0000777535-15-000008.txt : 20150827
0000777535-15-000008.hdr.sgml : 20150827
20150827172240
ACCESSION NUMBER: 0000777535-15-000008
CONFORMED SUBMISSION TYPE: NSAR-A
PUBLIC DOCUMENT COUNT: 4
CONFORMED PERIOD OF REPORT: 20150630
FILED AS OF DATE: 20150827
DATE AS OF CHANGE: 20150827
EFFECTIVENESS DATE: 20150827
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: COLLEGE RETIREMENT EQUITIES FUND
CENTRAL INDEX KEY: 0000777535
IRS NUMBER: 136022042
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: NSAR-A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-04415
FILM NUMBER: 151079553
BUSINESS ADDRESS:
STREET 1: 730 THIRD AVE
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 2129164905
MAIL ADDRESS:
STREET 1: 730 THIRD AVE
CITY: NEW YORK
STATE: NY
ZIP: 10017
0000777535
S000005080
Stock Account
C000013867
Retirement Annuity
C000018661
Supplemental Retirement Annuity
C000018662
Retirement Select Plus II Annuity
C000018663
Retirement Choice Annuity
C000018664
Retirement Choice Plus Annuity
C000018665
Keogh Certificate
C000018666
Group Retirement Annuity
C000018667
Group Supplemental Retirement Annuity
C000018668
Group Annuity
C000018669
Individual Retirement Annuity
C000018670
Rollover Individual Retirement Annuity
C000018671
Roth Individual Retirement Annuity
C000018672
Retirement Select Annuity
C000018673
Retirement Select Plus Annuity
C000065747
ATRAs (After Tax Retirement Annuities)
C000154473
Class R1
QCSTRX
C000154474
Class R2
QCSTPX
C000154475
Class R3
QCSTIX
0000777535
S000005081
Global Equities Account
C000013868
Retirement Annuity
C000018818
Supplemental Retirement Annuity
C000018819
Rollover Individual Retirement Annuity
C000018820
Roth Individual Retirement Annuity
C000018821
Retirement Select Annuity
C000018822
Retirement Select Plus Annuity
C000018823
Retirement Select Plus II Annuity
C000018824
Retirement Choice Annuity
C000018825
Retirement Choice Plus Annuity
C000018826
Keogh Certificate
C000018827
Group Retirement Annuity
C000018828
Group Supplemental Retirement Annuity
C000018829
Group Annuity
C000018830
Individual Retirement Annuity
C000065748
ATRAs (After Tax Retirement Annuities)
C000154476
Class R1
QCGLRX
C000154477
Class R2
QCGLPX
C000154478
Class R3
QCGLIX
0000777535
S000005082
Growth Account
C000013869
Retirement Annuity
C000018833
Supplemental Retirement Annuity
C000018834
Rollover Individual Retirement Annuity
C000018835
Roth Individual Retirement Annuity
C000018836
Retirement Select Annuity
C000018837
Retirement Select Plus Annuity
C000018838
Retirement Select Plus II Annuity
C000018839
Retirement Choice Annuity
C000018840
Retirement Choice Plus Annuity
C000018841
Keogh Certificate
C000018842
Group Retirement Annuity
C000018843
Group Supplemental Retirement Annuity
C000018844
Group Annuity
C000018845
Individual Retirement Annuity
C000065749
ATRAs (After Tax Retirement Annuities)
C000154479
Class R1
QCGRRX
C000154480
Class R2
QCGRPX
C000154481
Class R3
QCGRIX
0000777535
S000005083
Equity Index Account
C000013870
Retirement Annuity
C000018850
Supplemental Retirement Annuity
C000018851
Group Retirement Annuity
C000018852
Group Supplemental Retirement Annuity
C000018853
Group Annuity
C000018854
Individual Retirement Annuity
C000018855
Rollover Individual Retirement Annuity
C000018856
Roth Individual Retirement Annuity
C000018857
Retirement Select Annuity
C000018858
Retirement Select Plus Annuity
C000018859
Retirement Select Plus II Annuity
C000018860
Retirement Choice Annuity
C000018861
Retirement Choice Plus Annuity
C000018862
Keogh Certificate
C000065750
ATRAs (After Tax Retirement Annuities)
C000154482
Class R1
QCEQRX
C000154483
Class R2
QCEQPX
C000154484
Class R3
QCEQIX
0000777535
S000005084
Bond Market Account
C000013871
Retirement Annuity
C000018878
Supplemental Retirement Annuity
C000018879
Rollover Individual Retirement Annuity
C000018880
Roth Individual Retirement Annuity
C000018881
Retirement Select Annuity
C000018882
Retirement Select Plus Annuity
C000018883
Retirement Select Plus II Annuity
C000018884
Retirement Choice Annuity
C000018885
Retirement Choice Plus Annuity
C000018886
Keogh Certificate
C000018887
Group Retirement Annuity
C000018888
Group Supplemental Retirement Annuity
C000018889
Group Annuity
C000018890
Individual Retirement Annuity
C000065751
ATRAs (After Tax Retirement Annuities)
C000154485
Class R1
QCBMRX
C000154486
Class R2
QCBMPX
C000154487
Class R3
QCBMIX
0000777535
S000005085
Inflation-Linked Bond Account
C000013872
Retirement Annuity
C000018891
Supplemental Retirement Annuity
C000018892
Rollover Individual Retirement Annuity
C000018893
Roth Individual Retirement Annuity
C000018894
Retirement Select Annuity
C000018895
Retirement Select Plus Annuity
C000018896
Retirement Select Plus II Annuity
C000018897
Retirement Choice Annuity
C000018898
Retirement Choice Plus Annuity
C000018899
Keogh Certificate
C000018900
Group Retirement Annuity
C000018901
Group Supplemental Retirement Annuity
C000018902
Group Annuity
C000018903
Individual Retirement Annuity
C000065752
ATRAs (After Tax Retirement Annuities)
C000154488
Class R1
QCILRX
C000154489
Class R2
QCILPX
C000154490
Class R3
QCILIX
0000777535
S000005086
Social Choice Account
C000013873
Retirement Annuity
C000018914
Supplemental Retirement Annuity
C000018915
Rollover Individual Retirement Annuity
C000018916
Roth Individual Retirement Annuity
C000018917
Retirement Select Annuity
C000018918
Retirement Select Plus Annuity
C000018919
Retirement Select Plus II Annuity
C000018920
Retirement Choice Annuity
C000018921
Retirement Choice Plus Annuity
C000018922
Keogh Certificate
C000018923
Group Retirement Annuity
C000018924
Group Supplemental Retirement Annuity
C000018925
Group Annuity
C000018926
Individual Retirement Annuity
C000065753
ATRAs (After Tax Retirement Annuities)
C000154491
Class R1
QCSCRX
C000154492
Class R2
QCSCPX
C000154493
Class R3
QCSCIX
0000777535
S000005087
Money Market Account
C000013874
Retirement Annuity
C000018927
Supplemental Retirement Annuity
C000018928
Rollover Individual Retirement Annuity
C000018929
Roth Individual Retirement Annuity
C000018930
Retirement Select Annuity
C000018931
Retirement Select Plus Annuity
C000018932
Retirement Select Plus II Annuity
C000018933
Retirement Choice Annuity
C000018934
Retirement Choice Plus Annuity
C000018935
Keogh Certificate
C000018936
Group Retirement Annuity
C000018937
Group Supplemental Retirement Annuity
C000018938
Group Annuity
C000018939
Individual Retirement Annuity
C000065754
ATRAs (After Tax Retirement Annuities)
C000154494
Class R1
QCMMRX
C000154495
Class R2
QCMMPX
C000154496
Class R3
QCMMIX
NSAR-A
1
answer.fil
CREF SEMIANNUAL 6.30.15
PAGE 1
000 A000000 06/30/2015
000 C000000 0000777535
000 D000000 N
000 E000000 NF
000 F000000 Y
000 G000000 N
000 H000000 N
000 I000000 6.1
000 J000000 A
001 A000000 COLLEGE RETIREMENT EQUITIES FUND
001 B000000 811-04415
001 C000000 8008422733
002 A000000 730 THIRD AVE
002 B000000 NEW YORK
002 C000000 NY
002 D010000 10017
002 D020000 3206
003 000000 N
004 000000 N
005 000000 N
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007 A000000 Y
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007 C010100 1
007 C020100 CREF STOCK ACCOUNT
007 C030100 N
007 C010200 2
007 C020200 CREF MONEY MARKET
007 C030200 N
007 C010300 3
007 C020300 CREF BOND MARKET ACCOUNT
007 C030300 N
007 C010400 4
007 C020400 CREF SOCIAL CHOICE ACCOUNT
007 C030400 N
007 C010500 5
007 C020500 CREF GLOBAL EQUITIES ACCOUNT
007 C030500 N
007 C010600 6
007 C020600 CREF GROWTH ACCOUNT
007 C030600 N
007 C010700 7
007 C020700 CREF EQUITY INDEX ACCOUNT
007 C030700 N
007 C010800 8
007 C020800 CREF INFLATION-LINKED BOND ACCOUNT
007 C030800 N
008 A00AA01 TIAA-CREF INVESTMENT MANAGEMENT, LLC
008 B00AA01 A
008 C00AA01 801-38029
008 D01AA01 NEW YORK
PAGE 2
008 D02AA01 NY
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010 A00AA01 TEACHERS INSURANCE AND ANNUITY ASSOC OF AMER.
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011 A00AA01 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
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011 C01AA01 NEW YORK
011 C02AA01 NY
011 C03AA01 10017
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013 A00AA01 PRICEWATERHOUSECOOPERS LLP
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013 B02AA01 MD
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014 A00AA01 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
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014 A00AA02 TEACHERS PERSONAL INVESTORS SERVICES, INC
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015 A00AA01 STANDARD CHARTERED BANK
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015 A00AA04 BANK AUSTRIA CREDITANSTALT AG (UNI CREDIT GR)
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015 C01AA04 VIENNA
015 D01AA04 AUSTRIA
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PAGE 3
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015 A00AA08 CITITRUST S.A. CARRERA 9A NO 99-02 SANTAFE DE
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015 A00AA12 SEB FINLAND
015 B00AA12 S
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015 D02AA12 SF-00101
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PAGE 4
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015 C01AA15 KWUN TONG
015 D01AA15 HONG KONG
015 E04AA15 X
015 A00AA16 UNICREDIT BANK HUNGARY ZRT
015 B00AA16 S
015 C01AA16 BUDAPEST
015 D01AA16 HUNGARY
015 D02AA16 H-1054
015 E04AA16 X
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015 A00AA18 DEUTSCHE BANK AG JAKARTA
015 B00AA18 S
015 C01AA18 JAKARTA
015 D01AA18 INDONESIA
015 D02AA18 12930
015 E04AA18 X
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015 A00AA20 DEUTSCHE BANK S.P.A. MILANO
015 B00AA20 S
015 C01AA20 MILAN
015 D01AA20 ITALY
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PAGE 5
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015 C01AA24 KUALA LUMPAR
015 D01AA24 MALAYSIA
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015 A00AA25 CITIBANK MEXICO
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PAGE 6
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PAGE 7
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PAGE 8
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PAGE 9
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PAGE 10
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PAGE 11
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PAGE 22
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PAGE 31
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PAGE 32
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PAGE 33
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PAGE 34
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PAGE 35
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PAGE 36
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PAGE 37
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PAGE 38
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025 B000705 13-3224016
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PAGE 39
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PAGE 40
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PAGE 41
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PAGE 42
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PAGE 43
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PAGE 44
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PAGE 45
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PAGE 46
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SIGNATURE Phillip G. Goff
TITLE SVP, Corp Controller
EX-99.77I NEW SECUR
2
77I.txt
EXHIBIT FOR QUESTION 77I
College Retirement Equities Fund ("CREF")
Form N-SAR for the semiannual period ended 6-30-15
Exhibit for Response to Question 77I - Terms of new or
amended securities
On April 24, 2015, each CREF account was expanded from
a single class structure into three classes, Class R1,
Class R2 and Class R3. The terms of each class are
described in CREF's Registration Statement filed under
Conformed Submission 485BPOS, accession number,
0000930413-15-001958 and in CREF's Multiple Class Plan,
dated April 24, 2015, which is being filed as an exhibit
to Sub-Item 77Q1. of Form N-SAR.
EX-99.77Q1 OTHR EXHB
3
77q1.txt
EXHIBIT 77Q1 - MULTIPLE CLASS PLAN
77Q1. Exhibit Multiple Class Plan
COLLEGE RETIREMENT EQUITIES FUND
MULTIPLE CLASS PLAN
April 24, 2015
I. Introduction
College Retirement Equities Fund ("CREF") is registered
with the Securities and Exchange Commission ("SEC")
as an open-end management investment company on Form N-3.
CREF issues units ("Units") in separately designated
investment portfolios ("Accounts"). Units include
accumulation units and annuity units, which are used to
measure the interest of each institution or individual
participant that has entered into a contract with CREF
(each a "Client" and collectively, "Clients") in an
Account during the accumulation period and the annuity
period (if any), respectively.
TIAA-CREF Investment Management, LLC ("TCIM") serves
as CREF's investment adviser, Teachers Insurance and
Annuity Association of America ("TIAA") serves as CREF's
administrator, and TIAA-CREF Individual & Institutional
Services, LLC ("Services") serves as CREF's principal
underwriter and distributor. TCIM, TIAA and Services
provide services to CREF on an at-cost basis.
CREF and TCIM have obtained exemptive relief from the
SEC to permit CREF to offer multiple classes of Units,
with varying administrative and/or distribution expenses
and other expenses. See College Retirement Equities Fund,
et al., Inv. Co. Act Rel. No. 39012 (June 23, 2014) (notice)
and Inv. Co. Act Rel. No. 31204 (Aug. 11, 2014) (order)
(the "Order"). CREF hereby adopts this Multiple Class Plan
(the "Plan") in accordance with the Order with respect to
each Account identified on Exhibit A, as amended from time
to time.
II. Features of the Classes of Units
Except as outlined herein, Units of each class of an Account
shall represent an equal pro rata interest in such Account
and, generally, shall have identical voting, distribution,
liquidation, and other rights, preferences, powers,
restrictions, limitations, qualifications, and terms
and conditions, except that: (a) each class of Units
shall have a different designation; (b) each class of
Units shall bear any Covered Expenses, as defined in Section
VI below, attributable to it; (c) each class of Units
shall have exclusive voting rights on any matter submitted
to CREF participants that relates solely to its
administrative or distribution arrangement, and (d) each
class of Units shall have separate voting rights on any
matter submitted to CREF participants in which the
interests of one class differ from the interests of any
other class.
Each Account currently is authorized to issue three (3)
classes of Units, designated herein as CREF R1 Units
(the original class of Units), CREF R2 Units, and CREF R3
Units, respectively. Following are descriptions of the
three current classes of Units, which descriptions may be
modified or supplemented as set forth in CREF's prospectus
and/or Rules of the Fund.
CREF R1 Units - CREF R1 Units bear the Covered Expenses
attributable to CREF R1 Units as described in Section VI below.
CREF R2 Units - CREF R2 Units bear the Covered Expenses
attributable to CREF R2 Units as described in Section VI below.
CREF R3 Units - CREF R3 Units bear the Covered Expenses
attributable to CREF R3 Units as described in Section VI below.
CREF's Rules of the Fund currently classify CREF Clients
into two categories, as follows: (a) employer-sponsored
retirement arrangements ("Institutions"); and (b) current
and future products that offer contracts not being used as
employer-sponsored retirement arrangement accumulation funding
vehicles (each a "Product"). Each category of Client has the
Unit class eligibility requirements set forth below.
Eligibility Requirements Applicable to Institution Clients
A. CREF R1 Units
CREF R1 Units are offered to Institution Clients with CREF
assets under management below $20 million, but are available
to all Institution Clients that hold Units during the
accumulation period. For purposes of determining eligibility,
CREF assets under management will be determined as of the date
of becoming a Client, and may periodically be reviewed thereafter.
B. CREF R2 Units
CREF R2 Units are offered to Institution Clients with CREF
assets under management of at least $20 million but less than
$400 million. For purposes of determining initial eligibility,
CREF assets under management will be determined as of the date
of becoming a Client or, for existing Clients, a reasonable date
prior to first offering CREF R2 Units, and may periodically
be reviewed thereafter.
C. CREF R3 Units
CREF R3 Units are offered to Institution Clients with CREF
assets under management of $400 million or more. For purposes
of determining eligibility, CREF assets under management will
be determined as of the date of becoming a Client or, for
existing Clients, a reasonable date prior to first offering
CREF R3 Units, and may periodically be reviewed thereafter.
Eligibility Requirements Applicable to Product Clients
Product Client eligibility for CREF Unit classes is
determined on the basis of the following considerations:
(1) CREF will determine the Distribution Expenses (defined
below in Section IV) and Administrative Expenses (defined
below in Section V), associated with total CREF assets under
management, separately for each Product;
(2) For each Product, CREF will determine the ratio of
Distribution Expenses to total CREF assets under
management and the ratio of Administrative Expenses
to total CREF assets under management;
(3) For each class of CREF Units, CREF will determine
the ratio of Distribution Expenses to CREF assets under
management in the class of Units and the ratio of
Administrative Expenses to CREF assets under management
in the class of Units;
(4) Each Product will be eligible to participate in the
CREF unit class whose combined Distribution and
Administrative Expense ratios associated with total CREF
assets in the class is closest to such Product's combined
Distribution and Administrative Expense ratios. This will
generally result in a Product being assigned to the less
expensive of the two CREF Unit classes between which its
combined Distribution and Administrative Expense ratios
fall, unless such assignment would, under the
circumstances, result in an undue financial impact on
the CREF Unit class as a whole. Investment performance
alone will not result in the reassignment of a Product
to a more expensive CREF Unit class.
For purposes of this determination, each Product shall
be considered separately or, subject to the approval of
the Superintendent of Financial Services of the State of
New York, combined with one or more other Products.
The total amount of Distribution Expenses and the total
amount of Administrative Expenses shall also be
separately determined in accordance with CREF's
corporate methodology for allocating expenses. Any
change to such methodology will preserve the principles
of classification and fairness established by the
eligibility criteria described above. Distribution and
Administrative Expenses are proportionately allocated
among the CREF Unit classes and Products based on actual
utilization of services and costs, by Institutions and
Products and in accordance with CREF's distribution
and administrative arrangements.
Eligibility Requirements Applicable to Annuity Units
For purposes of the allocation of income, gains,
appreciation/depreciation and expenses, all annuity
units (i.e., Units during the annuity period (if any)
will be aggregated with a CREF Unit class determined
in a manner similar to the determination of CREF
Unit classes for Product Clients, as described above.
D. Modification of the Classes of Units
The Board of Trustees has the authority to create
additional classes of Units, merge Unit classes,
terminate one or more classes of Units, or change
features or designations of existing classes of Units,
from time to time, in accordance with the Order and
Rule 18f-3 under the Investment Company Act of 1940
(the "1940 Act").
III. Sales Charge Structure
No class of Units shall be subject to a front-end
sales charge or a contingent deferred sales charge.
Each class of Units shall be offered at its Unit
value to Clients that are eligible to participate
in that class of Units and who have elected to so
participate.
IV. Distribution Expenses
CREF has established an arrangement for the
distribution of CREF Units (the "Distribution Plan")
that complies with all applicable provisions of
Rule 12b-1 under the 1940 Act, except those relating
to shareholder approval, in accordance with SEC
exemptive relief. See College Retirement Equities
Fund, et al., Inv. Co Act Rel. Nos. 19591
(July 23, 1993) (notice) and Inv. Co. Act Rel. No.
19645 (Aug. 19, 1993) (order). Under the
Distribution Plan, subject to approval by CREF's
Board of Trustees, CREF reimburses Services on an
at-cost basis for actual expenses incurred in
connection with distribution services for CREF
("Distribution Expenses") up to an amount that on
an annual basis cannot exceed 0.25% of average daily
net assets. Subject to the terms of the Distribution
Plan, CREF will allocate to each class of Units the
Distribution Expenses attributable to such class.
V. Administrative Expenses
CREF incurs the expenses of administration and
operations of CREF and the variable annuity contracts
offered by CREF ("Administrative Expenses").
Administrative Expenses may be incurred with respect
to any administrative service provided to CREF,
including (without limitation) services provided in
connection with contract issuance, issuance of Units,
redemption of Units, registration of ownership of
contracts and Units, maintenance of beneficiary
records, receipt and allocation of premiums,
processing and paying withdrawal requests and
death benefit claims, calculation and payment of
annuity payments, tax reporting and withholding,
and communication with contract owners, among other
services. CREF will allocate to each class of
Units the Administrative Expenses attributable
to such class.
VI. Income and Expense Allocation
A. CREF and Account Expenses
Except for Covered Expenses (defined below), all
expenses incurred by or allocated to an Account
are allocated among the various classes based on
the net assets of the Account attributable to each
class of Units of the Account These expenses
include, but are not limited to:
(1) Expenses incurred by CREF that are not attributable
to a particular Account or to a particular class of
Units ("CREF Expenses"), including, but not limited to,
fees of CREF's Board of Trustees, legal counsel,
independent legal counsel to the Independent Trustees,
and mortality and expense risk charges; and
(2) Expenses incurred by an Account not attributable
to any particular class of the Account's Units
("Account Expenses"), including, but not limited to,
expenses of investment management, portfolio accounting,
custodial services, auditors and employer plan fee
withdrawals.
B. Covered Expenses
Certain expenses are, or may be, attributable to a
particular class of Units ("Covered Expenses"),
resulting in different classes of CREF Units paying
a different amount of Covered Expenses. CREF shall
treat the following expenses as Covered Expenses:
(1) Distribution Expenses attributable to a
specific class; and
(2) Administrative Expenses attributable to a
specific class.
(3) Other Expenses attributable to a specific class,
as outlined below:
(a) accounting or similar expenses relating to
a specific class;
(b) legal, printing and postage expenses related
to preparing and distributing to current participants
of a specific class materials such as annual and
semi-annual reports, prospectuses, and proxies;
(c) Blue Sky, state insurance, and other regulatory
expenses incurred by a specific class;
(d) SEC registration fees incurred by a specific
class;
(e) expenses of administrative personnel and
services required to support participants of a
specific class;
(f) Trustees' fees incurred as a result
of issues relating to a specific class;
(g) auditors' fees, compliance expenses, litigation
expenses, and other legal fees and expenses relating
to a specific class;
(h) incremental participant servicing expenses
identified as being attributable to a specific class;
(i) account expenses relating solely to
a specific class; and
(j) expenses incurred in connection with any
participant meetings as a result of issues relating to
a specific class.
C. General
All CREF Expenses, Account Expenses and Covered
Expenses may be estimated and allocated as described
in CREF's prospectus and deducted from an Account in
accordance with U.S. generally accepted accounting
principles.
Income, realized capital gains and losses, unrealized
appreciation and depreciation, CREF Expenses, Account
Expenses and any other expenses not allocated to a
specific class of Units are allocated to each class of
Units of an Account on the basis of the net assets
attributable to that class in relation to the aggregate
net assets of the Account. Covered Expenses attributable
to an Account allocated to a particular class of Units of
that Account are borne proportionately across that class.
CREF reserves the right to utilize any other appropriate
method to allocate income and expenses among the classes
of CREF Units in a manner consistent with Rule 18f-3(c)(1)
under the 1940 Act, provided that a majority of the
Trustees and a majority of the Independent Trustees
determine that the method is fair to CREF participants
of each class of Units and that the annualized rate of
return of each class of Units will generally differ from
that of the other classes only by the expense differentials
among the classes.
VII. Conversion Privileges
All conversions between different classes of Units in the
same Account shall be made on the basis of the relative Unit
values of the two classes without the imposition of any sales
load, fee, or other charge.
(1) Automatic Conversions: Units of any class may be
converted into Units of another class if the Client is
determined to meet applicable eligibility requirements for
the class of Units into which the Client will convert and is
entitled to receive services consistent with that class of
Units (as specified in CREF's prospectus or Rules of the Fund).
Institution Clients holding accumulation period Units that are
eligible to convert into a less expensive class of Units may
voluntarily choose to forego conversion and remain in the class
of Units in which the Client currently invests (except with
respect to any initial conversion upon the creation of the new
CREF Unit classes).
(2) Involuntary Conversions: Clients that no longer meet
the eligibility requirements for a particular CREF Unit
class may have their Units automatically converted into
another CREF Unit class where they meet the specified eligibility
requirements. Any such conversions will be preceded by
written notice to the Client and are subject to any terms
outlined in CREF's prospectus, the Rules of the Fund and
applicable law, including (without limitation) relevant
guidance from the Superintendent of Financial Services of
the State of New York.
VIII. Exchange Privileges
A Client may exchange any class of Units of any Account for
the same class of Units of any other Account(s) of CREF,
subject to the terms and conditions disclosed in CREF's prospectus.
Any exchange shall be made on the basis of the relative Unit
values of the Accounts without the imposition of any sales load,
fee, or other charge.
IX. Waiver or Reimbursement of Expenses
Expenses may be waived or reimbursed by any adviser, sub-adviser,
principal underwriter, or other provider of services to CREF
without the prior approval of CREF's Trustees.
X. Effectiveness of Plan
This Plan shall not take effect until it has been approved by
votes of a majority of both (a) the Trustees of CREF and (b)
the Independent Trustees of CREF in a manner consistent with
the requirements of Rule 18f-3(d) under the 1940 Act.
XI. Material Modifications
This Plan may not be amended to modify materially its terms unless
such amendment is approved in the manner provided for initial
approval hereof in Section X above.
EXHIBIT A
Stock Account
Global Equities Account
Growth Account
Equity Index Account
Bond Market Account
Inflation-Linked Bond Account
Social Choice Account
Money Market Account
EX-99.77Q1 OTHR EXHB
4
77q1a.txt
EXHIBIT 77Q1 - EXPLANATORY STATEMENT
College Retirement Equities Fund ("CREF")
Explanatory Statement to the Form N-SAR
for the semiannual period ended 6-30-15
in response to Question 77Q1.
Item 77Q1. Other Exhibits
Amendment to the Amended and Restated Investment
Management Services Agreement
On April 24, 2015 under Conformed Submission 485BPOS,
accession number, 0000930413-15-001958, a copy of the
Form of an Amendment, dated April 24, 2015 (the Amendment)
to the January 2, 2008 Amended and Restated Investment
Management Services Agreement between CREF and TIAA-CREF
Investment Management LLC was previously filed with the
SEC as exhibit (11)(z) to the CREF Registration Statement.
This Amendment is incorporated herein by reference as an
exhibit to Sub-Item 77Q1. of Form N-SAR.