UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 14A
Proxy Statement Pursuant to Section 14(a)
of the Securities Exchange Act of 1934
(Amendment No.)
Filed by the Registrant [X]
Filed by a Party other than the Registrant [ ]
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[ ] Preliminary Proxy Statement
[ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))
[X] Definitive Proxy Statement
[ ] Definitive Additional Materials
[ ] Soliciting Material under Rule14a-12
AMCAP Fund
American Balanced Fund
American Funds College Target Date Series
American Funds Corporate Bond Fund
American Funds Developing World Growth and Income Fund
American Funds Emerging Markets Bond Fund
American Funds Fundamental Investors
American Funds Global Balanced Fund
The American Funds Income Series
American Funds Inflation Linked Bond Fund
American Funds Mortgage Fund
American Funds Portfolio Series
American Funds Retirement Income Portfolio Series
American Funds Short-Term Tax-Exempt Bond Fund
American Funds Strategic Bond Fund
American Funds Target Date Retirement Series
American Funds Tax-Exempt Fund of New York
American Funds Tax-Exempt Series II
American Funds U.S. Government Money Market Fund
American High-Income Municipal Bond Fund
American High-Income Trust
American Mutual Fund
The Bond Fund of America
Capital Income Builder
Capital World Bond Fund
Capital World Growth and Income Fund
EuroPacific Growth Fund
The Growth Fund of America
The Income Fund of America
Intermediate Bond Fund of America
International Growth and Income Fund
The Investment Company of America
Limited Term Tax-Exempt Bond Fund of America
The New Economy Fund
New Perspective Fund
New World Fund, Inc.
Short-Term Bond Fund of America
SMALLCAP World Fund, Inc.
The Tax-Exempt Bond Fund of America
Washington Mutual Investors Fund
(Name of Registrant as Specified in Its Charter)
(Name of Person(s) Filing Proxy Statement, if other than the Registrant)
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Table of Contents
Important news about American Funds®
shareholder meetings
Joint proxy statement
Table of Contents
Important Proxy Material
PLEASE CAST YOUR VOTE NOW
American Funds
333 South Hope Street, 55th Floor
Los Angeles, California 90071
August 31, 2018
Dear Shareholder:
I am writing to let you know that special shareholder meetings for the American Funds will be held on November 28, 2018 at the office of Capital Group, 333 South Hope Street, Los Angeles, California 90071 at 9:00 a.m. Pacific Time. On the following page you will find a listing of the series and the funds that will be holding meetings (each a “Fund” and, collectively, the “Funds”).
At the meetings, shareholders of each Fund will be asked to vote to elect board members of the Fund. Detailed information about the proposal, including, in particular, a description of the proposed slate of board members for each Fund, is contained in the enclosed material and Joint Proxy Statement, which we invite you to review closely.
Importantly, the current board members of each Fund, most of whom are not affiliated with Capital Group, have considered the proposal and have determined that the proposal detailed in the Joint Proxy Statement is in the best interest of the applicable Fund and its shareholders, and unanimously recommend that you vote “FOR” each of the nominees.
Whether or not you plan to attend the meetings in person,we need your vote regardless of how many shares you own. We realize that you lead a busy life and may be tempted to put aside this proxy information for another time. By responding promptly, you will save your Fund(s) the expense of additionalfollow-up mailings and solicitations.Please vote today.
Voting is quick and easy. You may vote your shares by telephone, via the Internet or by simply completing and signing the enclosed proxy card (your ballot), and mailing it in the postage-paid envelope included in this package. If you have questions, please call us toll-free at(800) 421-4225. We will be glad to help you cast your vote quickly. Thank you for participating in this important initiative.
Sincerely,
[/s/ Timothy D. Armour ]
Timothy D. Armour
Chairman of the Board and Principal Executive Officer
Capital Research and Management Company,
Investment Adviser to American Funds
Table of Contents
JOINT SPECIAL MEETINGS OF SHAREHOLDERS
OF AMERICAN FUNDS
The following series or funds (each a “Fund,” and, collectively, the “Funds”) will each hold special shareholder meetings on November 28, 2018, at the office of Capital Group, 333 South Hope Street, Los Angeles, California 90071 at 9:00 a.m. Pacific Time:
AMCAP Fund®
American Balanced Fund®
American Funds College Target Date Series®
American Funds Corporate Bond Fund®
American Funds Developing World Growth and Income FundSM
American Funds Emerging Markets Bond Fund®
American Funds Fundamental Investors®
American Funds Global Balanced FundSM
The American Funds Income Series® – U.S. Government Securities Fund®
American Funds Inflation Linked Bond Fund®
American Funds Mortgage Fund®
American Funds Portfolio SeriesSM
American Funds Retirement Income Portfolio SeriesSM
American Funds Short-TermTax-Exempt Bond Fund®
American Funds Strategic Bond FundSM
American Funds Target Date Retirement Series®
American FundsTax-Exempt Fund of New York®
American FundsTax-Exempt Series IISM – TheTax-Exempt Fund of California®
American Funds U.S. Government Money Market FundSM
American High-Income Municipal Bond Fund®
American High-Income Trust®
American Mutual Fund®
The Bond Fund of America®
Capital Income Builder®
Capital World Bond Fund®
Capital World Growth and Income Fund®
EuroPacific Growth Fund®
The Growth Fund of America®
The Income Fund of America®
Intermediate Bond Fund of America®
International Growth and Income FundSM
The Investment Company of America®
Limited TermTax-Exempt Bond Fund of America®
The New Economy Fund®
New Perspective Fund®
New World Fund®, Inc.
Short-Term Bond Fund of America®
SMALLCAP World Fund®, Inc.
TheTax-Exempt Bond Fund of America®
Washington Mutual Investors FundSM
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IMPORTANT INFORMATION
TO HELP YOU UNDERSTAND AND VOTE ON THE PROPOSAL
Please read the full text of the Joint Proxy Statement. Below is a brief overview of the proposal to be voted upon. Your vote is important.
Why am I being asked to vote?
You are, or were as of the record date (August 31, 2018), a shareholder of one or more of the Funds. The proposal with respect to each Fund requires the approval of shareholders of such Fund. The Board of Directors or Trustees (the “Board”) of each Fund has approved the proposal to elect Board members for the Fund, as further described below, and recommends that you vote “FOR” each of the nominees.
What am I being asked to vote on?
You are being asked to vote on a proposal (hereinafter, the “Proposal”) to elect Board members of each of the Fund(s) for which you are a shareholder. It has been a number of years since the Funds held special meetings of shareholders to elect Board members, and subsequent changes in the composition of each Fund’s Board now necessitate the election of the nominees. Under the Investment Company Act of 1940 (the “1940 Act”), the Board may fill vacancies by appointment so long as, after the Board fills the vacancy, at least two-thirds of the Board members were elected by shareholders. By electing Board members now, the Funds’ Boards will be able to add new members for a longer period without the expense of conducting additional shareholder meetings. The Joint Proxy Statement contains information relevant to the consideration of nominees for the Boards. Shareholders of each Fund will vote as a separate class to elect members of the Board of the respective Fund. Shareholders of each Fund that offers multiple series of shares with respect to distinct portfolio funds (i.e., American Funds College Target Date Series, American Funds Portfolio Series, American Funds Retirement Income Portfolio Series and American Funds Target Date Series) will vote together as a single class and not by individual portfolio fund.
Have the Funds’ Boards approved the Proposal?
The Board of each Fund has approved the Proposal and recommends that you vote “FOR” each of the nominees.
What are the reasons for and advantages of the Proposal?
The Proposal is intended to give the Funds flexibility to add Board members and to efficiently manage costs for the Funds over the long term.
What if the Proposal is not approved?
If there are not enough votes by shareholders of a Fund to approve the Proposal by the time of the Fund’s shareholder meeting, that Fund’s meeting may be adjourned to permit further solicitation of proxy votes. If a Fund’s shareholders do not ultimately approve the Proposal, its Board and Capital Research and Management Company (“CRMC”), the investment adviser to each Fund, will continue to operate the Fund as they currently do. Note, though, that approval of the Proposal for each Fund (other
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than EUPAC) requires the affirmative vote of a plurality of votes cast at the applicable Shareholder Meeting. Given the plurality voting standard and because each nominee is running unopposed, so long as a quorum is present at a Fund’s Shareholder Meeting, it is likely that each nominee will be elected. See the section of this Joint Proxy Statement captioned “Method of tabulation” for more information regarding the plurality voting standard.
Who is Computershare Fund Services?
Computershare Fund Services (“Computershare”) is not affiliated with the Funds or CRMC, and is a company that specializes in assisting financial firms with shareholder meetings. The Funds have hired Computershare to contact shareholders and record proxy votes. As the shareholder meetings approach, shareholders who have not yet voted their shares may receive a phone call from Computershare asking for shareholders’ votes so that the meetings will not need to be adjourned or postponed.
Who will pay the costs associated with obtaining shareholder approval of the Proposal?
The Board of each Fund has determined that the expenses associated with obtaining shareholder approval of the Proposal, including printing and mailing of this Joint Proxy Statement and solicitation of proxies, are appropriate expenses for the Fund to incur. Accordingly, the Funds will bear these costs. We estimate that these costs will average across all Funds less than $1.00 per shareholder account.
How many votes am I entitled to cast?
As a shareholder of a Fund, you are entitled to one vote per share and a proportionate fractional vote for each fractional share you own of the Fund on the record date (August 31, 2018) with respect to that Fund’s shareholder meeting.
How do I vote my shares?
You may vote your shares via the Internet or by telephone, by mail or by attending a shareholder meeting in person. To vote via the Internet (24 hours a day) or by telephone (24 hours a day), please visit the website or call the number on your proxy card(s) and follow the instructions. When voting via the Internet or by telephone you will be required to enter the identifying numbers that appear on your proxy card(s).
You can vote by mail by completing, signing and dating the enclosed proxy card (or cards) and mailing it (or them) in the enclosed postage-paid envelope. Proxy cards that are signed and dated but not completed will be voted “FOR” each of the nominees.
If you need assistance, or have any questions regarding the Proposal or how to vote your shares, please call American Funds at (800)421-4225.
You can help reduce shareholder costs by voting promptly. Your vote is important, regardless of the number of shares you own. Please read the enclosed material and vote your shares.
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How do I sign the proxy card?
When voting via the Internet or by telephone you will be required to enter the identifying numbers that appear on your proxy card(s). If voting by mail, please complete, sign and date the proxy card(s). When signing the proxy card(s):
Individual accounts: Shareholders should sign exactly as their names appear on the account registration shown on the proxy card.
Joint accounts: Either owner may sign the proxy card, but the name of the person signing should conform exactly to the name shown in the registration.
All other accounts: The person signing must indicate his or her capacity. For example, a trustee for a trust or other entity should sign “Mary Smith, Trustee.”
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NOTICE OF SPECIAL MEETINGS OF SHAREHOLDERS
August 31, 2018
To shareholders:
Notice is given that a special meeting of shareholders of each of AMCAP Fund, American Balanced Fund, American Funds College Target Date Series, American Funds Corporate Bond Fund, American Funds Developing World Growth and Income Fund, American Funds Emerging Markets Bond Fund, American Funds Fundamental Investors, American Funds Global Balanced Fund, The American Funds Income Series, American Funds Inflation Linked Bond Fund, American Funds Mortgage Fund, American Funds Portfolio Series, American Funds Retirement Income Portfolio Series, American Funds Short-TermTax-Exempt Bond Fund, American Funds Strategic Bond Fund, American Funds Target Date Retirement Series, American FundsTax-Exempt Fund of New York, American FundsTax-Exempt Series II, American Funds U.S. Government Money Market Fund, American High-Income Municipal Bond Fund, American High-Income Trust, American Mutual Fund, The Bond Fund of America, Capital Income Builder, Capital World Bond Fund, Capital World Growth and Income Fund, EuroPacific Growth Fund, The Growth Fund of America, The Income Fund of America, Intermediate Bond Fund of America, International Growth and Income Fund, The Investment Company of America, Limited TermTax-Exempt Bond Fund of America, The New Economy Fund, New Perspective Fund, New World Fund, Inc., Short-Term Bond Fund of America, SMALLCAP World Fund, Inc., TheTax-Exempt Bond Fund of America and Washington Mutual Investors Fund (each a “Fund,” and collectively, the “Funds”) will be held on Wednesday, November 28, 2018, at the office of Capital Group, 333 South Hope Street, Los Angeles, California 90071, at 9:00 a.m. Pacific Time (each meeting of shareholders is referred to as a “Shareholder Meeting,” and, collectively, they are referred to as the “Shareholder Meetings”), and at any adjournment or adjournments thereof, for the following purposes:
| 1. | To elect board members of the Fund (the “Proposal”). |
| 2. | To consider and act upon any other business as may properly come before the Fund’s Shareholder Meeting and any adjournment or adjournments thereof. |
The Board of Directors or Trustees (the “Board”) of each Fund recommends that you vote “FOR” each of the nominees.
The proposed business cannot be conducted for a Fund at its Shareholder Meeting unless the required quorum of shares of the Fund outstanding on August 31, 2018 (the “Record Date”) is present in person or by proxy. Therefore, please cast your vote via the Internet or by telephone or mark, sign, date and return the enclosed proxy card(s) as soon as possible. You may revoke your proxy at any time before its use. Only shareholders of record of a Fund at the close of business on the Record Date are entitled to notice of and to vote at the Fund’s Shareholder Meeting and any adjournment or adjournments thereof.
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This notice and the accompanying proxy material are first being sent to shareholders on or about August 31, 2018.
By order of the Boards of the Funds,
| Jennifer L. Butler | Laurie D. Neat | |
| Secretary, | Secretary, | |
| WMIF | AMCAP, AMF, GBAL and ICA | |
| Steven I. Koszalka | Michael W. Stockton | |
| Secretary, | Secretary, | |
| AFCTD, AFMF, AFPS, AFRIS, AFTD, AHIM, AHIT, BFA, CBF, EMBF, GVT, IBFA, ILBF, LTEX, MMF, SBF, STBF, STEX, TEBF, TEFCA, TEFNY and WBF | AMBAL, CIB, DWGI, EUPAC, FI, GFA, IFA, IGI, NEF, NPF, NWF, SCWF and WGI | |
You are invited to attend the Shareholder Meetings in person. However, you may vote prior to the Shareholder Meetings via the Internet, by telephone or by returning your completed proxy card(s). Your vote is important no matter how many shares you owned on the Record Date.
Important
You can help your Fund(s) avoid the expense of further proxy solicitation by promptly voting your shares using one of three convenient methods: (a) by accessing the Internet website as described in the enclosed proxy card(s); (b) by calling the toll-free number as described in the enclosed proxy card(s); or (c) by signing, dating and returning the enclosed proxy card(s) in the enclosed postage-paid envelope.
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JOINT PROXY STATEMENT
| Page | ||||
| 2 | ||||
Part I – The Proposal | ||||
| 3 | ||||
Part II | ||||
| 8 | ||||
| 9 | ||||
Further Information About Voting and the Shareholder Meetings | 10 | |||
EXHIBIT |
Exhibit A – Form of Nominating and Governance Committee Charter |
APPENDICES |
Appendix 1 – Director/Trustee and Nominee Information |
Appendix 2 – Board and Committee Meetings; Committee Composition |
Appendix 3 – Board Member Compensation and Fund Ownership |
Appendix 4 – Executive Officers |
Appendix 5 – Total Shares Outstanding |
Appendix 6 – Principal Beneficial Holders |
Appendix 7 – Independent Auditors and Related Fees |
Throughout this Joint Proxy Statement, except where the context indicates otherwise, all references to the “Fund” shall apply to each Fund. A list of the Funds and abbreviations used for each Fund in this Joint Proxy Statement is set forth on the next page.
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| Name of Fund | Abbreviation | |
| AMCAP Fund | AMCAP | |
| American Balanced Fund | AMBAL | |
| American Funds College Target Date Series | AFCTD | |
| American Funds Corporate Bond Fund | CBF | |
| American Funds Developing World Growth and Income Fund | DWGI | |
| American Funds Emerging Markets Bond Fund | EMBF | |
| American Funds Fundamental Investors | FI | |
| American Funds Global Balanced Fund | GBAL | |
| The American Funds Income Series: U.S. Government Securities Fund | GVT | |
| American Funds Inflation Linked Bond Fund | ILBF | |
| American Funds Mortgage Fund | AFMF | |
| American Funds Portfolio Series | AFPS | |
| American Funds Retirement Income Portfolio Series | AFRIS | |
| American Funds Short-TermTax-Exempt Bond Fund | STEX | |
| American Funds Strategic Bond Fund | SBF | |
| American Funds Target Date Retirement Series | AFTD | |
| American FundsTax-Exempt Fund of New York | TEFNY | |
| American FundsTax-Exempt Series II: TheTax-Exempt Fund of California | TEFCA | |
| American Funds U.S. Government Money Market Fund | MMF | |
| American High-Income Municipal Bond Fund | AHIM | |
| American High-Income Trust | AHIT | |
| American Mutual Fund | AMF | |
| The Bond Fund of America | BFA | |
| Capital Income Builder | CIB | |
| Capital World Bond Fund | WBF | |
| Capital World Growth and Income Fund | WGI | |
| EuroPacific Growth Fund | EUPAC | |
| The Growth Fund of America | GFA | |
| The Income Fund of America | IFA | |
| Intermediate Bond Fund of America | IBFA | |
| International Growth and Income Fund | IGI | |
| The Investment Company of America | ICA | |
| Limited TermTax-Exempt Bond Fund of America | LTEX | |
| The New Economy Fund | NEF | |
| New Perspective Fund | NPF | |
| New World Fund, Inc. | NWF | |
| Short-Term Bond Fund of America | STBF | |
| SMALLCAP World Fund, Inc. | SCWF | |
| TheTax-Exempt Bond Fund of America | TEBF | |
| Washington Mutual Investors Fund | WMIF |
With the exception of EUPAC, which is a Massachusetts business trust, and NWF and SCWF, which are Maryland corporations, each of the Funds is a Delaware statutory trust.
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PART I — THE PROPOSAL
Shareholders of each Fund will vote separately on the Proposal. The successful passage of the Proposal as to any Fund is not conditioned on the approval of the Proposal by the shareholders of any other Fund.
THE PROPOSAL:TO ELECT BOARD MEMBERS
The purpose of the Proposal is to elect members of the board of directors/trustees (the “Board”) for each of the Funds. You are being asked to vote for the election of directors or trustees for your Fund(s).
It is intended that the enclosed proxy card(s) will be voted for all nominees (the “nominees”) listed below for the applicable Board unless a proxy contains specific instructions to the contrary. If elected by shareholders, each nominee’s term in office will commence on January 1, 2019 and will continue until his or her resignation, death or disability, or until his or her successor is elected and qualified.
Each nominee has consented to serve on the applicable Board if elected by shareholders. If, however, before the election, any nominee refuses or is unable to serve, proxies may be voted for a replacement nominee, if any, designated by the applicable Board.
Pertinent information about each of the nominees, including information relating to the experience, attributes and skills relevant to the nominee’s qualifications to serve on the Board, is set forth inAppendix 1 to this Joint Proxy Statement. Following is the list of nominees and the Fund(s) for which he or she is standing for election.
| Independent Board Members1 | Funds | |
| Gina F. Adams | WMIF | |
| Elisabeth Allison | EUPAC, NPF, NWF | |
| Charles E. Andrews | WMIF | |
| William H. Baribault | AFCTD, AFPS, AFRIS, AFTD, AMBAL, DWGI, IFA, IGI, Fixed Income Funds2 | |
| Joseph C. Berenato | CIB, FI, GFA, NEF, SCWF, WGI | |
| Joseph J. Bonner | FI, GFA, SCWF | |
| Louise H. Bryson | AMCAP, AMF, FI, GBAL, GFA, ICA, SCWF | |
| Michael C. Camuñez | AMBAL, DWGI, IFA, IGI | |
| Vanessa C. L. Chang | AMBAL, DWGI, EUPAC, IFA, IGI, NPF, NWF | |
| Mary Anne Dolan | AMCAP, AMF, CIB, FI, GBAL, GFA, ICA, NEF, SCWF, WGI | |
| James G. Ellis | AFCTD, AFPS, AFRIS, AFTD, AMCAP, AMF, GBAL, ICA, Fixed Income Funds2 | |
| Nariman Farvardin | AFCTD, AFPS, AFRIS, AFTD, WMIF , Fixed Income Funds2 | |
| John G. Freund | CIB, FI, GFA, NEF, SCWF, WGI | |
| Pablo R. González Guajardo | AMCAP, AMF, EUPAC, GBAL, ICA, NPF, NWF |
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| Independent Board Members1 | Funds | |
| Yvonne L. Greenstreet | FI, GFA, SCWF | |
| Pedro J. Greer, Jr. | CIB, NEF, WGI | |
| Linda Griego | AMBAL, DWGI, FI, GFA, IFA, IGI, SCWF | |
| Mary Davis Holt | AFCTD, AFPS, AFRIS, AFTD, WMIF, Fixed Income Funds2 | |
| R. Clark Hooper | AFCTD, AFPS, AFRIS, AFTD, CIB, NEF, WGI, WMIF, Fixed Income Funds2 | |
| Merit E. Janow | AFCTD, AFPS, AFRIS, AFTD, CIB, NEF, WGI, Fixed Income Funds2 | |
| Leonade D. Jones | AMBAL, CIB, DWGI, FI, GFA, IFA, IGI, NEF, SCWF, WGI | |
| William D. Jones | AMBAL, AMCAP, AMF, DWGI, GBAL, ICA, IFA, IGI | |
| Martin E. Koehler | EUPAC, NPF, NWF | |
| Earl Lewis, Jr. | CIB, NEF, WGI | |
| John C. Mazziotta | AMCAP, AMF, GBAL, ICA | |
| William R. McLaughlin | AMCAP, AMF, GBAL, ICA | |
| Sharon I. Meers | FI, GFA, SCWF | |
| Pascal Millaire | EUPAC, NPF, NWF | |
| William I. Miller | EUPAC, NPF, NWF | |
| Laurel B. Mitchell | AFCTD, AFPS, AFRIS, AFTD, WMIF, Fixed Income Funds2 | |
| Donald L. Nickles | WMIF | |
| Alessandro Ovi | EUPAC, NPF, NWF | |
| James J. Postl | AMBAL, DWGI, IFA, IGI | |
| Josette Sheeran | AMBAL, DWGI, EUPAC, IFA, IGI, NPF, NWF | |
| Kenneth M. Simril | AMCAP, AMF, FI, GBAL, GFA, ICA, SCWF | |
| John Knox Singleton | WMIF | |
| Margaret Spellings | AFCTD, AFPS, AFRIS, AFTD, AMBAL, DWGI, IFA, IGI, WMIF, Fixed Income Funds2 | |
| Isaac Stein | AMBAL, DWGI, IFA, IGI | |
| Christopher E. Stone | CIB, FI, GFA, NEF, SCWF, WGI | |
| Lydia Waters Thomas | WMIF | |
| Alexandra Trower | AFCTD, AFPS, AFRIS, AFTD, Fixed Income Funds2 | |
| Kathy J. Williams | AMCAP, AMF, GBAL, ICA | |
| Amy Zegart | EUPAC, NPF, NWF | |
| Interested Board Members3 | Funds | |
| Hilda L. Applbaum | AMBAL, DWGI, IFA, IGI | |
| Alan N. Berro | WMIF | |
| Brady L. Enright | FI, GFA, SCWF | |
| Michael C. Gitlin | AFCTD, AFPS, AFRIS, AFTD, Fixed Income Funds2 | |
| Gregory D. Johnson | AMBAL, DWGI, IFA, IGI | |
| Joanna F. Jonsson | EUPAC, NPF, NWF |
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| Interested Board Members3 | Funds | |
| Carl M. Kawaja | EUPAC, NPF, NWF | |
| Winnie Kwan | CIB, NEF, WGI | |
| Sung Lee | CIB, NEF, WGI | |
| Anne-Marie Peterson | FI, GFA, SCWF | |
| William L. Robbins | AMCAP, AMF, GBAL, ICA | |
| Eric H. Stern | WMIF | |
| James Terrile | AMCAP, AMF, GBAL, ICA | |
| Bradley J. Vogt | AFCTD, AFPS, AFRIS, AFTD | |
| Karl J. Zeile | Fixed Income Funds2 |
| 1 | The term “independent” Board member refers to a Board member who is not an “interested person” of the Fund within the meaning of the Investment Company Act of 1940 (the “1940 Act”). Each “independent” Board nominee was nominated by the applicable Fund’s current “independent” members. |
| 2 | Fixed Income Funds are AFMF, AHIM, AHIT, BFA, CBF, EMBF, GVT, IBFA, ILBF, LTEX, MMF, SBF, STBF, STEX, TEBF, TEFCA, TEFNY and WBF. |
| 3 | Board member affiliated with Capital Research and Management Company (“CRMC”) or its affiliates. |
The following current Independent Directors (defined below) are planning to retire from their respective Board(s) at the end of 2018: Leonard R. Fuller (AFCTD, AFPS, AFRIS, AFTD, AMCAP, AMF, Fixed Income Funds, GBAL and ICA) and Frank M. Sanchez (AFCTD, AFPS, AFRIS, AFTD and Fixed Income Funds). These Board members will remain on their respective Board(s) until their retirement (or, if later, until their respective successors are elected and qualified) but will not stand for election at the upcoming Shareholder Meetings. Pertinent information about each of these Board members is included inAppendix 1 to this Joint Proxy Statement.
THE BOARD OF EACH OF THE RESPECTIVE FUNDS RECOMMENDS THAT YOU VOTE “FOR” EACH OF THE NOMINEES FOR YOUR FUND(S).
PROXIES WILL BE VOTED “FOR” THE ELECTION OF THE NOMINEES, UNLESS OTHERWISE SPECIFIED.
Board leadership structure
The chair of each Board is currently an independent director/trustee who is not an “interested person” of his or her applicable Fund within the meaning of the 1940 Act (an “Independent Director”). The Boards have determined that an independent chair facilitates oversight and enhances the effectiveness of the Boards. Each independent chair’s duties include, without limitation, generally presiding at meetings of the respective Board, approving Board meeting schedules and agendas, leading meetings of the Independent Directors in executive session, facilitating communication with committee chairs and serving as the principal Independent Director contact for Fund management and counsel to the Independent Directors and the Fund.
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Board role in risk oversight
The operations of each Fund are supervised by its Board, which meets periodically and performs duties required by applicable state and federal laws.Day-to-day management of each Fund, including risk management, is the responsibility of the Fund’s contractual service providers, including the Fund’s investment adviser, principal underwriter/distributor and transfer agent. Each of these entities is responsible for specific portions of the Fund’s operations, including the processes and associated risks relating to the Fund’s investments, integrity of cash movements, financial reporting, operations and compliance. The Boards oversee the service providers’ discharge of their responsibilities, including the processes they use to manage relevant risks. In that regard, the Boards receive reports regarding the operations of a Fund’s service providers, including risks. For example, the Boards receive reports from investment professionals regarding risks related to a Fund’s investments and trading. The Boards also receive compliance reports from the chief compliance officers of the Funds and CRMC addressing certain areas of risk.
As described in greater detail below, each Board has organized three standing committees, each of which is comprised entirely of Independent Directors: an audit committee, a contracts committee and a nominating and governance committee. Those committees, as well as joint committees of Independent Directors of the Funds, also explore risk management procedures in particular areas and report back to the full Board.
Not all risks that may affect the Funds can be identified or processes and controls developed to eliminate or mitigate their effect. Moreover, it is necessary to bear certain risks (such as investment-related risks) to achieve a Fund’s objectives. As a result of the foregoing and other factors, the ability of the Funds’ service providers to eliminate or mitigate risks is subject to limitations.
Board committees and membership
Each Board member serving on a committee was an “Independent Director” during such Fund’s most recent fiscal year. The current membership for each committee is set forth inAppendix 2 to this Joint Proxy Statement. If the nominees are elected, each Board may reconstitute its committees; however, each Board expects that only Independent Directors will continue to comprise the committees.
Each Fund has an audit committee composed of certain Independent Directors. The audit committee provides oversight regarding the Fund’s accounting and financial reporting policies and practices, its internal controls and the internal controls of the Fund’s principal service providers. The audit committee acts as a liaison between the Fund’s independent registered public accounting firm and its full Board.
Each Fund has a contracts committee composed of all of the Board’s Independent Directors. The contracts committee’s principal function is to request, review and consider the information deemed necessary to evaluate the terms of certain agreements between the Fund and its investment adviser or the investment adviser’s affiliates, such as the Investment Advisory and Service Agreement, Principal
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Underwriting Agreement, Administrative Services Agreement and Plans of Distribution under Rule12b-1 adopted under the 1940 Act, that the Fund may enter into, renew or continue, and to make recommendations to the Fund’s full Board on these matters.
Each Fund has a nominating and governance committee composed of certain Independent Directors. The nominating and governance committee operates under a written charter, a form of which is set forth inExhibit A to this Joint Proxy Statement. The nominating and governance committee periodically reviews such issues as the Board’s composition, responsibilities, committees, compensation and other relevant issues, and recommends any appropriate changes to the full Board. The nominating and governance committee also coordinates annual self-assessments of each Fund’s Board and evaluates, selects and nominates Independent Directors to the full Board. While the nominating and governance committee of each Fund normally is able to identify from its own and other resources an ample number of qualified candidates, it will consider shareholder suggestions of persons to be considered as nominees to fill future vacancies on the Board. Such suggestions must be made in writing to the nominating and governance committee of the Fund, addressed to the Fund’s secretary, and accompanied by complete biographical and occupational data of the prospective nominee, along with a written consent of the prospective nominee for consideration of his or her name by the nominating and governance committee (see also the section of this Joint Proxy Statement titled “Shareholder Proposals”).
Board member compensation and Fund ownership
Compensation paid to each Independent Director for the Fund(s) he or she oversees as a Board member, during the most recent fiscal year for each Fund, is set forth inAppendix 3 to this Joint Proxy Statement. The value of Fund shares owned by each Director or nominee in the Fund(s) he or she oversees, or would oversee, as a Board member as of June 30, 2018, is also set forth inAppendix 3 to this Joint Proxy Statement. No compensation is paid by the Fund to any Director who is affiliated with the investment adviser. No pension or retirement benefits are accrued to any nominee as part of Fund expenses.
Other officers
Set forth inAppendix 4 to this Joint Proxy Statement are the executive officers of each Fund as of the date of this Joint Proxy Statement. Each officer listed was appointed and each will hold office until his or her resignation, removal or retirement, or until a successor is duly elected and qualified.
No officer, director or employee of CRMC receives any remuneration from any Fund.
Board correspondence
The Funds do not hold annual meetings of shareholders and, therefore, do not have a policy with regard to Board member attendance at such meetings. If a shareholder wishes to send a communication to any of the Boards, or to a specified Board member, the communication should be submitted in writing to the Secretary of the applicable Fund(s) at 333 South Hope Street, 55th Floor, Los Angeles, California 90071, who will forward such communication to the applicable Board member(s).
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PART II
ADDITIONAL INFORMATION ABOUT THE FUNDS
THE INVESTMENT ADVISER. CRMC, an experienced investment management organization founded in 1931, serves as investment adviser to each Fund. CRMC is a wholly owned subsidiary of The Capital Group Companies, Inc. and is located at 333 South Hope Street, Los Angeles, CA 90071. CRMC manages the investment portfolios and business affairs of each Fund pursuant to an Investment Advisory and Service Agreement with the Fund.
THE UNDERWRITER. American Funds Distributors, Inc., a wholly owned subsidiary of CRMC, is the principal underwriter of the Funds’ shares. American Funds Distributors, Inc. is located at 333 South Hope Street, Los Angeles, CA 90071; 6455 Irvine Center Drive, Irvine, CA 92618; 3500 Wiseman Boulevard, San Antonio, TX 78251; and 12811 N. Meridian Street, Indianapolis, IN 46032.
THE TRANSFER AGENT. American Funds Service Company, a wholly owned subsidiary of CRMC, maintains the records of shareholder accounts, processes purchases and redemptions of the Funds’ shares, acts as dividend and capital gain distribution disbursing agent, and performs other related shareholder service functions for each Fund. The principal office of American Funds Service Company is located at 6455 Irvine Center Drive, Irvine, CA 92618. In the case of certain shareholder accounts, third parties who may be unaffiliated with the investment adviser provide transfer agency and shareholder services in place of American Funds Service Company. These services are rendered under agreements with American Funds Service Company, or its affiliates, and the third parties receive compensation in accordance with the terms of such agreements.
THE CUSTODIAN. State Street Bank and Trust Company, One Lincoln Street, Boston, MA 02111, is the custodian for the cash and securities of AFCTD, FI, GFA, NEF and SCWF. Bank of New York Mellon, One Wall Street, New York, NY 10286, is the custodian for the cash and securities of AFMF, AFRIS, CBF, DWGI, EMBF, GBAL, ILBF, and TEFNY. JP Morgan Chase Bank N.A., 270 Park Avenue, New York, NY 10017, is the custodian for the cash and securities of each of the other Funds.
OTHER MATTERS. Each Fund’s last audited financial statements and most recent annual and semi-annual reports are available free of charge. Copies of these documents can be obtained by writing to the secretary of the Fund at 333 South Hope Street, Los Angeles, CA 90071 or by calling American Funds Service Company, toll free, at (800)421-4225.
SHAREHOLDERS SHARING THE SAME ADDRESS. If two or more shareholders share the same address, only one copy of this proxy statement is being delivered to that address, unless the Funds have received contrary instructions from one or more of the shareholders at that shared address. Upon written or oral request, the Funds will deliver promptly a separate copy of this proxy statement to a shareholder at a shared address. Please call American Funds Service Company at (800)421-4225 or write to the secretary of the Fund at 333 South Hope Street, Los Angeles, CA 90071 if you would like to (1) receive a separate copy of this proxy statement; (2) receive your
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annual or semi-annual reports or proxy statements separately in the future; or (3) request delivery of a single copy of annual or semi-annual reports or proxy statements if you are currently receiving multiple copies at a shared address.
PRINCIPAL SHAREHOLDERS. The outstanding shares and classes of each Fund as of June 30, 2018 were as set forth inAppendix 5.
Each Fund’s shareholders who are known by the Fund to have been the beneficial owners of more than 5% of any class of the Fund’s shares as of June 30, 2018 are set forth inAppendix 6.
As of June 30, 2018, the officers and directors/trustees of each Fund, as a group, owned of record and beneficially less than 1% of the outstanding voting securities of such Fund.
AUDIT COMMITTEE AND INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. Each Fund’s Audit Committee acts as the liaison between the full Board and the Fund’s independent registered public accounting firm (“auditors”). The Audit Committee of each Fund is responsible for the appointment, compensation and retention of the Fund’s auditors, including evaluating their independence, recommending the selection of the Fund’s auditors to the full Board, and meeting with such auditors to consider and review matters relating to the Fund’s financial reports and internal accounting. The members of each Fund’s Audit Committee, all of whom are Independent Directors, are indicated inAppendix 2.
SELECTION OF AUDITORS. The Audit Committee and the Board of each Fund have selected either Deloitte & Touche LLP (“D&T”) or PricewaterhouseCoopers LLP (“PwC”), as indicated inAppendix 7, as auditors of such Fund for the current fiscal year. The Funds do not expect representatives of D&T or PwC to be present at the Shareholder Meetings; however, representatives of D&T and/or PWC will have the opportunity to make a statement if they wish and will be available should any matter arise requiring their presence.
AUDIT FEES. The aggregate fees paid to D&T or PwC by each Fund for professional services rendered for the audit of the Fund’s annual financial statements or for services that are normally provided in connection with statutory and regulatory filings or engagements for the Fund’s last two fiscal years are set forth inAppendix 7.
AUDIT-RELATED FEES. The aggregate fees paid to D&T or PwC by each Fund for assurance and other services rendered that are reasonably related to the performance of the audit or review of the Fund’s financial statements for the Fund’s last two fiscal years and not reported under “Audit Fees” above are set forth inAppendix 7.
TAX FEES. The aggregate fees paid to D&T or PwC by each Fund for tax compliance, tax advice or tax planning services (“tax services”) rendered by D&T or PwC to a Fund for that Fund’s last two fiscal years are set forth inAppendix 7. The tax services for which these fees were paid related to the preparation of the Fund’s tax returns.
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ALL OTHER FEES. The Funds did not pay any fees for products or services provided by D&T or PwC to the Funds, other than those reported above, for each Fund’s last two fiscal years.
AGGREGATENON-AUDIT FEES. The aggregate fees paid to D&T or PwC by each Fund fornon-audit services provided to such Fund, to CRMC and to any entity controlling, controlled by, or under common control with CRMC that provide ongoing services to the Fund for each Fund’s last two fiscal years are set forth inAppendix 7. The Audit Committee of each Fund has determined that the provision of suchnon-audit services, includingtax-related services, to CRMC and to any entities controlling, controlled by, or under common control with CRMC that provide ongoing services to the Fund is compatible with maintaining D&T’s or PwC’s independence.
AUDIT COMMITTEEPRE-APPROVAL POLICIES AND PROCEDURES. The Audit Committee of each Fund has adoptedpre-approval policies and procedures that require all audit, audit-related, tax and other services provided by D&T or PwC bepre-approved by the Audit Committee. The Audit Committee of each Fund has further delegated the authority to review andpre-approve such fees for services not to exceed an aggregate amount of $5,000 to the Audit Committee Chair, provided the Audit Committee Chair reports such matters to the full Audit Committee at its next meeting.
FURTHER INFORMATION ABOUT VOTING AND THE SHAREHOLDER MEETINGS
SOLICITATION OF PROXIES. Your vote is being solicited by, and on behalf of, the Directors of each Fund. The cost of soliciting proxies, including the fees of a proxy soliciting agent, will be borne by the Funds. The Funds reimburse brokerage firms and others for their expenses in forwarding proxy material to the beneficial owners and soliciting them to execute proxies. The Funds have engaged Computershare Fund Services (“Computershare”), a professional proxy solicitation firm, to solicit proxies from brokers, banks, other institutional holders and individual shareholders. We estimate the total costs associated with obtaining shareholder approval of the Proposal, including printing and mailing of this Joint Proxy Statement and solicitation of shareholders’ votes, will average across all Funds less than $1.00 per shareholder account. The Funds expect that the solicitation will be primarily by mail, but may also include telephone, facsimile, electronic or other means of communication. If your Fund does not receive your proxy by a certain time you may receive a telephone call from Computershare asking you to vote. In any case, Computershare will be: (i) required to maintain the confidentiality of all shareholder information; (ii) prohibited from selling or otherwise disclosing shareholder information to any third party; and (iii) required to comply with applicable state telemarketing laws. The Fund does not reimburse Directors and officers of the Fund or regular employees and agents of CRMC involved in the solicitation of proxies. The Funds intend to pay all costs associated with the solicitation and the Shareholder Meetings. Such costs will be allocated among the Funds.
VOTING BY BROKER-DEALERS. The Funds expect that, before the Shareholder Meetings, broker-dealer firms holding shares of the Funds in “street name” for their
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customers will request voting instructions from their customers and beneficial owners. If these instructions are not received by the date specified in the broker-dealer firms’ proxy solicitation material, the Funds understand that broker-dealers may vote on the Proposal on behalf of their customers and beneficial owners. Certain broker-dealers may exercise discretion over shares held in their name for which no instructions are received by voting these shares in the same proportion as they vote shares for which they received instructions.
QUORUM. Holders of a majority of the outstanding shares of EUPAC and holders ofone-third of the outstanding shares of every other Fund, present in person or represented by proxy, constitute a quorum at the applicable Shareholder Meeting for purposes of acting upon the Proposal with respect to that Fund. Proxies returned with respect to shares over which broker-dealers have discretionary voting power, shares that represent “brokernon-votes” (i.e., shares held by brokers or nominees as to which (i) instructions have not been received from the beneficial owners or persons entitled to vote and (ii) the broker or nominee does not have discretionary voting power on a particular matter), and shares whose proxy instructions reflect an abstention will all be counted as shares present and entitled to vote for purposes of determining whether the required quorum of shares exists.
METHOD OF TABULATION. Except for EUPAC, approval of the Proposal as to each Fund requires the affirmative vote of a plurality of the votes cast in person or by proxy at the applicable Shareholder Meeting. It is expected that, as to each of these Funds, the Proposal will be approved and each nominee to the respective Board will be elected. Under a plurality voting standard, the nominee receiving the greatest number of affirmative votes will be elected for the board seat for which he or she has been nominated, regardless of whether the nominee receives a majority of the votes cast. In other words, a majority of a Fund’s shareholders could withhold approval of a nominee’s election, but, so long as a quorum is present, the nominee could be elected with a single “FOR” vote so long as no other person receives any “FOR” votes. Because a single nominee has been nominated for each available Board seat and because each nominee is running unopposed, provided a quorum is present, each nominee for each Fund (other than EUPAC) is expected to be elected.
For EUPAC, approval of the Proposal requires the affirmative vote of a majority of the votes cast in person or by proxy at the Shareholder Meeting of the Fund.
Abstentions and brokernon-votes will be treated as votes present at the Shareholder Meetings, but will not be treated as votes cast. Abstentions and brokernon-votes, therefore, will have no effect on the Proposal. Proxy cards that are signed and dated, but not completed, will be voted “FOR” each of the nominees for the applicable Fund(s).
ADJOURNMENT. With respect to any Fund, whether or not a quorum is present, the Shareholder Meeting may be adjourned by a majority of the votes properly cast upon the question of adjourning the Shareholder Meeting to another date and time. For each Fund (other than EUPAC, NWF and SCWF), the Shareholder Meeting may also be adjourned to another date and time by, or upon the authority of, the Chairman of the Board or the Directors of the Fund. For EUPAC, NWF and SCWF, the
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Shareholder Meeting may also be adjourned to another date, time or place by the Chairman of the meeting. Such authority to adjourn the Shareholder Meeting may be exercised if a quorum is not present at the Shareholder Meeting, or, if a quorum is present but sufficient votes have not been received to approve the Proposal or for any other reason consistent with applicable laws and the Fund’s charter, bylaws or other governing documents, including to allow for the further solicitation of proxies. Any adjournment may be made with respect to any business which might have been transacted at such Shareholder Meeting, and any adjournment will not delay or otherwise affect the effectiveness and validity of any business transacted at the Shareholder Meeting prior to adjournment. Unless otherwise instructed by a shareholder granting a proxy, the persons designated as proxies may use their discretionary authority to vote as instructed by management of the Fund on questions of adjournment and on any other proposals raised at the Shareholder Meeting to the extent permitted by federal proxy rules, including proposals for which management of the Fund did not have timely notice.
SHAREHOLDER PROPOSALS. The Funds are not required and do not intend to hold regular annual meetings of shareholders. A shareholder who wishes to submit a proposal for consideration for inclusion in a Fund’s proxy statement for its next meeting of shareholders should send a written proposal to the Fund’s office at 333 South Hope Street, Los Angeles, CA 90071, Attention: Secretary, so that it is received within a reasonable time in advance of such meeting in order to be included in the Fund’s proxy statement and proxy card relating to that meeting and presented at the meeting. A shareholder proposal may be presented at a meeting of shareholders only if such proposal concerns a matter that may be properly brought before the meeting under applicable federal proxy rules, state law and other governing instruments. Submission of a proposal by a shareholder does not guarantee that the proposal will be included in a Fund’s proxy statement or presented at the meeting.
REVOKING YOUR PROXY. Your latest vote is the one that counts. Therefore, you can revoke a prior proxy simply by voting again — via the Internet, with your proxy card, or by toll-free telephone call. You can also revoke a prior proxy by writing to the Fund’s secretary at 333 South Hope Street, Los Angeles, CA 90071 or by voting in person at the Shareholder Meeting. You may revoke your proxy at any time up until voting results are announced at the Shareholder Meeting.
OTHER BUSINESS. No business other than the matter described above is expected to come before the Shareholder Meetings, but should any other matter requiring a vote of any Fund’s shareholders arise, including any questions as to an adjournment or postponement of a Shareholder Meeting, the persons designated as proxies named on the enclosed proxy card will vote on such matters in accordance with the views of management.
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By Order of the Board, | ||
Jennifer L. Butler | ||
Secretary, WMIF | ||
Steven I. Koszalka | ||
| Secretary, AFCTD, AFMF, AFPS, AFRIS, AFTD, AHIM, AHIT, BFA, CBF, EMBF, GVT, IBFA, ILBF, LTEX, MMF, SBF, STBF, STEX, TEBF, TEFCA, TEFNY and WBF | ||
Laurie D. Neat | ||
| Secretary, AMCAP, AMF, GBAL and ICA | ||
Michael W. Stockton | ||
| Secretary, AMBAL, CIB, DWGI, EUPAC, FI, GFA, IFA, IGI, NEF, NPF, NWF, SCWF and WGI | ||
August 31, 2018
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EXHIBIT
Exhibit A – Form of Nominating and Governance Committee Charter | A-1 |
APPENDICES
Appendix 1 – Director/Trustee and Nominee Information | 1-1 | |||
Appendix 2 – Board and Committee Meetings; Committee Composition | 2-1 | |||
Appendix 3 – Board Member Compensation and Fund Ownership | 3-1 | |||
Appendix 4 – Executive Officers | 4-1 | |||
Appendix 5 – Total Shares Outstanding | 5-1 | |||
Appendix 6 – Principal Beneficial Holders | 6-1 | |||
Appendix 7 – Independent Auditors and Related Fees | 7-1 |
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EXHIBIT A
FORM OF
NOMINATING AND GOVERNANCE COMMITTEE CHARTER
| I. | COMMITTEE ORGANIZATION |
The Nominating and Governance Committee (the “Committee”), a committee established by the Board of Directors/Trustees (the “Board”) of the Fund/Trust, will be comprised solely of members of the Board who are not considered “interested persons” of the Fund/Trust under the Investment Company Act of 1940 (the “Act”), and who are otherwise independent. To be considered independent a member may not, other than in his or her capacity as a member of the Board, the Committee or any other committee of the Board, accept any consulting, advisory or other compensatory fee from the Fund/Trust, or be a former officer or director of Capital Research and Management Company (“CRMC”) or any of its affiliates.
The Board will appoint the members of the Committee. If the Board has not designated a Chair of the Committee, the Committee members may designate a Chair by majority vote of all members. The Committee will be composed of at least three independent board members. The Fund’s/Trust’s Secretary will serve as Secretary of the Committee.
The Committee will meet with the frequency, and at the times, determined by the Committee Chair or a majority of Committee members. Under normal circumstances, the Committee is expected to meet at least annually. The Chair will cause notice of each meeting, together with the agenda and any related material, to be sent to each member, normally at least one week before the meeting. The Chair will cause minutes of each Committee meeting to be prepared and distributed to Committee members promptly. The Committee may ask independent legal counsel, representatives of CRMC or others to attend Committee meetings and provide pertinent information as necessary or desirable. The Committee may also meet in executive session.
| II. | DUTIES AND RESPONSIBILITIES |
The Committee will:
| (a) | Evaluate the size and composition of the Board, and formulate policies and objectives concerning the desired mix of independent board member skills and characteristics. In doing so, the Committee will take into account all factors it considers relevant, including experience, demonstrated capabilities, independence, commitment, reputation, background, understanding of the investment business and understanding of business and financial matters generally. Where feasible and appropriate, the Committee will seek to enhance the diversity of Board membership. The Committee will also consider Board member succession issues. |
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| (b) | Identify and screen independent board member candidates for appointment to the Board, and submit final recommendations to the full Board for approval.1 The Committee will, in identifying and screening candidates, consider any policies and objectives it has previously formulated concerning independent board member skills and characteristics. |
| (c) | Review independent board member compensation at least every two years, and expense-reimbursement policies as appropriate. The Committee will make recommendations on these matters to the full Board.2 |
| (d) | Review material, including information drawn from independent board member questionnaires, relating to positions, transactions and relationships that could reasonably bear on the independence of board members or raise concerns regarding potential conflicts of interest. |
| (e) | Make recommendations to the full Board concerning the appointment of the Chairman and Vice Chairman of the Board. |
| (f) | Make recommendations to the full Board concerning the appointment of independent board members to the Board’s committees. The Committee may make recommendations to the full Board concerning the appointment of the Chair of each Board committee and periodic changes in those appointments and designations.3 |
| (g) | Periodically consider the responsibilities of Board committees, the continuing need for each committee, the possible need for additional committees, and the desirability of combining or reorganizing committees, and make recommendations to the full Board with respect to such matters. |
| (h) | Participate in discussions regarding the annual assessment of the Board’s performance and review, discuss and make recommendations to the Board relating to those issues arising from such assessment. |
| (i) | Consider governance-related matters and recommend to the Board any actions related to such matters as the Committee may deem necessary or advisable from time to time. |
| 1 | Committee members are encouraged to be alert to potential candidates on an ongoing basis, so that a pool of prospects is available for consideration when needs arise. As part of the identification and screening process, the Committee may consider candidates CRMC suggests, and may involve CRMC representatives in screening candidates. However, the decision to approve candidates for submission to the Board will be made exclusively by the Committee. |
| 2 | Board member compensation recommendations may take into account the size of the Fund, the demands placed on the independent board members, the practices of other mutual fund groups, the need to attract and retain qualified independent board members, any relevant regulatory or judicial developments, and other considerations deemed appropriate by the Committee. |
| 3 | Recommendations in this area will be made after consideration of all relevant factors, including the desires and capacities of individual board members, and their roles on the boards and board committees of other funds managed by CRMC. Formal term limits for committee members or Chairs are not necessary, but the Committee will periodically consider their terms of service and the possible desirability of changes. |
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| III. | AUTHORITY AND RESOURCES |
The Committee will have the resources and authority appropriate to discharge its responsibilities, including, among other things, the authority to retain a search firm to assist the Committee in identifying, screening and attracting independent board members.
Independent legal counsel to the independent board members will serve as independent legal counsel to the Committee.
| IV. | POLICIES AND PROCEDURES |
The Committee’s policies and procedures may change from time to time to reflect new or evolving business conditions or nominating committee practices. In meeting its responsibilities, the Committee is expected to:
| (a) | Provide oversight regarding the orientation of new independent board members.4 The Committee Chair will designate an experienced independent board member to assist, and be available to, each new independent board member during his or her first year of service on the Board. |
| (b) | Consider, at such times as the Committee may deem appropriate, whether the composition of the Board and of its committees reflect an appropriate blend of skills, backgrounds and experience, in relation to the goal of maximizing their effectiveness. The Committee may also consider the effectiveness of meetings, including their frequency, scheduling and duration, adequacy and focus of agendas, and material and presentations, and, as appropriate, Board member attendance. |
| (c) | Periodically review and reassess the adequacy of this Charter, and recommend to the full Board any changes deemed advisable. |
| 4 | It is expected that orientation material will be provided to each new board member and one or more orientation sessions arranged. These sessions should be geared towards providing a working knowledge of the duties and obligations of mutual fund board members and their role in overseeing mutual fund investments and operations. Orientation sessions may be facilitated by or include members of the Committee, representatives of CRMC and/or independent legal counsel, as appropriate. New independent board members are encouraged to participate in other educational opportunities, including those provided by the Investment Company Institute. |
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APPENDIX 1
Director/Trustee and Nominee Information
Each Fund’s nominating and governance committee and Board select nominees with a view toward constituting a Board that, as a body, possesses the qualifications, skills, attributes and experience to appropriately oversee the actions of the Fund’s service providers, decide upon matters of general policy and represent the long-term interests of Fund shareholders. In doing so, they consider the qualifications, skills, attributes and experience of the current Board members, with a view toward maintaining a Board that is diverse in viewpoint, experience, education and skills.
Each Fund seeks nominees who have high ethical standards and the highest levels of integrity and commitment, who have inquiring and independent minds, mature judgment, good communication skills, and other complementary personal qualifications and skills that enable them to function effectively in the context of the Fund’s board and committee structure and who have the ability and willingness to dedicate sufficient time to effectively fulfill their duties and responsibilities.
Each nominee has a significant record of accomplishments in governance, business,not-for-profit organizations, government service, academia, law, accounting or other professions. Although no single list could identify all experience upon which the Fund’s Independent Directors draw in connection with their service, the following table summarizes key experience for each nominee. These references to the qualifications, attributes and skills of the nominees are pursuant to federal proxy disclosure requirements, and shall not be deemed to impose any greater responsibility or liability on any nominee, director/trustee or the Board as a whole. Notwithstanding the accomplishments listed below, none of the nominees is considered an “expert” within the meaning of the federal securities laws with respect to information in this Joint Proxy Statement.
Nominee name and year of birth | Position with the Fund (year first elected2) | Principal occupation(s) during past five years | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five | ||||||
Independent Director/Trustee1 | ||||||||||
Gina F. Adams 1958 | Nominee: WMIF | Senior Vice President, Government Affairs, FedEx Corporation (transportation/logistics company) | 1 | None | ||||||
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Nominee name and year of birth | Position with the Fund (year first elected2) | Principal occupation(s) during past five years | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five | ||||||
Elisabeth Allison 1946 | Director: NWF (1999) Trustee: EUPAC (1991); | Trustee,Co-Director, The Stanton Foundation | 3 | None | ||||||
Charles E. Andrews 1952 | Trustee: WMIF (2013) | Board Member and Advisor, MorganFranklin Consulting (business consulting and technology solutions); Consultant and corporate director; former CEO, MorganFranklin Consulting | 1 | Marriott Vacations Worldwide Corporation; NVR, Inc. Former director of WashingtonFirst Bankshares, Inc. (until 2017) | ||||||
William H. Baribault 1945 | Trustee: AFTD (2009); AFMF, AHIM, AHIT, BFA, GVT, IBFA, LTEX, MMF, STBF, STEX, TEBF, TEFCA, TEFNY, WBF (2010); AFCTD, AFPS, AMBAL, CBF, IFA, IGI, ILBF (2012); DWGI (2013); AFRIS, EMBF, SBF (2015) | CEO and President, Richard Nixon Foundation; Chairman of the Board and CEO, Oakwood Enterprises (private investment and consulting) | 81 | General Finance Corporation | ||||||
Joseph C. Berenato 1946 | Chairman of the Board: NEF (2000); CIB, WGI (2005); Director: SCWF (2000) Trustee: FI, GFA (2003) | Former Chairman and CEO, Ducommun Incorporated (aerospace components manufacturer) | 16 | Former director of Ducommun Incorporated (until 2017) | ||||||
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Nominee name and year of birth | Position with the Fund (year first elected2) | Principal occupation(s) during past five years | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five | ||||
Joseph J. Bonner 1955 | Nominee: FI, GFA, SCWF | President and CEO, Solana Beach Capital LLC (real estate advisory); Board Member, USAA Real Estate (real estate investment management); Advisory Board Member, Everwest Real Estate Partners (real estate investment management); Global Head of Real Estate, Board Member, The Interlink Group (private merchant bank); Chief Investment Officer, Mubadala Pramerica Real Estate Investors (real estate investment management) | 3 | None | ||||
Louise H. Bryson 1944 | Trustee: ICA (1999), FI, GFA (2008); AMCAP, AMF, Director: SCWF (2010) | Chair Emerita of the Board of Trustees, J. Paul Getty Trust; former President, Distribution, Lifetime Entertainment Network (retired 2008); former Executive Vice President and General Manager, Lifetime Movie Network (retired 2008) | 7 | None |
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Nominee name and year of birth | Position with the Fund (year first elected2) | Principal occupation(s) during past five years | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five | ||||
Michael C. Camuñez 1969 | Nominee: AMBAL, DWGI, IFA, IGI | President and CEO, Monarch Global Strategies LLC, previously ManattJones Global Strategies (international consulting); Former Assistant Secretary of Commerce, U.S. Department of Commerce | 4 | Edison International/ Southern California Edison | ||||
Vanessa C. L. Chang 1952 | Trustee: NPF (2000); EUPAC (2005); AMBAL, IFA, IGI (2012); DWGI (2013) Director: NWF (2005) | Former Director, EL & EL Investments (real estate) | 17 | Edison International; Sykes Enterprises; Transocean Ltd. | ||||
Mary Anne Dolan 1947 | Chairman of the Board: SCWF (2008); FI, GFA (2010); Trustee: AMF (1993); AMCAP (1998); ICA (2000); NEF (2008); CIB, GBAL, WGI (2010) | Founder and President, MAD Ink (communications company); formerEditor-in-Chief, The Los Angeles Herald Examiner (retired 1989) | 10 | None | ||||
James G. Ellis 1947 | Trustee: AHIM, AHIT, BFA, GVT, IBFA, LTEX, STBF, TEBF, TEFCA, WBF (2006); ICA (2008); MMF, STEX (2009); AFMF, AFTD, AMCAP, AMF, GBAL, TEFNY (2010); AFCTD, AFPS, CBF, ILBF (2012); AFRIS, EMBF, SBF (2015) | Dean and Professor of Marketing, Marshall School of Business, University of Southern California | 91 | Mercury General Corporation Former director of Quiksilver, Inc. (until 2014) |
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Nominee name and year of birth | Position with the Fund (year first elected2) | Principal occupation(s) during past five years | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five | ||||
Nariman Farvardin 1956 | Trustee: WMIF (2007); AFCTD, AFMF, AFPS, AFRIS, AFTD, AHIM, AHIT, BFA, CBF, EMBF, GVT, IBFA, ILBF, LTEX, MMF, SBF, STBF, STEX, TEBF, TEFCA, TEFNY, WBF (2018) | President, Stevens Institute of Technology | 78 | Former director of JPMorgan Value Opportunities Fund, Inc. (until 2014) | ||||
John G. Freund, MD 1953 | Director: SCWF (2000) Trustee: FI, GFA (2010); CIB, WGI, NEF (2016) | Founder and Managing Director, Skyline Ventures (a venture capital investor in health care companies) | 6 | Collegium Pharmaceutical, Inc.; Proteon Therapeutics, Inc.; Tetraphase Pharmaceuticals, Inc. Former director of MAKO Surgical Corporation (until 2013); Concert Pharmaceuticals, Inc. (until 2015); XenoPort, Inc. (until 2016) | ||||
Leonard R. Fuller5 1946 | Trustee: AHIM, AHIT, BFA, GVT, IBFA, LTEX, TEBF, TEFCA, WBF (1994); STEX (1995); ICA (2002); STBF (2006); AFTD (2007); MMF (2009); AFMF, AMCAP, AMF, GBAL, TEFNY (2010); AFCTD, AFPS, CBF, ILBF (2012); AFRIS, EMBF, SBF (2015) | Private investor; former President and CEO, Fuller Consulting (financial management consulting) | None | None |
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Nominee name and year of birth | Position with the Fund (year first elected2) | Principal occupation(s) during past five years | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five | ||||
Pablo R. González Guajardo 1967 | Director: NWF (2014) Trustee: EUPAC, NPF (2014); AMCAP, AMF, ICA, GBAL (2015) | CEO, Kimberly-Clark de México, S.A.B. de C.V. | 17 | América Móvil, S.A.B. de C.V.; Grupo Lala, S.A.B. de C.V.; Grupo Sanborns, S.A.B. de C.V.; Kimberly-Clark de México, S.A.B. de C.V. | ||||
Yvonne L. Greenstreet 1962 | Nominee: FI, GFA, SCWF | Chief Operating Officer, Alnylam Pharmaceuticals; Founder and Managing Director, Highgate LLC (consulting); Senior Vice President, Pfizer | 3 | Pacira, Inc. (pharmaceuticals); Indivior PLC (pharmaceuticals); Moelis & Company (investment banking); Advanced Accelerator Applications (pharmaceuticals) | ||||
Pedro J. Greer Jr. 1956 | Trustee: CIB, NEF, WGI (2016) | Physician; Chairman/Associate Dean, Florida International University | 3 | None | ||||
Linda Griego 1947 | Trustee: AMBAL, IFA, IGI (2012); DWGI (2013); FI, GFA (2015); Director: SCWF (2015) | President and CEO, Griego Enterprises, Inc. (business management company) | 7 | AECOM; CBS Corporation |
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Nominee name and year of birth | Position with the Fund (year first elected2) | Principal occupation(s) during past five years | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five | ||||
Mary Davis Holt 1950 | Trustee: WMIF (2010); AFCTD, AFMF, AFPS, AFRIS, AFTD, AHIM, AHIT, BFA, CBF, EMBF, GVT, IBFA, ILBF, LTEX, MMF, SBF, STBF, STEX, TEBF, TEFCA, TEFNY, WBF (2015-2016; 2017) | Principal, Mary Davis Holt Enterprises, LLC (leadership development consulting); former Partner, Flynn Heath Holt Leadership, LLC (leadership consulting); former COO, Time Life Inc. (1993 – 2003) | 78 | None | ||||
R. Clark Hooper 1946 | Chairman of the Board: AHIM, AHIT, BFA, GVT, IBFA, LTEX, STEX, TEBF, TEFCA, WBF (2005); STBF (2006); MMF (2009); AFMF, AFTD, TEFNY (2010); AFCTD, AFPS, CBF, ILBF (2012); AFRIS, EMBF, SBF (2015) Trustee: WMIF (2003); NEF (2006); CIB, WGI (2010) | Private investor | 81 | Former director of JPMorgan Value Opportunities Fund, Inc. (until 2014); The Swiss Helvetia Fund, Inc. (until 2016) | ||||
Merit E. Janow 1958 | Trustee: CIB, WGI (2001); AFTD (2007); AFMF, AHIM, AHIT, BFA, GVT, IBFA, LTEX, MMF, NEF, STBF, STEX, TEBF, TEFCA, TEFNY, WBF (2010); AFCTD, AFPS, CBF, ILBF (2012); AFRIS, EMBF, SBF (2015) | Dean and Professor, Columbia University, School of International and Public Affairs | 80 | MasterCard Incorporated; Trimble Inc. Former director of The NASDAQ Stock Market LLC (until 2016) |
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Nominee name and year of birth | Position with the Fund (year first elected2) | Principal occupation(s) during past five years | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five | ||||
Leonade D. Jones 1947 | Trustee: AMBAL, GFA, IFA (1993); NEF (1995); FI (1998); IGI (2008); CIB, WGI (2010); DWGI (2013); Director: SCWF (1995) | Retired; former Treasurer, The Washington Post Company (retired 1996) | 10 | None | ||||
William D. Jones 1955 | Chairman of the Board: AMCAP, AMF (2006); GBAL, ICA (2010) Trustee: AMBAL, IFA, IGI (2008); DWGI (2013) | Real estate developer/owner, President and CEO, CityLink Investment Corporation (acquires, develops and manages real estate ventures in urban communities) and City Scene Management Company (provides commercial asset management services) | 18 | Sempra Energy | ||||
Martin E. Koehler 1957 | Trustee: EUPAC, NPF (2015) Director: NWF (2015) | Independent management consultant; former Managing Director and Senior Advisor, The Boston Consulting Group | 3 | Deutsche Lufthansa AG | ||||
Earl Lewis, Jr. 1955 | Trustee: CIB, NEF, WGI (2017) | Former President, The Andrew W. Mellon Foundation | 3 | 2U, Inc. |
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Nominee name and year of birth | Position with the Fund (year first elected2) | Principal occupation(s) during past five years | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five | ||||
John C. Mazziotta, MD, PhD 1949 | Trustee: AMCAP, AMF, GBAL, ICA (2011) | Physician; Professor of Neurology, University of California at Los Angeles; Vice Chancellor, UCLA Health Sciences; CEO, UCLA Health System; former Dean, David Geffen School of Medicine at UCLA; former Chair, Department of Neurology, UCLA; former Associate Director, Semel Institute, UCLA; former Director, Brain Mapping Center, UCLA | 4 | None | ||||
William R. McLaughlin 1956 | Trustee: AMCAP, AMF, GBAL, ICA (2015) | President and CEO, The Orvis Company (outdoor equipment retailer) | 4 | None | ||||
Sharon I. Meers 1965 | Trustee: FI, GFA (2017) Director: SCWF (2017) | Former Senior Director, Head of Strategic Partnerships, eBay Enterprise | 3 | None | ||||
Pascal Millaire 1983 | Nominee: EUPAC, NPF, NWF | CEO, CyberCube Analytics, Inc. (cyber risk software for insurers); Vice President and General Manager, Symantec Corporation (cybersecurity company); Fingi Inc (enterprise software) | 3 | None |
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Nominee name and year of birth | Position with the Fund (year first elected2) | Principal occupation(s) during past five years | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five | ||||
William I. Miller 1956 | Trustee: EUPAC, NPF (1992); Director: NWF (1999) | President, The Wallace Foundation | 3 | Cummins, Inc. | ||||
Laurel B. Mitchell, PhD 1955 | Nominee: WMIF Trustee: BFA, MMF, STBF, STEX, TEFCA (2009); AFMF, AFTD, AHIM, AHIT, GVT, IBFA, LTEX, TEBF, TEFNY, WBF (2010); AFCTD, AFPS, CBF, ILBF (2012); AFRIS, EMBF, SBF (2015) | Chair, California Jump$tart Coalition for Personal Financial Literacy;part-time faculty, Pomona College; Professor Emerita, University of Redlands; former Distinguished Professor of Accounting, University of Redlands; former Director, Accounting Program, University of Redlands | 78 | None | ||||
Donald L. Nickles 1948 | Trustee: WMIF (2007) | Chairman and CEO, The Nickles Group (consulting and business venture); former United States Senator (Oklahoma) (1981 – 2005) | 1 | Valero Energy Corporation | ||||
Alessandro Ovi 1944 | Director: NWF (2001); Trustee: EUPAC (2002); NPF (2005) | Publisher and Editor, Technology Review; President, TechRev.srl | 3 | Landi Renzo SpA; ST Microelectronics SNV Former director of Guala Closures SpA (until 2015) |
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Nominee name and year of birth | Position with the Fund (year first elected2) | Principal occupation(s) during past five years | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five | ||||
James J. Postl 1946 | Trustee: AMBAL (2007); IFA, IGI (2008); DWGI (2013) | Retired; former President and CEO,Pennzoil-Quaker State Company (automotive products and services) (retired 2002) | 4 | Former director of Pulte, Inc. (until 2017) | ||||
Frank M. Sanchez6 1943 | Trustee: AHIM, AHIT, BFA, GVT, IBFA, LTEX, STEX, TEBF, TEFCA, WBF (1999); STBF (2006); MMF (2009); AFMF, AFTD, TEFNY (2010); AFCTD, AFPS, CBF, ILBF (2012); AFRIS, EMBF, SBF (2015) | Principal, The Sanchez Family Corporation dba McDonald’s Restaurants (McDonald’s licensee) | None | None | ||||
Josette Sheeran 1954 | Nominee: AMBAL, DWGI, IFA, IGI Trustee: EUPAC, NPF (2015); Director: NWF (2015) | President and CEO, Asia Society; United Nations Special Envoy for Haiti; former Vice Chair, World Economic Forum | 7 | None | ||||
Kenneth M. Simril 1965 | Nominee: AMCAP, AMF, GBAL, ICA Trustee: FI, GFA (2016); Director: SCWF (2016) | President and CEO, SCI Ingredients Holdings, Inc. (food manufacturing) | 7 | None | ||||
John Knox Singleton 1948 | Chairman of the Board: WMIF (2001) | Former President and CEO, INOVA Health System | 1 | Healthcare Realty Trust, Inc. Former director of JPMorgan Value Opportunities Fund, Inc. (until 2014) |
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Nominee name and year of birth | Position with the Fund (year first elected2) | Principal occupation(s) during past five years | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five | ||||
Margaret Spellings 1957 | Trustee: MMF, STBF, STEX (2009); AFMF, AFTD, AHIM, AHIT, BFA, GVT, IBFA, LTEX, TEBF, TEFCA, TEFNY, WBF (2010); AFCTD, AFPS, AMBAL, CBF, IFA, IGI, ILBF (2012); DWGI (2013); AFRIS, EMBF, SBF, WMIF (2015) | President, The University of North Carolina; former President, George W. Bush Foundation; former President and CEO, Margaret Spellings & Company (public policy and strategic consulting); former President, U.S. Chamber Foundation and Senior Advisor to the President and CEO, U.S. Chamber of Commerce | 82 | Former director of Apollo Education Group, Inc. (until 2013); ClubCorp Holdings, Inc. (until 2017) | ||||
Isaac Stein 1946 | Chairman of the Board: AMBAL, IFA (2004); IGI (2008); DWGI (2013) | Private investor; former President, Waverley Associates (private investment fund); Chairman Emeritus of the Board of Trustees, Stanford University | 4 | Former director of Maxygen, Inc. (until 2013); Alexza Pharmaceuticals, Inc. (until 2016) | ||||
Christopher E. Stone 1956 | Director: SCWF (2007) Trustee: NEF (2007); CIB, WGI (2009); FI, GFA (2010) | Former President, Open Society Foundations | 6 | None | ||||
Lydia Waters Thomas, PhD 1944 | Trustee: WMIF (2010) | Corporate director | 1 | Mueller Water Products, Inc. Former director of Cabot Corporation (until 2017) |
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Nominee name and year of birth | Position with the Fund (year first elected2) | Principal occupation(s) during past five years | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five | ||||
Alexandra Trower 1964 | Nominee: AHIT, BFA, LTEX, MMF, STBF, STEX, TEBF, TEFCA, WBF Trustee: AFCTD, AFMF, AFPS, AFRIS, AFTD, AHIM, CBF, EMBF, GVT, IBFA, ILBF, SBF, TEFNY (2018) | Executive Vice President, Global Communications and Corporate Officer, The Estée Lauder Companies | 77 | None | ||||
Kathy J. Williams 1955 | Nominee: AMCAP, AMF, GBAL, ICA | Commissioner, Marin County Human Rights Commission; Commissioner, Juvenile Justice Delinquency Prevention Commission; Board Member, Aspen Pubic Radio | 4 | None | ||||
Amy Zegart 1967 | Nominee: EUPAC, NPF, NWF | Senior Fellow, Hoover Institution, Stanford University; Senior Fellow, Freeman Spogli Institute, Stanford University; Director Kratos Defense & Security Solutions | 3 | Kratos Defense & Security Solutions |
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Nominee name and year of birth | Position with the Fund (year first appointed2) | Principal occupation(s) during past five years and positions held with affiliates of the Fund | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five years | ||||
Interested Director/Trustee7 | ||||||||
Hilda L. Applbaum 1961 | Nominee: AMBAL, DWGI, IGI President and Trustee: IFA (1998) President: AMBAL (1999) | Partner – Capital World Investors (CWI), CRMC | 4 | None | ||||
Timothy D. Armour8 1960 | President and Trustee: NEF (1991) | Chairman of the Board, CRMC; Partner – CWI, CRMC; Chairman of the Board and CEO, The Capital Group Companies, Inc.9 (CGC) | None | None | ||||
Alan N. Berro 1960 | President and Trustee: WMIF (2012) | Partner – CWI, CRMC; Director, CRMC | 1 | None | ||||
Mark E. Denning8 1957 | President and Trustee: WGI (1993) | Partner – CWI, Capital Research Company9 (CRC); Partner – CWI, Capital International, Inc.9 (CIInc.); Director, CRMC | None | None | ||||
Brady L. Enright 1967 | Nominee: GFA, SCWF President and Trustee: FI (2015) Senior Vice President: SCWF (2004) | Partner – CWI, CRMC; Director, CGC9 | 3 | None |
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Nominee name and year of birth | Position with the Fund (year first appointed2) | Principal occupation(s) during past five years and positions held with affiliates of the Fund | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five years | ||||
Michael C. Gitlin 1970 | Nominee: AFCTD, AFPS, AFRIS, AFTD Trustee: AFMF, AHIM, AHIT, BFA, CBF, EMBF, GVT, IBFA, ILBF, LTEX, MMF, SBF, STBF, STEX, TEBF, TEFCA, TEFNY, WBF (2015) | Partner – Capital Fixed Income Investors (CFII), CRMC; Director, CGC9; served as Head of Fixed Income at a large investment management firm prior to joining CRMC in 2015 | 77 | None | ||||
Joyce E. Gordon8 1956 | President and Trustee: AMF (1996-2001, 2005); Senior Vice President and Trustee: CIB (1996) | Partner – Capital Research Global Investors (CRGI), CRMC; Director, CRMC | None | None | ||||
Nicholas J. Grace8 1966 | President and Director: NWF (2008) | Partner – CRGI, CRC9; Director, CGC9 | None | None | ||||
Claudia P. Huntington8 1952 | President and Trustee: NEF (1996) Senior Vice President and Trustee: AMCAP (1992) | Partner – CRGI, CRMC; Director, CGC9 | None | None | ||||
Gregory D. Johnson 1963 | Nominee: DWGI, IFA, IGI President and Trustee: AMBAL (2003) | Partner – CWI, CRMC; Director, CRMC | 4 | None | ||||
Joanna F. Jonsson 1963 | Nominee: EUPAC, NWF President and Trustee: NPF (2008) | Partner – CWI, CRMC; Partner – CWI, Capital Bank and Trust Company9 (CB&T); Director, CRMC | 3 | None |
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Nominee name and year of birth | Position with the Fund (year first appointed2) | Principal occupation(s) during past five years and positions held with affiliates of the Fund | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five years | ||||
Carl M. Kawaja 1964 | Nominee: NPF, NWF President and Trustee: EUPAC (2003); President: NWF (1999-2016, 2018) | Partner – CWI, CRMC; Director, CGC9 | 3 | None | ||||
Michael T. Kerr8 1959 | President and Trustee: GFA (1998) | Partner – Capital International Investors (CII), CRMC | None | None | ||||
Jonathan Knowles, PhD8 1961 | President and Director: SCWF (2000) | Partner – CWI, CIInc.9; Director, CGC9 | None | None | ||||
Winnie Kwan 1972 | Nominee: CIB, NEF, WGI Senior Vice President: CIB (2017) | Partner – CRGI, CIInc.9 | 3 | None | ||||
Sung Lee 1966 | Nominee: CIB, NEF, WGI President: WGI (2008) | Partner – CRGI, CIInc.9 | 3 | None | ||||
James B. Lovelace8 1956 | President and Trustee: CIB (1992), ICA (1994) | Partner – CRGI, CRMC; Director, CRMC | None | None | ||||
Robert W. Lovelace8 1962 | President and Trustee: NPF (2001); President and Director: NWF (1999) | President and Director, CRMC; Partner – CII, CRMC; Vice Chairman of the Board, CGC9; Director, Capital Group Private Markets, Inc.9 (CGPM) | None | None | ||||
Kristine M. Nishiyama8 1970 | President and Trustee: MMF (2009) | Senior Vice President and Senior Counsel, Fund Business Management Group – CRMC; Chair, Senior Vice President and General Counsel – CB&T | None | None |
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Nominee name and year of birth | Position with the Fund (year first appointed2) | Principal occupation(s) during past five years and positions held with affiliates of the Fund | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five years | ||||
Donald D. O’Neal8 1960 | President and Trustee: ICA (1994), GFA (1995) | Partner – CII, CRMC; Director, CRMC | 29 | None | ||||
Dina N. Perry8 1945 | Senior Vice President and Trustee: FI (1994) | Partner – CWI, CRMC | None | None | ||||
Anne-Marie Peterson 1972 | Nominee: FI, GFA, SCWF President: GFA (2016) | Partner – CWI, CRMC; Director, CGC9 | 3 | None | ||||
Eric S. Richter8 1960 | President and Trustee: GBAL (2010) | Partner – CRGI, CRMC | None | None | ||||
William L. Robbins 1968 | Nominee: AMCAP, ICA, GBAL President and Trustee: AMF (2004) | Partner, CII, CRMC | 4 | None | ||||
Paul F. Roye8 1953 | Executive Vice President and Trustee: WMIF (2012) | Senior Vice President and Senior Counsel – Fund Business Management Group, CRMC; Director, CRMC | None | None | ||||
John H. Smet8 1956 | President and Trustee: BFA (1994); Senior Vice President and Trustee: AFTD (2007); Trustee: GVT, IBFA (1993); AFMF (2010); AHIT, STBF, WBF (2011); CBF, ILBF (2012); EMBF, SBF (2015) | Partner – CFII, CRMC; Director, CRMC | None | None | ||||
Eric H. Stern 1964 | Nominee: WMIF President: WMIF (2014) | Partner – CII, CRMC; Partner – CII, CB&T9; Partner – CII, Capital Guardian Trust Company9 (CGTC) | 1 | None |
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Nominee name and year of birth | Position with the Fund (year first appointed2) | Principal occupation(s) during past five years and positions held with affiliates of the Fund | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five years | ||||
James Terrile 1965 | Nominee: AMF, ICA, GBAL President and Trustee: AMCAP (2006) Senior Vice President: AMF (2007) | Partner – CRGI, CRMC; Director, CGC9; Director, Capital Strategy Research, Inc.9 (CSR) | 4 | None | ||||
Bradley J. Vogt 1965 | Nominee: AFTD Senior Vice President and Trustee: AFPS, AFCTD (2012); AFRIS (2015); President: AFTD (2012) | Chairman of the Board, CRC9; Partner – CRGI, CRMC; Director, CGC9 | 29 | None | ||||
Shaw B. Wagener8 1959 | President and Trustee: DWGI (2013) | Chairman of the Board, Capital Group International, Inc.9 (CGII); Chairman of the Board, CIInc.9; Director, CGPM9; Partner – CII, CRMC | None | None | ||||
Steven T. Watson8 1955 | President and Trustee: IGI (2008) | Partner – CII, CIInc.9 | None | None | ||||
Gregory W. Wendt8 1961 | President and Director: SCWF (1992) | Partner – CRGI, CRMC | None | None |
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Nominee name and year of birth | Position with the Fund (year first appointed2) | Principal occupation(s) during past five years and positions held with affiliates of the Fund | Number of portfolios in Fund complex overseen3 | Other directorships4 held during past five years | ||||
Karl J. Zeile 1966 | Nominee: AFMF, AHIT, BFA, CBF, EMBF, GVT, IBFA, ILBF, MMF, SBF, STBF, WBF President and Trustee: TEBF (2009); Senior Vice President and Trustee: LTEX (2004); AHIM (2008); TEFCA (2009); TEFNY (2010); Trustee: STEX (2011) | Partner – CFII, CRMC; Director, CGC9 | 19 | None |
| 1 | The term independent director/trustee refers to a director/trustee who is not an “interested person” of the Fund within the meaning of the 1940 Act. |
| 2 | Directors/Trustees and officers of the Fund serve until their resignation, removal or retirement. |
| 3 | Funds managed by CRMC or its affiliates. The number of portfolios within the fund complex overseen by a director/trustee includes portfolios that a nominee would oversee if elected. |
| 4 | This includes all directorships/trusteeships (other than those in the American Funds or other funds managed by CRMC or its affiliates) that are held by each director/trustee as a director/trustee of a public company or a registered investment company. Unless otherwise noted, all directorships/trusteeships are current. |
| 5 | Mr. Fuller plans to retire from the Boards of AFCTD, AFTD, AFPS, AFRIS, AMCAP, AMF, Fixed Income Funds, GBAL and ICA at the end of 2018. He will remain on the Boards until his retirement (or, if later, until his successor is elected and qualified) but will not stand for election at the Shareholder Meetings. |
| 6 | Mr. Sanchez plans to retire from the Boards of AFCTD, AFTD, AFPS, AFRIS and Fixed Income Funds at the end of 2018. He will remain on the Boards until his retirement (or, if later, until his successor is elected and qualified) but will not stand for election at the Shareholder Meetings. |
| 7 | The term interested director/trustee refers to a trustee who is an “interested person” of the Fund within the meaning of the 1940 Act, on the basis of his or her affiliation with the Fund’s investment adviser, CRMC, or affiliated entities. |
| 8 | These interested trustees will remain as directors/trustees of their Boards until the end of 2018 (or, if later, until his or her successor is elected and qualified) but will not stand for election at the Shareholder Meetings. |
| 9 | Company affiliated with CRMC. |
The address for all directors/trustees and nominees of the Funds is 333 South Hope Street, 55th Floor, Los Angeles, California 90071, Attention: Secretary.
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APPENDIX 2
Board and Committee Meetings; Committee Composition1,2
| Audit Committee | Contracts Committee | Nominating and Governance Committee | ||||||||||||||
| Fund | Most recent fiscal year end | Number of board meetings3 | Members | Number of meetings3 | Members | Number of meetings3 | Members | Number of meetings3 | ||||||||
AFCTD AFPS AFRIS AFTD | 10/31/2017 10/31/2017 10/31/2017 10/31/2017 | 4 | Fuller, Holt, Mitchell, Sanchez, Trower | 5 | All Independent Directors | 1 | Baribault, Ellis, Farvardin, Hooper, Janow, Spellings | 2 | ||||||||
AMBAL DWGI IGI | 12/31/2017 11/30/2017 6/30/2018 | 4 | Baribault, Chang, Griego, L. Jones, Postl, Spellings | 5 | All Independent Directors | 1 | Griego, L. Jones, W. Jones, Postl, Spellings, Stein | 4 | ||||||||
AMCAP4 ICA4 | 2/28/2018 12/31/2017 | 4 | Ellis, Fuller, González, McLaughlin | 5 | All Independent Directors | 1 | Bryson, Dolan, Mazziotta | 3 | ||||||||
AMF GBAL | 10/31/2017 10/31/2017 | 4 | Ellis, Fuller, González, McLaughlin | 4 | All Independent Directors | 1 | Bryson, Dolan, Mazziotta | 2 | ||||||||
CIB NEF WGI | 10/31/2017 11/30/2017 11/30/2017 | 4 | Freund, Greer, Lewis | 5 | All Independent Directors | 1 | Dolan, Hooper, Janow, L. Jones, Stone | 2 | ||||||||
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| Audit Committee | Contracts Committee | Nominating and Governance Committee | ||||||||||||||
| Fund | Most recent fiscal year end | Number of board meetings3 | Members | Number of meetings3 | Members | Number of meetings3 | Members | Number of meetings3 | ||||||||
EUPAC | 3/31/2018 | 4 | Allison, Chang, González, Sheeran | 4 | All Independent Directors | 1 | Koehler, Miller, Ovi | 5 | ||||||||
FI GFA SCWF | 12/31/2017 8/31/2017 9/30/2017 | 4 | Griego, Meers, Simril, Stone | 5 | All Independent Directors | 1 | Berenato, Bryson, Freund, L. Jones | 3 | ||||||||
Fixed Income Funds5 | Various6 | 4 | Fuller, Holt, Mitchell, Sanchez, Trower | 5 | All Independent Directors | 1 | Baribault, Ellis, Farvardin, Hooper, Janow, Spellings | 2 | ||||||||
IFA | 7/31/2017 | 4 | Baribault, Chang, Griego, L. Jones, Postl, Spellings | 5 | All Independent Directors | 1 | Griego, L. Jones, W. Jones, Postl, Spellings, Stein | 2 | ||||||||
NPF NWF | 9/30/2017 10/31/2017 | 4 | Allison, Chang, González, Sheeran | 5 | All Independent Directors | 1 | Koehler, Miller, Ovi | 4 | ||||||||
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| Audit Committee | Contracts Committee | Nominating and Governance Committee | ||||||||||||||
| Fund | Most recent fiscal year end | Number of board meetings3 | Members | Number of meetings3 | Members | Number of meetings3 | Members | Number of meetings3 | ||||||||
WMIF | 4/30/2018 | 4 | Andrews, Holt, Hooper, Spellings | 5 | All Independent Directors | 1 | Farvardin, Nickles, Singleton, Thomas | 3 | ||||||||
| 1 | The following current committee members are planning to retire from their respective board(s) by the end of 2018: Mr. Fuller (AMCAP, AMF, ICA, GBAL, AFCTD, AFPS, AFRIS, AFTD and Fixed Income Funds) and Mr. Sanchez (AFCTD, AFPS, AFRIS, AFTD and Fixed Income Funds). |
| 2 | Each incumbent director/trustee attended 75% or more of the meetings of the board and committees on which he or she served with the exception of AMCAP and ICA as further noted. |
| 3 | For the most recently ended fiscal year. |
| 4 | AMCAP and ICA: Ms. Dolan was unable to attend one of four board meetings and the sole contracts committee meeting. |
| 5 | Ms. Trower is currently serving only on the Boards of AFMF, AHIM, CBF, EMBF, GVT, IBFA, ILBF, SBF, and TEFNY. |
| 6 | Most recent fiscal year ends for the Fixed Income Funds are as follows: 7/31/2017 (AHIM, LTEX, STEX, TEBF, TEFCA and TEFNY); 8/31/2017 (AFMF, GVT, IBFA and STBF); 9/30/2017 (AHIT and MMF); 11/30/2017 (ILBF); 12/31/2017 (BFA, EMBF, SBF and WBF); and 5/31/2018 (CBF). |
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APPENDIX 3
Board Member Compensation and Fund Ownership
The following tables set forth for each nominee or continuing director/trustee the total compensation paid to him or her by the Fund and by all Funds managed by CRMC or its affiliates that he or she oversees as a director/trustee during the most recent fiscal year, as well as the value of his or her holdings in each Fund and in all of the Funds he or she oversees (or would oversee, if elected) as a director/trustee as of June 30, 2018. As of June 30, 2018, the nominees, continuing directors/trustees and officers of each Fund owned, in aggregate, less than 1% of each Fund’s outstanding shares.
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
AFCTD | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $3,306 | $390,631 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 3,294 | 393,969 | None | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 183,750 | None | Over $100,000 | NA | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 3,215 | 387,131 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||||||
Mary Davis Holt | 1,010 | 216,396 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 3,831 | 485,562 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 3,169 | 402,381 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 4,195 | 301,162 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 3,833 | 272,662 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 2,800 | 426,387 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||||||
Bradley J. Vogt | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
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| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
AFMF | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $1,728 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||
James G. Ellis | 1,720 | 392,438 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 1,664 | 385,600 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 80 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 1,993 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 1,630 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 2,245 | 300,662 | $1 - $10,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Frank M. Sanchez9 | 2,034 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 1,414 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | $10,000 - $50,000 | Over $100,000 | N/A | N/A | ||||||
AFPS | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $15,132 | $390,631 | $10,001 - $50,000 | Over $100,000 | $1 - $10,000 | Over $100,000 | ||||||
James G. Ellis | 15,075 | 393,969 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 183,750 | $50,001 - $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Leonard R. Fuller8 | 14,718 | 387,131 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 4,502 | 216,396 | None | Over $100,000 | N/A | N/A |
3-2
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
R. Clark Hooper | 17,696 | 485,562 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 14,503 | 402,381 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 19,195 | 301,162 | Over $100,000 | Over $100,000 | $1 - $10,000 | Over $100,000 | ||||||
Frank M. Sanchez9 | 17,452 | 272,662 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 12,818 | 426,387 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Bradley J. Vogt | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
AFRIS | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $433 | $390,631 | None | Over $100,000 | N/A | Over $100,000 | ||||||
James G. Ellis | $432 | 393,969 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 183,750 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 421 | 387,131 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 163 | 216,396 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 462 | 485,562 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 415 | 402,381 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 551 | 301,162 | $10,001 - $50,000 | Over $100,000 | $1 - $10,000 | Over $100,000 | ||||||
Frank M. Sanchez9 | 526 | 272,662 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 366 | 426,387 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | $10,000 - $50,000 | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A |
3-3
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Bradley J. Vogt | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
AFTD | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $31,422 | $390,631 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||
James G. Ellis | 31,303 | 393,969 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 183,750 | $50,001 - $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Leonard R. Fuller8 | 30,560 | 387,131 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 9,661 | 216,396 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 36,326 | 485,562 | $50,001 - $100,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 30,114 | 402,381 | $1 - $10,000 | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 39,868 | 301,162 | $50,001 - $100,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Frank M. Sanchez9 | 36,483 | 272,662 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 26,605 | 426,387 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | $10,000 - $50,000 | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Bradley J. Vogt7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
AHIM | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $3,292 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||
James G. Ellis | 3,276 | 392,438 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 183,750 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 3,170 | 385,600 | None | $10,001 - $50,000 | N/A | Over $100,000 |
3-4
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Mary Davis Holt | 144 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 3,816 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 3,106 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 4,275 | 300,662 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Frank M. Sanchez9 | 3,857 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 2,695 | 428,212 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
AHIT | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $12,117 | $390,631 | None | Over $100,000 | $1 - $10,000 | Over $100,000 | ||||||
James G. Ellis | 12,055 | 393,969 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 183,750 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 11,664 | 387,131 | None | $10,001 - $50,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Mary Davis Holt | 3,391 | 216,396 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 14,156 | 485,562 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 11,430 | 402,381 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 15,835 | 301,162 | $10,001 - $50,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Frank M. Sanchez9 | 14,151 | 272,662 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 9,865 | 426,387 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 |
3-5
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
AMBAL | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $39,375 | $385,500 | $1 - $10,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Michael C. Camuñez4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Vanessa C. L. Chang | 42,313 | 370,500 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Linda Griego | 50,125 | 332,500 | None | Over $100,000 | N/A | N/A | ||||||
Leonade D. Jones | 42,900 | 409,100 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
William D. Jones | 41,500 | 373,000 | $50,001 - $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
James J. Postl | 64,625 | 258,500 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Josette Sheeran4,7 | N/A | 178,000 | None | Over $100,000 | N/A | N/A | ||||||
Margaret Spellings | 41,088 | 438,400 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Isaac Stein | 72,500 | 290,000 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Hilda L. Applbaum7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Gregory D. Johnson | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
AMCAP | ||||||||||||
Independent Trustees1 | ||||||||||||
Louise H. Bryson | $39,563 | $300,500 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Mary Anne Dolan | 25,984 | 386,100 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
James G. Ellis | 41,250 | 392,000 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Leonard R. Fuller8 | 38,438 | 382,000 | $10,001 - $50,000 | $10,001 - $50,000 | $10,001 - $50,000 | Over $100,000 |
3-6
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Pablo R. González Guajardo | 38,125 | 286,500 | None | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
William D. Jones | 51,750 | 373,000 | $50,001 - $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
John C. Mazziotta | 56,375 | 225,500 | None | None | Over $100,000 | Over $100,000 | ||||||
William R. McLaughlin | 54,750 | 219,000 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Kenneth M. Simril4,7 | N/A | 183,500 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Kathy J. Williams4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Interested Trustees5 | ||||||||||||
Claudia P. Huntington10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
William L. Robbins7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
James Terrile | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
AMF | ||||||||||||
Independent Trustees1 | ||||||||||||
Louise H. Bryson | $37,180 | $295,313 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Mary Anne Dolan | 32,815 | 428,125 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
James G. Ellis | 41,430 | 393,969 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Leonard R. Fuller8 | 37,742 | 387,131 | $1 - $10,000 | $10,001 - $50,000 | $1 - $10,000 | Over $100,000 | ||||||
Pablo R. González Guajardo | 37,742 | 283,312 | None | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
William D. Jones | 49,055 | 343,438 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||
John C. Mazziotta | 53,188 | 212,750 | None | None | Over $100,000 | Over $100,000 | ||||||
William R. McLaughlin | 52,938 | 211,750 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Kenneth M. Simril4,7 | N/A | 176,375 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Kathy J. Williams4,7 | N/A | N/A | None | None | N/A | N/A |
3-7
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Interested Trustees5 | ||||||||||||
Joyce E. Gordon10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
William L. Robbins | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
James Terrile7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
BFA | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $22,445 | $388,500 | None | Over $100,000 | N/A | Over $100,000 | ||||||
James G. Ellis | 22,329 | 392,000 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 21,602 | 382,000 | None | $10,001 - $50,000 | $50,001 - $100,000 | Over $100,000 | ||||||
Mary Davis Holt | 12,298 | 264,834 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 25,799 | 463,800 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 21,457 | 364,000 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 29,481 | 294,500 | $10,001 - $50,000 | Over $100,000 | $10,001 - $50,0000 | Over $100,000 | ||||||
Frank M. Sanchez9 | 28,202 | 283,500 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 18,142 | 438,400 | $10,001 - $50,0000 | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||
CBF | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $122 | $386,875 | None | Over $100,000 | N/A | Over $100,000 |
3-8
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
James G. Ellis | 121 | 393,375 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin | 61 | 223,925 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 117 | 382,750 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 104 | 301,259 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 136 | 464,644 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 116 | 364,750 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 162 | 297,250 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Frank M. Sanchez9 | 155 | 286,250 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 99 | 439,194 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower | 305 | 72,875 | None | $10,000 - $50,000 | N/A | $50,001 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
CIB | ||||||||||||
Independent Trustees1 | ||||||||||||
Joseph C. Berenato | $52,115 | $369,525 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Mary Anne Dolan | 42,519 | 428,125 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John G. Freund | 40,698 | 265,687 | None | None | Over $100,000 | Over $100,000 | ||||||
Pedro J. Greer, Jr. | 58,792 | 176,375 | None | None | $50,001 - $100,000 | Over $100,000 | ||||||
R. Clark Hooper | 41,686 | 485,562 | $10,001 - $50,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Merit E. Janow | 57,490 | 402,381 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Leonade D. Jones | 39,366 | 393,375 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Earl Lewis, Jr. | 38,000 | 114,000 | $1 - $10,000 | $10,001 - $50,000 | $10,001 - $50,000 | $50,001 - $100,000 |
3-9
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Christopher E. Stone | 47,094 | 270,938 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||
Interested Trustees5 | ||||||||||||
Joyce E. Gordon10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Winnie Kwan7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Sung Lee7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
James B. Lovelace10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
DWGI | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $38,680 | $390,631 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Michael C. Camuñez4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Vanessa C. L. Chang | 41,742 | 360,900 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Linda Griego | 45,430 | 316,813 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||
Leonade D. Jones | 38,419 | 393,375 | Over $100,000 | Over $100,000 | N/A | Over $100,000 | ||||||
William D. Jones | 36,805 | 343,438 | $10,001 - $50,000 | Over $100,000 | $50,000 - $100,000 | Over $100,000 | ||||||
James J. Postl | 58,688 | 234,750 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Josette Sheeran4,7 | N/A | 178,125 | None | Over $100,000 | N/A | N/A | ||||||
Margaret Spellings | 36,919 | 426,387 | Over $100,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Isaac Stein | 64,688 | 258,750 | None | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Hilda L. Applbaum7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
Gregory D. Johnson7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
Shaw B. Wagener10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A |
3-10
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
EMBF | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $41 | $385,500 | None | Over $100,000 | N/A | Over $100,000 | ||||||
James G. Ellis | 41 | 392,000 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 39 | 382,000 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 22 | 264,834 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 47 | 463,800 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 39 | 364,000 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 54 | 294,500 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Frank M. Sanchez9 | 51 | 283,500 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 33 | 438,400 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
EUPAC | ||||||||||||
Independent Trustees1 | ||||||||||||
Elisabeth Allison | $63,543 | $190,625 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Vanessa C.L. Chang | 45,126 | 372,900 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Pablo R. González Guajardo | 44,875 | 287,750 | $10,001 - $50,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Martin E. Koehler | 63,417 | 190,250 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||
Pascal Millaire4,7 | N/A | N/A | Over $100,000 | Over $100,000 | N/A | N/A |
3-11
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
William I. Miller | 70,043 | 210,125 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Alessandro Ovi | 68,667 | 206,000 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Josette Sheeran | 60,209 | 180,625 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Amy Zegart4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Interested Trustees5 | ||||||||||||
Joanna F. Jonsson7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
Carl M. Kawaja | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
FI | ||||||||||||
Independent Trustees1 | ||||||||||||
Joseph C. Berenato | $49,333 | 368,500 | $1 - $10,000 | Over $100,000 | N/A | N/A | ||||||
Joseph J. Bonner4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Louise H. Bryson | 47,416 | 300,500 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Mary Anne Dolan | 56,777 | 386,100 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||
John G. Freund | 46,500 | 273,000 | None | None | Over $100,000 | Over $100,000 | ||||||
Yvonne L. Greenstreet4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Linda Griego | 44,000 | 332,500 | None | Over $100,000 | N/A | N/A | ||||||
Leonade D. Jones | 42,667 | 409,100 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Sharon I. Meers | 14,000 | 42,000 | $50,001 - $100,000 | Over $100,000 | $10,001 - $50,000 | $50,001 - $100,000 | ||||||
Kenneth M. Simril | 61,167 | 183,500 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Christopher E. Stone | 44,500 | 277,000 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Interested” Trustees5 | ||||||||||||
Brady L. Enright | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Dina N. Perry10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Anne-Marie Peterson7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A |
3-12
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
GBAL | ||||||||||||
Independent Trustees1 | ||||||||||||
Louise H. Bryson | $37,180 | $295,313 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Mary Anne Dolan | 32,815 | 428,125 | $50,001 - 100,000 | Over $100,000 | N/A | N/A | ||||||
James G. Ellis | 41,430 | 393,969 | $50,001 - 100,000 | Over $100,000 | N/A | N/A | ||||||
Leonard R. Fuller8 | 37,742 | 387,131 | $1 - $10,000 | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Pablo R. González Guajardo | 37,742 | 283,312 | None | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
William D. Jones | 49,055 | 343,438 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||
John C. Mazziotta | 53,188 | 212,750 | None | None | $10,001 - $50,000 | Over $100,000 | ||||||
William R. McLaughlin | 52,938 | 211,750 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Kenneth M. Simril4,7 | N/A | 176,376 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Kathy J. Williams4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Interested Trustees5 | ||||||||||||
Eric S. Richter10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
William L. Robbins7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
James Terrile7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
GFA | ||||||||||||
Independent Trustees1 | ||||||||||||
Joseph C. Berenato | $49,396 | $361,550 | $1 - $10,000 | Over $100,000 | N/A | N/A | ||||||
Joseph J. Bonner4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Louise H. Bryson | 47,896 | 289,625 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Mary Anne Dolan | 56,095 | 427,650 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John G. Freund | 46,812 | 257,375 | None | None | Over $100,000 | Over $100,000 |
3-13
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Yvonne L. Greenstreet4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Linda Griego | 44,063 | 311,125 | None | Over $100,000 | N/A | N/A | ||||||
Leonade D. Jones | 40,400 | 390,650 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Sharon I. Meers4 | N/A | N/A | $10,001 - $50,000 | Over $100,000 | N/A | $50,001 - $100,000 | ||||||
Kenneth M. Simril | 43,750 | 131,250 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Christopher E. Stone | 41,938 | 264,875 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Interested Trustees5 | ||||||||||||
Brady L. Enright7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Michael T. Kerr10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Donald D. O’Neal10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Anne-Marie Peterson7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
GVT | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $5,928 | $389,099 | None | Over $100,000 | $1 - $10,000 | Over $100,000 | ||||||
James G. Ellis | 5,898 | 392,438 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 5,707 | 385,600 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 254 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 6,880 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 5,593 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 7,696 | 300,662 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Frank M. Sanchez9 | 6,936 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 4,853 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 |
3-14
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | $50,000 - $100,000 | Over $100,000 | N/A | N/A | ||||||
IBFA | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $9,039 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||
James G. Ellis | 8,992 | 392,438 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 8,701 | 385,600 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 376 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 10,513 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 8,527 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 11,731 | 300,662 | $1 - $10,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Frank M. Sanchez9 | 10,552 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 7,402 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | $50,000 - $100,000 | Over $100,000 | N/A | N/A | ||||||
ICA | ||||||||||||
Independent Trustees1 | ||||||||||||
Louise H. Bryson | $39,563 | $300,500 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 |
3-15
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
Mary Anne Dolan | 25,984 | 386,100 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
James G. Ellis | 41,250 | 392,000 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||
Leonard R. Fuller8 | �� | 38,438 | 382,000 | None | $10,001 - $50,000 | Over $100,000 | Over $100,000 | |||||
Pablo R. González Guajardo | 38,125 | 286,500 | None | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
William D. Jones | 51,750 | 373,000 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||
John C. Mazziotta | 56,375 | 225,500 | None | None | Over $100,000 | Over $100,000 | ||||||
William R. McLaughlin | 54,750 | 219,000 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Kenneth M. Simril4,7 | N/A | 183,500 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Kathy J. Williams4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Interested Trustees5 | ||||||||||||
James B. Lovelace10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Donald D. O’Neal10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
William L. Robbins7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
James Terrile7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
IFA | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $37,985 | $389,099 | $10,001 - $50,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||
Michael C. Camuñez4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Vanessa C. L. Chang | 41,047 | 350,800 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Linda Griego | 44,735 | 311,125 | None | Over $100,000 | N/A | N/A | ||||||
Leonade D. Jones | 37,938 | 390,650 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
William D. Jones | 36,110 | 337,875 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||
Josette Sheeran4,7 | N/A | 172,750 | None | Over $100,000 | N/A | N/A |
3-16
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
James J. Postl | 57,500 | 230,000 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Margaret Spellings | 36,750 | 428,212 | None | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Isaac Stein | 63,500 | 254,000 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Hilda L. Applbaum | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Gregory D. Johnson7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
IGI | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $39,688 | $388,250 | None | Over $100,000 | $1 - $10,000 | Over $100,000 | ||||||
Michael C. Camuñez4,7 | N/A | N/A | None | None | N/A | N/A | ||||||
Vanessa C. L. Chang | 42,625 | 375,300 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Linda Griego | 49,969 | 335,000 | None | Over $100,000 | N/A | N/A | ||||||
Leonade D. Jones | 43,000 | 404,750 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
William D. Jones | 41,813 | 375,500 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||
James J. Postl | 65,938 | 263,750 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Josette Sheeran4,7 | N/A | 183,250 | None | Over $100,000 | N/A | N/A | ||||||
Margaret Spellings | 41,187 | 439,988 | Over $100,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Isaac Stein | 73,500 | 294,000 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Hilda L. Applbaum7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Gregory D. Johnson7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||
Steven T. Watson10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A |
3-17
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||
ILBF | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $1,332 | $390,631 | None | Over $100,000 | N/A | Over $100,000 | ||||||
James G. Ellis | 1,326 | 393,969 | None | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 183,750 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 1,282 | 387,131 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||
Mary Davis Holt | 426 | 216,396 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 1,513 | 485,562 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Merit E. Janow | 1,257 | 402,381 | None | Over $100,000 | N/A | N/A | ||||||
Laurel B. Mitchell | 1,742 | 301,162 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||
Frank M. Sanchez9 | 1,595 | 272,662 | None | $1 - $10,000 | N/A | N/A | ||||||
Margaret Spellings | 1,802 | 426,387 | None | Over $100,000 | N/A | Over $100,000 | ||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||
Interested Trustees5 | ||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
Karl J. Zeile7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||
LTEX | ||||||||||||
Independent Trustees1 | ||||||||||||
William H. Baribault | $2,639 | $389,099 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||
James G. Ellis | 2,625 | 392,438 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||
Leonard R. Fuller8 | 2,540 | 385,600 | None | $10,001 - $50,000 | $1 - $10,000 | Over $100,000 | ||||||
Mary Davis Holt | 111 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||
R. Clark Hooper | 3,068 | 493,687 | None | Over $100,000 | N/A | Over $100,000 |
3-18
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Merit E. Janow | 2,489 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 3,425 | 300,662 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 3,082 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 2,161 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
MMF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $13,367 | $390,631 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
James G. Ellis | 13,298 | 393,969 | None | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | $1 - $10,000 | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 12,867 | 387,131 | $1 - $10,000 | $10,001 - $50,000 | $10,001 - $50,000 | Over $100,000 | ||||||||||
Mary Davis Holt | 3,847 | 216,396 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 15,528 | 485,562 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 12,608 | 402,381 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 17,468 | 301,162 | None | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 15,689 | 272,662 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 10,877 | 426,387 | None | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,00011 | Over $100,000 | N/A | N/A | ||||||||||
Kristine M. Nishiyama10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
3-19
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Karl J. Zeile7 | None6 | None6 | $10,000 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
NEF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
Joseph C. Berenato | $52,114 | $369,525 | $1 - $10,000 | Over $100,000 | N/A | N/A | ||||||||||
Mary Anne Dolan | 42,519 | 428,125 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
John G. Freund | 40,698 | 265,687 | None | None | Over $100,000 | Over $100,000 | ||||||||||
Pedro J. Greer, Jr. | 58,791 | 176,375 | None | None | $50,0001 - $100,000 | Over $100,000 | ||||||||||
R. Clark Hooper | 41,686 | 485,562 | $10,001 - $50,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||||||
Merit E. Janow | 57,489 | 402,381 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Leonade D. Jones | 39,366 | 393,375 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Earl Lewis, Jr. | 38,000 | 114,000 | $10,001 - $50,000 | $10,001 - $50,000 | $10,001 - $50,000 | $50,001 - $100,000 | ||||||||||
Christopher E. Stone | 47,094 | 270,938 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Interested Trustees5 | ||||||||||||||||
Timothy D. Armour10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Winnie Kwan7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||||||
Sung Lee7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||||||
Claudia P. Huntington10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
NPF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
Elisabeth Allison | $61,249 | $183,750 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Vanessa C.L. Chang | 43,948 | 360,900 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Pablo R. González Guajardo | 44,115 | 283,312 | $10,001 - $50,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Martin E. Koehler | 59,375 | 178,125 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||||||
3-20
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Pascal Millaire4,7 | N/A | N/A | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
William I. Miller | 60,750 | 182,250 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Alessandro Ovi | 58,584 | 175,750 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Josette Sheeran | 59,375 | 178,125 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
Amy Zegart4,7 | N/A | N/A | None | None | N/A | N/A | ||||||||||
Interested Trustees5 | ||||||||||||||||
Joanna F. Jonsson | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Carl M. Kawaja7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Robert W. Lovelace10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
NWF | ||||||||||||||||
Independent Directors1 | ||||||||||||||||
Elisabeth Allison | $61,250 | $183,750 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Vanessa C.L. Chang | 43,947 | 360,900 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Pablo R. González Guajardo | 44,115 | 283,312 | $10,001 - $50,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Martin E. Koehler | 59,374 | 178,125 | $50,001 - $100,000 | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||||||
Pascal Millaire4,7 | N/A | N/A | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
William I. Miller | 60,749 | 182,250 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Alessandro Ovi | 58,583 | 175,750 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Josette Sheeran | 59,374 | 178,125 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Amy Zegart4,7 | N/A | N/A | None | None | N/A | N/A | ||||||||||
Interested Directors5 | ||||||||||||||||
Nicholas J. Grace10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Joanna F. Jonsson7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||||||
3-21
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Carl M. Kawaja7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Robert W. Lovelace10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
SBF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $183 | $385,500 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 182 | 392,000 | None | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 176 | 382,000 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||||||
Mary Davis Holt | 100 | 264,834 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 211 | 463,800 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 175 | 364,000 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 241 | 294,500 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 230 | 283,500 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 148 | 438,400 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile7 | None6 | None6 | $50,000 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
SCWF | ||||||||||||||||
Independent Directors1 | ||||||||||||||||
Joseph C. Berenato | $50,364 | $369,525 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Joseph J. Bonner4,7 | N/A | N/A | None | None | N/A | N/A | ||||||||||
Louise H. Bryson | 48,864 | 295,313 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
3-22
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Mary Anne Dolan | 56,436 | 428,125 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
John G. Freund | 47.865 | 265,687 | None | None | Over $100,000 | Over $100,000 | ||||||||||
Yvonne L. Greenstreet4,7 | N/A | N/A | None | None | N/A | N/A | ||||||||||
Linda Griego | 45,031 | 316,813 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Leonade D. Jones | 40,533 | 393,375 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Sharon I. Meers4 | N/A | N/A | $10,001 - $50,000 | Over $100,000 | $10,001 - $50,000 | $50,001 - $100,000 | ||||||||||
Kenneth M. Simril | 58,791 | 176,375 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
Christopher E. Stone | 43,219 | 270,938 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Interested Directors5 | ||||||||||||||||
Brady L. Enright7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Jonathan Knowles10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Anne-Marie Peterson7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Gregory W. Wendt10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
STBF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $3,936 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 3,916 | 392,438 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | �� | 187,500 | None | Over $100,000 | NA | Over $100,000 | |||||||||
Leonard R. Fuller8 | 3,789 | 385,000 | None | $10,001 - $50,000 | $50,001 - $100,000 | Over $100,000 | ||||||||||
Mary Davis Holt | 163 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 4,579 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 3,713 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 5,108 | 300,662 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 4,595 | 272,162 | $1 - $10,000 | $1 - $10,000 | N/A | N/A | ||||||||||
3-23
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Margaret Spellings | 3,223 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile7 | None6 | None6 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
STEX | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $586 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 583 | 392,438 | None | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 564 | 385,600 | None | $10,001 - $50,000 | $1 - $10,000 | Over $100,000 | ||||||||||
Mary Davis Holt | 24 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 683 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 553 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 761 | 300,662 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 683 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 480 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
3-24
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
TEBF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $9,226 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 9,179 | 392,438 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 8,882 | 385,600 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||||||
Mary Davis Holt | 400 | 174,959 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 10,699 | 493,687 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 8,704 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 11,978 | 300,662 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 10,802 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 7,552 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
TEFCA | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $1,388 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 1,381 | 392,438 | None | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 1,336 | 385,600 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||||||
Mary Davis Holt | 58 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 1,614 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | $1,310 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||||||
3-25
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Laurel B. Mitchell | 1,802 | 300,662 | $1 - $10,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 1,622 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 1,137 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
TEFNY | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $138 | $389,099 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 137 | 392,438 | None | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 133 | 385,600 | None | $10,001 - $50,000 | N/A | Over $100,000 | ||||||||||
Mary Davis Holt | 6 | 174,959 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 160 | 493,687 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 130 | 407,599 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 179 | 300,662 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 162 | 272,162 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 113 | 428,212 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
Alexandra Trower4 | N/A | N/A | $10,000 - $50,000 | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||||||
3-26
Table of Contents
| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
WBF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
William H. Baribault | $8,410 | $385,500 | None | Over $100,000 | N/A | Over $100,000 | ||||||||||
James G. Ellis | 8,366 | 392,000 | $10,001 - $50,000 | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin4 | N/A | 187,500 | None | Over $100,000 | NA | Over $100,000 | ||||||||||
Leonard R. Fuller8 | 8,094 | 382,000 | None | $10,001 - $50,000 | $10,001 - $50,000 | Over $100,000 | ||||||||||
Mary Davis Holt | 4,608 | 264,834 | None | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 9,666 | 463,800 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 8,040 | 364,000 | None | Over $100,000 | N/A | N/A | ||||||||||
Laurel B. Mitchell | 11,046 | 294,500 | $10, 001 - $50,000 | Over $100,000 | $10,001 - $50,000 | Over $100,000 | ||||||||||
Frank M. Sanchez9 | 10,567 | 283,500 | None | $1 - $10,000 | N/A | N/A | ||||||||||
Margaret Spellings | 6,798 | 438,400 | None | Over $100,000 | $50,001 - $100,000 | Over $100,000 | ||||||||||
Alexandra Trower4,7 | N/A | N/A | None | $10,000 - $50,000 | N/A | $50,000 - $100,000 | ||||||||||
Interested Trustees5 | ||||||||||||||||
Michael C. Gitlin | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
John H. Smet10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Karl J. Zeile7 | None6 | None6 | $50,000 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
WGI | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
Joseph C. Berenato | $52,114 | $369,525 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Mary Anne Dolan | 42,519 | 428,125 | $50,001 - $100,000 | Over $100,000 | N/A | N/A | ||||||||||
John G. Freund | 40,698 | 265,687 | None | None | Over $100,000 | Over $100,000 | ||||||||||
Pedro J. Greer, Jr. | 58,792 | 176,375 | None | None | $50,0001 - $100,000 | Over $100,000 | ||||||||||
R. Clark Hooper | 41,686 | 485,562 | $10,001 - $50,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Merit E. Janow | 57,489 | 402,381 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
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| Name | Aggregate compensation from Fund (inc. voluntarily deferred compensation2) | Total compensation from all Funds (inc. voluntarily deferred compensation2) | Dollar range3 of Fund shares owned | Aggregate dollar range3 of shares owned in all overseen Funds | Dollar range3 of deferred compensation2 allocated to Fund | Aggregate dollar range3 of deferred compensation2 allocated to all overseen Funds | ||||||||||
Leonade D. Jones | 39,366 | 393,375 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Earl Lewis, Jr. | 38,000 | 114,000 | $10,001 - $50,000 | $10,001 - $50,000 | N/A | $50,001 - $100,000 | ||||||||||
Christopher E. Stone | 47,094 | 270,938 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Interested Trustees5 | ||||||||||||||||
Mark E. Denning10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Winnie Kwan7 | None6 | None6 | None | Over $100,000 | N/A | N/A | ||||||||||
Sung Lee7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
WMIF | ||||||||||||||||
Independent Trustees1 | ||||||||||||||||
Gina F. Adams4,7 | N/A | N/A | $10,001 - $50,000 | $10,001 - $50,000 | N/A | N/A | ||||||||||
Charles E. Andrews | $188,750 | $188,750 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Nariman Farvardin | 169,300 | 223,925 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Mary Davis Holt | 119,280 | 301,259 | $50,001 - $100,0000 | Over $100,000 | N/A | N/A | ||||||||||
R. Clark Hooper | 89,833 | 464,644 | $50,001 - $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Laurel B. Mitchell4,7 | N/A | 297,250 | $50, 001 - $100,000 | Over $100,000 | N/A | Over $100,000 | ||||||||||
Donald L. Nickles | 179,250 | 179,250 | Over $100,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
John Knox Singleton | 229,750 | 229,750 | None | None | Over $100,000 | Over $100,000 | ||||||||||
Margaret Spellings | 85,250 | 439,194 | $10,001 - $50,000 | Over $100,000 | Over $100,000 | Over $100,000 | ||||||||||
Lydia Waters Thomas | 185,625 | 185,625 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Interested Trustees5 | ||||||||||||||||
Alan N. Berro | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Paul F. Roye10 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
Eric H. Stern7 | None6 | None6 | Over $100,000 | Over $100,000 | N/A | N/A | ||||||||||
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| 1 | An independent director/trustee refers to a director/trustee who is not an “interested person” of the Fund within the meaning of the 1940 Act. |
| 2 | Amounts may be deferred by eligible directors/trustees under a nonqualified deferred compensation plan adopted by the Funds. Deferred amounts accumulate at an earnings rate determined by the total return of one or more Funds as designated by the directors/trustees. Compensation shown in this table for the most recent fiscal year does not include earnings on amounts deferred in previous fiscal years. |
| 3 | Ownership disclosure is made using the following ranges: None; $1 - $10,000; $10,001 -$50,000; $50,001 - $100,000 and Over $100,000. The amounts listed for interested directors/trustees include shares owned through the CGC retirement plan and 401(k) plan. |
| 4 | Nominee who was not an independent director/trustee of the Fund at the close of the most recent fiscal year end period; therefore, the nominee did not receive any compensation from the Fund during its most recent fiscal year. |
| 5 | An interested director/trustee refers to a director/trustee who is an “interested person” of the Fund within the meaning of the 1940 Act on the basis of their affiliation with CRMC or affiliated entities. |
| 6 | No compensation is paid by the Fund to any director/trustee who is affiliated with CRMC. |
| 7 | Nominee who is not currently a director/trustee of the Fund. |
| 8 | Mr. Fuller plans to retire from the Boards of AFCTD, AFTD, AFPS, AFRIS, AMF, AMCAP, Fixed Income Funds, GBAL and ICA at the end of 2018. He will remain on the Boards until his retirement (or, if later, until his successor is elected and qualified) but will not stand for election at the Shareholder Meetings. |
| 9 | Mr. Sanchez plans to retire from the Boards of AFCTD, AFTD, AFPS, AFRIS and Fixed Income Funds at the end of 2018. He will remain on the Boards until his retirement (or, if later, until his successor is elected and qualified) but will not stand for election at the Shareholder Meetings. |
| 10 | Interested director/trustee who plans to resign from the Board(s) on which he or she serves at the end of 2018 and, accordingly, will not stand for election at the Shareholder Meetings. |
| 11 | As of August 15, 2018. |
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APPENDIX 4
Executive Officers
Following are the executive officers of each Fund. Each officer listed was appointed and each will hold office until his or her resignation, removal or retirement, or until a successor is duly elected and qualified.
Name and Year of Birth | Principal occupation(s) during past five years and positions held with affiliated entities or the Principal Underwriter of the Fund | Current position with Fund (year first appointed) | ||||||||||
| President | Executive Vice President | Senior Vice President | Treasurer | Secretary | ||||||||
Julian N. Abdey 1972 | Partner and Portfolio Manager – CII, CRMC | SCWF (2014) | ||||||||||
Hilda L. Applbaum 1961 | Partner – CWI, CRMC | IFA (1998) | AMBAL (1999) | |||||||||
Timothy D. Armour 1960 | Chairman of the Board, CRMC; Partner – CWI, CRMC; Chairman of the Board and CEO, CGC1 | NEF (1991) | ||||||||||
Brad A. Barrett 1977 | Partner – CRGI, CRMC | GFA (2010) | ||||||||||
L. Alfonso Barroso 1971 | Partner – CRGI, CRC1 | WGI (2010) | ||||||||||
Paul R. Benjamin 1979 | Partner – CWI, CRMC | AMBAL (2014) | ||||||||||
Alan N. Berro 1960 | Partner – CWI, CRMC; Director, CRMC | WMIF (2012) | AFCTD (2012) AFPS (2012) AFRIS (2015) AFTD (2007) | |||||||||
David J. Betanzos 1974 | Partner – CFII, CRMC | AFMF (2014) | BFA (2016) GVT (2015) IBFA (2018) | |||||||||
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Name and Year of Birth | Principal occupation(s) during past five years and positions held with affiliated entities or the Principal Underwriter of the Fund | Current position with Fund (year first appointed) | ||||||||||
| President | Executive Vice President | Senior Vice President | Treasurer | Secretary | ||||||||
Mark A. Brett 1958 | Partner – CFII, CB&T1; Partner – CFII, Capital International Limited (CIL)1; Senior Vice President, CIL1; Senior Vice President, Capital International Sàrl1; Director, CSR1 | IBFA (2010) | WBF (2016) | |||||||||
Christopher D. Buchbinder 1971 | Partner – CRGI, CRMC | GFA (2015) | ICA (2010) | |||||||||
Brian D. Bullard 1969 | Senior Vice President – Investment Operations, CRMC | Various2 | ||||||||||
Walter R. Burkley 1966 | Senior Vice President and Senior Counsel – Fund Business Management Group, CRMC; Director, CRC1 | AFCTD (2012) AFPS (2012) AFRIS (2015) AFTD (2018) EUPAC (2012) NPF (2012) NWF (2012) | ||||||||||
Jennifer L. Butler 1966 | Assistant Vice President – Fund Business Management Group, CRMC | WMIF (2005) | ||||||||||
Mark L. Casey 1970 | Partner, CII, CRMC | FI (2008) | ||||||||||
Noriko H. Chen 1967 | Partner – CII, CRMC; Director, CGC1 | DWGI (2013) NPF (2015) | ||||||||||
4-2
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Name and Year of Birth | Principal occupation(s) during past five years and positions held with affiliated entities or the Principal Underwriter of the Fund | Current position with Fund (year first appointed) | ||||||||||
| President | Executive Vice President | Senior Vice President | Treasurer | Secretary | ||||||||
Michael Cohen 1961 | Director – CRMC; Chairman of the Board and Senior Vice President – CIL1; Partner – CWI, CB&T1; Partner – CWI, CRC1 | WGI (2008-2009; 2014) | ||||||||||
Barry S. Crosthwaite 1958 | Partner – CII, CRMC | AMCAP (2006) | ||||||||||
David A. Daigle 1967 | Partner – CFII, CRMC; Partner – CFII, CB&T1 | AHIT (2008) | WBF (2015) | |||||||||
Mark E. Denning 1957 | Partner – CWI, CRC1; Partner – CWI, CIInc.1; Director, CRMC | WGI (1993) | EUPAC (1994) NEF (2006) NWF (1999) | |||||||||
Brady L. Enright 1967 | Partner – CWI, CRMC; Director, CGC1 | FI (2015) SCWF (2004) | ||||||||||
J. Blair Frank 1966 | Partner – CRGI, CRMC | SCWF (1999) | ||||||||||
Joyce E. Gordon 1956 | Partner – CRGI, CRMC; Director, CRMC | AMF (1996-2001; 2005) | CIB (1996) ICA (1998) | |||||||||
Nicholas J. Grace 1966 | Partner – CRGI, CRC1; Director, CGC1 | NWF (2008) | ||||||||||
David A. Hoag 1965 | Partner – CFII, CRMC; Partner – CFII, CB&T1; Director, CGC1 | CIB (2006) ILBF (2012) SBF (2015) | BFA (2015) | |||||||||
Thomas H. Høgh 1963 | Partner – CFII, CRC1 | WBF (2001) | ||||||||||
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Name and Year of Birth | Principal occupation(s) during past five years and positions held with affiliated entities or the Principal Underwriter of the Fund | Current position with Fund (year first appointed) | ||||||||||
| President | Executive Vice President | Senior Vice President | Treasurer | Secretary | ||||||||
Claudia P. Huntington 1952 | Partner – CRGI, CRMC; Director, CGC1 | NEF (1996) | AMCAP (1992) | |||||||||
Brian C. Janssen 1972 | Vice President – Investment Operations, CRMC | Various3 | ||||||||||
Gregory D. Johnson 1963 | Partner – CWI, CRMC; Director, CRMC | AMBAL (2003) | ||||||||||
Joanna F. Jonsson 1963 | Partner – CWI, CRMC; Partner – CWI, CB&T1; Director, CRMC | NPF (2008) | AFCTD (2014) AFPS (2014) AFRIS (2015) AFTD (2014) | |||||||||
Carl M. Kawaja 1964 | Partner – CWI, CRMC; Director, CGC1 | EUPAC (2003) NWF (1999-2016; 2018) | ||||||||||
Michael T. Kerr 1959 | Partner – CII, CRMC | GFA (1998) | FI (1995) | |||||||||
Jonathan Knowles, PhD 1961 | Partner – CWI, CIInc.1; Director, CGC1 | SCWF (2000) | EUPAC (2012) | |||||||||
Steven I. Koszalka 1964 | Vice President – Fund Business Management Group, CRMC | Various4 | ||||||||||
Winnie Kwan 1972 | Partner – CRGI, CIInc.1 | CIB (2017) | ||||||||||
Harold H. La 1970 | Partner – CRGI, CIInc.1 | NEF (2006) | ||||||||||
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Name and Year of Birth | Principal occupation(s) during past five years and positions held with affiliated entities or the Principal Underwriter of the Fund | Current position with Fund (year first appointed) | ||||||||||
| President | Executive Vice President | Senior Vice President | Treasurer | Secretary | ||||||||
Jeffrey T. Lager 1968 | Partner – CII, CRMC | AMBAL (2002) | WMIF (2014) | |||||||||
Neil L. Langberg 1953 | Partner – CFII, CRMC | LTEX (1993) STEX (1989) TEFCA (1986) | AHIM (1994) TEBF (1985) | |||||||||
Hong Le 1978 | Assistant Vice President – Investment Operations, CRMC; Assistant Vice President, CB&T1 | AMBAL (2016) DWGI (2016) IFA (2016) IGI (2016) | ||||||||||
David S. Lee 1972 | Partner – CFII, CRMC; Partner – CFII, CB&T1 | CBF (2015) | BFA (2017) IBFA (2015) | |||||||||
Sung Lee 1966 | Partner – CRGI, CIInc.1 | WGI (2008) | EUPAC (2003) | |||||||||
James B. Lovelace5 1956 | Partner – CRGI, CRMC; Director, CRMC | CIB (1992) ICA (1994) | AFCTD (2012) AFPS (2012) AFRIS (2015) AFTD (2007) AMF (2006) | |||||||||
Robert W. Lovelace5 1962 | President and Director, CRMC; Partner – CII, CRMC; Vice Chairman of the Board, CGC1; Director, CGPM1 | NPF (2001) NWF (1999) | ||||||||||
4-5
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Name and Year of Birth | Principal occupation(s) during past five years and positions held with affiliated entities or the Principal Underwriter of the Fund | Current position with Fund (year first appointed) | ||||||||||
| President | Executive Vice President | Senior Vice President | Treasurer | Secretary | ||||||||
Fergus N. MacDonald 1969 | Partner – CFII, CRMC | GVT (2011) | AFMF (2010) BFA (2015) IBFA (2015) | |||||||||
James R. Mulally 1952 | Partner – CFII, CRMC | AMBAL (2009) | ||||||||||
Laurie D. Neat 1971 | Vice President – Fund Business Management Group, CRMC; Vice President, CGTC1; Vice President and Trust Officer, CB&T1; Vice President, CIInc.1 | AMCAP (2016) AMF (2016) GBAL (2016) ICA (2016) | ||||||||||
Robert H. Neithart 1965 | Partner – CFII, CRMC; Partner – CFII, CB&T1; Chairman of the Board, CSR1 | EMBF (2015) | BFA (2011) WBF (2011) | |||||||||
Gregory F. Niland 1971 | Vice President – Investment Operations, CRMC | Various6 | ||||||||||
Kristine M. Nishiyama 1970 | Senior Vice President and Senior Counsel, Fund Business Management Group – CRMC; Chair, Senior Vice President and General Counsel – CB&T1 | MMF (2009) | Various7 | |||||||||
Donald D. O’Neal 1960 | Partner – CII, CRMC; Director, CRMC | GFA (1995) ICA (1994) | ||||||||||
Dina N. Perry 1945 | Partner – CWI, CRMC | FI (1994) IFA (1994) | ||||||||||
Anne-Marie Peterson 1972 | Partner – CWI, CRMC; Director, CGC1 | GFA (2016) | ||||||||||
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Name and Year of Birth | Principal occupation(s) during past five years and positions held with affiliated entities or the Principal Underwriter of the Fund | Current position with Fund (year first appointed) | ||||||||||
| President | Executive Vice President | Senior Vice President | Treasurer | Secretary | ||||||||
Wesley Phoa 1966 | Partner – CFII, CRMC; Partner – CFII, CB&T1 | AFCTD (2012) | AFPS (2012) AFRIS (2015) AFTD (2012) | |||||||||
Herbert Y. Poon 1973 | Senior Vice President and Senior Counsel – Fund Business Management Group, CRMC | AMCAP (2012) AMF (2012) GBAL (2012) ICA (2012) | ||||||||||
John R. Queen 1965 | Partner – CFII, CRMC; Senior Vice President – Private Client Services Division, CB&T1 | STBF (2011) | AMBAL (2018) | �� | ||||||||
Chad M. Rach 1972 | Partner – CFII, CRMC | AHIM (2015) | TEBF (2016) | |||||||||
Eric S. Richter 1960 | Partner – CRGI, CRMC | GBAL (2010) | AMCAP (2008) | |||||||||
David M. Riley 1967 | Partner – CRGI, CRMC; Director, CGC1 | CIB (2006) GBAL (2010) | ||||||||||
William L. Robbins 1968 | Partner, CII, CRMC | AMF (2004) | ||||||||||
Donald H. Rolfe 1972 | Senior Vice President and Senior Counsel – Fund Business Management Group, CRMC | AMBAL (2012) DWGI (2013) IFA (2012) IGI (2012) CIB (2008) NEF (2010) WGI (2008) | ||||||||||
4-7
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Name and Year of Birth | Principal occupation(s) during past five years and positions held with affiliated entities or the Principal Underwriter of the Fund | Current position with Fund (year first appointed) | ||||||||||
| President | Executive Vice President | Senior Vice President | Treasurer | Secretary | ||||||||
Martin Romo 1967 | Partner – CRGI, CRMC; President and Director, CRC1; Director, CGC1 | GFA (2010) ICA (2018) | ||||||||||
Paul F. Roye 1953 | Senior Vice President and Senior Counsel – Fund Business Management Group, CRMC; Director, CRMC | FI (2012) GFA (2012) SCWF (2007) WMIF (2012) | AMBAL (2007) ICA (2008) IFA (2007) | |||||||||
John H. Smet 1956 | Partner – CFII, CRMC; Director, CRMC | BFA (1994) | AFCTD (2012) AFPS (2012) AFRIS (2015) AFTD (2007) AMBAL (2000) | |||||||||
Jerome H. Solomon 1963 | Partner – CFII, CRMC | TEFNY (2011) | AHIM (2017) | |||||||||
Jessica Chase Spaly 1977 | Partner – CRGI, CRMC; Director, CGC1 | AMCAP (2015) | ||||||||||
Kirstie Spence 1973 | Partner, CFII, CIL1; Director, CRC1; Vice President and Director, CIL1 | EMBF (2015) | ||||||||||
Eric H. Stern 1964 | Partner – CII, CRMC; Partner – CII, CGTC1; Partner – CII, CB&T1 | WMIF (2014) | ||||||||||
Michael W. Stockton 1967 | Vice President – Fund Business Management Group, CRMC | WMIF (1995) | Various8 | |||||||||
Andrew B. Suzman 1967 | Partner – CWI, CRMC | AFPS (2012) AFRIS (2015) IFA (2004) IGI (2008) | AFCTD (2012) AFTD (2012) | |||||||||
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Name and Year of Birth | Principal occupation(s) during past five years and positions held with affiliated entities or the Principal Underwriter of the Fund | Current position with Fund (year first appointed) | ||||||||||
| President | Executive Vice President | Senior Vice President | Treasurer | Secretary | ||||||||
Scott T. Sykes 1971 | Partner – CFII, CRMC | CBF (2017) | ||||||||||
F. Chapman Taylor 1959 | Partner – CII, CRMC | DWGI (2013) | ||||||||||
James Terrile 1965 | Partner – CRGI, CRMC; Director CGC1; Director, CSR1 | AMCAP (2006) | AMF (2007) | |||||||||
Christopher Thomsen 1970 | Partner – CRGI, CRC1 | EUPAC (2015) | ||||||||||
Tara L. Torrens 1979 | Partner – CFII, CRMC; Director, CRMC | AHIT (2016) | ||||||||||
Bradley J. Vogt 1965 | Chairman of the Board, CRC1; Partner – CRGI, CRMC; Director, CGC1 | AFTD (2012) | AFCTD (2012) AFPS (2012) AFRIS (2015) CIB (2010) | |||||||||
Shaw B. Wagener 1959 | Chairman of the Board, Capital Group International, Inc.1; Chairman of the Board, CIInc.1; Director, CGPM1; Partner – CII, CRMC | DWGI (2013) | ||||||||||
Steven T. Watson 1955 | Partner – CII, CIInc.1 | CIB (2017) IGI (2008) | ||||||||||
Gregory W. Wendt 1961 | Partner – CRGI, CRMC | SCWF (1992) | AFCTD (2012) | |||||||||
Richmond A. Wolf 1970 | Partner – CWI, CRMC | AMBAL (2014) | ||||||||||
Dylan Yolles 1969 | Partner – CII, CRMC | AMF (2015) | ||||||||||
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Name and Year of Birth | Principal occupation(s) during past five years and positions held with affiliated entities or the Principal Underwriter of the Fund | Current position with Fund (year first appointed) | ||||||||||
| President | Executive Vice President | Senior Vice President | Treasurer | Secretary | ||||||||
Karl J. Zeile 1966 | Partner – CFII, CRMC; Director, CGC1 | TEBF (2009) | AHIM (2008) LTEX (2004) TEFCA (2009) TEFNY (2010) | |||||||||
| 1 | Company affiliated with CRMC. |
| 2 | Mr. Bullard is a treasurer of the following funds: AMCAP (2015-2016, 2016), AMF (2015-2016, 2016), FI (2016), GBAL (2015-2016, 2016), GFA (2016), ICA (2008-2016; 2016) and SCWF (2016). |
| 3 | Mr. Janssen is a treasurer of the following funds: AFMF (2012), AHIM (2015), AHIT (2012), BFA (2011), CBF (2012), EMBF (2015), EUPAC (2010), GVT (2015), IBFA (2015), ILBF (2012), LTEX (2015), MMF (2011), NPF (2010), NWF (2010), SBF (2015), STBF (2015), STEX (2015), TEBF (2012), TEFCA (2012), TEFNY (2012), WBF (2012) and WMIF (2016). |
| 4 | Mr. Koszalka is a secretary of the following funds: AFCTD (2012), AFPS (2012), AFRIS (2015), AFTD (2006), AFMF (2010), AHIM (2010), AHIT (2010), BFA (2010), CBF (2012), EMBF (2015), GVT (2010), IBFA (2010), ILBF (2012), LTEX (2010), MMF (2010), SBF (2015), STBF (2010), STEX (2010), TEBF (2010), TEFCA (2010), TEFNY (2010), and WBF (2010). |
| 5 | James B. Lovelace and Robert W. Lovelace are brothers. |
| 6 | Mr. Niland is a treasurer of the following funds: AFCTD (2012), AFPS (2012), AFRIS (2015), AFTD (2007), CIB (2016), NEF (2016) and WGI (2016). |
| 7 | Ms. Nishiyama is an executive vice president of the following funds: AFMF (2010), AHIM (2003), AHIT (2003), BFA (2003), CBF (2012), EMBF (2015), GVT (2003), IBFA (2003), ILBF (2012), LTEX (2003), SBF (2015), STBF (2006), STEX (2003), TEBF (2003), TEFCA (2003), TEFNY (2010) and WBF (2003). |
| 8 | Mr. Stockton is a secretary of the following funds: AMBAL (2014), CIB (2013), DWGI (2014), EUPAC (2013), FI (2014), GFA (2014), IFA (2014), IGI (2014), NEF (2013), NPF (2013), NWF (2013), SCWF (2014) and WGI (2013). |
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APPENDIX 5
Total Shares Outstanding
(as of June 30, 2018)
| Fund | All share classes | Fund | All share classes | |||||
AFCTD | 691,288,457 | IBFA | 1,318,540,233 | |||||
AFMF | 469,134,303 | ICA | 2,342,712,001 | |||||
AFPS | 2,366,230,781 | IFA | 4,736,185,896 | |||||
AFRIS | 180,210,406 | IGI | 428,614,234 | |||||
AFTD | 7,130,488,509 | ILBF | 463,472,098 | |||||
AHIM | 407,598,956 | LTEX | 255,668,847 | |||||
AHIT | 1,591,211,252 | MMF | 15,819,828,967 | |||||
AMBAL | 4,762,782,342 | NEF | 436,484,939 | |||||
AMCAP | 1,971,268,845 | NPF | 1,824,300,575 | |||||
AMF | 1,218,943,021 | NWF | 556,468,319 | |||||
BFA | 3,023,274,878 | SBF | 60,335,644 | |||||
CBF | 51,338,491 | SCWF | 720,841,312 | |||||
CIB | 1,742,647,834 | STBF | 612,400,969 | |||||
DWGI | 296,840,054 | STEX | 97,633,858 | |||||
EMBF | 76,215,001 | TEBF | 1,475,286,356 | |||||
EUPAC | 3,070,233,742 | TEFCA | 128,716,675 | |||||
FI | 1,563,628,472 | TEFNY | 22,754,179 | |||||
GBAL | 520,961,850 | WBF | 679,856,348 | |||||
GFA | 3,546,324,130 | WGI | 1,939,193,748 | |||||
GVT | 881,255,377 | WMIF | 2,335,475,261 |
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APPENDIX 6
Principal Beneficial Holders
(as of June 30, 2018)
| AFMF | AFTD 2020 | CBF | AFCTD 2036 | CIB | DWGI | |||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||
Hancheck Family Dentistry 401K Plan Individual Investor Morgantown WV | R-2 | 22,428 | 6.81 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
401K Plan #1 Individual Investor University Place WA | R-5 | 7,984 | 6.45 | - | - | 13,077 | 18.50 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
401K Plan #2 Individual Investor Tacoma WA | R-5 | 7,700 | 6.22 | - | - | 12,726 | 18.00 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
401K Plan #3 Individual Investor Gadsden AL | R-5 | 6,471 | 5.22 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Delaware Bankers Association 401K Individual Investor #1 Alloway NJ | R-5E | 3,874 | 54.73 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Delaware Bankers Association 401K Individual Investor #2 Harrington DE | R-5E | 1,682 | 23.77 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Jackson Pathology Association Profit Sharing Plan Individual Investor Dexter MI | R-1 | - | - | 83,650 | 5.97 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
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| AFMF | AFTD 2020 | CBF | AFCTD 2036 | CIB | DWGI | |||||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica Individual Investor #1 Horseheads NY | 529-E | - | - | - | - | 4,966 | 5.40 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica Individual Investor #2 Northbrook IL | 529-F-1 | - | - | - | - | 14,239 | 5.67 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Iowa Business Growth Co 401K Plan Individual Investor Johnston IA | R-1 | - | - | - | - | 10,165 | 38.14 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Capital Research & Management Company | R-1 | - | - | - | - | 2,365 | 8.87 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Corporate Account | R-2E | 979 | 9.20 | - | - | 2,365 | 7.43 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Los Angeles CA | R-5E | 975 | 13.78 | - | - | 2,365 | 10.48 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
CB&T Custodian Edwin Fair Community Mental Health Center Inc 403B Plan Greenwood Village Co | R-2E | - | - | - | - | 6,004 | 18.87 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan Individual Investor Slidell LA | R-4 | - | - | - | - | 42,847 | 24.09 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Plastic Surgeons of Lex PLLC 401K Individual Investor Lexington KY | R-4 | - | - | - | - | 27,489 | 15.46 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Piedmont Eye Center Inc 401K PSP&T | R-5 | - | - | - | - | 11,355 | 16.06 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Lynchburg VA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Piedmont Eye Center Inc 401K PSP&T | R-5 | - | - | - | - | 5,199 | 7.35 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Amherst VA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-2
Table of Contents
| AFMF | AFTD 2020 | CBF | AFCTD 2036 | CIB | DWGI | |||||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Willapa Harbor Hospital | R-5E | - | - | - | - | 11,333 | 50.22 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirment Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Raymond WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Willapa Harbor Hospital | R-5E | - | - | - | - | 2,524 | 11.18 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirment Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Raymond WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Willapa Harbor Hospital | R-5E | - | - | - | - | 2,331 | 10.33 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirment Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor #3 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Raymond WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Willapa Harbor Hospital | R-5E | - | - | - | - | 1,370 | 6.07 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirment Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor #4 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Raymond WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 19,452 | 13.88 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #3 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Greenville NC | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 16,210 | 11.56 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #4 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Greenville NC | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 12,503 | 8.92 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #5 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Richmond VA | �� | |||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 10,676 | 7.62 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #6 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Greenville NC | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 9,639 | 6.88 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #7 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
S Portland ME | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-3
Table of Contents
| AFMF | AFTD 2020 | CBF | AFCTD 2036 | CIB | DWGI | |||||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-F-1 | - | - | - | - | - | - | 24,630 | 11.82 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #8 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Longmeadow MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-F-1 | - | - | - | - | - | - | 14,059 | 6.75 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #9 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Indianapolis IN | ||||||||||||||||||||||||||||||||||||||||||||||||||||
National Financial Services LLC | R-5 | - | - | - | - | - | - | - | - | 336,679 | 8.51 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Jersey City NJ | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Neurologic Associates Of | R-1 | - | - | - | - | - | - | - | - | - | - | 12,413 | 9.52 | |||||||||||||||||||||||||||||||||||||||
Central Brevard Inc | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Merritt IS FL | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan #1 | R-5E | - | - | - | - | - | - | - | - | - | - | 14,942 | 38.39 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Collingswood NJ | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Lifepoint Financial Solutions 401K Individual Investor Miamisburg OH | R-5E | - | - | - | - | - | - | - | - | - | - | 3,426 | 8.81 | |||||||||||||||||||||||||||||||||||||||
Auto Park Truck 401K Individual Investor Kuna ID | R-5E | - | - | - | - | �� | - | - | - | - | - | - | 2,839 | 7.30 | ||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan #2 Individual Investor Bellmawr NJ | R-5E | - | - | - | - | - | - | - | - | - | - | 1,991 | 5.12 | |||||||||||||||||||||||||||||||||||||||
CT Pest Elimination 401K Plan Individual Investor West Haven CT | R-5E | - | - | - | - | - | - | - | - | - | - | 1,954 | 5.02 | |||||||||||||||||||||||||||||||||||||||
6-4
Table of Contents
| EMBF | GBAL | GVT | IBFA | IFA | IGI | |||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||
Capital Research & Management Company Corporate Account Los Angeles CA | A 529-E R-1 R-5 R-5E | | 4,393,661 2,723 2,453 2,453 2,453 | | | 14.24 6.43 20.67 6.61 73.09 | | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica Individual Investor #1 Lewisville TX | 529-E | 18,640 | 43.98 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Copeland Surveying Inc Profit Sharing Plan Individual Investor Medford NJ | R-1 | 2,422 | 20.42 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Bird-B-Gone 401K PSP Individual Investor #1 Laguna Beach CA | R-3 | 12,881 | 9.42 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Ocean Machinery Retirement Plan Individual Investor Fort Lauderdale FL | R-3 | 12,814 | 9.37 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Bird-B-Gone 401K PSP Individual Investor #2 Laguna Beach CA | R-3 | 11,755 | 8.59 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Ginsburg Financial Advisors 401(K) Individual Investor Oakland CA | R-4 | 12,606 | 14.85 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Acci 401K PSP Individual Investor Berkeley CA | R-4 | 9,731 | 11.46 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Weber Murphy Fox 401K Retirement Individual Investor North East PA | R-4 | 5,586 | 6.58 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
6-5
Table of Contents
| EMBF | GBAL | GVT | IBFA | IFA | IGI | |||||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Snyder Fuel Service Inc 401(K) Plan | R-4 | 4,964 | 5.85 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Newport NY | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Solano Sports PT Inc 401K PSP | R-4 | 4,720 | 5.56 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Vacaville CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Dunham Enterprises 401K | R-5 | 12,919 | 34.82 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Poland OH | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Dunham Enterprises 401K | R-5 | 10,498 | 28.29 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Poland OH | ||||||||||||||||||||||||||||||||||||||||||||||||||||
401K Plan #1 | R-5 | 7,276 | 19.61 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cleveland OH | ||||||||||||||||||||||||||||||||||||||||||||||||||||
R.B. Smith Company Assoc. Inc. | R-5 | 2,487 | 6.71 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Valparaiso IN | ||||||||||||||||||||||||||||||||||||||||||||||||||||
O’Connor Law Group P C 401K PSP | R-5E | 323 | 9.64 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Laguna Beach CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Korean Health ED Info Ref Cntr 403B | R-5E | 188 | 5.62 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Los Angeles CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
The Financial SVCS Network 401K | R-5E | 185 | 5.54 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Carmichael CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Sole Proprietor 401K PSP | R-5E | - | - | 3,591 | 23.10 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Orinda CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
CT Pest Elimination 401K Plan | R-5E | - | - | 1,257 | 8.09 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
West Haven CT | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-6
Table of Contents
| EMBF | GBAL | GVT | IBFA | IFA | IGI | |||||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Roberts & Durkee PA 401K Plan | R-5E | - | - | 1,256 | 8.08 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Coral Gables FL | ||||||||||||||||||||||||||||||||||||||||||||||||||||
CT Pest Elimination 401K Plan | R-5E | - | - | 1,191 | 7.66 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
West Haven CT | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Watermark Financial Serv Inc 401K | R-5E | - | - | 982 | 6.32 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Hilbert WI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Aftermarket Specialty 401K Plan | R-5E | - | - | 884 | 5.69 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cheshire CT | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Proto & Loskey 401(K) PSP | R-5E | - | - | 876 | 5.64 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Olean NY | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Oxford Architecture 401(K) Plan | R-5E | - | - | - | - | 5,472 | 11.44 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Nashville TN | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Willapa Harbor Hospital | R-5E | - | - | - | - | 3,774 | 7.89 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirment Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Raymond WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cutting Edge Cabinet Inc 401K PSP | R-5E | - | - | - | - | 2,628 | 5.49 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Idaho Falls ID | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Pinellas Primary Care Inc 401K PSP | R-5E | - | - | - | - | 2,469 | 5.16 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Tampa FL | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Wealth Management Associates | R-5E | - | - | - | - | - | - | 9,324 | 12.08 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Eagle ID | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan | R-5E | - | - | - | - | - | - | 5,221 | 6.76 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Thornton PA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-7
Table of Contents
| EMBF | GBAL | GVT | IBFA | IFA | IGI | |||||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Door Creek Financial 401K Plan | R-5E | - | - | - | - | - | - | 4,161 | 5.39 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cottage Grove WI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
401K Plan #2 | R-5E | - | - | - | - | - | - | 3,890 | 5.04 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Hillsborough CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
National Financial Services LLC | R-5 | - | - | - | - | - | - | - | - | 973,637 | 5.05 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Jersey City NJ | ||||||||||||||||||||||||||||||||||||||||||||||||||||
United Processing PSP | R-5E | - | - | - | - | - | - | - | - | - | - | 2,834 | 12.36 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Chicago IL | ||||||||||||||||||||||||||||||||||||||||||||||||||||
| ILBF | MMF | PSCGI | PSGG | PSMGI | PSP | |||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||
401K Plan | R-4 | 60,686 | 12.87 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||
West Chester PA | ||||||||||||||||||||||||||||||||||||||||||||||||||
Icenogle & Boggins 401K Plan | R-5 | 41,936 | 18.49 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||
Austin TX | ||||||||||||||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan | R-5 | 15,349 | 6.77 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||
Roanoke VA | ||||||||||||||||||||||||||||||||||||||||||||||||||
Dunham Enterprises 401K | R-5 | 13,567 | 5.98 | - | - | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||
Poland OH | ||||||||||||||||||||||||||||||||||||||||||||||||||
6-8
Table of Contents
| ILBF | MMF | PSCGI | PSGG | PSMGI | PSP | |||||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Individual Investor | R-5E | - | - | 2,474,003 | 21.05 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Hillsdale MI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | 29,228 | 5.69 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Vienna VA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
National Financial Services LLC | R-1 | - | - | - | - | 27,628 | 19.60 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Account | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Jersey City NJ | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Capital Research & Management Company | R-2E | - | - | - | - | 828 | 7.17 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Corporate Account | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Los Angeles CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Healthy Solutions Inc | R-5 | - | - | - | - | 42,391 | 7.69 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Overland Park KS | ||||||||||||||||||||||||||||||||||||||||||||||||||||
NW Portland Dental 401K Plan | R-5E | - | - | - | - | 26,788 | 10.98 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Portland OR | ||||||||||||||||||||||||||||||||||||||||||||||||||||
CB&T Custodian | R-2E | - | - | - | - | - | - | 12,902 | 7.94 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Edwin Fair Community | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Mental Health Center Inc 403B Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Greenwood Village Co | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Compton Wealth Advisory GRP 401K | R-5 | - | - | - | - | - | - | 28,355 | 5.73 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Virginia Beach VA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Premier Builders Inc 401K Plan | R-5E | - | - | - | - | - | - | 11,488 | 16.95 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Georgetown MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Shamrock Wealth Management 401K | R-5E | - | - | - | - | - | - | 10,301 | 15.20 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Saint Paul MN | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-9
Table of Contents
| ILBF | MMF | PSCGI | PSGG | PSMGI | PSP | |||||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Talent Advantage Group LLC 401K | R-5E | - | - | - | - | - | - | 7,243 | 10.69 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Rochester MI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Talent Advantage Group LLC 401K | R-5E | - | - | - | - | - | - | 7,216 | 10.65 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Rochester MI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Lexington Financial 401K Plan | R-5E | - | - | - | - | - | - | 5,350 | 7.89 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Bradenton FL | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cohen Investment Advisors LLC 401K | R-5E | - | - | - | - | - | - | 4,065 | 6.00 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Manchester NH | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Thompson Consulting Group Inc 401K | R-5 | - | - | - | - | - | - | - | - | 107,162 | 7.33 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Tacoma WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Tabco Inc | R-4 | - | - | - | - | - | - | - | - | - | - | 64,271 | 5.30 | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Baltimore MD | ||||||||||||||||||||||||||||||||||||||||||||||||||||
TMTC 401K Plan | R-5 | - | - | - | - | - | - | - | - | - | - | 23,813 | 10.37 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Houston TX | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Lankford Fendler & Associates 401K | R-5 | - | - | - | - | - | - | - | - | - | - | 21,321 | 9.28 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Kansas City MO | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan | R-5 | - | - | - | - | - | - | - | - | - | - | 18,404 | 8.01 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Newton MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Davis Harrison Dion Inc 401K PSP | R-5 | - | - | - | - | - | - | - | - | - | - | 17,328 | 7.55 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
New Lenox IL | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-10
Table of Contents
| ILBF | MMF | PSCGI | PSGG | PSMGI | PSP | |||||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Desanctis Insurance Agency 401K PSP | R-5 | - | - | - | - | - | - | - | - | - | - | 13,477 | 5.87 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Westford MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Spectra Associates Inc 401K PSP | R-5E | - | - | - | - | - | - | - | - | - | - | 3,750 | 15.80 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Moorestown NJ | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Prieto Machine Company Inc 401K | R-5E | - | - | - | - | - | - | - | - | - | - | 2,330 | 9.82 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Quakertown PA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Waterford Township | R-5E | - | - | - | - | - | - | - | - | - | - | 2,020 | 8.51 | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Waterford PA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Dermatology & Skin Surgery CTR 401K | R-5E | - | - | - | - | - | - | - | - | - | - | 1,642 | 6.92 | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Marstons Mills MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
| RIC | RIE | RIM | SBF | STBF | TEFNY | |||||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
National Financial Services LLC | R-1 | - | - | 1,885 | 32.15 | - | - | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Account | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Jersey City NJ | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-11
Table of Contents
| RIC | RIE | RIM | SBF | STBF | TEFNY | |||||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
401K Plan | R-4 | - | - | - | - | 3,252 | 9.21 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Honolulu HI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Capital Research & Management Company | A | - | - | - | - | - | - | 3,702,681 | 8.93 | - | - | 3,106,801 | 17.75 | |||||||||||||||||||||||||||||||||||||||
Corporate Account | F-1 | - | - | - | - | - | - | - | - | - | - | 42,000 | 21.13 | |||||||||||||||||||||||||||||||||||||||
Los Angeles CA | R-1 | - | - | 1,000 | 17.05 | 1,000 | 8.53 | - | - | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
| R-2E | 1,000 | 100.00 | 1,000 | 100.00 | 1,000 | 100.00 | 2,500 | 43.31 | - | - | - | - | ||||||||||||||||||||||||||||||||||||||||
| R-5 | 1,000 | 100.00 | 1,000 | 100.00 | 1,000 | 83.95 | - | - | - | - | - | - | ||||||||||||||||||||||||||||||||||||||||
| R-5E | - | - | 970 | 100.00 | 977 | 100.00 | 2,500 | 23.62 | - | - | - | - | ||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 9,224 | 7.88 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Bristol RI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 7,114 | 6.07 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Manchester MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 7,019 | 5.99 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #3 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Daniel Island SC | ||||||||||||||||||||||||||||||||||||||||||||||||||||
VCSP/CollegeAmerica | 529-E | - | - | - | - | - | - | 6,871 | 5.87 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #4 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Belmont MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Bloom Hochberg & Co PC 401K | R-2 | - | - | - | - | - | - | 14,726 | 8.29 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Massapequa Park NY | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Heart Center of Acadiana Inc 401K | R-2 | - | - | - | - | - | - | 11,831 | 6.66 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Lafayette LA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Fennell and Associates Inc | R-2 | - | - | - | - | - | - | 10,739 | 6.04 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Marietta OK | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-12
Table of Contents
| RIC | RIE | RIM | SBF | STBF | TEFNY | |||||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Southwest Michigan Center | R-3 | - | - | - | - | - | - | 19,977 | 7.70 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
St Joseph MI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Compreh Infect Disease CTR 401K PSP | R-3 | - | - | - | - | - | - | 18,652 | 7.19 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Tulsa OK | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Poplar Bluff Radiology 401K PSP | R-3 | - | - | - | - | - | - | 14,675 | 5.66 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Poplar Bluff MO | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Central Coast Emergency Physicians Inc | R-4 | - | - | - | - | - | - | 14,170 | 6.08 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
401K Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Templeton CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Stone Oven Bakery Inc 401K PSP | R-5 | - | - | - | - | - | - | 18,467 | 25.83 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cleveland Heights OH | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Stone Oven Bakery Inc 401K PSP | R-5 | - | - | - | - | - | - | 11,908 | 16.65 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cleveland Heights OH | ||||||||||||||||||||||||||||||||||||||||||||||||||||
401K Plan | R-5 | - | - | - | - | - | - | 11,754 | 16.44 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Peoria IL | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Profit Sharing Plan | R-5 | - | - | - | - | - | - | 7,546 | 10.55 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cleveland OH | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Scott Trucking Service Inc. PSP | R-5 | - | - | - | - | - | - | 5,224 | 7.31 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Lawton MI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-13
Table of Contents
| RIC | RIE | RIM | SBF | STBF | TEFNY | |||||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||
Lubatkin Fin Group | R-5 | - | - | - | - | - | - | 4,965 | 6.94 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Retirement Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Fort Lee NJ | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cutting Edge Cabinet Inc | R-5E | - | - | - | - | - | - | 4,392 | 41.50 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Idaho Falls ID | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Cutting Edge Cabinet Inc | R-5E | - | - | - | - | - | - | 2,867 | 27.09 | - | - | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Idaho Falls ID | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Retirement Plan | R-5E | - | - | - | - | - | - | - | - | 6,742 | 15.59 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Stonington CT | ||||||||||||||||||||||||||||||||||||||||||||||||||||
HY-Rock Excavation LLC | R-5E | - | - | - | - | - | - | - | - | 6,531 | 15.11 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Logandale NV | ||||||||||||||||||||||||||||||||||||||||||||||||||||
HY-Rock Excavation LLC | R-5E | - | - | - | - | - | - | - | - | 5,980 | 13.83 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor #2 | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Logandale NV | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Stevenson-Seeley Inc 401K Plan | R-5E | - | - | - | - | - | - | - | - | 4,927 | 11.40 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Philadelphia PA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Egumball 401K Plan | R-5E | - | - | - | - | - | - | - | - | 4,258 | 9.85 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Tustin CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Columbia Gem House 401K RTMT Plan | R-5E | - | - | - | - | - | - | - | - | 3,647 | 8.44 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Vancouver WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
401K Plan | R-5E | - | - | - | - | - | - | - | - | 2,976 | 6.88 | - | - | |||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Los Angeles CA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
6-14
Table of Contents
| WBF | ||||||||||||||||||||||||||||||||||||||||||||||||||||
| Name and Address | Class | Shares Held | As % of shares outstanding | |||||||||||||||||||||||||||||||||||||||||||||||||
Willapa Harbor Hospital | R-5E | 8,156 | 9.70 | |||||||||||||||||||||||||||||||||||||||||||||||||
Retirment Plan | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Raymond WA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
North Bridge Podiatry 401K PSP | R-5E | 6,658 | 7.92 | |||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Acton MA | ||||||||||||||||||||||||||||||||||||||||||||||||||||
401K Plan | R-5E | 4,205 | 5.00 | |||||||||||||||||||||||||||||||||||||||||||||||||
Individual Investor | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Flint MI | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Note: If a Fund is not listed, no shareholders of the Fund are known by the Fund to have been the beneficial owners of more than 5% of any class of the Fund’s shares as of June 30, 2018.
6-15
Table of Contents
Appendix 7
Independent Auditors and Related Fees
Audit Fees | Audit-Related Fees | Tax Fees | Aggregate Non-Audit Fees | |||||||||||||||||||||||||||||||||||||
| Fund | FYE | Audit Firm | 2018 | 2017 | 2018 | 2017 | 2018 | 2017 | 2018 | 2017 | ||||||||||||||||||||||||||||||
AMCAP | Feb 28/29 | D&T | $ | 98,000 | $ | 110,000 | $ | 14,000 | $ | 14,000 | $ | 14,000 | $ | 8,000 | $ | 1,124,000 | $ | 1,485,000 | ||||||||||||||||||||||
EUPAC | Mar 31 | D&T | 139,000 | 140,000 | 42,000 | 36,000 | 33,000 | 36,000 | 1,197,000 | 1,378,000 | ||||||||||||||||||||||||||||||
IGI | June 30 | D&T | 107,000 | 122,000 | 3,000 | 3,000 | 15,000 | 12,000 | 960,000 | 1,408,000 | ||||||||||||||||||||||||||||||
WMIF | April 30 | PwC | 137,000 | 110,000 | None | None | 9,000 | 9,000 | 9,000 | 28,000 | ||||||||||||||||||||||||||||||
CBF | May 31 | PwC | 106,000 | 83,000 | None | None | 9,000 | 9,000 | 60,000 | 11,000 | ||||||||||||||||||||||||||||||
| Audit Fees | Audit-Related Fees | Tax Fees | Aggregate Non-Audit Fees | |||||||||||||||||||||||||||||||||||||
| Fund | FYE | Audit Firm | 2017 | 2016 | 2017 | 2016 | 2017 | 2016 | 2017 | 2016 | ||||||||||||||||||||||||||||||
AFCTD | Oct 31 | D&T | 59,000 | 59,000 | 2,000 | 1,000 | 25,000 | 28,000 | 1,409,000 | 1,222,000 | ||||||||||||||||||||||||||||||
AFMF | Aug 31 | PwC | 78,000 | 71,000 | None | None | 7,000 | 7,000 | 7,000 | 37,000 | ||||||||||||||||||||||||||||||
AFPS | Oct 31 | D&T | 68,000 | 81,000 | 7,000 | 6,000 | 30,000 | 29,000 | 1,419,000 | 1,228,000 | ||||||||||||||||||||||||||||||
AFRIS | Oct 31 | D&T | 28,000 | 17,000 | 274 | 70 | 7,000 | 4,000 | 1,389,000 | 1,196,000 | ||||||||||||||||||||||||||||||
AFTD | Oct 31 | D&T | 84,000 | 97,000 | 16,000 | 11,000 | 40,000 | 39,000 | 1,438,000 | 1,243,000 | ||||||||||||||||||||||||||||||
AHIM | July 31 | PwC | 80,000 | 61,000 | None | None | 8,000 | 8,000 | 8,000 | 38,000 | ||||||||||||||||||||||||||||||
AHIT | Sept 30 | D&T | 174,000 | 169,000 | 4,000 | 5,000 | 8,000 | 8,000 | 1,364,000 | 1,235,000 | ||||||||||||||||||||||||||||||
AMBAL | Dec 31 | D&T | 141,000 | 112,000 | 29,000 | 27,000 | 10,000 | 9,000 | 1,554,000 | 1,281,000 | ||||||||||||||||||||||||||||||
AMF | Oct 31 | D&T | 96,000 | 105,000 | 12,000 | 11,000 | 8,000 | 8,000 | 1,401,000 | 1,211,000 | ||||||||||||||||||||||||||||||
BFA | Dec 31 | D&T | 250,000 | 177,000 | 9,000 | 9,000 | 8,000 | 8,000 | 1,533,000 | 1,262,000 | ||||||||||||||||||||||||||||||
CIB | Oct 31 | PwC | 177,000 | 182,000 | None | None | 9,000 | 9,000 | 62,000 | 22,000 | ||||||||||||||||||||||||||||||
DWGI | Nov 30 | D&T | 127,000 | 123,000 | 1,000 | 1,000 | 6,000 | 6,000 | 1,183,000 | 1,464,000 | ||||||||||||||||||||||||||||||
7-1
Table of Contents
| Audit Fees | Audit-Related Fees | Tax Fees | Aggregate Non-Audit Fees | |||||||||||||||||||||||||||||||||||
| Fund | FYE | Audit Firm | 2017 | 2016 | 2017 | 2016 | 2017 | 2016 | 2017 | 2016 | ||||||||||||||||||||||||||||
EMBF | Dec 31 | D&T | $ | 77,000 | $ | 28,000 | None | None | $ | 3,000 | None | $ | 1,518,000 | $ | 1,244,000 | |||||||||||||||||||||||
FI | Dec 31 | D&T | 115,000 | 105,000 | $ | 22,000 | $ | 23,000 | 8,000 | $ | 11,000 | 1,546,000 | 1,278,000 | |||||||||||||||||||||||||
GBAL | Oct 31 | D&T | 94,000 | 103,000 | 3,000 | 3,000 | 11,000 | 15,000 | 1,396,000 | 1,211,000 | ||||||||||||||||||||||||||||
GFA | Aug 31 | D&T | 127,000 | 103,000 | 54,000 | 24,000 | 9,000 | 12,000 | 1,528,000 | 1,239,000 | ||||||||||||||||||||||||||||
GVT | Aug 31 | D&T | 124,000 | 105,000 | 3,000 | 1,000 | 8,000 | 8,000 | 1,528,000 | 1,212,000 | ||||||||||||||||||||||||||||
IBFA | Aug 31 | D&T | 141,000 | 121,000 | 5,000 | 2,000 | 8,000 | 8,000 | 1,477,000 | 1,213,000 | ||||||||||||||||||||||||||||
ICA | Dec 31 | D&T | 124,000 | 113,000 | 22,000 | 23,000 | 8,000 | 8,000 | 1,546,000 | 1,275,000 | ||||||||||||||||||||||||||||
IFA | July 31 | D&T | 184,000 | 165,000 | 30,000 | 30,000 | 11,000 | 10,000 | 1,388,000 | 644,000 | ||||||||||||||||||||||||||||
ILBF | Nov 30 | PwC | 62,000 | 53,000 | None | None | 6,000 | 5,000 | 56,000 | 35,000 | ||||||||||||||||||||||||||||
LTEX | July 31 | PwC | 75,000 | 56,000 | None | None | 8,000 | 8,000 | 8,000 | 38,000 | ||||||||||||||||||||||||||||
MMF | Sept 30 | PwC | 50,000 | 53,000 | None | None | 7,000 | 7,000 | 58,000 | 35,000 | ||||||||||||||||||||||||||||
NEF | Nov 30 | PwC | 134,000 | 125,000 | None | None | 9,000 | 9,000 | 60,000 | 39,000 | ||||||||||||||||||||||||||||
NPF | Sept 30 | D&T | 92,000 | 98,000 | 14,000 | 18,000 | 14,000 | 14,000 | 1,381,000 | 1,254,000 | ||||||||||||||||||||||||||||
NWF | Oct 31 | D&T | 122,000 | 126,000 | 8,000 | 7,000 | 26,000 | 44,000 | 1,445,000 | 1,273,000 | ||||||||||||||||||||||||||||
SBF | Dec 31 | D&T | 74,000 | 26,000 | None | None | 3,000 | None | 1,518,000 | 1,244,000 | ||||||||||||||||||||||||||||
SCWF | Sept 30 | D&T | 167,000 | 169,000 | 7,000 | 9,000 | 27,000 | 56,000 | 1,387,000 | 1,286,000 | ||||||||||||||||||||||||||||
STBF | Aug 31 | PwC | 74,000 | 66,000 | None | None | 7,000 | 7,000 | 7,000 | 37,000 | ||||||||||||||||||||||||||||
STEX | July 31 | PwC | 63,000 | 44,000 | None | None | 7,000 | 7,000 | 7,000 | 37,000 | ||||||||||||||||||||||||||||
TEBF | July 31 | PwC | 126,000 | 108,000 | None | None | 17,000 | 8,000 | 17,000 | 38,000 | ||||||||||||||||||||||||||||
TEFCA | July 31 | PwC | 107,000 | 87,000 | None | None | 8,000 | 8,000 | 8,000 | 38,000 | ||||||||||||||||||||||||||||
TEFNY | July 31 | PwC | 75,000 | 56,000 | None | None | 7,000 | 7,000 | 7,000 | 37,000 | ||||||||||||||||||||||||||||
WBF | Dec 31 | D&T | 263,000 | 5,000 | 3,000 | None | 16,000 | None | 1,535,000 | 105,000 | ||||||||||||||||||||||||||||
WGI | Nov 30 | PwC | 145,000 | 136,000 | None | None | 9,000 | 9,000 | 60,000 | 39,000 | ||||||||||||||||||||||||||||
7-2
Table of Contents
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AMERICAN FUNDS® - PROXY CARD
FOR THE SPECIAL MEETING(S) OF SHAREHOLDERS TO BE HELD ON NOVEMBER 28, 2018
THIS PROXY IS SOLICITED ON BEHALF OF THE BOARD OF DIRECTORS/TRUSTEES
The undersigned hereby acknowledges receipt of the Notice of Special Meetings of Shareholders and the accompanying Joint Proxy Statement. The undersigned, revoking all previous proxies, hereby appoints Paul F. Roye and Erik A. Vayntrub, and each of them, his/her true and lawful agents and proxies with full power of substitution to represent and vote on behalf of the undersigned at the Special Shareholder Meeting of each Fund listed below to be held at the office of Capital Group, 333 South Hope Street, Los Angeles, CA 90071 on Wednesday, November 28, 2018 at 9:00 a.m. Pacific time, and any adjournments or postponements thereof on all matters coming before the meeting.
This proxy when properly executed will be voted in the manner directed herein by the undersigned shareholder or, if no direction is indicated, “FOR” each director/trustee nominee in Proposal 1A-1H, and in accordance with the discretion of the proxies as to any other matter that is properly presented at the Special Meeting(s) of Shareholders.
IMPORTANT NOTICE REGARDING THE AVAILABILITY OF PROXY MATERIAL for the Special Meeting(s) of Shareholders on November 28, 2018. The Proxy Statement for this meeting is available at: https://www.proxy-direct.com/afs-30092
|
VOTE ON THE INTERNET Log on to: https://www.proxy-direct.com or scan the QR code Follow the on-screen instructions available 24 hours
|
VOTE BY PHONE Call 1-800-337-3503 Follow the recorded instructionsavailable 24 hours
|
AFS_30092_082218
| AMERICAN FUNDS | AMERICAN FUNDS | AMERICAN FUNDS |
| Fundname1 | Fundname2 | Fundname3 |
| Fundname4 | Fundname5 | Fundname6 |
| Fundname7 | Fundname8 | Fundname9 |
| Fundname10 | Fundname11 | Fundname12 |
| Fundname13 | Fundname14 | Fundname15 |
| Fundname16 | Fundname17 | Fundname18 |
THIS PROXY IS SOLICITED ON BEHALF OF THE BOARD. THE BOARD RECOMMENDS VOTING "FOR" EACH BOARD MEMBER NOMINEE. TO VOTE, MARK BLOCKS BELOW IN BLUE OR BLACK INK AS SHOWN IN THIS EXAMPLE: X
|
A Proposal
1A. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
| 01. Louise H. Bryson | 02. Mary Anne Dolan | 03. James G. Ellis | 04. Pablo R. González Guajardo |
| 05. William D. Jones | 06. John C. Mazziotta | 07. William R. McLaughlin | 08. William L. Robbins |
| 09. Kenneth M. Simril | 10. James Terrile | 11. Kathy J. Williams |
| FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | ||
| 01 Fundname1 | £ | £ | £ | 02 Fundname2 | £ | £ | £ |
| 03 Fundname3 | £ | £ | £ | 04 Fundname4 | £ | £ | £ |
1B. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
| 01. Elisabeth Allison | 02. Vanessa C. L. Chang | 03. Pablo R. González Guajardo | 04. Joanna F. Jonsson |
| 05. Carl M. Kawaja | 06. Martin E. Koehler | 07. Pascal Millaire | 08. William I. Miller |
| 09. Alessandro Ovi | 10. Josette Sheeran | 11. Amy Zegart |
| FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | ||
| 01 Fundname1 | £ | £ | £ | 02 Fundname2 | £ | £ | £ |
| 03 Fundname3 | £ | £ | £ |
1C. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
| 01. Joseph C. Berenato | 02. Mary Anne Dolan | 03. John G. Freund | 04. Pedro J. Greer, Jr. |
| 05. R. Clark Hooper | 06. Merit E. Janow | 07. Leonade D. Jones | 08. Winnie Kwan |
| 09. Sung Lee | 10. Earl Lewis, Jr. | 11. Christopher E. Stone |
| FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | ||
| 01 Fundname1 | £ | £ | £ | 02 Fundname2 | £ | £ | £ |
| 03 Fundname3 | £ | £ | £ |
1D. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
| 01. Hilda L. Applbaum | 02. William H. Baribault | 03. Michael C. Camuñez | 04. Vanessa C. L. Chang |
| 05. Linda Griego | 06. Gregory D. Johnson | 07. Leonade D. Jones | 08. William D. Jones |
| 09. James J. Postl | 10. Josette Sheeran | 11. Margaret Spellings | 12. Isaac Stein |
| FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | ||
| 01 Fundname1 | £ | £ | £ | 02 Fundname2 | £ | £ | £ |
| 03 Fundname3 | £ | £ | £ | 04 Fundname4 | £ | £ | £ |
1E. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
| 01. Joseph C. Berenato | 02. Joseph J. Bonner | 03. Louise H. Bryson | 04. Mary Anne Dolan |
| 05. Brady L. Enright | 06. John G. Freund | 07. Yvonne L. Greenstreet | 08. Linda Griego |
| 09. Leonade D. Jones | 10. Sharon I. Meers | 11. Anne-Marie Peterson | 12. Kenneth M. Simril |
| 13. Christopher E. Stone |
| FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | ||
| 01 Fundname1 | £ | £ | £ | 02 Fundname2 | £ | £ | £ |
| 03 Fundname3 | £ | £ | £ |
1F. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
| 01. Gina F. Adams | 02. Charles E. Andrews | 03. Alan N. Berro | 04. Nariman Farvardin |
| 05. Mary Davis Holt | 06. R. Clark Hooper | 07. Laurel B. Mitchell | 08. Donald L. Nickles |
| 09. John Knox Singleton | 10. Margaret Spellings | 11. Eric H. Stern | 12. Lydia Waters Thomas |
| FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | |
| 01 Fundname1 | £ | £ | £ |
1G. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
| 01. William H. Baribault | 02. James G. Ellis | 03. Nariman Farvardin | 04. Michael C. Gitlin |
| 05. Mary Davis Holt | 06. R. Clark Hooper | 07. Merit E. Janow | 08. Laurel B. Mitchell |
| 09. Margaret Spellings | 10. Alexandra Trower | 11. Bradley J. Vogt |
| FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | ||
| 01 Fundname1 | £ | £ | £ | 02 Fundname2 | £ | £ | £ |
| 03 Fundname3 | £ | £ | £ | 04 Fundname4 | £ | £ | £ |
| 05 Fundname5 | £ | £ | £ | 06 Fundname6 | £ | £ | £ |
| 07 Fundname7 | £ | £ | £ | 08 Fundname8 | £ | £ | £ |
| 09 Fundname9 | £ | £ | £ | 10 Fundname10 | £ | £ | £ |
| 11 Fundname11 | £ | £ | £ | 12 Fundname12 | £ | £ | £ |
| 13 Fundname13 | £ | £ | £ | 14 Fundname14 | £ | £ | £ |
| 15 Fundname15 | £ | £ | £ | 16 Fundname16 | £ | £ | £ |
| 17 Fundname17 | £ | £ | £ | 18 Fundname18 | £ | £ | £ |
1H. To Elect Board Members: To withhold authority to vote for any individual nominee(s) mark the box “For All Except” and write the nominee number on the line provided.
| 01. William H. Baribault | 02. James G. Ellis | 03. Nariman Farvardin | 04. Michael C. Gitlin |
| 05. Mary Davis Holt | 06. R. Clark Hooper | 07. Merit E. Janow | 08. Laurel B. Mitchell |
| 09. Margaret Spellings | 10. Alexandra Trower | 11. Karl J. Zeile |
| FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | FOR ALL | WITHHOLD ALL | FOR ALL EXCEPT | ||
| 01 Fundname1 | £ | £ | £ | 02 Fundname2 | £ | £ | £ |
| 03 Fundname3 | £ | £ | £ | 04 Fundname4 | £ | £ | £ |
| 05 Fundname5 | £ | £ | £ | 06 Fundname6 | £ | £ | £ |
| 07 Fundname7 | £ | £ | £ | 08 Fundname8 | £ | £ | £ |
| 09 Fundname9 | £ | £ | £ | 10 Fundname10 | £ | £ | £ |
| 11 Fundname11 | £ | £ | £ | 12 Fundname12 | £ | £ | £ |
| 13 Fundname13 | £ | £ | £ | 14 Fundname14 | £ | £ | £ |
| 15 Fundname15 | £ | £ | £ | 16 Fundname16 | £ | £ | £ |
| 17 Fundname17 | £ | £ | £ | 18 Fundname18 | £ | £ | £ |
B Authorized Signatures ─ This section must be completed for your vote to be counted.─ Sign and Date Below
Note: Please sign exactly as your name(s) appear(s) on this proxy card, and date it. When shares are held jointly, each holder should sign. When signing as attorney, executor, administrator, trustee, officer of corporation or other entity or in another representative capacity, please give the full title under the signature.
Date (mm/dd/yyyy) ─ Please print date below
| Signature 1 ─ Please keep signature within the box
| Signature 2 ─ Please keep signature within the box |
| Scanner bar code |
| xxxxxxxxxxxxxx AFS 30092 M xxxxxxxx | + |
IMPORTANT PROXY INFORMATION | AMERICAN FUNDS® NOTICE |
| Your Vote Counts |
PLEASE USE THE 14-DIGITCONTROL NUMBER & 8-DIGITSECURITY CODE LISTED IN THE BOXES BELOW WHEN REQUESTING MATERIAL VIA THE TELEPHONE & INTERNET.When you are ready to vote, you can use the same Control Number & Security Code to record your vote.
As a shareholder, it is important for you to vote!
On the back of this Notice, you will find a proposal summary that requires a shareholder vote at the Special Meetings of Shareholders of the American Funds (together, the “Shareholder Meeting”).
This communication presents only an overview of the more complete proxy material that is available to you on the Internet or by mail and is NOT a form for voting.
The Proxy Statement for the Shareholder Meeting and Form of Proxy Card are available at:
https://www.proxy-direct.com/afs-30092
If you want to receive a paper copy of the proxy material or an email with a link to the proxy material, you must request them. There is no charge to you for requesting a copy. Paper material will be mailed to the address on file within three business days of receipt of the request. Please make your request as soon as possible, but no later than November 19, 2018, to facilitate timely delivery. The Shareholder Meeting will be held on Wednesday, November 28, 2018, at 9:00 a.m., Pacific time, at the office of Capital Group, 333 South Hope Street, Los Angeles, CA 90071.
ONLINE MATERIAL ACCESS AND PAPER COPY REQUESTS CAN BE MADE UTILIZING ONE OF THE THREE METHODS BELOW.
YOU ALSO CAN ELECT A PERMANENT DELIVERY PREFERENCE FOR FUTURE SHAREHOLDER MEETINGS USING THE ONLINE ACCESS INSTRUCTIONS BELOW.
ACCESS MATERIAL AND VOTE OR REQUEST PAPER DELIVERY OF MATERIAL
|
 | EASY ONLINE ACCESS –REQUEST BY INTERNET
Log on to the Internet and go to:https://www.proxy-direct.com/afs-30092 On this site you can view the Proxy Statement and Form of Proxy Card online, request paper copies, request an email with a link to the material and/or set future delivery preferences. Just follow the steps outlined on this secure website. |
TELEPHONE REQUESTS - CALL 1-877-816-5331 Obtain paper copies of the Proxy Statement and/or Form of Proxy Card with an option to set future delivery preference by touch tone phone. Call toll free from the U.S. atNO CHARGEto you.Follow the instructions provided in the recorded messages.
| E-MAIL REQUEST AT: proxymaterials@computershare.com: Email us to request Proxy Material for this Shareholder Meeting. - Provide only your14-Digit Control Number and8-Digit Security Code as listed on this Notice in your email request for materials. - If you want to elect to receive all future proxy material via U.S. mail or via email, please record your vote electronically and follow the instructions on the confirmation page.
|
PAPER COPY REQUESTS SHOULD BE MADE NO LATER THAN NOVEMBER 19, 2018, TO FACILITATE TIMELY DELIVERY. |
American Funds Holdings:
| AMERICAN FUNDS | AMERICAN FUNDS | AMERICAN FUNDS |
| Fund 1 | Fund 2 | Fund 3 |
| Fund 4 | Fund 5 | Fund 6 |
| Fund 7 | Fund 8 | Fund 9 |
| Fund 10 | Fund 11 | Fund 12 |
| Fund 13 | Fund 14 | Fund 15 |
| Fund 16 | Fund 17 | Fund 18 |
The following matter will be considered at the Shareholder Meeting:
THE BOARD OF DIRECTORS/TRUSTEES OF EACH APPLICABLE FUND RECOMMENDS THAT YOU VOTE “FOR” EACH BOARD MEMBER NOMINEE:
| 1A. | To elect Directors/Trustees. |
| 1B. | To elect Directors/Trustees. |
| 1C. | To elect Directors/Trustees. |
| 1D. | To elect Directors/Trustees. |
| 1E. | To elect Directors/Trustees. |
| 1F. | To elect Directors/Trustees. |
| 1G. | To elect Directors/Trustees. |
| 1H. | To elect Directors/Trustees |
If you wish to attend and vote at the Shareholder Meeting, please bring this Notice and proper photo identification with you.
Please refer to the Proxy Material for further details on the proposal.
YOUR VOTE IS IMPORTANT NO MATTER HOW MANY SHARES YOU OWN |
Common Questions about Notice and Access
Why am I receiving a Notice of Internet Availability instead of a Proxy Card and Proxy Statement?
Your Fund(s) has elected to utilize a distribution model authorized by the Securities and Exchange Commission (“SEC”) in 2007. This model, known as Notice and Access, allows mutual funds and public companies to send you a Notice instead of a full set of printed proxy material. As a shareholder, you can select the means by which you access the proxy material.
You can view the material online, or request a full set of printed material for this Shareholder Meeting and all future shareholder meetings, or you can make that choice on a case-by-case basis.
How do I access the material, set my preference for future shareholder meeting material, and record my vote?
On the front side of this Notice are easy-to-follow instructions on how to access proxy material electronically or request a full set of printed material.
When you are ready to vote, electronic voting is available by Internet or Touch-Tone Phone by using the Control Number and Security Code on the front of this Notice. The Touch-Tone voting phone number is different from the ordering phone number and is displayed on the website. If you want to vote via U.S. Mail, you will need to request a paper copy of the material to receive a Proxy Card and Return Envelope.
You can set your delivery preferences for future shareholder meetings by recording your vote electronically and following the instructions on the confirmation screen.
If I request printed proxy material, how long will it take for me to receive them?
The SEC rule requires that the material be sent via first class mail within three business days of receipt of your request.
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