Financial and Operations Officer, joined Lord Abbett in 1999. G-3
(Year of Birth),
and Position with
Each Fund
Service
(Year Elected)
During Past Five Years
(1957)
Executive Vice President
Affiliated
Equity Trust
Research Fund
Series Fund
2011
2012
2012
(1965)
Executive Vice President
Municipal Income Fund
(1979)
Executive Vice President
(1973)
Executive Vice President
Research Fund
Series Fund
2005
(1971)
Executive Vice President
Vice President
U.S. Government
Money Market
Investment Trust
Series Fund
2011
2011
2012
(1961)
Vice President
Securities Trust
Series Fund
2011
(1964)
Vice President and
Assistant Secretary
(1954)
Chief Financial Officer
and Vice President
Affiliated
Bond Debenture
Developing Growth
Equity Trust
Global Fund
Investment Trust
Mid Cap Stock
Municipal Income Fund
Research Fund
Securities Trust
Series Fund
U.S. Government
Money Market
1999
1999
1999
2001
1999
1999
1999
1999
1999
1999
1999
1999
Name, Address*, Fund Name Length of Principal Occupation Brooke A. Fapohunda Assistant General Counsel, joined Lord Abbett in 2006 and was formerly Vice President and Legal Counsel at Credit Suisse Asset Management LLC and Associate at Willkie Farr & Gallagher LLP. John K. Forst Partner and Deputy General Counsel, joined Lord Abbett in 2004. Philip B. Herman 2010 Portfolio Manager, joined Lord Abbett in 2007. Anthony W. Hipple 2014 Portfolio Manager, joined Lord Abbett in 2002. Lawrence H. Kaplan Partner and General Counsel, joined Lord Abbett in 1997. Hyun Lee Investment Trust 2013 Portfolio Manager, joined Lord Abbett in 2001. David J. Linsen 2012 Partner and Director, joined Lord Abbett in 2001. G-4
(Year of Birth),
and Position with
Each Fund
Service
(Year Elected)
During Past Five Years
(1975)
Vice President and
Assistant Secretary
All Funds
2014
(1960)
Vice President and
Assistant Secretary
All Funds
2005
(1977)
Vice President
Municipal Income Fund
(1964)
Vice President
Research Fund
Series Fund
2014
(1957)
Vice President and
Secretary
Affiliated
Bond Debenture
Developing Growth
Equity Trust
Global Fund
Investment Trust
Mid Cap Stock
Municipal Income Fund
Research Fund
Securities Trust
Series Fund
U.S. Government Money
Market
1997
1997
1997
2001
1997
1997
1997
1997
1997
1997
1997
1997
(1970)
Vice President
(1974)
Vice President
Affiliated
Equity Trust
Mid Cap Stock
Research Fund
Securities Trust
Series Fund
2012
2012
2008
2011
2008
Name, Address*, Fund Name Length of Principal Occupation Susan D. Lively All Funds 2014 Counsel, joined Lord Abbett in 2011 and was formerly an Associate at Sidley Austin LLP (2008–2011). Joseph M. McGill Chief Compliance Officer, joined Lord Abbett in 2014 and was formerly a Managing Director and Chief Compliance Officer at UBS Global Asset Management (2003–2013). A. Edward Oberhaus, III Partner and Director, joined Lord Abbett in 1983. Noah Petrucci Portfolio Manager, joined Lord Abbett in 2012 and was formerly a Portfolio Manager at Columbia Management Investment Advisers, LLC and Columbia Management Advisors, LLC (2002–2012). Thomas R. Phillips Partner and Deputy General Counsel, joined Lord Abbett in 2006. David B. Ritt Global Fund 2009 Portfolio Manager, joined Lord Abbett in 2006. Lawrence B. Stoller Partner and Senior Deputy General Counsel, joined Lord Abbett in 2007. Daniel T. Vande Velde 2008 Partner and Portfolio Manager, joined Lord Abbett in 2007. G-5
(Year of Birth),
and Position with
Each Fund
Service
(Year Elected)
During Past Five Years
(1981)
Vice President and
Assistant Secretary
(1962)
Chief Compliance
Officer
All Funds
2014
(1959)
Vice President
Affiliated
Bond Debenture
Developing Growth
Equity Trust
Global Fund
Investment Trust
Mid Cap Stock
Municipal Income Fund
Research Fund
Securities Trust
Series Fund
U.S. Government Money
Market
1996
1996
1996
2001
1996
1996
1996
1996
1996
1993
1998
1996
(1970)
Vice President
Mid Cap Stock
Series Fund
2013
2013
(1960)
Vice President and
Assistant Secretary
All Funds
2008
(1976)
Vice President
(1963)
Vice President and
Assistant Secretary
All Funds
2007
(1967)
Vice President
Municipal Income Fund
Name, Address*, Fund Name Length of Principal Occupation Arthur K. Weise 2010 Partner and Portfolio Manager, joined Lord Abbett in 2007. Scott S. Wallner Assistant General Counsel, joined Lord Abbett in 2004. Bernard J. Grzelak All Funds 2003 Partner and Director of Fund Administration, joined Lord Abbett in 2003.
(Year of Birth),
and Position with
Each Fund
Service
(Year Elected)
During Past Five Years
(1970)
Vice President
Developing Growth
Securities Trust
Series Fund
2011
2010
(1955)
AML Compliance
Officer
All Funds
2011
(1971)
Treasurer
* | The address of each officer listed above is: 90 Hudson Street, Jersey City, New Jersey 07302. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
G-6
Appendix H: Board Compensation Table 1. Compensation Paid to Board Members by Each Fund Set forth in the table below is information regarding compensation for serving as an independent Board member accrued by each Fund during each Fund’s most recently completed fiscal year. Ms. Foster is not compensated for serving as a Board member of the Funds. Independent Board member fees, including attendance fees for Board and Committee meetings, are allocated among all Funds based on the net assets of each Fund. A portion of the fees payable by each Fund to its independent Board members may be deferred at the option of a Board member under an equity-based plan (the “equity-based plan”) that deems the deferred amounts to be invested in shares of a Fund for later distribution to the Board member. In addition, $25,000 of each independent Board member’s $205,000 annual retainer must be deferred and is deemed invested in shares of the Funds under the equity-based plan. The amounts ultimately received by the Board members under the equity-based plan will be directly linked to the investment performance of the Funds. The compensation of the Chairman is $100,000 per year, while the compensation of the Chairperson of the Audit Committee is $30,000 annually. The annual retainer for service on the Contract Committee is $30,000. The fee for attendance at Board meetings is $4,000 per meeting and the fee for attendance at Committee meetings (other than Contract Committee meetings) is $2,000 per meeting. No meeting fee is paid for attending a special meeting (on any topic) at which less than one-third of all Board members (or Committee members) are present (in-person or telephonically). Fund Bigelow Calhoun Fast* Guernsey Affiliated $ 24,159 $ 18,455 N/A $ 19,607 Bond Debenture $ 30,534 $ 22,502 N/A $ 24,470 Developing Growth $ 11,704 $ 8,637 $ 2,012 $ 9,489 Equity Trust $ 2,907 $ 2,149 $ 592 $ 2,358 Global Fund $ 2,265 $ 1,601 N/A $ 1,814 Investment Trust $ 172,566 $ 131,622 N/A $ 139,902 Mid Cap Stock $ 8,755 $ 6,451 N/A $ 7,012 Municipal Income Fund $ 32,472 $ 23,995 $ 8,622 $ 26,384 Research Fund $ 21,328 $ 16,298 N/A $ 17,315 Securities Trust $ 42,392 $ 31,446 N/A $ 34,346 Series Fund $ 10,856 $ 8,002 N/A $ 8,695 U.S. Government Money Market $ 2,297 $ 1,693 $ 164 $ 1,852
* | Mr. Fast was nominated and appointed to serve on the Board of the Funds effective June 1, 2014. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
H-1
Fund Hill Hobbs McTaggart Tullis Affiliated $ 17,944 $ 17,857 $ 17,978 $ 17,985 Bond Debenture $ 22,131 $ 22,010 $ 22,446 $ 22,172 Developing Growth $ 8,498 $ 8,332 $ 8,620 $ 8,510 Equity Trust $ 2,110 $ 2,061 $ 2,141 $ 2,115 Global Fund $ 1,628 $ 1,568 $ 1,664 $ 1,580 Investment Trust $ 127,887 $ 127,375 $ 128,276 $ 128,317 Mid Cap Stock $ 6,344 $ 6,312 $ 6,432 $ 6,358 Municipal Income Fund $ 23,594 $ 23,142 $ 23,940 $ 23,636 Research Fund $ 15,842 $ 15,766 $ 15,876 $ 15,880 Securities Trust $ 31,250 $ 30,471 $ 31,485 $ 30,698 Series Fund $ 7,867 $ 7,829 $ 7,975 $ 7,886 U.S. Government Money Market $ 1,664 $ 1,670 $ 1,686 $ 1,670 Table 2. Aggregate Compensation Paid to Board Members by All Funds Set forth in the first column of the table below is information regarding the aggregate compensation paid by all of the Funds to the independent Board members for the year ended December 31, 2013. The fees listed below include Board member fees and attendance fees for Board and Committee meetings and fees Board members have chosen to defer under the equity-based plan. Of the amounts shown in the first column, the total deferred amount is indicated in the second column. Name Aggregate Compensation Deferred Compensation E. Thayer Bigelow $ 377,000 $ 25,000 Robert B. Calhoun, Jr. $ 277,000 $ 277,000 Eric C. Fast* N/A N/A Evelyn E. Guernsey $ 302,000 $ 25,000 Julie A. Hill $ 273,000 $ 73,000 Franklin W. Hobbs $ 271,000 $ 271,000 James M. McTaggart $ 277,000 $ 25,000 James L.L. Tullis $ 273,000 $ 273,000
Paid to Board Members
by Lord Abbett-
Sponsored Funds
Payable to Board
Members by Lord Abbett-
Sponsored Funds
* | Mr. Fast was nominated and appointed to serve on the Board of the Funds effective June 1, 2014. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
H-2
Appendix I: Board Nominees’ Ownership of Fund Shares The following table provides certain information on the dollar range of equity securities beneficially owned by each Board nominee in each Fund as of July 31, 2014. The amounts shown include deferred compensation to the Board members deemed invested in Fund shares. The amounts ultimately received by the Board members under the equity-based plan will be directly linked to the investment performance of the Funds. Dollar Range of Equity Name of Board Nominee Bigelow Calhoun Fast* Foster** Affiliated $50,001-$100,000 Over $100,000 $1-$10,000 Over $100,000 Bond Debenture $10,001-$50,000 $50,001-$100,000 $1-$10,000 Over $100,000 Developing Growth $1-$10,000 Over $100,000 $1-$10,000 Over $100,000 Equity Trust Calibrated Large Cap Value Over $100,000 Over $100,000 $1-$10,000 Over $100,000 Calibrated Mid Cap Value Over $100,000 Over $100,000 $1-$10,000 Over $100,000 Global Fund Emerging Markets Corporate Debt $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 Emerging Markets Currency $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 Emerging Markets Local Bond $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 Multi-Asset Global $1-$10,000 $1-$10,000 $1-$10,000 $10,001-$50,000 Investment Trust Convertible $1-$10,000 $1-$10,000 $1-$10,000 $10,001-$50,000 Core Fixed Income $50,001-$100,000 $1-$10,000 $1-$10,000 $10,001-$50,000 Diversified Equity Strategy $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 Floating Rate Over $100,000 $1-$10,000 $1-$10,000 Over $100,000 High Yield $1-$10,000 $1-$10,000 $1-$10,000 $10,001-$50,000 Income $1-$10,000 $10,001-$50,000 $1-$10,000 $10,001-$50,000 Inflation Focused $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 Multi-Asset Balanced $1-$10,000 $1-$10,000 $1-$10,000 $50,001-$100,000 Multi-Asset Growth $1-$10,000 $1-$10,000 $1-$10,000 $50,001-$100,000 Multi-Asset Income $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 Short Duration Income $10,001-$50,000 $10,001-$50,000 $1-$10,000 $10,001-$50,000 Total Return Over $100,000 $1-$10,000 $1-$10,000 $10,001-$50,000 Mid Cap Stock $10,001-$50,000 $50,001-$100,000 $10,001-$50,000 Over $100,000 Municipal Income Fund AMT Free $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 CA Tax Free $1-$10,000 $1-$10,000 $1-$10,000 $0 High Yield Municipal $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 Intermediate Tax Free $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 National Tax Free $10,001-$50,000 $10,001-$50,000 $1-$10,000 Over $100,000 NJ Tax Free $1-$10,000 $1-$10,000 $1-$10,000 $0 NY Tax Free $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 Short Duration Tax Free $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 Research Fund Calibrated Dividend Growth $1-$10,000 $10,001-$50,000 $10,001-$50,000 Over $100,000 Growth Opportunities $1-$10,000 Over $100,000 $10,001-$50,000 Over $100,000 Small Cap Value $10,001-$50,000 $10,001-$50,000 $10,001-$50,000 Over $100,000 Securities Trust Alpha Strategy $10,001-$50,000 $1-$10,000 $1-$10,000 Over $100,000 I-1
Securities in Each Fund
Dollar Range of Equity Name of Board Nominee Bigelow Calhoun Fast* Foster** Fundamental Equity $10,001-$50,000 $10,001-$50,000 $1-$10,000 Over $100,000 Growth Leaders $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 International Core Equity $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 International Dividend Income $1-$10,000 $1-$10,000 $10,001-$50,000 Over $100,000 International Opportunities $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 Micro Cap Growth $1-$10,000 Over $100,000 $1-$10,000 Over $100,000 Micro Cap Value $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 Value Opportunities Over $100,000 $10,001-$50,000 $1-$10,000 Over $100,000 Series Fund Bond Debenture Portfolio $1-$10,000 $1-$10,000 $1-$10,000 $0 Calibrated Dividend Growth Portfolio $1-$10,000 $1-$10,000 $1-$10,000 $0 Classic Stock Portfolio $1-$10,000 $1-$10,000 $1-$10,000 $0 Developing Growth Portfolio $1-$10,000 $1-$10,000 $1-$10,000 $0 Fundamental Equity Portfolio $1-$10,000 $1-$10,000 $1-$10,000 $0 Growth and Income Portfolio $1-$10,000 $1-$10,000 $1-$10,000 $0 Growth Opportunities Portfolio $1-$10,000 $1-$10,000 $1-$10,000 $0 International Core Equity Portfolio $1-$10,000 $1-$10,000 $1-$10,000 $0 International Opportunities Portfolio $1-$10,000 $1-$10,000 $1-$10,000 $0 Mid Cap Stock Portfolio $1-$10,000 $1-$10,000 $1-$10,000 $0 Short Duration Income Portfolio $1-$10,000 $1-$10,000 $1-$10,000 $0 Total Return Portfolio $1-$10,000 $1-$10,000 $1-$10,000 $0 Value Opportunities Portfolio $1-$10,000 $1-$10,000 $0 $0 U.S. Government Money Market $1-$10,000 $1-$10,000 $1-$10,000 Over $100,000 Aggregate Dollar Range of Over $100,000 Over $100,000 $50,001-$100,000 Over $100,000
Securities in Each Fund
Equity Securities in All Lord
Abbett-Sponsored Funds
* | Mr. Fast was nominated and appointed to serve on the Board of each Fund effective June 1, 2014. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
** | Ms. Foster is an “interested person” of each Fund, as that term is defined in Section 2(a)(19) of the 1940 Act. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
I-2
Dollar Range of Equity Name of Board Nominee Guernsey Hill Hobbs Affiliated $1-$10,000 Over $100,000 Over $100,000 Bond Debenture $1-$10,000 Over $100,000 Over $100,000 Developing Growth $1-$10,000 $10,001-$50,000 Over $100,000 Equity Trust Calibrated Large Cap Value $1-$10,000 $10,001-$50,000 $1-$10,000 Calibrated Mid Cap Value $1-$10,000 $10,001-$50,000 $1-$10,000 Global Fund Emerging Markets Corporate Debt $1-$10,000 $1-$10,000 $1-$10,000 Emerging Markets Currency $1-$10,000 $1-$10,000 $1-$10,000 Emerging Markets Local Bond $1-$10,000 $1-$10,000 $1-$10,000 Multi-Asset Global $1-$10,000 $1-$10,000 $1-$10,000 Investment Trust Convertible $1-$10,000 $1-$10,000 $10,001-$50,000 Core Fixed Income $1-$10,000 $1-$10,000 $10,001-$50,000 Diversified Equity Strategy $1-$10,000 $1-$10,000 $1-$10,000 Floating Rate $1-$10,000 Over $100,000 $50,001-$100,000 High Yield $1-$10,000 $10,001-$50,000 $50,001-$100,000 Income $1-$10,000 $10,001-$50,000 $50,001-$100,000 Inflation Focused $1-$10,000 $1-$10,000 $1-$10,000 Multi-Asset Balanced $1-$10,000 $10,001-$50,000 $50,001-$100,000 Multi-Asset Growth Over $100,000 $1-$10,000 $10,001-$50,000 Multi-Asset Income $1-$10,000 $1-$10,000 $10,001-$50,000 Short Duration Income $10,001-$50,000 $10,001-$50,000 Over $100,000 Total Return $1-$10,000 $10,001-$50,000 $50,001-$100,000 Mid Cap Stock $1-$10,000 $50,001-$100,000 Over $100,000 Municipal Income Fund AMT Free $1-$10,000 $1-$10,000 $1-$10,000 CA Tax Free $1-$10,000 $1-$10,000 $10,001-$50,000 High Yield Municipal $1-$10,000 $10,001-$50,000 $50,001-$100,000 Intermediate Tax Free $1-$10,000 $1-$10,000 $10,001-$50,000 National Tax Free $1-$10,000 $10,001-$50,000 Over $100,000 NJ Tax Free $1-$10,000 $1-$10,000 $1-$10,000 NY Tax Free $1-$10,000 $1-$10,000 $10,001-$50,000 Short Duration Tax Free $1-$10,000 $1-$10,000 $10,001-$50,000 Research Fund Calibrated Dividend Growth $1-$10,000 $50,001-$100,000 Over $100,000 Growth Opportunities $1-$10,000 $10,001-$50,000 $50,001-$100,000 Small Cap Value $1-$10,000 $50,001-$100,000 Over $100,000 Securities Trust Alpha Strategy $1-$10,000 Over $100,000 $10,001-$50,000 Fundamental Equity $1-$10,000 $10,001-$50,000 Over $100,000 Growth Leaders $1-$10,000 $1-$10,000 $10,001-$50,000 International Core Equity $1-$10,000 $1-$10,000 $10,001-$50,000 International Dividend Income $1-$10,000 $1-$10,000 $10,001-$50,000 International Opportunities $1-$10,000 $1-$10,000 $10,001-$50,000 Micro Cap Growth $1-$10,000 $1-$10,000 $1-$10,000 Micro Cap Value $1-$10,000 $1-$10,000 $1-$10,000 Value Opportunities $1-$10,000 $10,001-$50,000 Over $100,000 I-3
Securities in Each Fund
Dollar Range of Equity Name of Board Nominee Guernsey Hill Hobbs Series Fund Bond Debenture Portfolio $1-$10,000 $1-$10,000 $10,001-$50,000 Calibrated Dividend Growth Portfolio $1-$10,000 $1-$10,000 $1-$10,000 Classic Stock Portfolio $1-$10,000 $1-$10,000 $1-$10,000 Developing Growth Portfolio $1-$10,000 $1-$10,000 $1-$10,000 Fundamental Equity Portfolio $1-$10,000 $1-$10,000 $1-$10,000 Growth and Income Portfolio $1-$10,000 $10,001-$50,000 $50,001-$100,000 Growth Opportunities Portfolio $1-$10,000 $1-$10,000 $1-$10,000 International Core Equity Portfolio $1-$10,000 $1-$10,000 $1-$10,000 International Opportunities Portfolio $1-$10,000 $1-$10,000 $1-$10,000 Mid Cap Stock Portfolio $1-$10,000 $10,001-$50,000 $50,001-$100,000 Short Duration Income Portfolio $1-$10,000 $1-$10,000 $1-$10,000 Total Return Portfolio $1-$10,000 $1-$10,000 $1-$10,000 Value Opportunities Portfolio $1-$10,000 $1-$10,000 $1-$10,000 U.S. Government Money Market $1-$10,000 $1-$10,000 $10,001-$50,000 Aggregate Dollar Range of Over $100,000 Over $100,000 Over $100,000 I-4
Securities in Each Fund
Equity Securities in All
Lord Abbett-Sponsored Funds
Dollar Range of Equity Name of Board Nominee McTaggart Tullis Affiliated $1-$10,000 $50,001-$100,000 Bond Debenture $1-$10,000 $10,001-$50,000 Developing Growth $1-$10,000 Over $100,000 Equity Trust Calibrated Large Cap Value $1-$10,000 Over $100,000 Calibrated Mid Cap Value $1-$10,000 $1-$10,000 Global Fund Emerging Markets Corporate Debt $1-$10,000 $1-$10,000 Emerging Markets Currency $1-$10,000 $1-$10,000 Emerging Markets Local Bond $1-$10,000 $1-$10,000 Multi-Asset Global $1-$10,000 $1-$10,000 Investment Trust Convertible $1-$10,000 $1-$10,000 Core Fixed Income $1-$10,000 $1-$10,000 Diversified Equity Strategy $1-$10,000 $1-$10,000 Floating Rate $1-$10,000 $1-$10,000 High Yield $1-$10,000 $1-$10,000 Income $1-$10,000 $1-$10,000 Inflation Focused $1-$10,000 $1-$10,000 Multi-Asset Balanced $1-$10,000 $1-$10,000 Multi-Asset Growth $1-$10,000 $1-$10,000 Multi-Asset Income $1-$10,000 $1-$10,000 Short Duration Income $10,001-$50,000 $10,001-$50,000 Total Return $1-$10,000 $1-$10,000 Mid Cap Stock $1-$10,000 $10,001-$50,000 Municipal Income Fund AMT Free $1-$10,000 $1-$10,000 CA Tax Free $1-$10,000 $1-$10,000 High Yield Municipal $1-$10,000 $1-$10,000 Intermediate Tax Free $1-$10,000 $1-$10,000 National Tax Free $1-$10,000 $10,001-$50,000 NJ Tax Free $1-$10,000 $1-$10,000 NY Tax Free $1-$10,000 $1-$10,000 Short Duration Tax Free $1-$10,000 $1-$10,000 Research Fund Calibrated Dividend Growth $1-$10,000 $10,001-$50,000 Growth Opportunities $1-$10,000 $1-$10,000 Small Cap Value $1-$10,000 $10,001-$50,000 Securities Trust Alpha Strategy $1-$10,000 $1-$10,000 Fundamental Equity $1-$10,000 Over $100,000 Growth Leaders $1-$10,000 Over $100,000 International Core Equity $1-$10,000 Over $100,000 International Dividend Income $1-$10,000 $1-$10,000 International Opportunities $1-$10,000 Over $100,000 Micro Cap Growth $1-$10,000 Over $100,000 Micro Cap Value $1-$10,000 $1-$10,000 Value Opportunities $1-$10,000 Over $100,000 I-5
Securities in Each Fund
Dollar Range of Equity Name of Board Nominee McTaggart Tullis Series Fund Bond Debenture Portfolio $1-$10,000 $1-$10,000 Calibrated Dividend Growth Portfolio $1-$10,000 $1-$10,000 Classic Stock Portfolio $1-$10,000 $1-$10,000 Developing Growth Portfolio $1-$10,000 $1-$10,000 Fundamental Equity Portfolio $1-$10,000 $1-$10,000 Growth and Income Portfolio $1-$10,000 $1-$10,000 Growth Opportunities Portfolio $1-$10,000 $1-$10,000 International Core Equity Portfolio $1-$10,000 $1-$10,000 International Opportunities Portfolio $1-$10,000 $1-$10,000 Mid Cap Stock Portfolio $1-$10,000 $1-$10,000 Short Duration Income Portfolio $1-$10,000 $1-$10,000 Total Return Portfolio $1-$10,000 $1-$10,000 Value Opportunities Portfolio $1-$10,000 $1-$10,000 U.S. Government Money Market $1-$10,000 $1-$10,000 Aggregate Dollar Range of $10,001-$50,000 Over $100,000 I-6
Securities in Each Fund
Equity Securities in All
Lord Abbett-Sponsored Funds
Appendix J: Board Nominees’ and Executive Officers’ Aggregate Ownership of Fund Shares As of September 8, 2014, the Board nominees and the Funds’ executive officers owned, as a group, less than 1% of the issued and outstanding shares of each class of the Funds except as set forth below. Fund Class Percentage of Ownership as a Group Calibrated Large Cap Value Class A 4.97 % Calibrated Large Cap Value Class F 3.23 % Calibrated Mid Cap Value Class A 13.26 % Emerging Markets Corporate Debt Class A 9.12 % Emerging Markets Currency Class A 2.32 % Emerging Markets Local Bond Class A 8.35 % Diversified Equity Strategy Class I 1.17 % AMT Free Class A 1.68 % NJ Tax Free Class A 2.20 % Calibrated Dividend Growth Class I 7.90 % Alpha Strategy Class I 3.04 % Growth Leaders Class A 1.24 % Growth Leaders Class I 3.33 % International Core Equity Class A 1.04 % Micro Cap Growth Class A 11.36 % U.S. Government Money Market Class A 4.62 % U.S. Government Money Market Class I 6.66 % J-1
Appendix K: Shares Outstanding on the Record Date Fund Class A Class B Class C Class F Class I Class P Class R2 Class R3 Total Affiliated 368,405,759.148 4,405,726.268 27,867,242.642 8,915,930.186 16,419,803.522 1,796,559.802 43,108.233 3,361,072.452 431,215,202.253 Bond Debenture 577,698,879.066 17,104,734.537 259,099,515.544 217,307,985.680 51,528,770.737 9,127,995.344 379,331.868 13,615,666.905 1,145,862,879.681 Developing Growth 47,999,696.250 475,209.562 5,513,016.233 7,036,898.573 53,434,199.579 3,749,325.611 598,672.809 12,021,268.158 130,828,286.775 Equity Trust Calibrated Large Cap Value 3,629,802.223 – 485,030.661 752,842.032 15,407,107.589 – 8,830.992 6,511.990 20,290,125.487 Calibrated Mid Cap Value 1,287,654.157 – 198,721.573 384,029.986 26,270,784.996 – 1,524.804 3,369.074 28,146,084.590 Total 48,436,210.077 Global Fund Emerging Markets Corporate Debt 413,598.821 – 18,628.912 8,183.633 331,224.488 – 6,900.423 6,900.423 785,436.700 Emerging Markets Currency Fund 6,130,306.137 72,585.488 2,064,270.101 4,905,618.207 69,237,078.654 547.513 17,893.538 84,287.920 82,512,587.558 Emerging Markets Local Bond Fund 501,244.845 – 27,333.454 10,063.626 165,647.125 – 7,180.648 7,184.336 718,654.034 Multi-Asset Global 13,111,148.641 433,701.563 3,912,895.487 1,102,249.815 3,341,469.157 – 8,459.555 478,191.387 22,388,115.605 Total 106,404,793.897 Investment Trust Convertible 12,311,600.244 180,592.350 5,179,617.426 9,518,957.121 32,697,880.618 3,546.155 21,899.468 235,563.913 60,149,657.295 Core Fixed Income 33,734,622.174 669,953.072 7,312,434.671 30,201,104.912 43,770,018.533 4,161.537 42,215.657 1,813,784.313 117,548,294.869 Diversified Equity Strategy 7,492,974.857 342,502.976 3,194,689.037 210,452.113 873,335.167 – 10,712.326 541,127.405 12,665,793.881 Floating Rate 331,289,556.506 – 196,480,758.215 286,317,856.939 46,288,911.610 – 76,494.621 2,907,434.432 863,361,012.323 High Yield 127,786,648.710 1,463,228.370 43,700,884.821 66,922,214.067 220,085,424.616 198,891.704 686,432.905 4,259,004.017 465,102,729.210 Income 362,286,128.974 3,028,202.193 103,290,796.609 134,835,266.173 40,869,416.360 – 1,544,074.530 15,164,424.640 661,018,309.479 Inflation Focused 31,530,692.223 – 8,115,812.453 25,789,532.746 10,245,179.283 – 18,992.985 12,374.735 75,712,584.425 Multi-Asset Balanced 116,560,340.838 2,837,161.616 27,763,856.783 5,398,023.397 2,790,609.734 100,510.291 144,853.729 2,796,886.223 158,392,242.611 Multi-Asset Growth 42,239,918.248 1,189,412.298 10,441,609.829 2,032,446.330 716,000.285 100.043 14,188.037 1,161,197.459 57,794,872.529 Multi-Asset Income 65,073,475.852 453,116.809 43,389,406.926 36,971,424.509 1,089,164.156 – 45,508.875 748,757.233 147,770,854.360 Short Duration Income 2,889,842,955.976 5,999,377.811 1,767,823,302.868 2,608,275,414.668 808,594,115.064 – 3,999,730.316 30,309,829.817 8,114,844,726.520 Total Return 78,209,472.057 1,514,686.172 14,321,701.726 39,224,136.363 16,330,275.304 252,003.202 317,879.520 5,845,929.791 156,016,084.135 Total 10,890,377,161.637 Mid Cap Stock 51,514,596.447 954,515.036 9,960,137.880 4,715,511.289 26,156,475.635 4,391,454.590 61,873.562 1,270,854.937 99,025,419.376 Municipal Fund AMT Free 5,783,987.737 – 1,294,351.281 1,443,750.270 10,616.034 – – – 8,532,705.322 CA Tax Free 15,494,564.475 – 3,329,666.177 2,318,275.974 1,262.463 – – – 21,143,769.089 High Yield Municipal 97,511,949.239 – 34,951,334.371 32,518,990.969 2,179,590.785 1,130.301 – – 167,162,995.665 Intermediate Tax Free 137,608,791.639 374,092.791 51,884,766.679 98,575,921.263 6,222,486.723 1,432.834 – – 294,667,491.929 National Tax Free 126,078,006.839 398,197.993 15,467,164.569 13,105,643.188 103,392.711 – – – 155,152,405.300 NJ Tax Free 18,849,098.819 – – 1,372,280.582 2,626.765 – – – 20,224,006.166 NY Tax Free 21,754,092.379 – 4,411,276.328 1,964,437.040 57,188.333 – – – 28,186,994.080 Short Duration Tax Free 79,137,623.076 – 15,208,032.811 48,028,337.094 5,425,151.549 – – – 147,799,144.530 Total 842,869,512.081 K-1
Fund Class A Class B Class C Class F Class I Class P Class R2 Class R3 Total Research Fund Calibrated Dividend Growth 99,423,119.389 2,155,971.697 16,159,688.937 7,017,548.041 1,043,076.074 160,609.139 145,697.491 1,375,073.808 127,480,784.576 Growth Opportunities 18,205,705.650 612,015.990 3,213,745.616 824,760.535 7,334,543.961 195,677.957 44,213.727 1,435,431.420 31,866,094.856 Small Cap Value 24,349,712.668 133,212.398 1,541,881.324 947,611.468 30,109,665.662 3,217,411.869 4,078.026 278,078.211 60,581,651.626 Total 219,928,531.058 Securities Trust Alpha Strategy 18,322,861.216 594,263.157 10,884,369.984 8,195,759.709 1,480,665.622 – 106,885.898 1,137,488.483 40,722,294.069 Fundamental Equity 177,859,646.797 3,261,373.272 69,089,664.157 54,545,286.731 32,474,415.580 1,488,262.163 1,359,177.797 20,068,373.870 360,146,200.367 Growth Leaders 20,485,373.853 298,444.359 9,919,216.477 20,623,777.226 3,085,925.111 – 13,135.573 439,967.660 54,865,840.259 International Core Equity 28,177,337.926 892,253.608 3,930,814.615 5,935,654.294 7,200,164.553 11,708.891 79,828.276 1,535,351.089 47,763,113.252 International Dividend Income 110,401,042.064 – 21,354,581.214 35,701,689.132 114,091,622.901 – 144,224.875 1,233,436.741 282,926,596.927 International Opportunities 7,611,062.356 275,145.540 1,452,927.478 2,962,925.789 16,118,144.843 52,552.077 12,054.464 385,154.448 28,869,966.995 Micro Cap Growth 696,597.726 – – – 8,066,352.071 – – – 8,762,949.797 Micro Cap Value 584,859.927 – – – 4,154,125.163 – – – 4,738,985.090 Value Opportunities 61,906,929.490 953,565.371 20,258,554.844 27,304,051.438 29,507,883.412 2,400,996.528 554,017.934 6,403,909.989 149,289,909.006 Total 978,085,855.762 U.S. Government Money Market 517,171,441.765 7,788,447.566 44,662,674.868 – 19,662,641.960 – – – 589,285,206.159 Class VC Series Fund Bond Debenture Portfolio 71,424,203.535 Calibrated Dividend Growth Portfolio 6,980,242.696 Classic Stock Portfolio 2,882,453.739 Developing Growth Portfolio 679,702.685 Fundamental Equity Portfolio 21,185,671.175 Growth and Income Portfolio 26,539,555.492 Growth Opportunities Portfolio 5,978,198.620 International Core Equity Portfolio 2,631,992.273 International Opportunities Portfolio 5,395,216.735 Mid Cap Stock Portfolio 16,779,632.453 Short Duration Income Portfolio 388,024.944 Total Return Portfolio 13,378,027.888 Value Opportunities Portfolio 16,745.794 Total 174,259,668.029 K-2
Appendix L: Principal Shareholders Table 1.Except as set forth below, to the knowledge of the applicable Fund, as of September 8, 2014, no person is a beneficial owner of more than five percent of the outstanding shares of any class of a Fund. Fund Name and Address of Number of Shares Beneficially Number Percent of Affiliated Edward D. Jones & Co. Class A: 368,405,759.148 Class A: 30.49% Wells Fargo Advisors LLC Class A: 368,405,759.148 Class A: 5.15% MLPF&S for the Sole Benefit of its Customers Class C: 27,867,242.642 Class C: 25.89% Morgan Stanley Smith Barney Class C: 27,867,242.642 Class C: 12.71% UBS Financial Services Inc. FBO Class C: 27,867,242.642 Class C: 6.64% Raymond James Class F: 8,915,930.186 Class F: 8.13% Lord Abbett Multi-Asset Balanced Class I: 16,419,803.522 Class I: 16.57% Lord Abbett Diversified Equity Class I: 16,419,803.522 Class I: 20.12% Lord Abbett Multi-Asset Growth Class I: 16,419,803.522 Class I: 33.14% Lord Abbett Multi-Asset Income Class I: 16,419,803.522 Class I: 14.69% Hartford Life Separate Account Class P: 1,796,559.802 Class P: 61.25% Pershing LLC Class P: 1,796,559.802 Class P: 8.35% L-1
Beneficial Owner
Owned as of September 8, 2014
Class
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 4,405,726.268
Class C: 27,867,242.642
Class B: 32.37%
Class C: 6.36%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class C: 27,867,242.642
Class F: 8,915,930.186
Class C: 10.89%
Class F: 24.01%
4800 Deer Lake Drive E. Fl. 3
Jacksonville, FL 32246-6484
Class F: 8,915,930.186
Class I: 16,419,803.522
Class R2: 43,108.233
Class F: 20.33%
Class I: 8.77%
Class R2: 7.76%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class F: 8,915,930.186
Class F: 14.79%
UBS WM USA
499 Washington Blvd, 9th Floor
Jersey City, NJ 07310-2055
Class F: 8,915,930.186
Class F: 21.23%
Omnibus for Mutual Funds House Account
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Opportunity Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Strategy Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Fund
90 Hudson Street
Jersey City, NJ 07302-3900
401(k) Plan
P.O. Box 2999
Hartford, CT 06104-2999
Class R3: 3,361,072.452
Class R3: 31.85%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Fund Name and Address of Number of Shares Beneficially Number Percent of Affiliated MG Trust Co. Cust Class R2: 43,108.233 Class R2: 26.42% Michael Fullaway FBO Class R2: 43,108.233 Class R2: 55.67% Mid Atlantic Trust Co. Class R2: 43,108.233 Class R2: 5.48% Bond Debenture Edward D. Jones & Co. Class A: 577,698,879.066 Class A: 42.51% Wells Fargo Advisors LLC Class A: 577,698,879.066 Class A: 6.74% Pershing LLC Class A: 577,698,879.066 Class A: 6.19% UBS Financial Services Inc. Class C: 259,099,515.544 Class C: 9.13% MLPF&S For The Sole Benefit Class B: 17,104,734.537 Class B: 12.94% Morgan Stanley Smith Barney Class B: 17,104,734.537 Class B: 8.82% Raymond James Class C: 259,099,515.544 Class C: 11.11% LPL Financial Class F: 217,307,985.680 Class F: 6.74% L-2
Beneficial Owner
Owned as of September 8, 2014
Class
FBO Aries Capital Inc.
717 17th Street Suite 1300
Denver, CO 80202-3304
Calaveras Lumber Co Inc. New
Comparability PS 401(k)
Plan and Trust
805 S. Wheatley Street Suite 600
Ridgeland, MS 39157-5005
Approved Storage and Waste
HAU 401(k)
PSP and Trust
1251 Waterfront Place Suite 525
Pittsburgh, PA 15222-4228
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 17,104,734.537
Class C: 259,099,515.544
Class B: 28.08%
Class C: 7.11%
Special Custody Account
2801 Market Street
St. Louis, MO 63103-2523
Class B: 17,104,734.537
Class C: 259,099,515.544
Class F: 217,307,985.680
Class B: 18.63%
Class C: 14.46%
Class F: 17.05%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class B: 17,104,734.537
Class C: 259,099,515.544
Class I: 51,528,770.737
Class P: 9,127,995.344
Class B: 5.34%
Class C: 6.30%
Class I: 10.38%
Class P: 5.87%
UBS WM USA
499 Washington Blvd, 9th Floor
Jersey City, NJ 07310-2055
Class F: 217,307,985.680
Class F: 12.67%
of Its Customers
4800 Deer Lake Dr E – 3rd Floor
Jacksonville, FL 32246-6484
Class C: 259,099,515.544
Class F: 217,307,985.680
Class I: 51,528,770.737
Class R2: 379,331.868
Class C: 19.35%
Class F: 20.07%
Class I: 10.79%
Class R2: 69.69%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class C: 259,099,515.544
Class F: 217,307,985.680
Class P: 9,127,995.344
Class C: 14.61%
Class F: 19.15%
Class P: 40.18%
Omnibus for Mutual Funds
House Account
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class F: 217,307,985.680
Class F: 11.85%
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
Fund Name and Address of Number of Shares Beneficially Number Percent of Bond Debenture Charles Schwab & Co. Inc. Class I: 51,528,770.737 Class I: 5.86% Mac & Co. Class I: 51,528,770.737 Class I: 7.63% Mercer Trust Co. TR Class I: 51,528,770.737 Class I: 9.98% National Financial Services LLC Class I: 51,528,770.737 Class I: 21.93% WTRISC As Agent Class I: 51,528,770.737 Class I: 6.47% Hartford Life Separate Account Class P: 9,127,995.344 Class P: 42.36% Voya Retirement Insurance and Class R3: 13,615,666.905 Class R3: 27.91% Voya Institutional Trust Co. Class R3: 13,615,666.905 Class R3: 30.02% Developing Growth Edward D. Jones & Co. Class A: 47,999,696.250 Class A: 7.19% National Financial Services LLC Class A: 47,999,696.250 Class A: 6.28% MLPF&S for the Sole Benefit of its Class A: 47,999,696.250 Class A: 8.41% State Street Corp. TTEE Class A: 47,999,696.250 Class A: 5.01% L-3
Beneficial Owner
Owned as of September 8, 2014
Class
Special Custody Account for Benefit
of Customers
211 Main Street
San Francisco, CA 94105-1905
FBO Profit Sharing
Balanced Toward Growth
P.O. Box 3198
525 William Penn Place
Pittsburgh, PA 15230-3198
FBO Edward D. Jones & Co Deffd
Comp Plan
1 Investors Way MSC N-1-G
Norwood, MA 02062-1599
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
FBO Meijer Savings 401(k)
Plans I & II
P.O. Box 52129
Phoenix, AZ 85072-2129
401(k) Plan
P.O. Box 2999
Hartford, CT 06104-2999
Class R3: 13,615,666.905
Class R3: 11.28%
Annuity Co
One Orange Way, B3N
Windsor, CT 06095-4773
P.O. Box 990065
Hartford, CT 06199-0065
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 475,209.562
Class B: 8.26%
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
Class F: 7,036,898.573
Class I: 53,434,199.579
Class F: 6.92%
Class I: 31.39%
Customers
4800 Deer Lake Drive E. Fl. 3
Jacksonville, FL 32246-6484
Class C: 5,513,016.233
Class F: 7,036,898.573
Class R2: 598,672.809
Class C: 20.78%
Class F: 10.56%
Class R2: 28.20%
FBO ADP ACCESS
1 Lincoln Street
Boston, MA 02111-2901
Class R3: 12,021,268.158
Class R3: 12.14%
Fund Name and Address of Number of Shares Beneficially Number Percent of Developing Growth Pershing LLC Class B: 475,209.562 Class B: 6.82% Wells Fargo Advisors LLC Class B: 475,209.562 Class B: 5.63% UBS Financial Services Inc. FBO Class C: 5,513,016.233 Class C: 7.56% Morgan Stanley Smith Barney Class C: 5,513,016.233 Class C: 15.39% LPL Financial Class C: 5,513,016.233 Class C: 10.28% Voya Retirement Insurance and Class P: 3,749,325.611 Class P: 9.00% Reliance Trust Co. FBO Class P: 3,749,325.611 Class P: 7.60% Reliance Trust Co Custodian Class R2: 598,672.809 Class R2: 9.82% NFS LLC FEBO Class R2: 598,672.809 Class R2: 22.06% NFS LLC FEBO Class R2: 598,672.809 Class R2: 9.35% Hartford Life Separate Account Class R3: 12,021,268.158 Class R3: 27.73% Lord Abbett Alpha Strategy Fund Class I: 53,434,199.579 Class I: 17.17% AUL Group Retirement Annuity Class R3: 12,021,268.158 Class R3: 5.03% L-4
Beneficial Owner
Owned as of September 8, 2014
Class
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class F: 7,036,898.573
Class F: 5.55%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class C: 5,513,016.233
Class F: 7,036,898.573
Class C: 10.03%
Class F: 12.32%
UBS WM USA
499 Washington Boulevard Floor 9
Jersey City, NJ 07310-2055
Class F: 7,036,898.573
Class F: 12.78%
Harborside Financial Center
Plaza II Floor 3
Jersey City, NJ 07311
Class F: 7,036,898.573
Class P: 3,749,325.611
Class F: 27.72%
Class P: 61.40%
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
Class F: 7,036,898.573
Class F: 14.81%
Annuity Co
One Orange Way, B3N
Windsor, CT 06095-4773
Class R3: 12,021,268.158
Class R3: 16.93%
Retirement Plans Serviced by Metlife
8515 East Orchard Road # 2T2
Greenwood Village, CO 80111-5002
FBO Massmutual Omnibus
P.O. Box 48529
Atlanta, GA 30362-1529
Reliance Trust Co TTEE/Cust
for TRS FBO Various Ret. Plans
1150 South Olive Street, Ste 2700
Los Angeles, CA 90015-2211
State Street Bank Trust Co.
TR Various Retirement Plans
440 Mamaroneck Ave
Harrison, NY 10528-2418
PO Box 2999
Hartford, CT 06104-2999
90 Hudson Street
Jersey City, NJ 07302-3900
Separate Account II
P.O. Box 368
Indianapolis, Indiana 46206-0368
Fund Name and Address of Number of Shares Beneficially Number Percent of Developing Growth DCGT Trustee &/or Custodian Class R3: 12,021,268.158 Class R3: 8.73% Calibrated Large Cap Value Edward D. Jones & Co. Class A: 3,629,802.223 Class A: 13.78% National Financial Services Class A: 3,629,802.223 Class A: 10.59% LPL Financial Class A: 3,629,802.223 Class A: 20.70% CSD Investments LLC Class A: 3,629,802.223 Class A: 19.51% Pershing LLC Class A: 3,629,802.223 Class A: 5.00% MLPF&S For The Sole Benefit Class A: 3,629,802.223 Class A: 9.90% UBS Financial Services Inc. Class C: 485,030.661 Class C: 6.98% Raymond James Class C: 485,030.661 Class C: 13.88% Morgan Stanley Smith Barney Class C: 485,030.661 Class C: 9.66% Lord Abbett & Co. LLC Class R2: 8,830.992 Class R2: 8.42% MG Trust Company Cust. FBO Class R3: 6,511.990 Class R3: 9.29% Flooring Surfaces Inc. Class R3: 6,511.990 Class R3: 19.65% L-5
Beneficial Owner
Owned as of September 8, 2014
Class
FBO PLIC Various Retirement Plans
Omnibus
711 High Street
Des Moines, IA 50392-0001
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class C: 485,030.661
Class C: 10.20%
FEBO Customers
Mutual Funds
200 Liberty Street #1 WFC
New York, NY 10281-1003
Class C: 485,030.661
Class F: 752,842.032
Class C: 6.78%
Class F: 8.01%
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
Class F: 752,842.032
Class F: 11.64%
90 Hudson Street, Ste 1
Jersey City, NJ 07302-3900
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class C: 485,030.661
Class C: 25.87%
of Its Customers
480 Deer Lake Drive E Fl 3
Jacksonville, FL 32246-6484
Class C: 485,030.661
Class F: 752,842.032
Class R2: 8,830.992
Class C: 14.42%
Class F: 35.39%
Class R2: 91.58%
FBO UBS WM USA
499 Washington Boulevard FL 9
Jersey City, NJ 07310-2055
Class F: 752,842.032
Class F: 19.72%
Omnibus for Mutual Funds
House Account
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class F: 752,842.032
Class F: 8.90%
Harborside Financial Center
Plaza II, 3rd Floor
Jersey City, NJ 07311
Class F: 752,842.032
Class F: 6.24%
90 Hudson Street
Jersey City, NJ 07302-3900
FBO Atlanta Flooring
Design Centers, Inc.
717 17th Street, Ste 1300
Denver, CO 80202-3304
Kevin Applebee
2520 S. Muirfield Place
Urbana, IL 61802-2157
Fund Name and Address of Number of Shares Beneficially Number Percent of Calibrated Large Cap Value Flooring Surfaces Inc. Class R3: 6,511.990 Class R3: 19.65% Jeromy A. Peterson Class R3: 6,511.990 Class R3: 8.47% S Sterling Company Class R3: 6,511.990 Class R3: 5.73% Stigler Health and Wellness Inc. Class R3: 6,511.990 Class R3: 6.93% Lord Abbett Multi-Asset Balanced Class I: 15,407,107.589 Class I: 54.29% Lord Abbett Multi-Asset Growth Class I: 15,407,107.589 Class I: 37.50% Calibrated Mid Cap Edward D. Jones & Co. Class A: 1,287,654.157 Class A: 33.12% Pershing LLC Class A: 1,287,654.157 Class A: 9.18% UBS Financial Services Inc. Class F: 384,029.986 Class F: 30.97% Daria L. Foster Class A: 1,287,654.157 Class A: 5.22% Diane G. Noelke Class A: 1,287,654.157 Class A: 8.84% National Financial Services LLC Class A: 1,287,654.157 Class A: 5.81% Raymond James Class C: 198,721.573 Class C: 28.01% L-6
Beneficial Owner
Owned as of September 8, 2014
Class
Rhonda Applebee
2520 S. Muirfield Place
Urbana, IL 61802-2157
DDS 401(k) Plan
Jeromy A. Peterson
19301 8th Avenue NE Ste A
Poulsbo, WA 98370-6200
401(k) Plan
Troy Franks
12825 Corydon Ramsey Road NW
Palmyra, IN 47164-8046
Mary Kathlene Smith-Crease
21363 Jake Smith Road
Spiro, OK 74959-4623
Opportunity Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Value
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class C: 198,721.573
Class C: 10.15%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class C: 198,721.573
Class F: 384,029.986
Class C: 33.15%
Class F: 7.80%
FBO UBS WM USA
499 Washington Blvd FL 9
Jersey City, NJ 07310-2055
90 Hudson Street
Jersey City, NJ 07302-3900
Robert J. Noelke JTW ROS
90 Hudson Street
Jersey City, NJ 07302-3900
FEBO Customers
Mutual Funds
200 Liberty Street #1 WFC
New York, NY 10281-1003
Class C: 198,721.573
Class F: 384,029.986
Class C: 6.30%
Class F: 30.96%
Omnibus for Mutual Funds
House Account
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class F: 384,029.986
Class F: 12.13%
Fund Name and Address of Number of Shares Beneficially Number Percent of Calibrated Mid Cap LPL Financial Class F: 384,029.986 Class F: 8.25% MLPF&S For The Sole Benefit Class R2: 1,524.804 Class R2: 14.62% Lord, Abbett & Co. LLC Class R2: 1,524.804 Class R2: 49.73% MG Trust Company Cust. Class R3: 3,369.074 Class R3: 6.69% Lord Abbett Multi-Asset Global Class I: 26,270,784.996 Class I: 5.84% Lord Abbett Multi-Asset Balanced Class I: 26,270,784.996 Class I: 41.98% Lord Abbett Multi-Asset Growth Class I: 26,270,784.996 Class I: 30.62% Lord Abbett Multi-Asset Income Class I: 26,270,784.996 Class I: 18.16% Wells Fargo Advisors LLC Class F: 384,029.986 Class F: 6.95% Mid Atlantic Trust Co. FBO Class R2: 1,524.804 Class R2: 35.65% PAI Trust Co Inc. Class R3: 3,369.074 Class R3: 59.93% Incremental Media Inc. 401(k) Plan Class R3: 3,369.074 Class R3: 9.14% Emerging Markets Daria L. Foster Class A: 413,598.821 Class A: 8.26% L-7
Beneficial Owner
Owned as of September 8, 2014
Class
Value
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
Of Its Customers
4800 Deer Lake Drive E Fl 3
Jacksonville, FL 32246-6484
90 Hudson Street
Jersey City, NJ 07302-3900
Class R3: 3,369.074
Class R3: 22.55%
FBO City of Aberdeen
WA 457(b) Plan
717 17th Street, Ste 1300
Denver, CO 80202-3304
Opportunity Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Opportunity Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Special Custody Account
2801 Market Street
St. Louis, MO 63103-2523
Spirit Services Inc. 401(k)
PSP and Trust
1251 Waterfront Place, Suite 525
Pittsburgh, PA 15222-4228
Mcdonald Law Office SC 401(k) PSP
1300 Enterprise Drive
De Pere, WI 54115-4934
David Smith
3140 Lee Place
Bellmore, NY 11710-5036
Corporate Debt
90 Hudson Street
Jersey City, NJ 07302-3900
Fund Name and Address of Number of Shares Beneficially Number Percent of Emerging Markets Lord, Abbett & Co. LLC Class A: 413,598.821 Class A: 79.97% National Financial Services LLC Class C: 18,628.912 Class C: 43.61% Pershing LLC Class C: 18,628.912 Class C: 12.12 Emerging Markets National Financial Services LLC Class A: 6,130,306.137 Class A: 17.59% Edward D. Jones & Co. Class A: 6,130,306.137 Class A: 25.83% MLPF&S for the Sole Benefit Class A: 6,130,306.137 Class A: 6.38% Morgan Stanley Smith Barney Class A: 6,130,306.137 Class A: 7.26% Edward Ruiz MD PC Class B: 72,585.488 Class B: 5.34% G Lombardi Inc. Class B: 72,585.488 Class B: 5.83% UBS Financial Services Inc. Class C: 2,064,270.101 Class C: 7.25% Wells Fargo Advisors LLC Class B: 72,585.488 Class B: 14.55% Raymond James Class B: 72,585.488 Class B: 5.70% L-8
Beneficial Owner
Owned as of September 8, 2014
Class
Corporate Debt
90 Hudson Street
Jersey City, NJ 07302-3900
Class C: 18,628.912
Class F: 8,183.633
Class I: 331,224.488
Class R2: 6,900.423
Class R3: 6,900.423
Class C: 36.78%
Class F: 84.26%
Class I: 100.00%
Class R2: 100.00%
Class R3: 100.00%
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class F: 8,183.633
Class F: 15.74
Currency
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
For the Benefit of Customers
12555 Manchester Road
St. Louis, MO 63131-3729
Class B: 72,585.488
Class B: 17.45%
of its Customers
4800 Deer Lake Drive E., Floor 3
Jacksonville, FL 32246-6484
Class C: 2,064,270.101
Class F: 4,905,618.207
Class R2: 17,893.538
Class C: 32.09%
Class F: 18.11%
Class R2: 82.29%
Mutual Fund Operations
Harborside Financial Center
Plaza II, 3rd Floor
Jersey City, NJ 07311
Class C: 2,064,270.101
Class F: 4,905,618.207
Class C: 20.33%
Class F: 31.71%
Edward Ruiz
5867 Stonehaven Blvd
Rochester, MI 48306-4941
Richard Lombardi
310 Central Ave
West Caldwell, NJ 07006-6526
UBS WM USA
499 Washington Boulevard, Floor 9
Jersey City, NJ 07310-2055
Class F: 4,905,618.207
Class F: 11.15%
Special Custody Account
2801 Market Street
St. Louis, MO 63103-2523
Class C: 2,064,270.101
Class F: 4,905,618.207
Class C: 9.29%
Class F: 16.55%
Omnibus for Mutual Funds
House Account
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class C: 2,064,270.101
Class F: 4,905,618.207
Class C: 8.00%
Class F: 8.29%
Fund Name and Address of Number of Shares Beneficially Number Percent of Emerging Markets Pershing LLC Class F: 4,905,618.207 Class F: 10.27% Lord Abbett Multi-Asset Balanced Class I: 69,237,078.654 Class I: 39.91% Lord Abbett Multi-Asset Income Class I: 69,237,078.654 Class I: 46.19% Lord Abbett Multi-Asset Global Class I: 69,237,078.654 Class I: 12.08% Reliance Trust Co FBO Class P: 547.513 Class P: 95.78% Mid Atlantic Trust Co. Class R2: 17,893.538 Class R2: 14.72% Health Care Technology Class R3: 84,287.920 Class R3: 13.07% MG Trust Company Class R3: 84,287.920 Class R3: 10.03% Mid Atlantic Trust Co. Class R3: 84,287.920 Class R3: 5.30% Leaders Financial Company 401(k) Class R3: 84,287.920 Class R3: 5.33% Emerging Markets Daria L. Foster Class A: 501,244.845 Class A: 7.12% Edward D. Jones & Co. Class A: 501,244.845 Class A: 6.94% L-9
Beneficial Owner
Owned as of September 8, 2014
Class
Currency
1 Pershing Plaza
Jersey City, NJ 07399-0002
Opportunity Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Opportunity Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Assoc. In Obstetr 401(k) Plan
P.O. Box 48529
Atlanta, GA 30362-1529
Apex Laboratory Inc. 401(k) PSP &
Trust
1251 Waterfront Place, Ste 525
Pittsburgh, PA 15222-4228
FBO Health Care Technology 401(k)
PSP
8515 E. Orchard Road, #2T2
Greenwood Village, CO 80111-5002
FBO Ohio State University 403(b)
Plan
717 17th Street, Ste 1300
Denver, CO 80202-3304
Rediger Psychiatric Services 401(k)
PSP & Trust
1251 Waterfront Place, Ste 525
Pittsburgh, PA 15222-4228
Plan
Jeffrey Housel
70 Mitchell Ave
West Caldwell, NJ 07006-7827
Local Bond
90 Hudson Street
Jersey City, NJ 07302-3900
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Fund Name and Address of Number of Shares Beneficially Number Percent of Emerging Markets Lord, Abbett & Co. LLC Class A: 501,244.845 Class A: 34.39% Pershing LLC Class A: 501,244.845 Class A: 41.27% National Financial Services LLC Class C: 27,333.454 Class C: 41.29% Multi-Asset Global Edward D. Jones & Co. Class A: 13,111,148.641 Class A: 48.61% Pershing LLC Class A: 13,111,148.641 Class A: 5.66% Wells Fargo Advisors LLC Class B: 433,701.563 Class B: 6.97% MLPF&S for the Sole Benefit of its Class C: 3,912,895.487 Class C:12.44% Morgan Stanley Smith Barney Class C: 3,912,895.487 Class C: 8.11% LPL Financial Class F: 1,102,249.815 Class F: 28.33% Raymond James Class F: 1,102,249.815 Class F: 9.53% UBS Financial Services Inc. FBO Class F: 1,102,249.815 Class F: 10.63% Barclays Capital Inc. Class I: 3,341,469.157 Class I: 5.54% The Dow Foundation Class I: 3,341,469.157 Class I: 14.18% Washington Suburban Sanitary Class I: 3,341,469.157 Class I: 77.71% L-10
Beneficial Owner
Owned as of September 8, 2014
Class
Local Bond
90 Hudson Street
Jersey City, NJ 07302-3900
Class C: 27,333.454
Class F: 10,063.626
Class I: 165,647.125
Class R2: 7,180.648
Class R3: 7,180.336
Class C: 26.05%
Class F: 71.49%
Class I: 100.00%
Class R2: 100.00%
Class R3: 100.00%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class C: 27,333.454
Class F: 10,063.626
Class C: 25.92%
Class F: 16.68%
FEBO Customers
Mutual Funds
499 Washington Boulevard
Jersey City, NJ 07310-2010
Class F: 10,063.626
Class F: 9.88%
For the Benefit of Customers
12555 Manchester Road
St. Louis, MO 63131-3729
Class B: 433,701.563
Class C: 3,912,895.487
Class B: 37.33%
Class C: 9.63%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class B: 433,701.563
Class C: 3,912,895.487
Class B: 5.93%
Class C: 9.27%
Special Custody Account
2801 Market Street
St. Louis, MO 63103-2523
Class C: 3,912,895.487
Class F: 1,102,249.815
Class C: 8.19%
Class F: 17.70%
Customers
4800 Deer Lake Drive E., Floor 3
Jacksonville, FL 32246-6484
Class F: 1,102,249.815
Class F: 15.38%
Harborside Financial Center
Plaza II, 3rd Floor
Jersey City, NJ 07311
Class F: 1,102,249.815
Class F: 6.90%
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
Omnibus for Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
UBS WM USA
499 Washington Blvd, 9th Floor
Jersey City, NJ 07310-2055
745 7th Ave
New York, NY 10019-6801
2719 Main Street
Trenton, NJ 08648-1014
Commission OPEB Trust
14501 Sweitzer Lane, Floor 11
Laurel, MD 20707-5901
Fund Name and Address of Number of Shares Beneficially Number Percent of Multi-Asset Global Counsel Trust DBA MATC FBO Class R2: 8,459.555 Class R2: 73.67% Lord, Abbett & Co. LLC Class R2: 8,459.555 Class R2: 12.41% Mid Atlantic Trust Co. Class R2: 8,459.555 Class R2: 11.16% Capital Bank & Trust Co. Class R3: 478,191.387 Class R3: 5.58% Hartford Life Separate Account Class R3: 478,191.387 Class R3: 21.91% Convertible Edward D. Jones & Co. Class A: 12,311,600.244 Class A: 12.29% Wells Fargo Advisors LLC Class A: 12,311,600.244 Class A: 6.44% MLPF&S Class B: 180,592.350 Class B: 12.68% Morgan Stanley Smith Barney Class A: 12,311,600.244 Class A: 20.98% Pershing LLC Class A: 12,311,600.244 Class A: 24.25% UBS Financial Services Inc. FBO Class C: 5,179,617.426 Class C: 7.44% National Financial Services LLC Class A: 12,311,600.244 Class A: 9.41% LPL Financial Class B: 180,592.350 Class B: 12.02% L-11
Beneficial Owner
Owned as of September 8, 2014
Class
Schifrin Gagnon & Dickey
1251 Waterfront Place, Ste 525
Pittsburgh, PA 15222-4228
90 Hudson Street
Jersey City, NJ 07302-3900
Robertson Cornell PLLC 401(k)
PSP and Trust
1251 Waterfront Place Suite 525
Pittsburgh, PA 15222-422
TR F CHC RET Plan Savings
8515 E. Orchard Road, #2T2
Greenwood Village, CO 80111-5002
PO Box 2999
Hartford, CT 06104-2999
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 180,592.350
Class B: 10.79%
Special Custody Account
2801 Market St.
Saint Louis, MO 63103-2523
Class B: 180,592.350
Class C: 5,179,617.426
Class F: 9,518,957.121
Class B: 15.50%
Class C: 11.52%
Class F: 12.43%
For The Sole Benefit Of Its
Customers
4800 Deer Lake Dr. E Fl. 3
Jacksonville, FL 32246-6484
Class C: 5,179,617.426
Class F: 9,518,957.121
Class R2: 21,899.468
Class C: 20.74%
Class F: 16.80%
Class R2: 95.20%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class B: 180,592.350
Class C: 5,179,617.426
Class F: 9,518,957.121
Class B: 10.71%
Class C: 20.96%
Class F: 34.62%
1 Pershing Plz.
Jersey City, NJ 07399-0002
Class B: 180,592.350
Class C: 5,179,617.426
Class B: 5.17%
Class C: 6.60%
UBS WM USA
499 Washington Blvd Fl. 9
Jersey City, NJ 07310-2055
Class F: 9,518,957.121
Class F: 10.45%
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, New York 10281-1003
Class B: 180,592.350
Class C: 5,179,617.426
Class F: 9,518,957.121
Class B: 20.04%
Class C: 8.62%
Class F: 14.24%
Omnibus Customer Account
9785 Towne Centre Dr.
San Diego, CA 92121-1968
Fund Name and Address of Number of Shares Beneficially Number Percent of Convertible Lord Abbett Multi-Asset Income Class I: 32,697,880.618 Class I: 52.47% Lord Abbett Multi-Asset Balanced Class I: 32,697,880.618 Class I: 46.06% Lord, Abbett & Co. LLC Class P: 3,546.155 Class P: 43.02% MG Trust Co. Cust. Class P: 3,546.155 Class P: 42.63% Reliance Trust Co Custodian Class P: 3,546.155 Class P: 13.70% Sammons Financial Network LLC Class R3: 235,563.913 Class R3: 65.77% Core Fixed Income Edward D. Jones & Co. Class A: 33,734,622.174 Class A: 60.85% MLPF&S Class A: 33,734,622.174 Class A: 8.51% Wells Fargo Advisors LLC Class B: 669,953.072 Class B: 9.62% Pershing LLC Class B: 669,953.072 Class B: 7.75% Morgan Stanley Smith Barney Class C: 7,312,434.671 Class C: 6.50% Raymond James Class C: 7,312,434.671 Class C: 5.71% National Financial Services LLC Class A: 33,734,622.174 Class A: 5.46% L-12
Beneficial Owner
Owned as of September 8, 2014
Class
Fund
90 Hudson St.
Jersey City, NJ 07302-3900
Opportunity Fund
90 Hudson St.
Jersey City, NJ 07302-3900
90 Hudson Street
Jersey City, NJ 07302-3900
FBO The Voice of the Martyers, Inc.
717 17th St. STE 1300
Denver, CO 80202-3304
FBO Massmutual Omnibus
P.O. Box 48529
Atlanta, GA 30362-1529
FBO Various Accounts
4546 Corporate Dr. STE 100
West Des Moines, IA 50266-5911
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 669,953.072
Class C: 7,312,434.671
Class F: 30,201,104.912
Class B: 40.66%
Class C: 23.16%
Class F: 71.46%
For The Sole Benefit Of Its
Customers
4800 Deer Lake Dr. E Fl. 3
Jacksonville, FL 32246-6484
Class B: 669,953.072
Class C: 7,312,434.671
Class F: 30,201,104.912
Class R2: 42,215.657
Class B: 5.42%
Class C: 13.28%
Class F: 7.13%
Class R2: 92.27%
Special Custody Account
2801 Market St.
Saint Louis, MO 63103-2523
Class C: 7,312,434.671
Class C: 13.86%
1 Pershing Plz.
Jersey City, NJ 07399-0002
Class C: 7,312,434.671
Class C: 6.85%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class F: 30,201,104.912
Class F: 6.24%
Omnibus for Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
FEBO Customers Mutual Funds
200 Liberty St. #1WFC
New York, NY 10281-1003
Fund Name and Address of Number of Shares Beneficially Number Percent of Core Fixed Income Mac & Co. Class I: 43,770,018.533 Class I: 8.36% Mac & Co. Class I: 43,770,018.533 Class I: 13.46% Lord Abbett Multi-Asset Balanced Class I: 43,770,018.533 Class I: 18.93% Lord Abbett Multi-Asset Growth Class I: 43,770,018.533 Class I: 9.16% Lord Abbett Multi-Asset Income Class I: 43,770,018.533 Class I: 21.99% Wells Fargo Bank NA FBO Class I: 43,770,018.533 Class I: 18.58% MG Trust Co. Cust. FBO Class P: 4,161.537 Class P: 59.54% Matrix Trust Company Cust. FBO Class P: 4,161.537 Class P: 24.41% Equity Trust Company DBA Sterling Class P: 4,161.537 Class P: 15.51% Voya Retirement Insurance and Class R3: 1,813,784.313 Class R3: 50.34% Voya Institutional Trust Co. Class R3: 1,813,784.313 Class R3: 5.54% Diversified Equity Edward D. Jones & Co. Class A: 7,492,974.857 Class A: 53.04% Pershing LLC Class C: 3,194,689.037 Class C: 5.26% L-13
Beneficial Owner
Owned as of September 8, 2014
Class
FBO Profit Sharing-Balanced Growth
& Income
P.O. Box 3198
525 William Penn Place
Pittsburgh, PA 15230-3198
FBO Profit Sharing-Balanced Growth
P.O. Box 3198
525 William Penn Place
Pittsburgh, PA 15230-3198
Opportunity Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Fund
90 Hudson Street
Jersey City, NJ 07302-3900
LAPCF Funds
P.O. Box 1533
Minneapolis, MN 55480-1533
Radcliffe Animal Care Clinic, PC
717 17th St. STE 1300
Denver, CO 80202-3304
Lion Plumbing Supply, Inc.
717 17th St. STE 1300
Denver, CO 80202-3304
Trust
Custodian FBO Rapid Rover, Inc.
PO Box 2526
Waco, TX 76702-2526
Annuity Co.
One Orange Way, B3N
Windsor, CT 06095-4773
P.O. Box 990065
Hartford, CT 06199-0065
Strategy
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 342,502.976
Class C: 3,194,689.037
Class B: 34.52%
Class C: 8.32%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class F: 210,452.113
Class F: 5.13%
Fund Name and Address of Number of Shares Beneficially Number Percent of Diversified Equity MLPF&S Class C: 3,194,689.037 Class C: 5.42% Raymond James Class C: 3,194,689.037 Class C: 10.08% LPL Financial Class F: 210,452.113 Class F: 43.12% UBS Financial Services Inc. Class F: 210,452.113 Class F: 12.74% Morgan Stanley Smith Barney Class F: 210,452.113 Class F: 6.85% The Dow Foundation Class I: 873,335.167 Class I: 79.13% Bryan Jensen FBO Class R2: 10,712.326 Class R2: 38.03% Stephanie Nix-Wille Jon Nix FBO Class R2: 10,712.326 Class R2: 33.04% Jean Ann Hartzell Minzey FBO Class R2: 10,712.326 Class R2: 25.51% Hartford Life Separate Account Class R3: 541,127.405 Class R3: 19.76% Floating Rate Edward D. Jones & Co. Class A: 331,289,556.506 Class A: 8.93% Morgan Stanley Smith Barney Class A: 331,289,556.506 Class A: 11.71% Wells Fargo Advisors LLC Class A: 331,289,556.506 Class A: 9.39% L-14
Beneficial Owner
Owned as of September 8, 2014
Class
Strategy
For The Sole Benefit Of Its
Customers
4800 Deer Lake Dr. E Fl. 3
Jacksonville, FL 32246-6484
Class F: 210,452.113
Class I: 873,335.167
Class F: 18.96%
Class I: 20.77%
Omnibus for Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Omnibus Customer Account
9785 Towne Centre Dr.
San Diego, CA 92121-1968
UBS WM USA
499 Washington Blvd. Fl. 9
Jersey City, NJ 07310-2055
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
2719 Main Street
Trenton, NJ 08648-1014
Peopletrail 401K Plan
805 S Wheatley Street STE 600
Ridgeland, MS 39157-5005
Claude H. Nix Construction 401K
Plan
805 S Wheatley St. STE 600
Ridgeland, MS 39157-5005
Healthcare Education Strategies Inc 401K
Plan
805 S Wheatley St. STE 600
Ridgeland, MS 39157-5005
PO Box 2999
Hartford, CT 06104-2999
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class C: 196,480,758.215
Class F: 286,317,856.939
Class C: 15.00%
Class F: 18.24%
Special Custody Account
2801 Market St.
Saint Louis, MO 63103-2523
Class C: 196,480,758.215
Class F: 286,317,856.939
Class C: 16.44%
Class F: 15.64%
Fund Name and Address of Number of Shares Beneficially Number Percent of Floating Rate MLPF&S Class A: 331,289,556.506 Class A: 10.10% Pershing LLC Class A: 331,289,556.506 Class A: 18.59% UBS Financial Services Inc. FBO Class A: 331,289,556.506 Class A: 6.29% National Financial Services LLC Class A: 331,289,556.506 Class A: 8.46% Raymond James Class C: 196,480,758.215 Class C: 8.01% LPL Financial Class F: 286,317,856.939 Class F: 6.15% Charles Schwab & Co. Inc. Class I: 46,288,911.610 Class I: 31.69% MG Trust Co. Cust. Class R2: 76,494.621 Class R2: 8.85% Mid Atlantic Trust Co. Class R2: 76,494.621 Class R2: 17.05% Mid Atlantic Trust Co. Class R2: 76,494.621 Class R2: 8.64% Mid Atlantic Trust Co. Class R2: 76,494.621 Class R2: 8.67% Charles Smith Richard Smith FBO Class R2: 76,494.621 Class R2: 16.29% L-15
Beneficial Owner
Owned as of September 8, 2014
Class
For The Sole Benefit Of Its
Customers
4800 Deer Lake Dr. E Fl. 3
Jacksonville, FL 32246-6484
Class C: 196,480,758.215
Class F: 286,317,856.939
Class C: 22.15%
Class F: 24.54%
1 Pershing Plz.
Jersey City, NJ 07399-0002
Class C: 196,480,758.215
Class F: 286,317,856.939
Class C: 8.59%
Class F: 7.94%
UBS WM USA
499 Washington Blvd. Fl. 9
Jersey City, NJ 07310-2055
Class C: 196,480,758.215
Class F: 286,317,856.939
Class C: 5.43%
Class F: 11.12%
FEBO Customers
Mutual Funds
200 Liberty St. #1WFC
New York, New York 10281-1003
Class C: 196,480,758.215
Class F: 286,317,856.939
Class I: 46,288,911.610
Class C: 5.57%
Class F: 5.34%
Class I: 13.17%
Omnibus for Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class F: 286,317,856.939
Class F: 5.40%
9785 Towne Centre Dr.
San Diego, CA 92121-1968
Special Custody Account for the
Benefit of Customers
211 Main St.
San Francisco, CA 94105-1905
FBO Cardolite Corp.
717 17th St. STE 1300
Denver, CO 80202-3304
FBO Black Top Maintenance 401(K)
PSP
1251 Waterfront Pl. STE 525
Pittsburgh, PA 15222-4228
FBO Dawnie L. Kildoo P.A. 401(K)
PSP
1251 Waterfront Pl. STE 525
Pittsburgh, PA 15222-4228
FBO Harold R. Henrich Inc. 401(K)
PSP
1251 Waterfront Pl. STE 525
Pittsburgh, PA 15222-4228
George S. Smith 401K Safe Harbor
Plan
805 S Wheatley St. STE 600
Ridgeland, MS 39157-5005
Fund Name and Address of Number of Shares Beneficially Number Percent of Floating Rate Ascensus Trust Co FBO Class R2: 76,494.621 Class R2: 10.57% Mid Atlantic Trust Co. Class R2: 76,494.621 Class R2: 5.46% Sammons Financial Network LLC Class R3: 2,907,434.432 Class R3: 61.96% High Yield Edward D. Jones & Co. Class A: 127,786,648.710 Class A: 13.82% Wells Fargo Advisors LLC Class A: 127,786,648.710 Class A: 8.34% Pershing LLC Class A: 127,786,648.710 Class A: 11.53% UBS Financial Services Inc. FBO Class F: 66,922,214.067 Class F: 12.46% National Financial Services LLC Class A: 127,786,648.710 Class A: 17.36% MLPF&S Class B: 1,463,228.370 Class B: 6.03% Morgan Stanley Smith Barney Class B: 1,463,228.370 Class B: 10.17% LPL Financial Class A: 127,786,648.710 Class A: 6.24% Raymond James Class C: 43,700,884.821 Class C: 6.58% L-16
Beneficial Owner
Owned as of September 8, 2014
Class
Outlook Optical & Affiliates Inc.
P.O. Box 10758
Fargo, ND 58106-0758
FBO Triad Engineering Consultants
401(K) PSP & Trust
1251 Waterfront Pl. STE 525
Pittsburgh, PA 15222-4228
FBO
Various Accounts
4546 Corporate Dr. STE 100
West Des Moines, IA 50266-5911
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 1,463,228.370
Class B: 20.83%
Special Custody Account
2801 Market St.
Saint Louis, MO 63103-2523
Class B: 1,463,228.370
Class C: 43,700,884.821
Class F: 66,922,214.067
Class B: 25.47%
Class C: 20.60%
Class F: 15.42%
1 Pershing Plz.
Jersey City, NJ 07399-0002
Class B: 1,463,228.370
Class C: 43,700,884.821
Class F: 66,922,214.067
Class B: 9.85%
Class C: 11.65%
Class F: 7.84%
UBS WM USA
499 Washington Blvd. Fl. 9
Jersey City, NJ 07310-2055
FEBO Customers
Mutual Funds
200 Liberty St. #1WFC
New York, New York 10281-1003
Class C: 43,700,884.821
Class F: 66,922,214.067
Class C: 6.70%
Class F: 7.10%
For The Sole Benefit Of Its
Customers
4800 Deer Lake Dr. E Fl. 3
Jacksonville, FL 32246-6484
Class C: 43,700,884.821
Class F: 66,922,214.067
Class R2: 686,432.905
Class C: 17.26%
Class F: 21.67%
Class R2: 81.29%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class C: 43,700,884.821
Class F: 66,922,214.067
Class C: 8.74%
Class F: 14.50%
Omnibus Customer Account
9785 Towne Centre Dr.
San Diego, CA 92121-1968
Class C: 43,700,884.821
Class F: 66,922,214.067
Class C: 7.19%
Class F: 10.83%
Omnibus for Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class F: 66,922,214.067
Class F: 5.26%
Fund Name and Address of Number of Shares Beneficially Number Percent of High Yield Lord Abbett Multi-Asset Balanced Class I: 220,085,424.616 Class I: 23.67% Lord Abbett Multi-Asset Income Class I: 220,085,424.616 Class I: 40.86% Lord Abbett Multi-Asset Growth Class I: 220,085,424.616 Class I: 13.03% Capital Bank & Trust Co. TTEE FBO Class P: 198,891.704 Class P: 32.45% Mid Atlantic Trust Co. FBO Class P: 198,891.704 Class P: 45.32% WTRISC Class P: 198,891.704 Class P: 13.80% Reliance Trust Co Custodian Class R3: 4,259,004.017 Class R3: 14.23% Sammons Financial Network LLC Class R3: 4,259,004.017 Class R3: 8.98% Income Edward D. Jones & Co. Class A: 362,286,128.974 Class A: 20.61% Pershing LLC Class A: 362,286,128.974 Class A: 8.98% MLPF&S Class A: 362,286,128.974 Class A: 7.90% UBS Financial Services Inc. Class C: 103,290,796.609 Class C: 5.95% L-17
Beneficial Owner
Owned as of September 8, 2014
Class
Opportunity Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Fund
90 Hudson Street
Jersey City, NJ 07302 -3900
Elmwood Pediatric Group
Savings & Investment Plan
8515 E Orchard Rd. #2T2
Greenwood Village, CO 80111-5002
Pacific Biosciences of California Inc.
401(K) Plan
1251 Waterfront Pl STE 525
Pittsburgh, PA 15222-4228
The Guild for Exceptional Children
403(b) Plan
PO Box 52129
Phoenix, AZ 85072-2129
FBO Massmutual Omnibus
P.O. Box 48529
Atlanta, GA 30362-1529
FBO
Various Accounts
4546 Corporate Dr. STE 100
West Des Moines, IA 50266-5911
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 3,028,202.193
Class C: 103,290,796.609
Class B: 24.97%
Class C: 6.85%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class C: 103,290,796.609
Class F: 134,835,266.173
Class C: 10.50%
Class F: 7.60%
For The Sole Benefit Of Its
Customers
4800 Deer Lake Dr. E Fl. 3
Jacksonville, FL 32246-6484
Class B: 3,028,202.193
Class C: 103,290,796.609
Class F: 134,835,266.173
Class R2: 1,544,074.530
Class B: 14.75%
Class C: 18.47%
Class F: 15.13%
Class R2: 41.82%
UBS WM USA
499 Washington Blvd. Fl 9
Jersey City, NJ 07310-2055
Class F: 134,835,266.173
Class F: 7.96%
Fund Name and Address of Number of Shares Beneficially Number Percent of Income Wells Fargo Advisors LLC Class A: 362,286,128.974 Class A: 7.22% Morgan Stanley Smith Barney Class A: 362,286,128.974 Class A: 5.47% National Financial Services LLC Class A: 362,286,128.974 Class A: 9.01% Raymond James Class C: 103,290,796.609 Class C: 5.66% Charles Schwab & Co. Inc. Class I: 40,869,416.360 Class I: 5.62% Fifth Third Bank TR Class I: 40,869,416.360 Class I: 10.81% Mitra & Co FBO NG Class I: 40,869,416.360 Class I: 5.80% SEI Private Trust Company Class I: 40,869,416.360 Class I: 31.01% TD Ameritrade Trust Company Class I: 40,869,416.360 Class I: 7.06% CBNA Cust. Class R2: 1,544,074.530 Class R2: 39.90% DCGT Trustee & or Custodian Class R3: 15,164,424.640 Class R3: 7.31% Pims/Prudential Retirement Plan Class R3: 15,164,424.640 Class R3: 5.64% L-18
Beneficial Owner
Owned as of September 8, 2014
Class
Special Custody Account
2801 Market St.
Saint Louis, MO 63103-2523
Class B: 3,028,202.193
Class C: 103,290,796.609
Class F: 134,835,266.173
Class B: 16.50%
Class C: 19.40%
Class F: 22.10%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class C: 103,290,796.609
Class F: 134,835,266.173
Class C: 10.00%
Class F: 21.08%
FEBO Customers
Mutual Funds
200 Liberty St. #1WFC
New York, New York 10281-1003
Class C: 103,290,796.609
Class F: 134,835,266.173
Class I: 40,869,416.360
Class C: 5.76%
Class F: 14.74%
Class I: 11.84%
Omnibus for Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Special Custody Account for Benefit
of Customers
211 Main St.
San Francisco, CA 94105-1905
FBO Danky & Co.
5001 Kingsley Dr. Dept. 3385
Cincinnati OH, 45227-1114
11270 W. Park Pl STE 400
Milwaukee, WI 53224-3638
1 Freedom Valley Dr.
Oaks, PA 19456-9989
PO Box 17748
Denver, CO 80217-0748
FBO Fringe Benefits Design
Retirement Plan
6 Rhoads Dr. STE 7
Utica, NY 13502-6317
PLIC Various Retirement Plans
Omnibus
FBO Principal Financial Group
711 High St.
Des Moines, IA 50392-0001
Nominee Trustee Custodian
006 Prudential SmartSolution IRA
280 Trumbull St.
Hartford, CT 06103-3509
Fund Name and Address of Number of Shares Beneficially Number Percent of Income Pims/Prudential Retirement Plan Class R3: 15,164,424.640 Class R3: 20.15% Sammons Financial Network LLC Class R3: 15,164,424.640 Class R3: 14.25% State Street Corporation Class R3: 15,164,424.640 Class R3: 7.98% Inflation Focused MLPF&S Class A: 31,530,692.223 Class A: 5.53% Pershing LLC Class A: 31,530,692.223 Class A: 7.74% UBS Financial Services Inc. Class A: 31,530,692.223 Class A: 11.15% Morgan Stanley Smith Barney Class A: 31,530,692.223 Class A: 9.37% Wells Fargo Advisors LLC Class C: 8,115,812.453 Class C: 14.88% Charles Schwab & Co. Inc. Class A: 31,530,692.223 Class A: 9.16% National Financial Services LLC Class A: 31,530,692.223 Class A: 6.89% Raymond James Class F: 25,789,532.746 Class F: 5.07% Lord Abbett Multi-Asset Income Class I: 10,245,179.283 Class I: 16.47% Lord Abbett Multi-Asset Balanced Class I: 10,245,179.283 Class I: 14.39% L-19
Beneficial Owner
Owned as of September 8, 2014
Class
Nominee Trustee Custodian
007 Prudential SmartSolution IRA
280 Trumbull St.
Hartford, CT 06103-3509
FBO Various Accounts
4546 Corporate Dr. STE 100
West Des Moines, IA 50266-5911
FBO ADP Access
1 Lincoln St.
Boston, MA 02111-2901
For The Sole Benefit Of Its
Customers
4800 Deer Lake Dr. E Fl. 3
Jacksonville, FL 32246-6484
Class C: 8,115,812.453
Class F: 25,789,532.746
Class R2: 18,992.985
Class C: 18.73%
Class F: 21.78%
Class R2: 88.55%
1 Pershing Plz.
Jersey City, NJ 07399-0002
Class C: 8,115,812.453
Class I: 10,245,179.283
Class C: 7.76%
Class I: 5.25%
UBS WM USA
499 Washington Blvd. Fl. 9
Jersey City, NJ 07310-2055
Class C: 8,115,812.453
Class F: 25,789,532.746
Class C: 8.36%
Class F: 23.94%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class C: 8,115,812.453
Class F: 25,789,532.746
Class C: 19.02%
Class F: 16.30%
Special Custody Account
2801 Market St.
Saint Louis, MO 63103-2523
Class F: 25,789,532.746
Class F: 13.29%
Special Custody Account for the
Benefit of Customers
211 Main St.
San Francisco, CA 94105-1905
Class I: 10,245,179.283
Class I: 20.81%
FEBO Customers
Mutual Funds
200 Liberty St. #1WFC
New York, New York 10281-1003
Class C: 8,115,812.453
Class F: 25,789,532.746
Class I: 10,245,179.283
Class C: 10.23%
Class F: 5.08%
Class I: 16.06%
Omnibus for Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Fund
90 Hudson St.
Jersey City, NJ 07302-3900
Opportunity Fund
90 Hudson St.
Jersey City, NJ 07302-3900
Fund Name and Address of Number of Shares Beneficially Number Percent of Inflation Focused Lord Abbett Multi-Asset Growth Class I: 10,245,179.283 Class I: 7.81% MG Trust Co. Class R2: 18,992.985 Class R2: 7.27% Lord, Abbett & Co. LLC Class R3: 12,374.735 Class R3: 6.06% Composite Lining Systems LP 401(k) Class R3: 12,374.735 Class R3: 8.80% PAI Trust Company, Inc. Class R3: 12,374.735 Class R3: 5.98% PAI Trust Company, Inc. Class R3: 12,374.735 Class R3: 37.55% DCGT Trustee & or Custodian Class R3: 12,374.735 Class R3: 27.48% Multi-Asset Balanced Edward D. Jones & Co. Class A: 116,560,340.838 Class A: 68.91% Wells Fargo Advisors LLC Class B: 2,837,161.616 Class B: 5.91% MLPF&S Class C: 27,763,856.783 Class C: 9.48% Pershing LLC Class C: 27,763,856.783 Class C: 6.65% Morgan Stanley Smith Barney Class C: 27,763,856.783 Class C: 6.90% Raymond James Class C: 27,763,856.783 Class C: 7.45% L-20
Beneficial Owner
Owned as of September 8, 2014
Class
Fund
90 Hudson St.
Jersey City, NJ 07302-3900
FBO United International
Corporation
717 17th St. STE 1300
Denver, CO 80202-3304
90 Hudson St.
Jersey City, NJ 07302-3900
Joseph A. Schwalbach
3804 Douglas Ave.
Midland, TX 79703-4905
401(k) Plan
Eric G Matlin. 401K Plan
1300 Enterprise Drive
De Pere, WI 54115-4934
Purdum Energy Consulting, Inc.
1300 Enterprise Drive
De Pere, WI 54115-4934
FBO PLIC Various Retirement Plans
Omnibus
711 High St.
Des Moines, IA 50392-0001
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 2,837,161.616
Class C: 27,763,856.783
Class B: 48.66%
Class C: 15.52%
Special Custody Account
2801 Market Street
St. Louis, MO 63103-2523
Class C: 27,763,856.783
Class F: 5,398,023.397
Class C: 11.12%
Class F: 13.45%
For The Sole Benefit Of Its
Customers4800 Deer Lake Dr. E Fl. 3
Jacksonville, FL 32246-6484
Class F: 5,398,023.397
Class I: 2,790,609.734
Class R2: 144,853.729
Class F: 11.70%
Class I: 17.14%
Class R2: 19.50%
1 Pershing Plz.
Jersey City, NJ 07399-0002
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class F: 5,398,023.397
Class F: 28.92%
Omnibus for Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class F: 5,398,023.397
Class F: 7.87%
Fund Name and Address of Number of Shares Beneficially Number Percent of Multi-Asset Balanced National Financial Services LLC Class F: 5,398,023.397 Class F: 10.04% LPL Financial Class F: 5,398,023.397 Class F: 10.26% UBS Financial Services Inc. FBO Class F: 5,398,023.397 Class F: 8.37% Star Multi Care Services Inc. Class P: 100,510.291 Class P: 5.36% Northline Drugs No. 1 Inc. 401(K) Class P: 100,510.291 Class P: 20.15% Tyler Area Chamber of Commerce Class P: 100,510.291 Class P: 10.30% Arch Auto Parts Holding Co. Inc. Class P: 100,510.291 Class P: 7.46% Robert L Lilley Co LPA 401K PSP Class P: 100,510.291 Class P: 7.19% Latha Ravi & Kumar Ravi TTEE Class P: 100,510.291 Class P: 8.61% Reliance Trust Co. Custodian Class P: 100,510.291 Class P: 18.71% Mac & Co. Class I: 2,790,609.734 Class I: 56.17% Wells Fargo Bank FBO Class I: 2,790,609.734 Class I: 14.83% Charles M. Ponder III FBO Class R2: 144,853.729 Class R2: 16.51% PAI Trust Company, Inc. Class R2: 144,853.729 Class R2: 21.98% L-21
Beneficial Owner
Owned as of September 8, 2014
Class
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
UBS WM USA
499 Washington Blvd, 9th Floor
Jersey City, NJ 07310-2055
115 Broadhollow Road STE 275
Melville, NY 11747-4990
PSP
13894 Northline Rd.
Southgate, MI 48195-1803
Profit Sharing Plan
315 N Broadway Ave.
Tyler, TX 75702-5712
18102 Jamaica Ave.
Hollis, NY 11423-2326
9 E 2nd St.
Logan, OH 43138-1200
Latha Ravi MD 401(k) Plan
180 S 3rd St. STE 102
Belleville, IL 62220-1952
FBO Holdahl Inc. 401(K)
P.O. Box 48529
Atlanta, GA 30362-1529
Mutual Fund Ops
P.O. Box 3198
525 William Penn Place
Pittsburgh, PA 15230-3198
Various Retirement Plans
1525 West WT Harris Blvd.
Charlotte, NC 28288-1076
Ponder Law Firm 401(K) Plan
805 S Wheatley St. STE 600
Ridgeland, MS 39157-5005
Don Ayres Pontiac, Inc. 401(K) Plan
1300 Enterprise Dr.
De Pere, WI 54115-4934
Fund Name and Address of Number of Shares Beneficially Number Percent of Multi-Asset Balanced Mid Atlantic Trust Co. FBO Class R2: 144,853.729 Class R2: 12.37% Mid Atlantic Trust Co. FBO Class R2: 144,853.729 Class R2: 12.13% Mid Atlantic Trust Co. FBO Class R2: 144,853.729 Class R2: 10.66% Hartford Life Separate Account Class R3: 2,796,886.223 Class R3: 18.30% Multi-Asset Growth Edward D. Jones & Co. Class A: 42,239,918.248 Class A: 69.30% Pershing LLC Class C: 10,441,609.829 Class C: 5.00% Wells Fargo Advisors LLC Class C: 10,441,609.829 Class C: 8.02% MLPF&S Class C: 10,441,609.829 Class C: 9.02% Raymond James Class C: 10,441,609.829 Class C: 9.25% Morgan Stanley Smith Barney Class F: 2,032,446.330 Class F: 9.72% LPL Financial Class F: 2,032,446.330 Class F: 8.78% National Financial Services LLC Class F: 2,032,446.330 Class F: 7.62% UBS Financial Services Inc. FBO Class F: 2,032,446.330 Class F: 5.65% L-22
Beneficial Owner
Owned as of September 8, 2014
Class
Dewey Communities Service Corp.
401(K) PSP & Trust
1251 Waterfront Pl. STE 525
Pittsburgh, PA 15222-4228
Approved Storage &Waste Haul
401K PSP & Trust
1251 Waterfront Pl. STE 525
Pittsburgh, PA 15222-4228
PTI Nebraska
401K PSP & Trust
1251 Waterfront Pl. STE 525
Pittsburgh, PA 15222-4228
P.O. Box 2999
Hartford, CT 06104-2999
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 1,189,412.298
Class C: 10,441,609.829
Class B: 56.52%
Class C: 15.40%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Special Custody Account
2801 Market Street
St. Louis, MO 63103-2523
Class F: 2,032,446.330
Class F: 23.70%
For The Sole Benefit Of Its
Customers
4800 Deer Lake Dr. E Fl. 3
Jacksonville, FL 32246-6484
Class F: 2,032,446.330
Class I: 716,000.285
Class R2: 14,188.037
Class F: 20.70%
Class I: 5.93%
Class R2: 22.09%
Omnibus for Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class F: 2,032,446.330
Class F: 14.80%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Omnibus Customer Account
9785 Towne Centre Dr.
San Diego, CA 92121-1968
FEBO Customers
Mutual Funds
200 Liberty Street #1 WFC
New York, NY 10281-1003
UBS WM USA
499 Washington Blvd, 9th Floor
Jersey City, NJ 07310-2055
Fund Name and Address of Number of Shares Beneficially Number Percent of Multi-Asset Growth Taynik & Co. Class I: 716,000.285 Class I: 5.28% State Street Corporation TTEE Class I: 716,000.285 Class I: 5.81% Great-West Trust Company LLC Class I: 716,000.285 Class I: 4.99% Great-West Trust Company LLC Class I: 716,000.285 Class I: 11.53% The Dow Foundation Class I: 716,000.285 Class I: 45.84% WTRISC as Agent FBO Class I: 716,000.285 Class I: 6.41% Lord Abbett & Co. LLC Class P: 100.043 Class P: 96.37% Jean Ann Hartzell Minzey Class R2: 14,188.037 Class R2: 41.31% Mid Atlantic Trust Company FBO Class R2: 14,188.037 Class R2: 25.20% MG Trust Co. Cust. FBO Class R2: 14,188.037 Class R2: 7.25% Hartford Life Separate Account Class R3: 1,161,197.459 Class R3: 23.11% Multi-Asset Income Edward D. Jones & Co. Class A: 65,073,475.852 Class A: 21.84% Pershing LLC Class A: 65,073,475.852 Class A: 12.95% L-23
Beneficial Owner
Owned as of September 8, 2014
Class
P.O. Box 5501
Boston, MA 02206-5501
FBO ADP Access
1 Lincoln St.
Boston, MA 02111-2901
TTEE F
Employee Benefits Clients 401K
8515 E Orchard Rd. 2T2
Greenwood Village, CO 80111-5002
FBO Putnam
FBO Recordkeeping for Various
Benefits
Omniputnam
8515 E Orchard Rd. 2T2
Greenwood Village, CO 80111-5002
2719 Main Street
Trenton, NJ 08648-1014
Deltrol Corp Retirement Pens Plan
P.O. Box 52129
Phoenix, AZ 85072-2129
90 Hudson Street
Jersey City, NJ 07302-3900
FBO Healthcare Education Strategies
Inc. 401(k) Plan
805 S Wheatley St. STE 600
Ridgeland, MS 39157-5005
Flair Flexible Packaging Corp 401K
PSP & Trust
1251 Waterfront Pl. STE 525
Pittsburgh, PA 15222-4228
Shady Grove School OK 403 B
717 17th St. STE 1300
Denver, CO 80202-3304
P.O. Box 2999
Hartford, CT 06104-2999
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 453,116.809
Class C: 43,389,406.926
Class B: 38.79%
Class C: 5.06%
1 Pershing Plz.
Jersey City, NJ 07399-0002
Class B: 453,116.809
Class C: 43,389,406.926
Class F: 36,971,424.509
Class I: 1,089,164.156
Class B: 6.92%
Class C: 11.82%
Class F: 11.14%
Class I: 9.94%
Fund Name and Address of Number of Shares Beneficially Number Percent of Multi-Asset Income Wells Fargo Advisors LLC Class A: 65,073,475.852 Class A: 9.31% MLPF&S Class A: 65,073,475.852 Class A: 6.91% National Financial Services LLC Class A: 65,073,475.852 Class A: 10.70% LPL Financial Class A: 65,073,475.852 Class A: 6.55% UBS Financial Services Inc. FBO Class F: 36,971,424.509 Class F: 7.46% Raymond James Class C: 43,389,406.926 Class C: 8.02% Morgan Stanley Smith Barney Class C: 43,389,406.926 Class C: 9.67% Charles Schwab & Co. Inc. Class I: 1,089,164.156 Class I: 37.09% PAI Trust Company, Inc. Class R2: 45,508.875 Class R2: 7.75% Dr. Carey M. Gully FBO Class R2: 45,508.875 Class R2: 6.59% Sammons Financial Network LLC Class R3: 748,757.233 Class R3: 19.99% Hartford Life Separate Account Class R3: 748,757.233 Class R3: 10.36% Short Duration Income Edward D. Jones & Co. Class A: 2,889,842,955.976 Class A: 9.38% L-24
Beneficial Owner
Owned as of September 8, 2014
Class
Special Custody Account
2801 Market Street
St. Louis, MO 63103-2523
Class B: 453,116.809
Class C: 43,389,406.926
Class F: 36,971,424.509
Class B: 14.84%
Class C: 21.15%
Class F: 21.58%
For The Sole Benefit of Its Customers
4800 Deer Lake Dr. E Fl. 3
Jacksonville, FL 32246-6484
Class B: 453,116.809
Class C: 43,389,406.926
Class F: 36,971,424.509
Class R2: 45,508.875
Class B: 6.90%
Class C: 13.72%
Class F: 21.28%
Class R2: 69.87%
FEBO Customers
Mutual Funds
200 Liberty St #1WFC
New York, NY 10281-1003
Class C: 43,389,406.926
Class F: 36,971,424.509
Class I: 1,089,164.156
Class C: 6.73%
Class F: 6.09%
Class I: 19.66%
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
Class C: 43,389,406.926
Class F: 36,971,424.509
Class C: 5.03%
Class F: 10.09%
UBS WM USA
499 Washington Blvd. Fl. 9
Jersey City, NJ 07310-2055
Omnibus for Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class F: 36,971,424.509
Class F: 12.28%
Special Custody Account for Benefit
of Customers
211 Main St.
San Francisco, CA 94105-1905
Don Ayres Pontiac, Inc. 401(K) Plan
1300 Enterprise Dr.
De Pere, WI 54115-4934
Blue Ridge Pediatrics 401(k) Plan
805 S Wheatley St. STE 600
Ridgeland, MS 39157-5005
FBO Various Accounts
4546 Corporate Dr. STE 100
West Des Moines, IA 50266-5911
P.O. Box 2999
Hartford, CT 06104-2999
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 5,999,377.811
Class C: 1,767,823,302.868
Class B: 21.56%
Class C: 8.49%
Fund Name and Address of Number of Shares Beneficially Number Percent of Short Duration Income Wells Fargo Advisors LLC Class A: 2,889,842,955.976 Class A: 9.46% MLPF&S Class A: 2,889,842,955.976 Class A: 10.91% Pershing LLC Class A: 2,889,842,955.976 Class A: 13.35% UBS Financial Services Inc. FBO Class A: 2,889,842,955.976 Class A: 6.44% Morgan Stanley Smith Barney Class A: 2,889,842,955.976 Class A: 11.14% National Financial Services LLC Class A: 2,889,842,955.976 Class A: 8.81% Raymond James Class C: 1,767,823,302.868 Class C: 6.44% Charles Schwab & Co. Inc. Class A: 2,889,842,955.976 Class A: 6.81% LPL Financial Class F: 2,608,275,414.668 Class F: 5.01% Lord Abbett Multi-Asset Income Class I: 808,594,115.064 Class I: 15.89% DCGT Trustee & or Custodian Class R3: 30,309,829.817 Class R3: 31.13% Sammons Financial Network LLC Class R3: 30,309,829.817 Class R3: 23.53% L-25
Beneficial Owner
Owned as of September 8, 2014
Class
Special Custody Account
2801 Market St.
Saint Louis, MO 63103-2523
Class B: 5,999,377.811
Class C: 1,767,823,302.868
Class F: 2,608,275,414.668
Class B: 24.95%
Class C: 22.47%
Class F: 17.26%
For The Sole Benefit Of Its
Customers
4800 Deer Lake Dr. E Fl. 3
Jacksonville, FL 32246-6484
Class B: 5,999,377.811
Class C: 1,767,823,302.868
Class F: 2,608,275,414.668
Class R2: 3,999,730.316
Class B: 22.03%
Class C: 18.07%
Class F: 25.10%
Class R2: 75.28%
1 Pershing Plz.
Jersey City, NJ 07399-0002
Class B: 5,999,377.811
Class C: 1,767,823,302.868
Class F: 2,608,275,414.668
Class B: 8.52%
Class C: 9.22%
Class F: 7.24%
UBS WM USA
499 Washington Blvd. Fl. 9
Jersey City, NJ 07310-2055
Class F: 2,608,275,414.668
Class I: 808,594,115.064
Class F: 11.29%
Class I: 5.90%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class C: 1,767,823,302.868
Class F: 2,608,275,414.668
Class C: 11.14%
Class F: 18.20%
FEBO Customers
Mutual Funds
200 Liberty St. #1WFC
New York, New York 10281-1003
Class C: 1,767,823,302.868
Class F: 2,608,275,414.668
Class I: 808,594,115.064
Class C: 5.27%
Class F: 5.63%
Class I: 23.62%
Omnibus for Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Special Custody Account for the
Benefit of Customers
211 Main St.
San Francisco, CA 94105-1905
Class I: 808,594,115.064
Class I: 21.44%
Omnibus Customer Account
9785 Towne Centre Dr.
San Diego, CA 92121-1968
Fund
90 Hudson St.
Jersey City, NJ 07302-3900
FBO PLIC Various Retirement Plans
Omnibus
711 High St.
Des Moines, IA 50392-0001
FBO Various Accounts
4546 Corporate Dr. STE 100
West Des Moines, IA 50266-5911
Fund Name and Address of Number of Shares Beneficially Number Percent of Total Return Edward D. Jones & Co. Class A: 78,209,472.057 Class A: 60.26% MLPF&S Class A: 78,209,472.057 Class A: 6.41% UBS Financial Services Inc. Class C: 14,321,701.726 Class C: 5.02% Wells Fargo Advisors LLC Class B: 1,514,686.172 Class B: 15.95% Morgan Stanley Smith Barney Class C: 14,321,701.726 Class C: 5.80% Pershing LLC Class C: 14,321,701.726 Class C: 5.93% MAC & Co. Class I: 16,330,275.304 Class I: 24.26% National Financial Services LLC Class I: 16,330,275.304 Class I: 5.70% Wells Fargo Bank FBO Class I: 16,330,275.304 Class I: 17.16% Hartford Life Separate Account Class P: 252,003.202 Class P: 10.82% Reliance Trust Company Custodian Class P: 252,003.202 Class P: 10.09% Reliance Trust Company FBO Class P: 252,003.202 Class P: 61.00% L-26
Beneficial Owner
Owned as of September 8, 2014
Class
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 1,514,686.172
Class C: 14,321,701.726
Class F: 39,224,136.363
Class B: 49.61%
Class C: 27.62%
Class F: 48.66%
For The Sole Benefit Of Its
Customers
4800 Deer Lake Dr. E Fl. 3
Jacksonville, FL 32246-6484
Class B: 1,514,686.172
Class C: 14,321,701.726
Class F: 39,224,136.363
Class R2: 317,879.520
Class B: 8.20%
Class C: 24.00%
Class F: 7.83%
Class R2: 51.65%
UBS WM USA
499 Washington Blvd. Fl. 9
Jersey City, NJ 07310-2055
Class F: 39,224,136.363
Class F: 7.14%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class C: 14,321,701.726
Class C: 7.19%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
1 Pershing Plz.
Jersey City, NJ 07399-0002
Class F: 39,224,136.363
Class F: 20.13%
FBO Profit Sharing-Growth Focus
Mutual Fund Operations
P.O. Box 3198
525 William Penn Place
Pittsburgh, PA 15230-3198
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
Various Retirement Plans
1525 West WT Harris Blvd
Charlotte, NC 28288-1076
401(k) Plan
P.O. Box 2999
Hartford, CT 06104-2999
Class R3: 5,845,929.791
Class R3: 41.61%
FBO Massmutual Omnibus
P.O. Box 48529
Atlanta, GA 30362-1529
Class R2: 317,879.520
Class R2: 14.24%
Easy Way Insulation
P.O. Box 48529
Atlanta, GA 30362-1529
Fund Name and Address of Number of Shares Beneficially Number Percent of Total Return Emjayco TR Class R2: 317,879.520 Class R2: 11.30% PAI Trust Company, Inc. Class R2: 317,879.520 Class R2: 6.73% Mid Cap Stock Edward D. Jones & Co. Class A: 51,514,596.447 Class A: 27.68% MLPF&S for the Sole Benefit of its Class A: 51,514,596.447 Class A: 7.51% National Financial Services LLC Class A: 51,514,596.447 Class A: 5:26% UBS Financial Services Inc. FBO Class C: 9,960,137.880 Class C: 7.52% Wells Fargo Advisors LLC Class A: 51,514,596.447 Class A: 5.60% Morgan Stanley Smith Barney Class C: 9,960,137.880 Class C: 13.23% Raymond James Class F: 4,715,511.289 Class F: 7.77% Lord Abbett Multi-Asset Balanced Class I: 26,156,475.635 Class I: 39.05% Lord Abbett Multi-Asset Global Class I: 26,156,475.635 Class I: 5.44% Lord Abbett Multi-Asset Growth Fund Class I: 26,156,475.635 Class I: 27.99% Lord Abbett Multi-Asset Income Fund Class I: 26,156,475.635 Class I: 17.58% L-27
Beneficial Owner
Owned as of September 8, 2014
Class
FBO SOR Testing Laboratories
401(k)
8515 E Orchard Rd. #2T2
Greenwood Village, CO 80111-5002
Media Two Interactive. 401K P/S PL
1300 Enterprise Drive
De Pere, WI 54115-4934
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 954,515.036
Class B: 14.68%
Customers
4800 Deer Lake Drive E. Fl. 3
Jacksonville, FL 32246-6484
Class C: 9,960,137.880
Class F: 4,715,511.289
Class R2: 61,873.562
Class C: 22.86%
Class F: 13.16%
Class R2: 55.98%
FEBO Customers
Mutual Funds
200 Liberty Street #1 WFC
New York, NY 10281-1003
UBS WM USA
499 Washington Boulevard Floor 9
Jersey City, NJ. 07310-2055
Class F: 4,715,511.289
Class F: 31.32%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class C: 9,960,137.880
Class F: 4,715,511.289
Class C: 13.85%
Class F: 31.40%
Harborside Financial Center
Plaza II Floor 3
Jersey City, NJ 07311
Class F: 4,715,511.289
Class F: 9.71%
Omnibus For Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Opportunity Fund
90 Hudson Street
Jersey City, NJ 07302-3900
Opportunity Fund
90 Hudson Street
Jersey City, NJ 07302-3900
90 Hudson Street
Jersey City, NJ 07302-3900
90 Hudson Street
Jersey City, NJ 07302-3900
Fund Name and Address of Number of Shares Beneficially Number Percent of Mid Cap Stock Hartford Life Separate Account Class P: 4,391,454.590 Class P: 61.65% NFS LLC Class P: 4,391,454.590 Class P: 9.16% Reliance Trust Co. Custodian Class P: 4,391,454.590 Class P: 5.44% Voya Retirement Insurance and Class P: 4,391,454.590 Class P: 5.06% Michael Fullaway FBO Class R2: 61,873.562 Class R2: 21.41% Hartford Life Insurance Company Class R3: 1,270,854.937 Class R3: 9.82% AMT Free Edward D. Jones & Co. Class A: 5,783,987.737 Class A: 27.45% MLPF&S Class A: 5,783,987.737 Class A: 12.89% UBS Financial Services Inc. Class A: 5,783,987.737 Class A: 10.28% Pershing LLC Class A: 5,783,987.737 Class A: 8.08% Wells Fargo Advisors LLC Class A: 5,783,987.737 Class A: 14.39% National Financial Services LLC Class C: 1,294,351.281 Class C: 5.77% L-28
Beneficial Owner
Owned as of September 8, 2014
Class
401(k) Plan
P.O. Box 2999
Hartford, CT 06104-2999
FEBO FIIOC
As Agent For Qualified Employee
Benefit Plans
401(k) FINOPS – IC Funds
100 Magellan Way KW1C
Covington, KY 41015-1987
FBO Massmutual Omnibus
P.O. Box 48529
Atlanta, GA 30362-1529
Annuity Co.
One Orange Way, B3N
Windsor, CT 06095-4773
Calaveras Lumber Company Inc.
New Comparability PS 401(k)
Plan & Trust
805 S. Wheatley Street, Suite 600
Ridgeland, MS 39157-5005
Concentration Account
P.O. Box 2999
Hartford, CT 06104-2999
for the Benefit of Customers
12555 Manchester Rd.
Saint Louis, MO 63131-3729
Class C: 1,294,351.281
Class C: 7.21%
for the Sole Benefit of its Customers
4800 Deer Lake Dr. E. Fl. 3
Jacksonville, FL 32246-6484
Class C: 1,294,351.281
Class F: 1,443,750.270
Class C: 30.40%
Class F: 27.32%
FBO UBS WM USA
499 Washington Boulevard Floor 9
Jersey City, NJ 07310-2055
Class F: 1,443,750.270
Class F: 35.53%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class C: 1,294,351.281
Class F: 1,443,750.270
Class C: 7.42%
Class F: 10.70%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class C: 1,294,351.281
Class C: 18.59%
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
Class F: 1,443,750.270
Class I: 10,616.034
Class F: 5.73%
Class I: 92.58%
Fund Name and Address of Number of Shares Beneficially Number Percent of AMT Free Raymond James Class C: 1,294,351.281 Class C: 13.25% LPL Financial Class F: 1,443,750.270 Class F: 6.19% Lord, Abbett & Co. LLC Class I: 10,616.034 Class I: 7.38% CA Tax Free Edward D. Jones & Co. Class A: 15,494,564.475 Class A: 17.40% MLPF&S Class A: 15,494,564.475 Class A: 7.49% UBS Financial Services Inc. Class A: 15,494,564.475 Class A: 6.02% Morgan Stanley Smith Barney Class A: 15,494,564.475 Class A: 13.93% Wells Fargo Advisors LLC Class A: 15,494,564.475 Class A: 15.94% LPL Financial Class F: 2,318,275.974 Class F: 7.92% Pershing LLC Class F: 2,318,275.974 Class F: 6.27% Lord, Abbett & Co. LLC Class I: 1,262.463 Class I: 99.59% High Yield Municipal Edward D. Jones & Co. Class A: 97,511,949.239 Class A: 31.57% MLPF&S Class A: 97,511,949.239 Class A: 7.50% UBS Financial Services Inc. Class A: 97,511,949.239 Class A: 11.64% L-29
Beneficial Owner
Owned as of September 8, 2014
Class
Omnibus for Mutual Funds House
Account
880 Carillon Pkwy
St. Petersburg, FL 33716-1100
Class F: 1,443,750.270
Class F: 8.00%
Omnibus Customer Account
House Account Firm
9785 Towne Centre Dr.
San Diego, CA 92121-1968
90 Hudson Street
Jersey City, NJ 07302-3900
for the Benefit of Customers
12555 Manchester Rd.
Saint Louis, MO 63131-3729
for the Sole Benefit of its Customers
4800 Deer Lake Dr. E. Fl. 3
Jacksonville, FL 32246-6484
Class C: 3,329,666.177
Class F: 2,318,275.974
Class C: 28.36%
Class F: 29.63%
FBO UBS WM USA
499 Washington Boulevard Floor 9
Jersey City, NJ 07310-2055
Class C: 3,329,666.177
Class F: 2,318,275.974
Class C: 7.16%
Class F: 11.41%
Harborside Financial Center
Plaza II, 3rd Floor
Jersey City, NJ 07311
Class C: 3,329,666.177
Class F: 2,318,275.974
Class C: 14.22%
Class F: 7.84%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class C: 3,329,666.177
Class F: 2,318,275.974
Class C: 30.43%
Class F: 32.93%
Omnibus Customer Account
9785 Towne Centre Dr.
San Diego, CA 92121-1968
1 Pershing Plaza
Jersey City, NJ 07399-0002
90 Hudson Street
Jersey City, NJ 07302-3900
for the Benefit of Customers
12555 Manchester Rd.
Saint Louis, MO 63131-3729
Class C: 34,951,334.371
Class C: 9.29%
for the Sole Benefit of its Customers
4800 Deer Lake Dr. E. Fl. 3
Jacksonville, FL 32246-6484
Class C: 34,951,334.371
Class F: 32,518,990.969
Class C: 23.89%
Class F: 31.13%
FBO UBS WM USA
499 Washington Boulevard Floor 9
Jersey City, NJ 07310-2055
Class C: 34,951,334.371
Class F: 32,518,990.969
Class C: 9.08%
Class F: 15.12%
Fund Name and Address of Number of Shares Beneficially Number Percent of High Yield Municipal Morgan Stanley Smith Barney Class A: 97,511,949.239 Class A: 7.50% Wells Fargo Advisors LLC Class A: 97,511,949.239 Class A: 9.54% Raymond James Class C: 34,951,334.371 Class C: 6.27% LPL Financial Class F: 32,518,990.969 Class F: 5.36% Pershing LLC Class A: 97,511,949.239 Class A: 5.58% National Financial Services LLC Class F: 32,518,990.969 Class F: 5.03% Charles Schwab & Co. Inc. Class I: 2,179,590.785 Class I: 9.62% Barclays Capital Inc. Class I: 2,179,590.785 Class I: 67.64% Lord, Abbett & Co. LLC Class P: 1,130.301 Class P: 99.63% Intermediate Tax Free Edward D. Jones & Co. Class A: 137,608,791.639 Class A: 19.36% MLPF&S Class A: 137,608,791.639 Class A: 19.53% UBS Financial Services, Inc. FBO Class A: 137,608,791.639 Class A: 7.10% Morgan Stanley Smith Barney Class A: 137,608,791.639 Class A: 8.02% L-30
Beneficial Owner
Owned as of September 8, 2014
Class
Harborside Financial Center
Plaza II, 3rd Floor
Jersey City, NJ 07311
Class C: 34,951,334.371
Class F: 32,518,990.969
Class C: 14.15%
Class F: 14.31%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class C: 34,951,334.371
Class F: 32,518,990.969
Class C: 17.88%
Class F: 14.28%
Omnibus for Mutual Funds House
Account
880 Carillon Pkwy
St. Petersburg, FL 33716-1100
Class F: 32,518,990.969
Class F: 6.94%
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class C: 34,951,334.371
Class C: 6.17%
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
Class I: 2,179,590.785
Class I: 17.84%
Special Custody Account for Benefit
of Customers
211 Main Street
San Francisco, CA 94105-1905
745 7th Ave
New York, NY 10019-6801
90 Hudson Street
Jersey City, NJ 07302-3900
for the Benefit of Customers
12555 Manchester Rd.
Saint Louis, MO 63131-3729
Class B: 374,092.791
Class C: 51,884,766.679
Class B: 12.41%
Class C: 5.77%
for the Sole Benefit of its Customers
4800 Deer Lake Dr. E. Fl. 3
Jacksonville, FL 32246-6484
Class B: 374,092.791
Class C: 51,884,766.679
Class F: 98,575,921.263
Class B: 35.40%
Class C: 34.72%
Class F: 47.45%
UBS WM USA
499 Washington Boulevard Floor 9
Jersey City, NJ 07310-2055
Class C: 51,884,766.679
Class F: 98,575,921.263
Class C: 7.45%
Class F: 15.38%
Harborside Financial Center
Plaza II, 3rd Floor
Jersey City, NJ 07311
Class C: 51,884,766.679
Class F: 98,575,921.263
Class C: 11.50%
Class F: 9.62%
Fund Name and Address of Number of Shares Beneficially Number Percent of Intermediate Tax Free National Financial Services Class A: 137,608,791.639 Class A: 6.31% Pershing LLC Class A: 137,608,791.639 Class A: 10.09% Wells Fargo Advisors LLC Class A: 137,608,791.639 Class A: 11.56% SEI Private Trust Co. Class I: 6,222,486.723 Class I: 23.77% Charles Schwab & Co., Inc. Class I: 6,222,486.723 Class I: 44.01% DBTCO Class I: 6,222,486.723 Class I: 16.83% Lord, Abbett & Co. LLC Class P: 1,432.834 Class P: 99.59% National Tax Free Edward D. Jones & Co. Class A: 126,078,006.839 Class A: 42.42% MLPF&S Class A: 126,078,006.839 Class A: 6.89% UBS Financial Services Inc. Class C: 15,467,164.569 Class C: 7.69% Morgan Stanley Smith Barney Class A: 126,078,006.839 Class A: 6.80% Wells Fargo Advisors LLC Class A: 126,078,006.839 Class A: 7.64% Pershing LLC Class B: 398,197.993 Class B: 5.58% LPL Financial Class F: 13,105,643.188 Class F: 5.15% L-31
Beneficial Owner
Owned as of September 8, 2014
Class
FEBO Customers
Mutual Funds
200 Liberty Street, #1 WFC
New York, NY 10281-1003
Class I: 6,222,486.723
Class I: 5.34%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class B: 374,092.791
Class B: 5.02%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class B: 374,092.791
Class C: 51,884,766.679
Class F: 98,575,921.263
Class B: 38.46%
Class C: 17.97%
Class F: 12.99%
1 Freedom Valley Drive
Oaks, PA 19456-9989
Special Custody Account for the
Benefit of Customers
211 Main Street
San Francisco, CA 94105-1905
PO Box 747
Dubuque, IA 52004-0747
90 Hudson Street
Jersey City, NJ 07302-3900
for the Benefit of Customers
12555 Manchester Rd.
Saint Louis, MO 63131-3729
Class B: 398,197.993
Class C: 15,467,164.569
Class B: 30.64%
Class C: 11.13%
for the Sole Benefit of its Customers
4800 Deer Lake Dr. E. Fl. 3
Jacksonville, FL 32246-6484
Class B: 398,197.993
Class C: 15,467,164.569
Class F: 13,105,643.188
Class B: 21.69%
Class C: 32.09%
Class F: 29.99%
FBO UBS WM USA
499 Washington Boulevard Floor 9
Jersey City, NJ 07310-2055
Class F: 13,105,643.188
Class F: 16.53%
Harborside Financial Center
Plaza II, 3rd Floor
Jersey City, NJ 07311
Class C: 15,467,164.569
Class F: 13,105,643.188
Class C: 8.78%
Class F: 13.21%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class B: 398,197.993
Class C: 15,467,164.569
Class F: 13,105,643.188
Class B: 25.45%
Class C: 14.01%
Class F: 14.37%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Omnibus Customer Account
9785 Towne Centre Dr.
San Diego, CA 92121-1968
Fund Name and Address of Number of Shares Beneficially Number Percent of National Tax Free Raymond James Class C: 15,467,164.569 Class C: 5.03% National Financial Services LLC Class F: 13,105,643.188 Class F: 5.19% TD Ameritrade FBO Class I: 103,392.711 Class I: 30.74% TD Ameritrade FBO Class I: 103,392.711 Class I: 17.46% NJ Tax Free Morgan Stanley Smith Barney Class A: 18,849,098.819 Class A: 19.43% MLPF&S Class A: 18,849,098.819 Class A: 5.20% UBS Financial Services Inc. Class A: 18,849,098.819 Class A: 7.49% Pershing LLC Class A: 18,849,098.819 Class A: 7.93% Wells Fargo Advisors LLC Class A: 18,849,098.819 Class A: 9.40% Lord, Abbett & Co. LLC Class I: 2,626.765 Class I: 99.58% NY Tax Free MLPF&S Class A: 21,754,092.379 Class A: 11.91% Morgan Stanley Smith Barney Class A: 21,754,092.379 Class A: 8.47% Pershing LLC Class A: 21,754,092.379 Class A: 19.83% Wells Fargo Advisors LLC Class A: 21,754,092.379 Class A: 12.41% L-32
Beneficial Owner
Owned as of September 8, 2014
Class
Omnibus for Mutual Funds House Account
880 Carillon Pkwy
St. Petersburg, FL 33716-1100
Class F: 13,105,643.188
Class F: 7.60%
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
Class I: 103,392.711
Class I: 44.27%
Lawson, Long, & Evans LP (A Partner)
1745 Fontanella Dr
Brentwood, TN 37027-2503
Kenneth Brislin & Megan Brislin
4280 Commonwealth Dr
Emmaus, PA 18049-1265
Harborside Financial Center
Plaza II, 3rd Floor
Jersey City, NJ 07311
Class F: 1,372,280.582
Class F: 21.45%
for the Sole Benefit of its Customers
4800 Deer Lake Dr. E. Fl. 3
Jacksonville, FL 32246-6484
Class F: 1,372,280.582
Class F: 18.68%
FBO UBS WM USA
499 Washington Boulevard Floor 9
Jersey City, NJ 07310-2055
Class F: 1,372,280.582
Class F: 19.50%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class F: 1,372,280.582
Class F: 14.49%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class F: 1,372,280.582
Class F: 17.12%
90 Hudson Street
Jersey City, NJ 07302-3900
for the Sole Benefit of its Customers
4800 Deer Lake Dr. E. Fl. 3
Jacksonville, FL 32246-6484
Class C: 4,411,276.328
Class F: 1,964,437.040
Class C: 38.62%
Class F: 29.81%
Harborside Financial Center
Plaza II, 3rd Floor
Jersey City, NJ 07311
Class C: 4,411,276.328
Class F: 1,964,437.040
Class C: 11.51%
Class F: 8.35%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class C: 4,411,276.328
Class F: 1,964,437.040
Class C: 19.04%
Class F: 14.16%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class C: 4,411,276.328
Class F: 1,964,437.040
Class C: 8.60%
Class F: 11.18%
Fund Name and Address of Number of Shares Beneficially Number Percent of NY Tax Free National Financial Services LLC Class A: 21,754,092.379 Class A: 6.68% UBS Financial Services Inc. Class C: 4,411,276.328 Class C: 7.21% SEI Private Trust Co. Class I: 57,188.333 Class I: 98.00% Short Duration Tax Free Edward D. Jones & Co. Class A: 79,137,623.076 Class A: 10.46% MLPF&S Class A: 79,137,623.076 Class A: 32.59% Morgan Stanley Smith Barney Class A: 79,137,623.076 Class A: 13.24% UBS Financial Services Inc. Class A: 79,137,623.076 Class A: 5.98% Pershing LLC Class A: 79,137,623.076 Class A: 10.78% Wells Fargo Advisors LLC Class A: 79,137,623.076 Class A: 9.72% Charles Schwab & Co. Inc. Class I: 5,425,151.549 Class I: 7.63% National Financial Services LLC Class I: 5,425,151.549 Class I: 34.99% Calibrated Dividend Growth Edward D. Jones & Co. Class A: 99,423,119.389 Class A: 67.35% MLPF&S for the Sole Benefit of its Customer Class B: 2,155,971.697Class C: 16,159,688.937 Class B: 5.41% L-33
Beneficial Owner
Owned as of September 8, 2014
Class
FBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
Class F: 1,964,437.040
Class F: 6.47%
FBO UBS WM USA
499 Washington Boulevard Floor 9
Jersey City, NJ 07310-2055
Class F: 1,964,437.040
Class F: 21.92%
1 Freedom Valley Dr.
Oaks, PA 19456-9989
for the Benefit of Customers
12555 Manchester Rd.
Saint Louis, MO 63131-3729
Class C: 15,208,032.811
Class C: 10.53%
for the Sole Benefit of its Customers
4800 Deer Lake Dr. E. Fl. 3
Jacksonville, FL 32246-6484
Class C: 15,208,032.811
Class F: 48,028,337.094
Class C: 38.80%
Class F: 63.49%
Harborside Financial Center
Plaza II, 3rd Floor
Jersey City, NJ 07311
Class C: 15,208,032.811
Class F: 48,028,337.094
Class C: 11.61%
Class F: 11.76%
FBO UBS WM USA
499 Washington Boulevard, FL 9
Jersey City, NJ 07310-2055
Class C: 15,208,032.811
Class C: 5.15%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class I: 5,425,151.549
Class I: 44.13%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class C: 15,208,032.811
Class F: 48,028,337.094
Class C: 15.99%
Class F: 6.74%
Special Custody Acct for the Benefit of Customers
211 Main Street
San Francisco, CA 94105-1905
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 2,155,971.697
Class C: 16,159,688.937
Class B: 51.02%
Class C: 9.87%
4800 Deer Lake Dr. E., Floor 3
Jacksonville, FL 32246-6484
Class F: 7,017,548.041
Class I: 1,043,076.074
Class R2: 145,697.491
Class C: 16.68%
Class F: 19.46%
Class I: 72.60%
Class R2: 39.94%
Fund Name and Address of Number of Shares Beneficially Number Percent of Calibrated Dividend Growth Morgan Stanley Smith Barney Class C: 16,159,688.937 Class C: 12.68% Pershing LLC Class C: 16,159,688.937 Class C: 10.11% Raymond James Class C: 16,159,688.937 Class C: 6.62% Wells Fargo Advisors LLC Class C: 16,159,688.937 Class C: 10.33% LPL Financial Class F: 7,017,548.041 Class F: 6.39% UBS Financial Services Inc. FBO Class F: 7,017,548.041 Class F: 8.61% DCGT Trustee & or Custodian Class I: 1,043,076.074 Class I: 7.27% Wells Fargo Bank FBO Class I: 1,043,076.074 Class I: 11.32% Capital Bank & Trust Co. TTEE FBO Class P: 160,609.139 Class P: 5.19% Hartford Life Class P: 160,609.139 Class P: 75.82% PAI Trust Company, Inc. Class R2: 145,697.491 Class R2: 35.64% MG Trust Company Cust. FBO Class P: 160,609.139 Class P: 5.37% NFS LLC Class R2: 145,697.491 Class R2: 6.86% L-34
Beneficial Owner
Owned as of September 8, 2014
Class
Harborside Financial Center
Plaza II, 3rd Floor
Jersey City, NJ 07311
Class F: 7,017,548.041
Class F: 18.62%
1 Pershing Plaza
Jersey City NJ 07399-0002
Class F: 7,017,548.041
Class F: 8.37%
Omnibus for Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class F: 7,017,548.041
Class F: 6.10%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class F: 7,017,548.041
Class F: 22.89%
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
UBS WM USA
499 Washington Blvd, 9th Floor
Jersey City, NJ 07310-2055
FBO PLIC Various Retirement Plans
Omnibus
711 High Street
Des Moines, IA 50392-0001
Various Retirement Plans
FBO Various Retirement Plans
1525 West WT Harris Boulevard
Charlotte, NC 28288-1076
United Drilling Inc. 401(k) Plan
8515 E Orchard Rd. #2T2
Greenwood Village, CO 80111-5002
Separate Account 401(k) Plan
PO Box 2999
Hartford, CT 06104-2999
Class R3: 1,375,073.808
Class R3: 36.23%
Don Ayres Pontiac, Inc. 401(k) Plan
1300 Enterprise Drive
De Pere, WI 54115-4934
R.A. Wold & Sons, Inc. 401(k) Profi
FBO Buckeye Tools and Supply Co.
717 17th Street, STE 1300
Denver, CO 80202-3304
Class R2: 145,697.491
Class R2: 6.77%
FBO Reliance Trust Company TTEE/Cust
for TRS FBO Various Ret. Plans
1150 S Olive Street, STE 2700
Los Angeles, CA 90015-2211
Fund Name and Address of Number of Shares Beneficially Number Percent of Growth Opportunities Edward D. Jones & Co. Class A: 18,205,705.650 Class A: 42.61% MLPF&S for the Sole Benefit of its Customers Class C: 3,213,745.616 Class C: 11.94% Morgan Stanley Smith Barney Class C: 3,213,745.616 Class C: 10.67% UBS Financial Services Inc. FBO Class C: 3,213,745.616 Class C: 6.82% Wells Fargo Advisors LLC Class C: 3,213,745.616 Class C: 7.36% LPL Financial Class F: 824,760.535 Class F: 8.40% Raymond James Class F: 824,760.535 Class F: 13.67% Lord Abbett Diversified Equity Class I: 7,334,543.961 Class I: 22.35% Lord Abbett Multi-Asset Balanced Opportunity Fund Class I: 7,334,543.961 Class I: 16.50% Lord Abbett Multi-Asset Growth Fund Class I: 7,334,543.961 Class I: 8.98% Lord Abbett Multi-Asset Income Fund Class I: 7,334,543.961 Class I: 18.70% Saxon & Co. Class I: 7,334,543.961 Class I: 26.59% Hartford Life Class P: 195,677.957 Class P: 34.40% Capital Bank & Trust Co. TTEE FBO Class P: 195,677.957 Class P: 5.41% L-35
Beneficial Owner
Owned as of September 8, 2014
Class
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 612,015.990
Class B: 15.09%
4800 Deer Lake Dr. E., Floor 3
Jacksonville, FL 32246-6484
Class F: 824,760.535
Class R2: 44,213.727
Class F: 15.34%
Class R2: 60.22%
Harborside Financial Center
Plaza II, 3rd Floor
Jersey City, NJ 07311
Class F: 824,760.535
Class F: 13.07%
UBS WM USA
499 Washington Boulevard, Floor 9
Jersey City, NJ 07310-2055
Class F: 824,760.535
Class F: 21.59%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class F: 824,760.535
Class F: 18.39%
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
Omnibus for Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Strategy Fund
90 Hudson Street
Jersey City, NJ 07302-3900
90 Hudson Street
Jersey City, NJ 07302-3900
90 Hudson Street
Jersey City, NJ 07302-3900
90 Hudson Street
Jersey City, NJ 07302-3900
VI Omnibus Account
PO Box 7780-1888
Philadelphia, PA 19182-0001
Separate Account 401
401(k) Plan
PO Box 2999
Hartford, CT 06104-2999
Class R3: 1,435,431.420
Class R3: 28.13%
United Drilling Inc. 401(k) Plan
8515 E Orchard Rd. #2T2
Greenwood Village, CO 80111-5002
Fund Name and Address of Number of Shares Beneficially Number Percent of Growth Opportunities Voya Institutional Trust Co. Class P: 195,677.957 Class P: 14.31% Voya Retirement Insurance and Class P: 195,677.957 Class P: 34.58% Counsel Trust DBA MATC FBO Class R2: 44,213.727 Class R2: 11.83% Emjayco TR FBO Class R2: 44,213.727 Class R2: 6.79% Reliance Trust Co. Custodian Class R2: 44,213.727 Class R2: 10.73% AUL Group Retirement Annuity Class R3: 1,435,431.420 Class R3: 5.19% Small Cap Value Great West Trust Company LLC TTEE F Class A: 24,349,712.668 Class A: 5.91% National Financial Services LLC Class A: 24,349,712.668 Class A: 8.43% Reliance Trust Co. FBO Class A: 24,349,712.668 Class A: 13.42% Voya Retirement Insurance and Class A: 24,349,712.668 Class A: 5.14% Edward D. Jones & Co. Class A: 24,349,712.668 Class A: 10.17% MLPF&S for the Sole Benefit of its Customers Class A: 24,349,712.668 Class A: 7.99% Wells Fargo Advisors LLC Class C: 1,541,881.324 Class C: 7.76% UBS Financial Services Inc. FBO Class C: 1,541,881.324 Class C: 7.49% L-36
Beneficial Owner
Owned as of September 8, 2014
Class
P.O. Box 990065
Hartford, CT 06199-0065
Annuity Co
One Orange Way, B3N
Windsor, CT 06095-4773
Merj Consulting Inc. 401(k) PSP & Trust
1251 Waterfront Place, STE 525
Pittsburgh, PA 15222-4228
SOR Testing Laboratories 401(k)
8515 E Orchard Rd. #2T2
Greenwood Village, CO 80111-5002
FBO Massmutual Omnibus
P.O. Box 48529
Atlanta, GA 30362-1529
PO Box 368
Indianapolis, IN 46206-0368
Employee Benefits Clients 401(k)
8515 E. Orchard Road, 2T2
Greenwood Village, CO 80111-5002
FEBO Customers
Mutual Funds
200 Liberty Street, #1WFC
New York, NY 10281-1003
Class I: 30,109,665.662
Class I: 22.45%
Retirement Plans serviced by MetLife
8515 E Orchard Road, 2T2
Englewood, CO 80111-5002
Annuity Co
One Orange Way, B3N
Windsor, CT 06095-4773
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 133,212.398
Class C: 1,541,881.324
Class B: 11.95%
Class C: 6.37%
4800 Deer Lake Drive E., Floor 3
Jacksonville, FL 32246-6484
Class C: 1,541,881.324
Class F: 947,611.468
Class I: 30,109,665.662
Class C: 24.68%
Class F: 29.45%
Class I: 6.28%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class F: 947,611.468
Class F: 17.56%
UBS WM USA
499 Washington Boulevard, 9th Floor
Jersey City, NJ 07310-2055
Class F: 947,611.468
Class F: 8.15%
Fund Name and Address of Number of Shares Beneficially Number Percent of Small Cap Value Raymond James Class C: 1,541,881.324 Class C: 6.57% Morgan Stanley Smith Barney Class C: 1,541,881.324 Class C: 12.87% SEI Private Trust Company Class F: 947,611.468 Class F: 14.41% Lord Abbett Alpha Strategy Fund Class I: 30,109,665.662 Class I: 23.60% MAC & Co. Class I: 30,109,665.662 Class I: 8.43% Texasavers 401(k) Plan Class I: 30,109,665.662 Class I: 11.08% The Vanguard Fiduciary Trust Co. Class I: 30,109,665.662 Class I: 6.00% Hartford Life Class P: 3,217,411.869 Class P: 27.49% Reliance Trust Co. Custodian Class P: 3,217,411.869 Class P: 12.57% Voya Institutional Trust Co. Class P: 3,217,411.869 Class P: 20.72% Voya Retirement Insurance and Class P: 3,217,411.869 Class P: 8.84% Billy J. Prom FBO Class R2: 4,078.026 Class R2: 6.76% Mid Atlantic Trust Co. Class R2: 4,078.026 Class R2: 49.98% Mid Atlantic Trust Co. Class R2: 4,078.026 Class R2: 17.06% L-37
Beneficial Owner
Owned as of September 8, 2014
Class
Omnibus for Mutual Funds
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class F: 947,611.468
Class F: 6.16%
Harborside Financial Center
Plaza II, 3rd Floor
Jersey City, NJ 07311
Class F: 947,611.468
Class F: 12.60%
1 Freedom Valley Drive
Oaks, PA 19456-9989
90 Hudson Street
Jersey City, NJ 07302-3900
University of Pittsburgh Medical Center
Mutual Fund Operations
P.O. Box 3198
Pittsburgh, PA 15230-3198
Employee Retirement System of TX
8515 E. Orchard Road #2T2
Greenwood Village, CO 80111-5002
PO Box 2600
Valley Forge, PA 19482-2600
Separate Account 401(k) Plan
PO Box 2999
Hartford, CT 06104-2999
FBO Massmutual Omnibus
P.O. Box 48529
Atlanta, GA 30362-1529
P.O. Box 990065
Hartford, CT 06199-0065
Class R3: 278,078.211
Class R3: 5.32%
Annuity Co
One Orange Way, B3N
Windsor, CT 06095-4773
Realty Executives
805 S. Wheatley Street, STE 600
Ridgeland, MS 39157-5005
FBO Bernstein & Andriulli Inc.
401(k) PSP & Trust
1251 Waterfront Place, STE 525
Pittsburgh, PA 15222-4228
FBO Victor Flores Holdings LLC
401(k) PSP & Trust
1251 Waterfront Place, STE 525
Pittsburgh, PA 15222-4228
Fund Name and Address of Number of Shares Beneficially Number Percent of Small Cap Value Mid Atlantic Trust Co. Class R2: 4,078.026 Class R2: 16.46% AUL Group Retirement Annuity Class R3: 278,078.211 Class R3: 6.94% DCGT Trustee & or Custodian Class R3: 278,078.211 Class R3: 6.26% S. Strock & Company TR FBO Class R3: 278,078.211 Class R3: 7.41% Wells Fargo Bank Class R3: 278,078.211 Class R3: 19.53% Alpha Strategy Edward D. Jones & Co. Class A: 18,322,861.216 Class A: 28.69% UBS Financial Services Inc. FBO Class C: 10,884,369.984 Class C: 5.71% MLPF&S Class A: 18,322,861.216 Class A: 5.78% Wells Fargo Advisors LLC Class B: 594,263.157 Class B: 5.73% Pershing LLC Class A: 18,322,861.216 Class A: 5.17% Morgan Stanley Smith Barney Class B: 594,263.157 Class B: 6.21% Raymond James Class C: 10,884,369.984 Class C: 12.83% L-38
Beneficial Owner
Owned as of September 8, 2014
Class
Vinyl Technology Inc. 401(k) PSP & Trust
1251 Waterfront Place, STE 525
Pittsburgh, PA 15222-4228
Separate Account II
PO Box 368
Indianapolis, IN 46206-0368
FBO PLIC Various Retirement Plans Omnibus
711 High Street
Des Moines, IA 50392-0001
S. Strock & Company 401(k)
8515 E. Orchard Road, #2T2
Greenwood Village, CO 80111-5002
FBO Various Retirement Plans
1525 West WT Harris Boulevard
Charlotte, NC 28288-1076
For the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 594,263.157
Class B: 19.24%
UBS WM USA
499 Washington Blvd Floor 9
Jersey City, NJ 07310-2055
Class F: 8,195,759.709
Class F: 11.29%
for the Sole Benefit of its Customers
4800 Deer Lake Drive, E FL 3
Jacksonville, FL 32246-6484
Class B: 594,263.157
Class C: 10,884,369.984
Class F: 8,195,759.709
Class I: 1,480,665.622
Class R2: 106,885.898
Class B: 9.81%
Class C: 19.33%
Class F: 25.33%
Class I: 25.77%
Class R2: 68.94%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class C: 10,884,369.984
Class F: 8,195,759.709
Class C: 7.72%
Class F: 13.71%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class B: 594,263.157
Class C: 10,884,369.984
Class B: 8.24%
Class C: 6.56%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class C: 10,884,369.984
Class F: 8,195,759.709
Class C: 12.84%
Class F: 22.63%
Omnibus for Mutual Fund House Account
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class F: 8,195,759.709
Class F: 9.86%
Fund Name and Address of Number of Shares Beneficially Number Percent of Alpha Strategy LPL Financial Class F: 8,195,759.709 Class F: 5.77% Charles Schwab & Co. Inc. Class I: 1,480,665.622 Class I: 14.94% The Dow Foundation Class I: 1,480,665.622 Class I: 42.17% Wilmington Trust RISC TTEE Class I: 1,480,665.622 Class I: 6.60% Plastic Surgery Center PR SHR TR INC Class R2: 106,885.898 Class R2: 8.92% Hartford Life Separate Account Class R3: 1,137,488.483 Class R3: 16.55% State Street Corp TTEE Class R3: 1,137,488.483 Class R3: 18.71% Fundamental Equity Edward D. Jones & Co. Class A: 177,859,646.797 Class A: 41.65% MLPF&S Class A: 177,859,646.797 Class A: 5.45% National Financial Services LLC Class A: 177,859,646.797 Class A: 5.71% Pershing LLC Class A: 177,859,646.797 Class A: 5.43% UBS Financial Services Inc. FBO Class C: 69,089,664.157 Class C: 8.45% Wells Fargo Advisors LLC Class B: 3,261,373.272 Class B: 11.17% L-39
Beneficial Owner
Owned as of September 8, 2014
Class
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
Special Custody Account for
Benefit of Customers
211 Main Street
San Francisco, CA 94105-1905
2719 Main Street
Trenton, NJ 08648-1014
FBO Maxxam Inc Pension Plan
PO Box 52129
Phoenix, AZ 85072-2129
303 Williams Avenue SW, Suite 1421
Huntsville, AL 35801-6008
P.O. Box 2999
Hartford, CT 06104-2999
FBO ADP Access
1 Lincoln Street
Boston, MA 02111-2901
For the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 3,261,373.272
Class B: 32.20%
For the Sole Benefit of its Customers
4800 Deer Lake Dr. E FL 3
Jacksonville, FL 32246-6484
Class B: 3,261,373.272
Class C: 69,089,664.157
Class F: 54,545,286.731
Class I: 32,474,415.580
Class R2: 1,359,177.797
Class B: 5.38%
Class C: 20.38%
Class F: 17.54%
Class I: 8.86%
Class R2: 35.75%
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
Class C: 69,089,664.157
Class F: 54,545,286.731
Class I: 32,474,415.580
Class C: 6.41%
Class F: 6.93%
Class I: 35.44%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class B: 3,261,373.272
Class C: 69,089,664.157
Class B: 5.49%
Class C: 7.92%
UBS WM USA
499 Washington Blvd Floor 9
Jersey City, NJ 07310-2055
Class F: 54,545,286.731
Class F: 18.16%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class C: 69,089,664.157
Class F: 54,545,286.731
Class C: 11.87%
Class F: 15.84%
Fund Name and Address of Number of Shares Beneficially Number Percent of Fundamental Equity Morgan Stanley Smith Barney Class B: 3,261,373.272 Class B: 5.89% Raymond James Class C: 69,089,664.157 Class C: 7.92% Charles Schwab & Co. Inc. Class I: 32,474,415.580 Class I: 7.25% Lord Abbett Diversified Equity Class I: 32,474,415.580 Class I: 7.91% DCGT Trustee & or Custodian Class P: 1,488,262.163 Class P: 14.36% Voya Institutional Trust Co. Class P: 1,488,262.163 Class P: 13.07% Emjay Corp Cust FBO Class P: 1,488,262.163 Class P: 15.72% Hartford Life Separate Account 401 Class P: 1,488,262.163 Class P: 27.54% Taynik & Co. Class I: 32,474,415.580 Class I: 5.51% LPL Financial Class F: 54,545,286.731 Class F: 5.41% Reliance Trust Co. Custodian Class R2: 1,359,177.797 Class R2: 17.32% NFS LLC FEBO Class R2: 1,359,177.797 Class R2: 18.37% PIMS/Prudential Retirement Class R2: 1,359,177.797 Class R2: 14.36% L-40
Beneficial Owner
Owned as of September 8, 2014
Class
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class C: 69,089,664.157
Class F: 54,545,286.731
Class C: 13.09%
Class F: 12.22%
Omnibus for Mutual Fund House Account
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class F: 54,545,286.731
Class F: 12.02%
Special Custody Account for
Benefit of Customers
211 Main Street
San Francisco, CA 94105-1905
Strategy Fund
90 Hudson St.
Jersey City, NJ 07302-3900
FBO PLIC Various Retirement Plans Omnibus
711 High Street
Des Moines, IA 50392-0001
Class R3: 20,068,373.870
Class I: 32,474,415.580
Class R3: 8.03%
Class I: 6.67%
P.O. Box 990065
Hartford, CT 06199-0065
Plans of RPSA Customers
8515 E. Orchard Road
Greenwood Village, CO 80111-5002
401(k) Plan
P.O. Box 2999
Hartford, CT 06104-2999
PO Box 5501
Boston, MA 02206-5501
Class P: 1,488,262.163
Class P: 7.30%
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
FBO Massmutual Omnibus
P.O. Box 48529
Atlanta, GA 30362-1529
Reliance Trustco Trustee Custodian
for TRS FBO Various Ret. Plans
1150 S. Olive Street STE 2700
Los Angeles, CA 90015-2211
As Nominee for the TTEE
10500 Seymour Avenue
Franklin Park, IL 60131-1212
Fund Name and Address of Number of Shares Beneficially Number Percent of Fundamental Equity Hartford Life Separate Account Class R3: 20,068,373.870 Class R3: 40.99% Voya Retirement Insurance and Class R3: 20,068,373.870 Class R3: 6.86% State Street Corp TTEE Class R3: 20,068,373.870 Class R3: 11.23% Growth Leaders Edward D. Jones & Co. Class A: 20,485,373.853 Class A: 11.23% National Financial Services LLC Class A: 20,485,373.853 Class A: 6.62% Pershing LLC Class A: 20,485,373.853 Class A: 12.19% Raymond James Class A: 20,485,373.853 Class A: 6.44% Wells Fargo Advisors LLC Class A: 20,485,373.853 Class A: 6.51% UBS Financial Services Inc. FBO Class F: 20,623,777.226 Class F: 9.42% MLPF&S Class A: 20,485,373.853 Class A: 5.60% Morgan Stanley Smith Barney Class C: 9,919,216.477 Class C: 9.41% LPL Financial Class F: 20,623,777.226 Class F: 10.03% Lord Abbett Diversified Equity Class I: 3,085,925.111 Class I: 58.49% L-41
Beneficial Owner
Owned as of September 8, 2014
Class
P.O. Box 2999
Hartford, CT 06104-2999
Annuity Co
One Orange Way, B3N
Windsor, CT 06095-4773
FBO ADP Access
1 Lincoln Street
Boston, MA 02111-2901
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 298,444.359
Class B: 6.08%
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
Class F: 20,623,777.226
Class F: 5.77%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class C: 9,919,216.477
Class F: 20,623,777.226
Class C: 6.14%
Class F: 9.50%
Omnibus for Mutual Fund House Account
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class C: 9,919,216.477
Class F: 20,623,777.226
Class C: 18.88%
Class F: 15.25%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class C: 9,919,216.477
Class F: 20,623,777.226
Class C: 12.08%
Class F: 15.57%
UBS WM USA
499 Washington Blvd. Floor 9
Jersey City, NJ 07310-2055
for the Sole Benefit of its Customers
4800 Deer Lake Dr. E FL 3
Jacksonville, FL 32246-6484
Class C: 9,919,216.477
Class F: 20,623,777.226
Class I: 3,085,925.111
Class R2: 13,135.573
Class C: 16.07%
Class F: 20.92%
Class I: 19.79%
Class R2: 66.53%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class F: 20,623,777.226
Class F: 9.29%
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
Strategy Fund
90 Hudson St.
Jersey City, NJ 07302-3900
Fund Name and Address of Number of Shares Beneficially Number Percent of Growth Leaders City National Bank Class R2: 13,135.573 Class R2: 13.44% Lord, Abbett & Co. LLC Class R2: 13,135.573 Class R2: 10.40% MG Trust Co. Cust. FBO Class R2: 13,135.573 Class R2: 7.09% International Core Equity Edward D. Jones & Co. Class A: 28,177,337.926 Class A: 62.76% MLPF&S Class C: 3,930,814.615 Class C: 11.00% Morgan Stanley Smith Barney Class C: 3,930,814.615 Class C: 10.21% Wells Fargo Advisors LLC Class C: 3,930,814.615 Class C: 6.88% Pershing LLC Class F: 5,935,654.294 Class F: 63.87% Charles Schwab & Co. Inc. Class I: 7,200,164.553 Class I: 9.79% National Financial Services LLC Class I: 7,200,164.553 Class I: 39.22% Lord Abbett Diversified Equity Class I: 7,200,164.553 Class I: 32.54% The Dow Foundation Class I: 7,200,164.553 Class I: 7.64% Reliance Trust Co. Custodian Class P: 11,708.891 Class P: 7.30% Hartford Life Separate Account Class P: 11,708.891 Class P: 74.05% L-42
Beneficial Owner
Owned as of September 8, 2014
Class
555 S. Flowers St, Fl 10
Los Angeles, CA 90071-2300
90 Hudson Street
Jersey City, NJ 07302-3900
Sewah Studios
717 17th Street STE 1300
Denver, CO 80202-3304
For the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 892,253.608
Class C: 3,930,814.615
Class F: 5,935,654.294
Class B: 46.37%
Class C: 7.23%
Class F: 12.97%
for the Sole Benefit of its Customers
4800 Deer Lake Dr. E FL 3
Jacksonville, FL 32246-6484
Class I: 7,200,164.553
Class R2: 79,828.276
Class I: 8.25%
Class R2: 70.33%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class F: 5,935,654.294
Class F: 5.74%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
1 Pershing Plaza
Jersey City, NJ 07399-0002
Special Custody Account for
Benefit of Customers
211 Main Street
San Francisco, CA 94105-1905
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
Strategy Fund
90 Hudson St.
Jersey City, NJ 07302-3900
2719 Main Street
Trenton, NJ 08648-1014
FBO Massmutual Omnibus
P.O. Box 48529
Atlanta, GA 30362-1529
Class R2: 79,828.276
Class R2: 7.01%
P.O. Box 2999
Hartford, CT 06104-2999
Class R3: 1,535,351.089
Class R3: 52.16%
Fund Name and Address of Number of Shares Beneficially Number Percent of International Core Equity MG Trust Co. Cust. FBO Class P: 11,708.891 Class P: 10.06% MG Trust Co. Cust. FBO Class R2: 79,828.276 Class R2: 5.45% MG Trust Co. Cust. FBO Class R2: 79,828.276 Class R2: 6.29% International Dividend Income Charles Schwab & Co. Inc. Class A: 110,401,042.064 Class A: 23.52% Edward D. Jones & Co. Class A: 110,401,042.064 Class A: 49.32% National Financial Services LLC Class A: 110,401,042.064 Class A: 6.13% MLPF&S Class C: 21,354,581.214 Class C: 14.07% Morgan Stanley Smith Barney Class C: 21,354,581.214 Class C: 10.90% Pershing LLC Class C: 21,354,581.214 Class C: 11.96% Raymond James Class C: 21,354,581.214 Class C: 10.53% UBS Financial Services Inc. FBO Class C: 21,354,581.214 Class C: 9.30% Wells Fargo Advisors LLC Class C: 21,354,581.214 Class C: 10.61% LPL Financial Class F: 35,701,689.132 Class F: 5.41% L-43
Beneficial Owner
Owned as of September 8, 2014
Class
Morinda Medical Group 401K Profit
717 17th Street STE 1300
Denver, CO 80202-3304
Rocket Special Utility District
717 17th Street STE 1300
Denver, CO 80202-3304
Emmi Solutions, LLC 401K Plan
717 17th Street STE 1300
Denver, CO 80202-3304
Special Custody Account for
Benefit of Customers
211 Main Street
San Francisco, CA 94105-1905
Class I: 114,091,622.901
Class I: 5.16%
For the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class C: 21,354,581.214
Class C: 13.81%
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
Class C: 21,354,581.214
Class F: 35,701,689.132
Class I: 114,091,622.901
Class C: 5.96%
Class F: 8.37%
Class I: 17.90%
for the Sole Benefit of its Customers
4800 Deer Lake Dr. E FL 3
Jacksonville, FL 32246-6484
Class F: 35,701,689.132
Class R2: 144,224.875
Class F: 16.24%
Class R2: 65.37%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class F: 35,701,689.132
Class F: 22.14%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class F: 35,701,689.132
Class F: 8.28%
Omnibus for Mutual Fund House Account
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class F: 35,701,689.132
Class F: 8.04%
UBS WM USA
499 Washington Blvd. Floor 9
Jersey City, NJ 07310-2055
Class F: 35,701,689.132
Class F: 8.12%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class F: 35,701,689.132
Class F: 15.86%
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
Fund Name and Address of Number of Shares Beneficially Number Percent of International Dividend Income Lord Abbett Multi-Asset Balanced Opportunity Fund Class I: 114,091,622.901 Class I: 25.30% Lord Abbett Multi-Asset Income Fund Class I: 114,091,622.901 Class I: 18.04% Lord Abbett Multi-Asset Global Opportunity Fund Class I: 114,091,622.901 Class I: 10.17% Lord Abbett Multi-Asset Growth Fund Class I: 114,091,622.901 Class I: 17.92% Ascensus Trust Co FBO Class R2: 144,224.875 Class R2: 10.99% Great-West Trust Co. LLC Class R2: 144,224.875 Class R2: 9.14% DCGT Trustee & Or Custodian Class R3: 1,233,436.741 Class R3: 8.01% NFS LLC FEBO Class R3: 1,233,436.741 Class R3: 18.94% Voya Institutional Trust Co. Class R3: 1,233,436.741 Class R3: 27.26% Sammons Financial Network LLC FBO Various Accounts Class R3: 1,233,436.741 Class R3: 33.52% International Opportunities Edward D. Jones & Co. Class A: 7,611,062.356 Class A: 26.05% LPL Financial Class A: 7,611,062.356 Class A: 7.88% MLPF&S Class A: 7,611,062.356 Class A: 6.16% Morgan Stanley Smith Barney Class C: 1,452,927.478 Class C: 9.08% L-44
Beneficial Owner
Owned as of September 8, 2014
Class
90 Hudson St
Jersey City, NJ 07302-3900
90 Hudson St
Jersey City, NJ 07302-3900
90 Hudson St
Jersey City, NJ 07302-3900
90 Hudson St
Jersey City, NJ 07302-3900
Dr. Mark A. Ebben Optometrist LLC
P.O. Box 10758
Fargo, ND 58106-0758
TR F Employee Benefits Clients 401(k)
8515 E Orchard Rd. #2T2
Greenwood Village, CO 80111-5002
FBO PLIC Various Retirement Plans Omnibus
711 High Street
Des Moines, IA 50392-0001
Reliance Trustco Trustee Custodian
for TR FBO Various Ret. Plans
1150 S. Olive Street
Los Angeles, CA 90015-2211
P.O. Box 990065
Hartford, CT 06199-0065
4546 Corporate Drive, Suite 100
West Des Moines, IA 50266-5911
For the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 275,145.540
Class C: 1,452,927.478
Class B: 13.57%
Class C: 7.51%
Omnibus Customer Account
9785 Towne Centre Dr.
San Diego, CA 92121-1968
For the Sole Benefit of its Customers
4800 Deer Lake Dr. E FL 3
Jacksonville, FL 32246-6484
Class C: 1,452,927.478
Class F: 2,962,925.789
Class R2: 12,054.464
Class C: 7.84%
Class F: 22.35%
Class R2: 46.07%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class F: 2,962,925.789
Class F: 14.86%
Fund Name and Address of Number of Shares Beneficially Number Percent of International Opportunities Wells Fargo Advisors LLC Class C: 1,452,927.478 Class C: 5.66% National Financial Services LLC Class F: 2,962,925.789 Class F: 11.12% Raymond James Class F: 2,962,925.789 Class F: 11.49% UBS Financial Services Inc. FBO Class F: 2,962,925.789 Class F: 12.86% Lord Abbett Alpha Strategy Fund Class I: 16,118,144.843 Class I: 89.28% Lord Abbett Diversified Equity Class I: 16,118,144.843 Class I: 7.58% Capital Bank & Trust Co. TTEE FBO Class P: 52,552.077 Class P: 8.44% Reliance Trust Co Custodian Class P: 52,552.077 Class P: 9.47% MG Trust Co. Cust. FBO Class P: 52,552.077 Class P: 43.61% MG Trust Co. Cust. FBO Class P: 52,552.077 Class P: 10.01% MG Trust Co. Cust. FBO Class P: 52,552.077 Class P: 5.96% MG Trust Co. Cust. FBO Class P: 52,552.077 Class P: 13.70% Lord, Abbett & Co. LLC Class R2: 12,054.464 Class R2: 5.32% L-45
Beneficial Owner
Owned as of September 8, 2014
Class
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class F: 2,962,925.789
Class F: 19.95%
FEBO Customers
Mutual Funds
200 Liberty Street #1 WFC
New York, NY 10281-1003
Omnibus for Mutual Fund House Account
880 Carillon Parkway
St. Petersburg, FL 33716-1100
UBS WM USA
499 Washington Blvd, 9th Floor
Jersey City, NJ 07310-2055
90 Hudson St.
Jersey City, NJ 07302-3900
Strategy Fund
90 Hudson St.
Jersey City, NJ 07302-3900
Henry Meisenheimer & Gende Inc.
Cash or Deferred PSP & Trust
8515 E Orchard Road # 2T2
Greenwood Village, CO 80111-5002
FBO Massmutual Omnibus
P.O. Box 48529
Atlanta, GA 30362-1529
Omaha Neon Sign Inc.
717 17th Street, Suite 1300
Denver, CO 80202-3304
Alvarez Technology Group Inc.
717 17th Street, Suite 1300
Denver, CO 80202-3304
Matrix International, Inc. 401(k) P&T
717 17th Street, Suite 1300
Denver, CO 80202-3304
Fourth Wall Events, Inc. 401K P&T
717 17th Street, Suite 1300
Denver, CO 80202-3304
90 Hudson St.
Jersey City, NJ 07302-3900
Fund Name and Address of Number of Shares Beneficially Number Percent of International Opportunities MG Trust Co. Cust. FBO Class R2: 12,054.464 Class R2: 47.78% MG Trust Co. Class R3: 385,154.448 Class R3: 5.18% Micro Cap Growth Christina Seix Dow Co-Trustee Class A: 696,597.726 Class A: 36.44% Daniel E. Carper & Margaret A. Class A: 696,597.726 Class A: 29.32% Lord Abbett Alpha Strategy Fund Class I: 8,066,352.071 Class I: 85.75% MLPF&S Class I: 8,066,352.071 Class I: 7.77% The Dow Foundation Class I: 8,066,352.071 Class I: 6.45% Micro Cap Value Daniel E. Carper & Margaret A. Class A: 584,859.927 Class A: 50.34% Robert J. Noelke Class A: 584,859.927 Class A: 14.39% Robert S. Dow & John A. Corsaro Class A: 584,859.927 Class A: 11.75% Lord Abbett Alpha Strategy Fund Class I: 4,154,125.163 Class I: 87.86% MLPF&S Class I: 4,154,125.163 Class I: 5.87% The Dow Foundation Class I: 4,154,125.163 Class I: 6.30% Value Opportunities Edward D. Jones & Co. Class A: 61,906,929.490 Class A: 23.13% L-46
Beneficial Owner
Owned as of September 8, 2014
Class
Aries Capital Inc.
717 17th Street, Suite 1300
Denver, CO 80202-3304
Johnson, Toal & Battiste, P.A.
717 17th Street, Suite 1300
Denver, CO 80202-3304
Christina Seix Dow 2012 Trust
2719 Main Street
Lawrence, NJ 08648-1014
Carper TR
Orcas 1999 Rev Trust Agreement
PO Box 1026
Eastsound, WA 98245-1026
90 Hudson St.
Jersey City, NJ 07302-3900
for the Sole Benefit of its Customers
4800 Deer Lake Dr. E FL 3
Jacksonville, FL 32246-6484
2719 Main Street
Trenton, NJ 08648-1014
Carper TR
Orcas 1999 Rev Trust Agreement
PO Box 1026
Eastsound, WA 98245-1026
90 Hudson Street
Jersey City, NJ 07302-3900
Robert S. Dow 2012 Trust
2719 Main Street
Lawrenceville, NJ 08648-1014
90 Hudson St.
Jersey City, NJ 07302-3900
for the Sole Benefit of its Customers
4800 Deer Lake Dr. E FL 3
Jacksonville, FL 32246-6484
2719 Main Street
Trenton, NJ 08648-1014
For the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 953,565.371
Class B: 22.06%
Fund Name and Address of Number of Shares Beneficially Number Percent of Value Opportunities Great-West Life & Annuity Class A: 61,906,929.490 Class A: 9.97% National Financial Services LLC Class A: 61,906,929.490 Class A: 6.29% Pershing LLC Class A: 61,906,929.490 Class A: 6.89% UBS Financial Services Inc. FBO Class C: 20,258,554.844 Class C: 8.23% MLPF&S Class B: 953,565.371 Class B: 10.08% Wells Fargo Advisors LLC Class B: 953,565.371 Class B: 10.29% Morgan Stanley Smith Barney Class C: 20,258,554.844 Class C: 12.91% Raymond James Class C: 20,258,554.844 Class C: 8.94% Charles Schwab & Co. Inc. Class F: 27,304,051.438 Class F: 5.80% LPL Financial Class F: 27,304,051.438 Class F: 11.02% Lord Abbett Alpha Strategy Fund Class I: 29,507,883.412 Class I: 39.39% Pims/Prudential Retplan Class I: 29,507,883.412 Class I: 5.41% AUL Group Retirement Annuity Class P: 2,400,996.528 Class P: 6.92% L-47
Beneficial Owner
Owned as of September 8, 2014
Class
8515 E Orchard Rd # 2T2
Greenwood Village, CO 80111-5002
FEBO Customers
Mutual Funds
200 Liberty Street #1WFC
New York, NY 10281-1003
Class C: 20,258,554.844
Class I: 29,507,883.412
Class C: 5.87%
Class I: 11.69%
1 Pershing Plaza
Jersey City, NJ 07399-0002
Class B: 953,565.371
Class C: 20,258,554.844
Class F: 27,304,051.438
Class B: 7.86%
Class C: 9.21%
Class F: 6.52%
UBS WM USA
499 Washington Blvd. Floor 9
Jersey City, NJ 07310-2055
Class F: 27,304,051.438
Class F: 16.48%
for the Sole Benefit of its Customers
4800 Deer Lake Dr. E FL 3
Jacksonville, FL 32246-6484
Class C: 20,258,554.844
Class F: 27,304,051.438
Class R2: 554,017.934
Class C: 14.82%
Class F: 11.13%
Class R2: 49.55%
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class C: 20,258,554.844
Class F: 27,304,051.438
Class C: 14.08%
Class F: 25.34%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
Class F: 27,304,051.438
Class F: 8.85%
Omnibus for Mutual Fund House Account
880 Carillon Parkway
St. Petersburg, FL 33716-1100
Class F: 27,304,051.438
Class F: 6.93%
Special Custody Account for
Benefit of Customers
211 Main Street
San Francisco, CA 94105-1905
Class I: 29,507,883.412
Class I: 13.68%
Omnibus Customer Account
9785 Towne Centre Drive
San Diego, CA 92121-1968
90 Hudson St.
Jersey City, NJ 07302-3900
Nominee Trustee Custodian
11825 N Pennsylvania St
Carmel, IN 46032-4555
Separate Acct II
PO Box 368
Indianapolis, IN 46206-0368
Fund Name and Address of Number of Shares Beneficially Number Percent of Value Opportunities Hartford Life Separate Account Class P: 2,400,996.528 Class P: 50.33% Reliance Trust Co Custodian Class P: 2,400,996.528 Class P: 8.93% DCGT Trustee & or Custodian Class R3: 6,403,909.989 Class R3: 6.45% Voya Retirement Insurance and Class R3: 6,403,909.989 Class R3: 20.81% Bond Debenture Portfolio Hartford Life & Annuity Class VC: 71,424,203.535 12.70% Protective Life Insurance Company Class VC: 71,424,203.535 63.56% Calibrated Dividend Growth Portfolio Hartford Life Insurance Company Class VC: 6,980,242.696 8.10% Hartford Life & Annuity Class VC: 6,980,242.696 9.67% Hartford Life & Annuity Class VC: 6,980,242.696 27.51% Protective Life Insurance Company Class VC: 6,980,242.696 8.41% Protective Life Insurance Company Class VC: 6,980,242.696 42.78% Classic Stock Portfolio AXA Equitable Life Insurance Company Class VC: 2,882,453.739 10.69% Hartford Life Insurance Company Class VC: 2,882,453.739 9.39% L-48
Beneficial Owner
Owned as of September 8, 2014
Class
P.O. Box 2999
Hartford, CT 06104-2999
Class R3: 6,403,909.989
Class R3: 29.90%
FBO Massmutual Omnibus
P.O. Box 48529
Atlanta, GA 30362-1529
Class R2: 554,017.934
Class R2: 28.82%
FBO PLIC Various Retirement Plans Omnibus
711 High St.
Des Moines, IA 50392-0001
Annuity Co
One Orange Way, B3N
Windsor, CT 06095-4773
Separate Account
P.O. Box 2999
Hartford, CT 06104-2999
Variable Annuity Separate Account
P.O. Box 2606
Birmingham, AL 35202-2606
Separate Account
P.O. Box 2999
Hartford, CT 06104-2999
Separate Account
P.O. Box 2999
Hartford, CT 06104-2999
Separate Account
P.O. Box 2999
Hartford, CT 06104-2999
Investment Products Services
Variable Life Separate Acct.
P.O. Box 2606
Birmingham, AL 35202-2606
Investment Products Services
Variable Annuity Separate Acct.
P.O. Box 2606
Birmingham, AL 35202-2606
Separate Account 70
1290 Avenue of the Americas 12th Floor
New York, NY 10104-1472
Separate Account
P.O. Box 2999
Hartford, CT 06104-2999
Fund Name and Address of Number of Shares Beneficially Number Percent of Classic Stock Portfolio Hartford Life & Annuity Class VC: 2,882,453.739 18.74% Protective Life Insurance Company Class VC: 2,882,453.739 57.88% Developing Growth Portfolio Horace Mann Life Insurance Company Class VC: 679,702.685 6.92% Pacific Life Insurance Company Class VC: 679,702.685 30.08% Pacific Life Insurance Company Class VC: 679,702.685 31.17% Pacific Life Insurance Company Class VC: 679,702.685 17.57% Fundamental Equity Portfolio Delaware Life Insurance Company Class VC: 21,185,671.175 11.80% Hartford Life & Annuity Class VC: 21,185,671.175 12.60% Pacific Life Insurance Company Class VC: 21,185,671.175 11.70% Protective Life Insurance Co. Class VC: 21,185,671.175 50.25% Growth and Income Portfolio AIG SunAmerica Life Assurance Company Class VC: 26,539,555.492 41.73% Hartford Life Insurance Company Class VC: 26,539,555.492 7.92% L-49
Beneficial Owner
Owned as of September 8, 2014
Class
Separate Account
P.O. Box 2999
Hartford, CT 06104-2999
Investment Product Services
Variable Annuity Separate Account
P.O. Box 2606
Birmingham, AL 35202-2606
Separate Account
1 Horace Mann Plaza 2
Springfield, IL 62715-0001
Pacific Select Exec. Separate Account
of Pacific Life
700 Newport Center Drive
Newport Beach, CA 92660-6307
Pacific Coli Separate Account III of Pacific Life
700 Newport Center Drive
Newport Beach, CA 92660-6307
Separate Account II of Pacific Life
and Annuity
700 Newport Center Drive
Newport Beach, CA 92660-6307
P.O. Box 9134
Wellesley Hills, MA 02481-9134
Separate Account
P.O. Box 2999
Hartford, CT 06104-2999
Pacific Coli Separate Account III of Pacific Life
700 Newport Center Drive
Newport Beach, CA 92660-6307
Investment Products Services
Variable Annuity Separate Account
P.O. Box 2606
Birmingham, AL 35202-2606
Company Variable Separate A/C
Variable Annuity A/C Seven
2727A Allen Parkway #4-D1
Houston, TX 77019-2107
Separate Account
P.O. Box 2999
Hartford, CT 06104-2999
Fund Name and Address of Number of Shares Beneficially Number Percent of Growth and Income Portfolio Hartford Life & Annuity Class VC: 26,539,555.492 15.25% Phoenix Home Life Variable Class VC: 26,539,555.492 7.84% Protective Life Insurance Company Class VC: 26,539,555.492 12.72% Growth Opportunities Portfolio Allstate Life Insurance Company Class VC: 5,978,198.620 9.91% Protective Life Insurance Company Class VC: 5,978,198.620 32.11% Delaware Life Insurance Company Class VC: 5,978,198.620 41.64% International Core Equity Portfolio Pacific Life Insurance Company Class VC: 2,631,992.273 99.16% International Opportunities Portfolio Jefferson National Life Insurance Co. Class VC: 5,395,216.735 5.04% Midland National Life Insurance Company Class VC: 5,395,216.735 11.73% Midland National Life Insurance Company Class VC: 5,395,216.735 21.33% Protective Life Insurance Company Investment Products Services Class VC: 5,395,216.735 55.15% Mid Cap Stock Portfolio AIG SunAmerica Life Assurance Company Class VC: 16,779,632.453 26.68% L-50
Beneficial Owner
Owned as of September 8, 2014
Class
Separate Account
P.O. Box 2999
Hartford, CT 06104-2999
Insurance Company
15 Tech Valley Drive
East Greenbush, NY 12061-4137
Investment Products Services
Variable Annuity Separate Account
P.O. Box 2606
Birmingham, AL 35202-2606
3100 Sanders Road Suite K4A
Northbrook, IL 60062-7154
Investment Product Services
Variable Annuity Separate Account
P.O. Box 2606
Birmingham, AL 35202-2606
P.O. Box 9134
Wellesley Hills, MA 02481-9134
Separate Account A
700 Newport Center Drive
Newport Beach, CA 92660-6307
10350 Ormsby Park PL STE 600
Louisville, KY 40223-6175
P.O. Box 79907
West Des Moines, IA 50325-0907
Annuity Division
4350 Westown Parkway
Des Moines, IA 50266-1036
Variable Annuity Separate Account
P.O. Box 2606
Birmingham, AL 35202-2606
Variable Annuity Separate A/C & Variable Annuity A/C Seven
2727A Allen Parkway #4-D1
Houston, TX 77019-2107
Fund Name and Address of Number of Shares Beneficially Number Percent of Mid Cap Stock Portfolio Protective Life Insurance Company Class VC: 16,779,632.453 19.94% Voya Retirement Insurance and Class VC: 16,779,632.453 31.89% Short Duration Income Portfolio Lincoln Life Insurance Company Class VC: 388,024.944 8.83% Lord, Abbett & Co. LLC Class VC: 388,024.944 85.91% Total Return Portfolio Pacific Life Insurance Company Class VC: 13,378,027.888 95.13% Value Opportunities Portfolio Lord, Abbett & Co. LLC Class VC: 16,745.794 91.15% Security Benefit Life Class VC: 16,745.794 8.84% U.S. Government Money Market Edward D. Jones & Co. Class A: 517,171,441.765 Class A: 15.01% Lord, Abbett & Co. LLC Class A: 517,171,441.765 Class A: 7.98% Lord Abbett Distributor LLC Class A: 517,171,441.765 Class A: 6.26% Wells Fargo Advisors LLC Class B: 7,788,447.566 Class B: 15.56% Morgan Stanley Smith Barney Class C: 44,662,674.868 Class C: 5.62% Pershing LLC Class C: 44,662,674.868 Class C: 9.09% MLPF&S for the Sole Benefit of its Customers Class I: 19,662,641.960 Class I: 98.04% L-51
Beneficial Owner
Owned as of September 8, 2014
Class
Investment Product Services
Variable Annuity Separate Account
P.O. Box 2606
Birmingham, AL 35202-2606
Annuity Co.
One Orange Way, B3N
Windsor, CT 06095-4773
1300 S. Clinton St
Fort Wayne, IN 46802-3518
90 Hudson Street
Jersey City, NJ 07302-3900
Separate Account A
700 Newport Center Drive
Newport Beach, CA 92660-6307
90 Hudson Street
Jersey City, NJ 07302-3900
Variable Annuity Account XIV
1 SW Security Place
Topeka, KS 66636-1000
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Class B: 7,788,447.566
Class C: 44,662,674.868
Class B: 11.36%
Class C: 9.31%
90 Hudson Street
Jersey City, NJ 07302-3900
90 Hudson Street
Jersey City, NJ 07302-3900
Special Custody Account
2801 Market Street
Saint Louis, MO 63103-2523
Class C: 44,662,674.868
Class C: 11.79%
Harborside Financial Center
Plaza II 3rd Floor
Jersey City, NJ 07311
1 Pershing Plaza
Jersey City, NJ 07399-0002
4800 Deer Lake Drive East 3rd Floor
Jacksonville, FL 32246-6484
Table 2. Except as set forth below, to the knowledge of the applicable Fund, as of September 8, 2014, no person is a beneficial owner of 25% or more of a Fund and therefore a “control person” of the Fund under the 1940 Act. Fund Name and Address of Shares Beneficially Percent of Fund Affiliated Edward Jones & Co. 26.77 % Calibrated Dividend Growth Edward Jones & Co. 54.61 % Calibrated Large Cap Value Lord Abbett Multi-Asset Balanced 41.22 % Lord Abbett Multi-Asset Growth Fund 28.48 % Calibrated Mid Cap Value Lord Abbett Multi-Asset Balanced 39.19 % Lord Abbett Multi-Asset Growth Fund 28.58 % Convertible Lord Abbett Multi-Asset Balanced 25.04 % Lord Abbett Multi-Asset Income Fund 28.52 % Core Fixed Income Edward Jones & Co. 37.51 % Diversified Equity Strategy Edward Jones & Co. 34.36 % Emerging Markets Corporate Debt Lord Abbett & Co. LLC 87.79 % Emerging Markets Currency Lord Abbett Multi-Asset Balanced 33.49 % Lord Abbett Multi-Asset Income Fund 38.76 % L-52
Beneficial Owner
Owned as of September 8, 2014
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Opportunity Fund
90 Hudson Street
Jersey City, NJ 07302-3900
90 Hudson Street
Jersey City, NJ 07302-3900
Opportunity Fund
90 Hudson Street
Jersey City, NJ 07302-3900
90 Hudson Street
Jersey City, NJ 07302-3900
Opportunity Fund
90 Hudson Street
Jersey City, NJ 07302-390012555
90 Hudson Street
Jersey City, NJ 07302-3900
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
90 Hudson Street
Jersey City, NJ 07302
Opportunity Fund
90 Hudson Street
Jersey City, NJ 07302-3900
90 Hudson Street
Jersey City, NJ 07302-3900
Fund Name and Address of Shares Beneficially Percent of Fund Emerging Markets Local Bond Pershing LLC 30.00 % Lord Abbett & Co. LLC 51.03 % Intermediate Tax Free MLPF&S For The Sole Benefit of 31.19 % International Core Equity Edward Jones & Co. 40.08 % International Opportunities Lord Abbett Alpha Strategy Fund 49.84 % Micro Cap Growth Lord Abbett Alpha Strategy Fund 78.93 % Micro Cap Value Lord Abbett Alpha Strategy Fund 77.02 % Multi-Asset Balanced Edward Jones & Co. 54.31 % Multi-Asset Global Edward Jones & Co. 30.87 % Multi-Asset Growth Edward Jones & Co. 54.63 % National Tax-Free Edward Jones & Co. 35.68 % Bond Debenture Portfolio Protective Life Insurance Co. 65.41 % Short Duration Tax Free MLPF&S For The Sole Benefit of 42.09 % Total Return Edward Jones & Co. 45.46 % L-53
Beneficial Owner
Owned as of September 8, 2014
1 Pershing Plaza
Jersey City, NJ 07399-0002
90 Hudson Street
Jersey City, NJ 07302
Its Customers
480 Deer Lake Drive E Fl 3
Jacksonville, FL 32246-6484
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
90 Hudson Street
Jersey City, NJ 07302
90 Hudson Street
Jersey City, NJ 07302
90 Hudson Street
Jersey City, NJ 07302
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Investment Products Services
Variable Life Separate Acct.
PO Box 2606
Birmingham, AL 35202-2606
Its Customers
480 Deer Lake Drive E Fl 3
Jacksonville, FL 32246-6484
for the Benefit of Customers
12555 Manchester Road
Saint Louis, MO 63131-3729
Fund Name and Address of Shares Beneficially Percent of Fund Classic Stock Portfolio Protective Life Insurance Co. 59.36 % Developing Growth Portfolio Pacific Life Insurance Company 64.10 % Fundamental Equity Portfolio Protective Life Insurance Co. 50.75 % Growth and Income Portfolio AIG SunAmerica Life Assurance Company Variable Separate A/C & 41.68 % Growth Opportunities Portfolio Delaware Life Insurance Company 41.60 % Protective Life Insurance Co. 36.05 % International Core Equity Portfolio Pacific Life Insurance Company 99.38 % International Opportunities Portfolio Midland National Life Ins Co. 34.03 % Protective Life Insurance Co. 57.33 % Mid Cap Stock Portfolio Voya Retirement Ins and Annuity Co 31.87 % AIG SunAmerica Life Assurance Company 26.66 % L-54
Beneficial Owner
Owned as of September 8, 2014
Investment Products Services
Variable Life Separate Acct.
PO Box 2606
Birmingham, AL 35202-2606
Pacific Select Exec. Separate
Account of Pacific Life
700 Newport Center Dr.
Newport Beach, CA 92660-6307
Investment Products Services
Variable Life Separate Acct.
PO Box 2606
Birmingham, AL 35202-2606
Variable Annuity A/C Seven
2727A Allen Parkway #4-D1
Houston, TX 77019-2107
SC3241
PO Box 9134
Wellesley HLS, MA 02481-9134
Investment Products Services
Variable Life Separate Acct.
PO Box 2606
Birmingham, AL 35202-2606
Pacific Select Exec. Separate
Account of Pacific Life
700 Newport Center Dr.
Newport Beach, CA 92660-6307
PO Box 79907
WDM, IA 50325-0907
Investment Products Services
Variable Life Separate Acct.
PO Box 2606
Birmingham, AL 35202-2606
Separate A/C F
TN41
One Orange Way, B3N
Windsor, CT 06095-4773
Variable Separate A/C &
Variable Annuity A/C Seven
2727A Allen Parkway #4-D1
Houston, TX 77019-2107
Fund Name and Address of Shares Beneficially Percent of Fund Total Return Portfolio Pacific Life Insurance Company 99.14 % Value Opportunities Portfolio Lord Abbett & Co. LLC 91.15 % Calibrated Dividend Growth Portfolio Hartford Life & Annuity Separate Account 38.11 % Protective Life Insurance Co. 51.19 % Short Duration Income Portfolio Lord Abbett & Co. LLC 85.91 % L-55
Beneficial Owner
Owned as of September 8, 2014
Pacific Select Exec. Separate
Account of Pacific Life
700 Newport Center Dr.
Newport Beach, CA 92660-6307
90 Hudson Street
Jersey City, NJ 07302
Attn: UIT OperationsPO Box 2999
Hartford, CT 06104-2999
Investment Products Services
Variable Life Separate Acct.
PO Box 2606
Birmingham, AL 35202-2606
90 Hudson Street
Jersey City, NJ 07302
Appendix M: Fees Paid to the Funds’ Independent Registered Public The following table sets forth the amount D&T billed the Funds for professional services rendered by D&T for the two fiscal years indicated in the table and certain other information. Fund Fiscal Year Audit Audit- Tax Total Fees All Fees for Affiliated 10/31/14 * $ 55,600 $ 0 $ 8,139 $ 63,739 $ 13,850 10/31/13 $ 54,000 $ 0 $ 7,956 $ 61,956 $ 13,869 Bond Debenture 12/31/13 $ 75,500 $ 0 $ 12,013 $ 87,513 $ 17,926 12/31/12 $ 72,500 $ 0 $ 10,985 $ 83,485 $ 20,673 Developing Growth 7/31/14 $ 44,300 $ 0 $ 7,628 $ 51,928 $ 13,338 7/31/13 $ 43,000 $ 0 $ 7,449 $ 50,449 $ 13,361 Equity Trust 7/31/14 $ 75,400 $ 0 $ 14,758 $ 90,158 $ 26,179 7/31/13 $ 73,000 $ 0 $ 21,615 $ 94,615 $ 39,352 Global Fund 12/31/13 $ 120,000 $ 9,000 $ 29,866 $ 158,866 $ 47,603 12/31/12 $ 75,500 $ 0 $ 18,170 $ 93,670 $ 37,545 Investment Trust 11/30/13 $ 607,000 $ 9,000 $ 120,084 $ 736,084 $ 191,031 11/30/12 $ 525,500 $ 0 $ 108,560 $ 634,060 $ 224,810 Mid Cap Stock 12/31/13 $ 46,000 $ 0 $ 7,563 $ 53,563 $ 13,475 12/31/12 $ 45,000 $ 0 $ 7,185 $ 52,185 $ 16,873 Municipal Income Fund 9/30/14 * $ 323,700 $ 0 $ 49,119 $ 372,819 $ 94,805 9/30/13 $ 315,000 $ 0 $ 47,943 $ 362,943 $ 95,241 Research Fund 11/30/13 $ 127,000 $ 0 $ 31,687 $ 158,687 $ 55,337 11/30/12 $ 163,000 $ 0 $ 30,525 $ 193,525 $ 69,275 Securities Trust 10/31/14 * $ 374,900 $ 0 $ 81,008 $ 455,908 $ 132,404 10/31/13 $ 363,000 $ 0 $ 79,067 $ 442,067 $ 132,277 Series Fund 12/31/13 $ 446,500 $ 0 $ 103,697 $ 550,197 $ 174,644 12/31/12 $ 435,000 $ 0 $ 101,190 $ 536,190 $ 217,440 U.S. Government Money Market 6/30/14 $ 32,000 $ 0 $ 4,360 $ 36,360 $ 10,071 6/30/13 $ 35,000 $ 0 $ 4,259 $ 39,259 $ 10,172
Accounting Firm
Ended
Fees(1)
Related
Fees(2)
Fees(3)
for Services
Provided to
the Fund
Non-Audit
Services
Provided to
the Fund,
Lord Abbett,
and
Lord Abbett’s
Affiliates(4)
* | Consists of estimated fees. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
(1) | Consists of fees for audits of the Funds’ annual financial statements. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
(2) | Represents each Fund’s fee for the reissuance of the Independent Auditors Report in connection with certain filings with the U.S. Commodity Futures Trading Commission. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
(3) | Fees for the fiscal years 2014, 2013, and 2012 consist of fees for preparing the U.S. Income Tax Return for Regulated Investment Companies, New Jersey Corporation Business Tax Return, U.S. Return of Excise Tax on Undistributed Income of Investment Companies, IRS Forms 1099-MISC, and Delaware Form 1. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
(4) | Fees for non-audit services provided to Lord Abbett and Lord Abbett’s affiliates have been allocated equally across the Funds. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
M-1
D&T did not bill any Fund, Lord Abbett, or any entity controlling, controlled by, or under common control with Lord Abbett that provides services to a Fund for any professional services rendered for financial information systems design and implementation. The Funds’ Audit Committees have adopted policies and procedures that generally provide that each Fund’s Audit Committee must pre-approve any audit, audit-related, tax, or other services to be provided by the independent registered public accounting firm to the Fund or to Lord Abbett and any entity controlling, controlled by, or under common control with Lord Abbett that provides ongoing services to the Fund if the engagement relates directly to operations and financial reporting of the Fund, to assure that the provision of such services does not impair the independent registered public accounting firm’s independence. Each Fund’s Audit Committee has approved all (100%) of the services listed in the table above. Each Audit Committee has delegated pre-approval authority to its Chair, subject to a fee limit of $10,000 per event, and not to exceed $25,000 annually. The Chair will report any pre-approval decisions to the Audit Committees at their next scheduled meetings. Unless a type of service to be provided by the independent registered public accounting firm has received general pre-approval, it must be pre-approved by the relevant Fund’s Audit Committee. Any proposed services exceeding pre-approved cost levels require specific pre-approval by the relevant Fund’s Audit Committee. Each Fund’s Audit Committee has considered the provision of non-audit services rendered to Lord Abbett and any entity controlling, controlled by, or under common control with Lord Abbett that provides ongoing services to the Fund and has determined that the provision of such services is compatible with maintaining the independent registered public accounting firm’s independence. M-2 PROXY TABULATOR P.O. BOX 9112 FARMINGDALE, NY 11735 Three Easy Ways to Vote Your Proxy YOUR VOTE IS IMPORTANT Important Notice Regarding the Availability of Proxy Materials for the Special Meeting: M78560-S23113 THE LORD ABBETT FAMILY OF FUNDS The undersigned hereby appoints DARIA L. FOSTER, LAWRENCE H. KAPLAN, and THOMAS R. PHILLIPS and each of them as proxies, with full power of substitution, to vote (according to the number of votes which the undersigned would be entitled to cast if then personally present) at a Joint Special Meeting of Shareholders of the Lord Abbett Family of Funds to be held at the offices of Lord, Abbett & Co. LLC, 90 Hudson Street, Jersey City, New Jersey 07302-3973 on Thursday, December 4, 2014, at 9:00 a.m. (Eastern Time), including all adjournments thereof, as specified on the reverse, and in their discretion upon such other business as may properly be brought before the meeting. Complete, sign on reverse side and return this proxy card as soon as possible. PROXY TABULATOR P.O. BOX 9112 FARMINGDALE, NY 11735 This form is your EzVote Consolidated Proxy. It reflects all of your accounts registered to the same Social Security or Tax I.D. number at this address. By voting and signing the Consolidated Proxy Card, you are voting all of these accounts in the same manner as indicated on the bottom of the form. Three Easy Ways to Vote Your Proxy THE SHARES REPRESENTED BY THIS PROXY WILL BE VOTED AT THE MEETING AND WILL BE VOTED IN ACCORDANCE WITH ANY SPECIFICATION MADE; IF NO SPECIFICATION IS MADE, SUCH SHARES WILL BE VOTED FOR THE PROPOSAL ABOVE AND FOR ANY OTHER MATTERS AS DEEMED APPROPRIATE. IN THEIR DISCRETION, THE PROXIES ARE AUTHORIZED TO VOTE UPON SUCH OTHER BUSINESS AS MAY PROPERLY BE PRESENTED TO THE MEETING OR ANY ADJOURNMENTS, POSTPONEMENTS, CONTINUATIONS, OR RESCHEDULINGS THEREOF. PLEASE COMPLETE, SIGN, DATE, AND RETURN THIS PROXY PROMPTLY USING THE ENCLOSED ENVELOPE. PLEASE SIGN AND RETURN IMMEDIATELY Please sign exactly as your name(s) appear(s) on this proxy, and date it. For information as to the voting of shares registered in more than one name, see the section titled “Additional Information-Special Requirements Applicable to Delaware Funds and Maryland Funds” in the Joint Proxy Statement. When signing the proxy as attorney-in-fact, executor, administrator, trustee, or guardian, please indicate the capacity in which you are acting. Only authorized officers should sign for corporations. Please indicate signor’s office. YOUR VOTE IS IMPORTANT Please complete, date, sign and mail your proxy card in the Important Notice Regarding the Availability of Proxy Materials for the Special Meeting: M78557-S22835 THE LORD ABBETT FAMILY OF FUNDS The undersigned hereby appoints DARIA L. FOSTER, LAWRENCE H. KAPLAN, and THOMAS R. PHILLIPS and each of them as proxies, with full power of substitution, to vote (according to the number of votes which the undersigned would be entitled to cast if then personally present) at a Joint Special Meeting of Shareholders of the Lord Abbett Family of Funds to be held at the offices of Lord, Abbett & Co. LLC, 90 Hudson Street, Jersey City, New Jersey 07302-3973 on Thursday, December 4, 2014, at 9:00 a.m. (Eastern Time), including all adjournments thereof, as specified on the reverse, and in their discretion upon such other business as may properly be brought before the meeting. Complete, sign on reverse side and return this proxy card as soon as possible. THE LORD ABBETT FAMILY OF FUNDS The undersigned hereby appoints DARIA L. FOSTER, LAWRENCE H. KAPLAN, and THOMAS R. PHILLIPS and each of them as proxies, with full power of substitution, to vote (according to the number of votes which the undersigned would be entitled to cast if then personally present) at a Joint Special Meeting of Shareholders of the Lord Abbett Family of Funds to be held at the offices of Lord, Abbett & Co. LLC, 90 Hudson Street, Jersey City, New Jersey 07302-3973 on Thursday, December 4, 2014, at 9:00 a.m. (Eastern Time), including all adjournments thereof, as specified below, and in their discretion upon such other business as may properly be brought before the meeting. Complete, sign and return this proxy card as soon as possible. M78558-S22835 EZM84S PROXY TABULATOR Three Easy Ways to Vote Your Proxy YOUR VOTE IS IMPORTANT Important Notice Regarding the Availability of Proxy Materials for the Special Meeting: M78555-S22835 THE LORD ABBETT FAMILY OF FUNDS The undersigned hereby appoints DARIA L. FOSTER, LAWRENCE H. KAPLAN, and THOMAS R. PHILLIPS and each of them as proxies, with full power of substitution, to vote (according to the number of votes which the undersigned would be entitled to cast if then personally present) at a Joint Special Meeting of Shareholders of the Lord Abbett Family of Funds to be held at the offices of Lord, Abbett & Co. LLC, 90 Hudson Street, Jersey City, New Jersey 07302-3973 on Thursday, December 4, 2014, at 9:00 a.m. (Eastern Time), including all adjournments thereof, as specified on the reverse, and in their discretion upon such other business as may properly be brought before the meeting. Complete, sign on reverse side and return this proxy card as soon as possible. PROXY TABULATOR 1) Read the Joint Proxy Statement and have the Voting Instruction Card below at hand. 2) Go to Website www.proxyvote.com 3) Follow the instructions provided on the website. 1) Read the Joint Proxy Statement and have the Voting Instruction Card below at hand. 2) Call 1-800-690-6903 3) Follow the recorded instructions. 1) Read the Joint Proxy Statement. 2) Check the appropriate boxes on the Voting Instruction Card below. 3) Sign and date the Voting Instruction Card. 4) Return the Voting Instruction Card in the envelope provided. To withhold authority to vote for any individual nominee(s), mark “For All Except” and write the name(s) of the nominee(s) on the line below. This proxy is solicited on behalf of the Board of Directors/Trustees. The Board of Directors/Trustees recommends you vote FOR the following: 01) E. Thayer Bigelow 02) Robert B. Calhoun, Jr. 03) Eric C. Fast 04) Daria L. Foster 05) Evelyn E. Guernsey 06) Julie A. Hill 07) Franklin W. Hobbs 08) James M. McTaggart 09) James L.L. Tullis Signature [PLEASE SIGN WITHIN BOX] Date Signature [Joint Owners] Date YOUR VOTE IS IMPORTANT Please complete, date, sign and mail your voting instruction card in the Important Notice Regarding the Availability of Proxy Materials for the Special Meeting: The Joint Proxy Statement is available atwww.proxyvote.com. M78576-Z64034 VOTING INSTRUCTION CARD THE LORD ABBETT FAMILY OF FUNDS The undersigned hereby authorizes and instructs the Company mentioned on the reverse side of this Voting Instruction Card to vote, as designated on reverse, at the Joint Special Meeting of Shareholders of the Lord Abbett Family of Funds on Thursday, December 4, 2014 at 9:00 a.m. (Eastern Time) and at any adjournments thereof, all shares of the Fund attributable to his or her contract or interest therein as directed on the reverse side of this Card.IF THIS VOTING INSTRUCTION CARD IS SIGNED AND RETURNED WITH NO CHOICES INDICATED, THE SHARES WILL BE VOTED “FOR” EACH BOARD NOMINEE. If you fail to return this Voting Instruction Card, depending on the separate account, the Company will either not vote all shares attributable to the account value, or will vote all shares attributable to the account value in proportion to all voting instructions for the Fund actually received by the Company from contract holders in the separate account. PLEASE DATE AND SIGN NAME OR NAMES AS PRINTED ON THE REVERSE SIDE TO AUTHORIZE THE VOTING OF THE SHARES AS INDICATED. IF SIGNING AS A REPRESENTATIVE, PLEASE INCLUDE CAPACITY. COMPLETE, SIGN ON REVERSE SIDE AND RETURN THIS VOTING INSTRUCTION CARD AS SOON AS POSSIBLE 
VOTE ON THE INTERNET 
1) Read theJointProxy Statementandhavetheproxycardbelowathand. 2) Go toWebsitewww.proxyvote.com 3) Follow the instructions provided on the website. VOTE BY PHONE 
1) Read theJointProxy Statementandhavetheproxycardbelowathand. 2) Call 1-800-690-6903 3) Follow therecorded instructions. VOTE BY MAIL 
1) Read the Joint Proxy Statement. 2) Check the appropriate boxes on the proxy card below. 3) Sign and date the proxy card. 4) Return the proxy card in the envelope provided. TO VOTE, MARK BLOCKS BELOW IN BLUE OR BLACK INK AS FOLLOWS: M78559-S23113 KEEP THIS PORTION FOR YOUR RECORDS DETACH AND RETURN THIS PORTION ONLY For Withhold For All To withhold authority to vote for any individual nominee(s), mark “For All Except” and write the name(s) of the nominee(s) on the line below. This proxy is solicited on behalf of the Board of Directors/Trustees. The Board of Directors/Trustees recommends you vote FOR the following: All All Except ☐ ☐ ☐ 1. Election of your Fund’s Board of Directors/Trustees. Nominees: 01) E. Thayer Bigelow 06) Julie A. Hill 02) Robert B. Calhoun, Jr. 07) Franklin W. Hobbs 03) Eric C. Fast 08) James M. McTaggart 04) Daria L. Foster 09) James L.L. Tullis 05) Evelyn E. Guernsey THE SHARES REPRESENTED BY THIS PROXY WILL BE VOTED AT THE MEETING AND WILL BE VOTED IN ACCORDANCE WITH ANY SPECIFICATION MADE; IF NO SPECIFICATION IS MADE, SUCH SHARES WILL BE VOTED FOR THE PROPOSAL ABOVE AND FOR ANY OTHER MATTERS AS DEEMED APPROPRIATE. IN THEIR DISCRETION, THE PROXIES ARE AUTHORIZED TO VOTE UPON SUCH OTHER BUSINESS AS MAY PROPERLY BE PRESENTED TO THE MEETING OR ANY ADJOURNMENTS, POSTPONEMENTS, CONTINUATIONS, OR RESCHEDULINGS THEREOF. PLEASE COMPLETE, SIGN, DATE, AND RETURN THIS PROXY PROMPTLY USING THE ENCLOSED ENVELOPE. PLEASE SIGN AND RETURN IMMEDIATELY Please sign exactly as your name(s) appear(s) on this proxy, and date it. For information as to the voting of shares registered in more than one name, see the section titled “Additional Information-Special Requirements Applicable to Delaware Funds and Maryland Funds” in the Joint Proxy Statement. When signing the proxy as attorney-in-fact, executor, administrator, trustee, or guardian, please indicate the capacity in which you are acting. Only authorized officers should sign for corporations. Please indicate signor’s office. Signature [PLEASE SIGN WITHIN BOX] Date Signature [Joint Owners] Date
Please complete, date, sign and mail your proxy card in the
envelope provided as soon as possible.
The Joint Proxy Statement is available at www.proxyvote.com. 
Consolidated Proxy Card VOTE ON THE INTERNET 1) Read the Joint Proxy Statement and have the proxy card below at hand. 2) Go to Websitewww.proxyvote.com 3) Follow the instructions provided on the website. VOTE BY PHONE 1) Read the Joint Proxy Statement and have the proxy card below at hand. 2) Call 1-800-690-6903 3) Follow the recorded instructions. VOTE BY MAIL 1) Read the Joint Proxy Statement. 2) Check the appropriate boxes on the proxy card below. 3) Sign and date the proxy card. 4) Return the proxy card in the envelope provided. TO VOTE, MARK BLOCKS BELOW IN BLUE OR BLACK INK AS FOLLOWS: M78556-S22835 KEEP THIS PORTION FOR YOUR RECORDS DETACH AND RETURN THIS PORTION ONLY This proxy is solicited on behalf of the Board of Directors/Trustees. The Board of Directors/Trustees recommends that you vote FOR the following: For
All Withhold
For All For All
Except To withhold authority to vote for any individual nominee(s), mark “For All Except” and write the number(s) of the nominee(s) on the line below. 1. Election of your Fund’s Board of Directors/Trustees. Nominees: £ £ £ 01) E. Thayer Bigelow 06) Julie A. Hill 02) Robert B. Calhoun, Jr. 07) Franklin W. Hobbs 03) Eric C. Fast 08) James M. McTaggart 04) Daria L. Foster 09) James L.L. Tullis 05) Evelyn E. Guernsey 
Signature [PLEASE SIGN WITHIN BOX] Date Signature [PLEASE SIGN WITHIN BOX] Date
envelope provided as soon as possible.
The Joint Proxy Statement is available atwww.proxyvote.com. INDIVIDUAL BALLOTS On the bottom of this form (and on accompanying pages, if necessary) you will find individual ballots, one for each of your accounts. If you would wish to vote each of these accounts separately, sign in the signature box below, mark each individual ballot to indicate your vote, detach the form at the perforation above and return the individual ballots portion only. IF YOU HAVE VOTED THE CONSOLIDATED PROXY CARD, DO NOT VOTE THE INDIVIDUAL BALLOTS BELOW AND ANY ACCOMPANYING PAGES. NOTE: If you choose to vote each account separately, do not return the Consolidated Proxy Card. 01 –ELECTION OF THE BOARD OF DIRECTORS/TRUSTEES FOR WITHHOLD FOR ALLSEE NOMINEE LIST ON THE CONSOLIDATED BALLOT ALL ALL EXCEPT* *EXCEPT £ £ £ 01 –ELECTION OF THE BOARD OF DIRECTORS/TRUSTEES FOR WITHHOLD FOR ALLSEE NOMINEE LIST ON THE CONSOLIDATED BALLOT ALL ALL EXCEPT* *EXCEPT £ £ £
01 –ELECTION OF THE BOARD OF DIRECTORS/TRUSTEES FOR WITHHOLD FOR ALL NOMINEE LIST ON THE CONSOLIDATED BALLOT ALL ALL EXCEPT* *EXCEPT £ £ £ Signature [PLEASE SIGN WITHIN BOX] Date 01 –ELECTION OF THE BOARD OF DIRECTORS/TRUSTEES FOR WITHHOLD FOR ALL NOMINEE LIST ON THE CONSOLIDATED BALLOT ALL ALL EXCEPT* *EXCEPT £ £ £ Signature [PLEASE SIGN WITHIN BOX] Date
P.O. BOX 9112
FARMINGDALE, NY 11735VOTE ON THE INTERNET 1) Read the Joint Proxy Statement and have the proxy card below at hand. 2) Go to Websitewww.proxyvote.com 3) Follow the instructions provided on the website. VOTE BY PHONE 1) Read the Joint Proxy Statement and have the proxy card below at hand. 2) Call 1-800-690-6903 3) Follow the recorded instructions. VOTE BY MAIL 1) Read the Joint Proxy Statement. 2) Check the appropriate boxes on the proxy card below. 3) Sign and date the proxy card. 4) Return the proxy card in the envelope provided. TO VOTE, MARK BLOCKS BELOW IN BLUE OR BLACK INK AS FOLLOWS: M78554-S22835 KEEP THIS PORTION FOR YOUR RECORDS DETACH AND RETURN THIS PORTION ONLY This proxy is solicited on behalf of the Board of Directors/Trustees. The Board of Directors/Trustees recommends that you vote FOR the following: For
All Withhold
For All For All
Except To withhold authority to vote for any individual nominee(s), mark “For All Except” and write the number(s) of the nominee(s) on the line below. 1. Election of your Fund’s Board of Directors/Trustees. £ £ £ Nominees: 01) E. Thayer Bigelow 06) Julie A. Hill 02) Robert B. Calhoun, Jr. 07) Franklin W. Hobbs 03) Eric C. Fast 08) James M. McTaggart 04) Daria L. Foster 09) James L.L. Tullis 05) Evelyn E. Guernsey THE SHARES REPRESENTED BY THIS PROXY WILL BE VOTED AT THE MEETING AND WILL BE VOTED IN ACCORDANCE WITH ANY SPECIFICATION MADE; IF NO SPECIFICATION IS MADE, SUCH SHARES WILL BE VOTED FOR THE PROPOSAL ABOVE AND FOR ANY OTHER MATTERS AS DEEMED APPROPRIATE. IN THEIR DISCRETION, THE PROXIES ARE AUTHORIZED TO VOTE UPON SUCH OTHER BUSINESS AS MAY PROPERLY BE PRESENTED TO THE MEETING OR ANY ADJOURNMENTS, POSTPONEMENTS, CONTINUATIONS, OR RESCHEDULINGS THEREOF. PLEASE COMPLETE, SIGN, DATE, AND RETURN THIS PROXY PROMPTLY USING THE ENCLOSED ENVELOPE. PLEASE SIGN AND RETURN IMMEDIATELY Please sign exactly as your name(s) appear(s) on this proxy, and date it. For information as to the voting of shares registered in more than one name, see the section titled “Additional Information-Special Requirements Applicable to Delaware Funds and Maryland Funds” in the Joint Proxy Statement. When signing the proxy as attorney-in-fact, executor, administrator, trustee, or guardian, please indicate the capacity in which you are acting. Only authorized officers should sign for corporations. Please indicate signor’s office. Signature [PLEASE SIGN WITHIN BOX] Date Signature [PLEASE SIGN WITHIN BOX] Date
Please complete, date, sign and mail your proxy card in the
envelope provided as soon as possible.
The Joint Proxy Statement is available atwww.proxyvote.com.
P.O. BOX 9112
FARMINGDALE, NY 11735 Three Easy Ways to Vote Your Voting Instruction Card VOTE ON THE INTERNET VOTE BY PHONE VOTE BY MAIL TOVOTE, MARK BLOCKS BELOW IN BLUE OR BLACK INK AS FOLLOWS: M78575-Z64034 KEEP THIS PORTION FOR YOUR RECORDS DETACH AND RETURN THIS PORTION ONLY For Withhold For All All All Except 1. Election of your Fund’s Board of Directors/Trustees. £ £ £ Nominees: THE SHARES REPRESENTED BY THIS VOTING INSTRUCTION CARD WILL BE VOTED AT THE MEETING AND WILL BE VOTED IN ACCORDANCE WITH ANY SPECIFICATION MADE; IF NO SPECIFICATION IS MADE, SUCH SHARES WILL BE VOTED FOR THE PROPOSAL ABOVE AND FOR ANY OTHER MATTERS AS DEEMED APPROPRIATE. IN THEIR DISCRETION, THE PROXIES ARE AUTHORIZED TO VOTE UPON SUCH OTHER BUSINESS AS MAY PROPERLY BE PRESENTED TO THE MEETING OR ANY ADJOURNMENTS, POSTPONEMENTS, CONTINUATIONS, OR RESCHEDULINGS THEREOF. PLEASE COMPLETE, SIGN, DATE, AND RETURN THIS VOTING INSTRUCTION CARD PROMPTLY USING THE ENCLOSED ENVELOPE. PLEASE SIGN AND RETURN IMMEDIATELY Please sign exactly as your name(s) appear(s) on this voting instruction card, and date it. For information as to the voting of shares registered in more than one name, see the section titled “Additional Information-Special Requirements Applicable to Delaware Funds and Maryland Funds” in the Joint Proxy Statement. When signing the voting instruction card as attorney-in-fact, executor, administrator, trustee, or guardian, please indicate the capacity in which you are acting. Only authorized officers should sign for corporations. Please indicate signor’s office.
envelope provided as soon as possible.