SCHEDULE 14A INFORMATION
Proxy Statement Pursuant to Section 14(a) of the
Securities Exchange Act of 1934
(Amendment No. )
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// Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e) (2))
T. Rowe Price All-Cap Opportunities Fund, Inc. 002-99122/811-4358
T. Rowe Price Balanced Fund, Inc. 033-38791/811-6275
T. Rowe Price Blue Chip Growth Fund, Inc. 033-49581/811-7059
T. Rowe Price Capital Appreciation Fund, Inc. 033-05646/811-4519
T. Rowe Price Communications & Technology Fund, Inc. 333-27963/811-07075
T. Rowe Price Corporate Income Fund, Inc. 033-62275/811-07353
T. Rowe Price Credit Opportunities Fund, Inc. 333-194114/811-22939
T. Rowe Price Diversified Mid-Cap Growth Fund, Inc. 333-109958/811-21454
T. Rowe Price Dividend Growth Fund, Inc. 033-49187/811-7055
T. Rowe Price Equity Funds, Inc. 333-04753/811-07639
T. Rowe Price Equity Income Fund, Inc. 033-00070/811-4400
T. Rowe Price Equity Series, Inc. 033-52161/811-07143
T. Rowe Price Exchange-Traded Funds, Inc. 333-235450/811-23494
T. Rowe Price Financial Services Fund, Inc. 333-09551/811-07749
T. Rowe Price Fixed Income Series, Inc. 033-52749/811-07153
T. Rowe Price Floating Rate Fund, Inc. 333-174605/811-22557
T. Rowe Price Global Allocation Fund, Inc. 333-187446/811-22810
T. Rowe Price Global Funds, Inc. 033-29697/811-5833
T. Rowe Price Global Multi-Sector Bond Fund, Inc. 333-154155/811-22243
T. Rowe Price Global Real Estate Fund, Inc. 333-153130/811-22218
T. Rowe Price Global Technology Fund, Inc. 333-40086/811-09995
T. Rowe Price GNMA Fund, Inc. 033-01041/811-4441
T. Rowe Price Government Money Fund, Inc. 002-54926/811-2603
T. Rowe Price Growth Stock Fund, Inc. 002-10780/811-579
T. Rowe Price Health Sciences Fund, Inc. 033-63759/811-07381
T. Rowe Price High Yield Fund, Inc. 002-93707/811-4119
T. Rowe Price Index Trust, Inc. 033-32859/811-5986
T. Rowe Price Inflation Protected Bond Fund, Inc. 333-99241/811-21185
T. Rowe Price Institutional Income Funds, Inc. 333-84634/811-21055
T. Rowe Price Integrated Equity Funds, Inc. 333-26323/811-08203
T. Rowe Price Intermediate Tax-Free High Yield Fund, Inc. 333-196145/811-22968
T. Rowe Price International Funds, Inc. 002-65539/811-2958
T. Rowe Price International Index Fund, Inc. 333-44964/811-10063
T. Rowe Price International Series, Inc. 033-52171/811-07145
T. Rowe Price Limited Duration Inflation Focused Bond Fund, Inc. 333-136805/811-21919
T. Rowe Price Mid-Cap Growth Fund, Inc. 033-47806/811-6665
T. Rowe Price Mid-Cap Value Fund, Inc. 333-02993/811-07605
T. Rowe Price Multi-Sector Account Portfolios, Inc. 333-178660/811-22620
T. Rowe Price Multi-Strategy Total Return Fund, Inc. 333-218649/811-23261
T. Rowe Price New Era Fund, Inc. 002-29866/811-1710
T. Rowe Price New Horizons Fund, Inc. 002-18099/811-958
T. Rowe Price New Income Fund, Inc. 002-48848/811-2396
T. Rowe Price QM U.S. Bond Index Fund, Inc. 333-45018/811-10093
T. Rowe Price Real Assets Fund, Inc. 333-166395/811-22410
T. Rowe Price Real Estate Fund, Inc. 333-36137/811-08371
T. Rowe Price Reserve Investment Funds, Inc. 811-08279
T. Rowe Price Retirement Funds, Inc. 333-92380/811-21149
T. Rowe Price Science & Technology Fund, Inc. 033-16567/811-5299
T. Rowe Price Short-Term Bond Fund, Inc. 002-87568/811-3894
T. Rowe Price Small-Cap Stock Fund, Inc. 002-12171/811-696
T. Rowe Price Small-Cap Value Fund, Inc. 002-43237/811-2215-99
T. Rowe Price Spectrum Fund, Inc. 033-10992/811-4998
T. Rowe Price Spectrum Funds II, Inc. 033-53675/811-07173
T. Rowe Price State Tax-Free Funds, Inc. 033-06533/811-4521
T. Rowe Price Summit Funds, Inc. 033-50319/811-7093
T. Rowe Price Summit Municipal Funds, Inc. 033-50321/811-7095
T. Rowe Price Tax-Efficient Funds, Inc. 333-26441/811-08207
T. Rowe Price Tax-Exempt Money Fund, Inc. 002-67029/811-3055
T. Rowe Price Tax-Free High Yield Fund, Inc. 002-94641/811-4163
T. Rowe Price Tax-Free Income Fund, Inc. 002-57265/811-2684
T. Rowe Price Tax-Free Short-Intermediate Fund, Inc. 002-87059/811-3872
T. Rowe Price Total Return Fund, Inc. 333-213574/811-23180
T. Rowe Price U.S. Equity Research Fund, Inc. 033-56015/811-07225
T. Rowe Price U.S. Large-Cap Core Fund, Inc. 333-158764/811-22293
T. Rowe Price U.S. Treasury Funds, Inc. 033-30531/811-5860
T. Rowe Price Value Fund, Inc. 033-54963/811-07209
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Proxy Information May 10, 2023 | ||||
This proxy material concerns: All mutual funds and exchange-traded funds sponsored and managed by T. Rowe Price Associates, Inc. (each a “Fund” and together the “T. Rowe Price Funds”) | We cordially invite you to attend a joint special meeting of shareholders (the “Shareholder Meeting”) of T. Rowe Price Funds on Monday, July 24, 2023, at 12:15 p.m. eastern time. The Shareholder Meeting will be conducted as a virtual meeting hosted by means of a live webcast. A complete list of the T. Rowe Price Funds is included in Exhibit 1. The T. Rowe Price Funds’ Boards of Directors (each, a “Board”) has implemented a virtual meeting format to provide our shareholders with a convenient forum for the Shareholder Meeting. Shareholders will be able to listen, vote, and submit questions from their home or any location with internet connectivity. The following matters will be considered and acted upon at that time: |
1. Elect four (4) director-nominees for each Fund; and
2. To transact such other business as may properly come before the Shareholder Meeting and any adjournments or postponements thereof.
You or your proxy holder will be able to attend the meeting online, vote your shares electronically, and submit questions by visiting the portable document format (“PDF”) available at the following url: https://vote.proxyonline.com/trowe/docs/2023virtualmeetinginformation.pdf. The PDF will provide a url to attend the Shareholder Meeting. You must register prior to attending the Shareholder Meeting. You must have PDF viewing software, such as Adobe Reader, installed on your computer to view the document and attend the Shareholder Meeting. More detailed instructions are provided in the proxy materials that follow.
You are receiving these combined proxy materials for any Fund(s) you own. We hope that you will be able to attend the Shareholder Meeting and we encourage you to vote by telephone or online using the control number that appears on the enclosed proxy card prior to the Shareholder Meeting. Voting prior to the Shareholder Meeting will
reduce the time and costs associated with this proxy solicitation. Whichever method you choose, please read the enclosed proxy statement carefully before you vote.
Since the T. Rowe Price Funds’ last joint shareholder meeting in 2018, certain directors have retired or resigned and new directors have been added to replace them. In conjunction with these changes and more long-term succession planning, it has become necessary to seek shareholder approval to elect four directors for each Fund. If all proposed nominees are elected, each Fund’s Board will be composed of at least 75% independent directors and the same independent directors would serve on each Fund’s Board.
If you have questions, please call one of our service representatives at 1-800-541-5910.
Your participation in this vote is extremely important. By voting promptly, you can help the Funds that you own avoid the expense of additional mailings.
As always, thank you for investing with T. Rowe Price.
Sincerely,
Robert W. Sharps
Chief Executive Officer,
T. Rowe Price Group, Inc.
Notice of Joint Special Meeting of Shareholders
All mutual funds and exchange-traded funds sponsored and managed by T. Rowe Price Associates, Inc. (each a “Fund” and together the “T. Rowe Price Funds”) | T. Rowe Price Funds Fran M. Pollack-Matz |
May 10, 2023 | |
A joint special meeting of shareholders (the “Shareholder Meeting”) of the T. Rowe Price Funds will be held virtually on Monday, July 24, 2023, at 12:15 p.m. eastern time, by means of a live webcast. A complete list of the T. Rowe Price Funds is included in Exhibit 1. The following matters will be acted upon at that time: | |
1. Elect four (4) director-nominees for each Fund; and 2. To transact such other business as may properly come before the Shareholder Meeting and any adjournments or postponements thereof. | |
You or your proxy holder will be able to attend the meeting online, vote your shares electronically, and submit questions by visiting the portable document format (“PDF”) available at the following url: https://vote.proxyonline.com/trowe/docs/2023virtualmeetinginformation.pdf. The PDF will provide a url to attend the Shareholder Meeting. You must register prior to attending the Shareholder Meeting and vote your shares. You must have PDF viewing software, such as Adobe Reader, installed on your computer to view the document and attend the Shareholder Meeting. More detailed instructions are provided in the proxy materials that follow. If your shares are held through an intermediary (such as a brokerage account or by a bank or other holder of record), you will need to request a legal proxy to vote during the virtual Shareholder Meeting. To do so, you must submit proof of your proxy power (legal proxy) reflecting your holdings along with your name and email address to AST |
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Financial (“AST”), the proxy tabulator for the Shareholder Meeting. Requests for registration must be labeled as “Legal Proxy” and be received no later than 5:00 p.m. eastern time, on July 19, 2023. You will receive a confirmation of your registration by email that includes the control number necessary to vote during the Shareholder Meeting. Requests for registration should be directed to AST at attendameeting@equiniti.com. The Shareholder Meeting webcast will begin promptly at 12:15 p.m. eastern time. We encourage you to access the Shareholder Meeting prior to the start time in order to register to attend. For additional information on how you can vote your shares and participate in the virtual Shareholder Meeting, please see the instructions under the heading SUMMARY beginning on page 1 of the enclosed proxy materials that follow. Because the Shareholder Meeting will be a completely virtual meeting, there will be no physical location for shareholders to attend. Only shareholders of record at the close of business on Thursday, April 27, 2023, are entitled to notice of, and to vote at, this Shareholder Meeting or any adjournment or postponement thereof. The Boards of Directors recommend that you vote in favor of each director nominated for election. FRAN M. POLLACK-MATZ |
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YOUR VOTE IS IMPORTANT |
Shareholders are urged to designate their choice on the matters to be acted upon by using one of the following four methods: 1. Vote online. · Read the enclosed proxy materials. · Go to the Internet voting site found on your proxy card. · Enter the control number found on your proxy card. · Follow the instructions using your proxy card as a guide. 2. Vote by telephone. · Read the enclosed proxy materials. · Call the toll-free number found on your proxy card. · Enter the control number found on your proxy card. · Follow the recorded instructions using your proxy card as a guide. 3. Vote by mail. · Read the enclosed proxy materials. · Date, sign, and return the enclosed proxy card in the envelope provided, which requires no postage if mailed in the United States. Your proxy card must be received prior to the Shareholder Meeting. 4. Attend the virtual Shareholder Meeting. · Read the enclosed proxy materials. · Vote your shares electronically during the live Shareholder Meeting webcast by going to the Internet voting site found on your proxy card. · Enter the control number found on your proxy card. · Follow the instructions using your proxy card as a guide. Your prompt response will help to achieve a quorum at the Shareholder Meeting and avoid the potential for additional expenses to each Fund and its shareholders of further solicitation. Your vote must be received prior to the conclusion of the Shareholder Meeting. |
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T.
Rowe Price Funds
100 East Pratt Street
Baltimore, Maryland 21202
Joint Special Meeting
of Shareholders
Monday, July 24, 2023
JOINT PROXY STATEMENT
This proxy material relates to all mutual funds and exchange-traded funds (“ETFs”) sponsored and managed by T. Rowe Price Associates, Inc. (“T. Rowe Price”). A complete list of the T. Rowe Price Funds is included in Exhibit 1 (each a “Fund,” and together, the “T. Rowe Price Funds,” the “Price Funds,” or the “Funds”). This document provides you with the information you need to vote on the matters coming before the upcoming joint special meeting (the “Shareholder Meeting”) and is furnished in connection with the solicitation of proxies by the T. Rowe Price Funds. If you have any questions, please feel free to call us toll free at 1-800-541-5910. The Notice of Joint Special Meeting of Shareholders, the proxy card, and this joint proxy statement (the “Proxy Statement”) began mailing to shareholders of record on or about May 10, 2023.
How can shareholders access the virtual Shareholder Meeting?
The Shareholder Meeting will be a virtual meeting conducted exclusively via live webcast starting at 12:15 p.m. eastern time on Monday, July 24, 2023. You or your proxy holder will be able to attend the meeting online, vote your shares electronically, and submit questions by visiting the portable document format (“PDF”) available at the following url: https://vote.proxyonline.com/trowe/docs/2023virtualmeetinginformation.pdf. The PDF will provide a url to attend the Shareholder Meeting. You must register by providing your name and email address prior to attending the Shareholder Meeting. You must have PDF viewing software, such as Adobe Reader, installed on your computer to view the document and attend the Shareholder Meeting.
Because the Shareholder Meeting is completely virtual and will be conducted via live webcast, shareholders will not be able to attend the Shareholder Meeting in person. If your shares are held through a brokerage account or by a bank or other holder of record you will need to request a legal proxy to vote your shares during the virtual meeting. To do so, you must submit proof of your proxy power (“legal proxy”) reflecting your holdings as of April 27, 2023, along with your name and email address to AST. Requests for registration must be labeled as “Legal Proxy” and be received no later than 5:00 p.m. eastern time, on July 19, 2023. You will receive a confirmation of your registration by email that includes the control number necessary to vote during the Shareholder Meeting. Requests for registration should be directed to AST at attendameeting@equiniti.com.
We are pleased to offer our shareholders a completely virtual Shareholder Meeting, which provides worldwide access and communication. We are committed to ensuring that shareholders will be afforded the same rights and opportunities to participate as they would at an in-person meeting. We will reserve time at the end of the Shareholder Meeting (prior to the final vote tabulation) to answer as many shareholder-submitted
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questions as time permits; however, we reserve the right to exclude questions that are not pertinent to Shareholder Meeting matters or that are otherwise inappropriate. If substantially similar questions are received, we will group such questions together and provide a single response to avoid repetition.
Who is asking for my vote?
The Boards of Directors (each, a “Board” and together, the “Boards”) of the T. Rowe Price Funds request that you vote on each director nominated for election. The votes will be formally counted at the Shareholder Meeting on Monday, July 24, 2023, and if the Shareholder Meeting is adjourned or postponed, on the date of the adjourned or postponed meeting. Fund shareholders may vote electronically at the Shareholder Meeting, and they may also vote prior to the Shareholder Meeting online, by telephone, or by returning a completed proxy card in the postage-paid envelope provided. Details can be found on the enclosed proxy card. Do not mail the proxy card if you are voting online or by telephone.
The Boards, including the Funds’ independent directors, recommend that shareholders vote FOR all the proposed nominees.
Who is eligible to vote?
Shareholders of record at the close of business on Thursday, April 27, 2023, (the “record date”) of each Fund are hereby notified of the Shareholder Meeting and are entitled to one vote for each full share and a proportionate vote for each fractional share of each Fund they held as of the record date. Shareholders of a Fund are entitled to vote with respect to that Fund and not with respect to any Fund of which they do not own any shares as of the record date.
Under Maryland law, shares owned by two or more persons (whether as joint tenants, co-fiduciaries, or otherwise) will be voted as follows, unless a written instrument or court order providing to the contrary has been filed with a Fund: (1) if only one votes, that vote will bind all; (2) if more than one votes, the vote of the majority will bind all; and (3) if more than one votes and the vote is evenly divided, the vote will be cast proportionately.
What are shareholders being asked to vote on?
At a meeting held on Monday, March 6, 2023, the Boards, including the independent directors, unanimously approved submitting the following proposals to the shareholders of the Funds to be considered and acted upon:
Proposal | Funds Affected |
1. Elect four (4) director-nominees; | All Funds |
2. To transact such other business as may properly come before the Shareholder Meeting and any adjournments or postponements thereof. | All Funds |
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How can I get more information about the Funds?
A copy of each Fund’s most recent prospectus, annual and semiannual shareholder reports, and statement of additional information are available at no cost by visiting our website at troweprice.com/prospectus; by calling 1-800-541-5910; or by writing to T. Rowe Price, 4515 Painters Mill Road, Owings Mills, Maryland 21117.
PROPOSAL – ELECTION OF DIRECTORS
Under the Investment Company Act of 1940, as amended (the “1940 Act”), a certain percentage of each Fund’s Board must be elected by shareholders. Due to the retirement or resignation of certain directors over the past few years, it is now necessary for the Funds to hold a shareholder meeting to elect directors. Two of the proposed nominees, Kellye L. Walker and Eric L. Veiel, presently serve as directors on the current Boards. Melody Bianchetto and Mark J. Parrell do not currently serve as directors although each has served on each Board’s Advisory Board since February 24, 2023 and January 1, 2023, respectively. As discussed in further detail below, Advisory Board members serve in a consultative capacity to the Board and, in doing so, participate in Board discussions and review Board materials. None of these proposed nominees have yet been elected by shareholders.
The current directors who have not been nominated for shareholder approval at the upcoming Shareholder Meeting were previously elected by each Fund’s shareholders. Each of the current directors who are not nominated for election at this time will continue to serve on the Boards following the Shareholder Meeting. Each Board will be composed of at least 75% independent directors if the proposed nominees are elected. Robert J. Gerrard, Jr., an independent director, currently serves as the chair of the Board. Mr. Gerrard is expected to continue serving as the chair following the Shareholder Meeting.
If all proposed nominees are elected, there will be seven independent directors and two interested directors on each Fund’s Board. Once elected, each nominee will become a director immediately.
What are the primary responsibilities of the Boards and their committees, and how often do they meet?
The same directors serve on each Board. This shared structure provides effective governance by exposing the directors to a wide range of business issues and market trends, and permits the Boards to operate more efficiently, particularly with respect to matters common to all Funds. The Boards are responsible for the general oversight of each Fund’s business and for assuring that each Fund is managed in the best interests of its shareholders.
The directors meet regularly to review a wide variety of matters affecting or potentially affecting the Funds, including performance, investment programs, compliance matters, advisory fees and expenses, service providers, and business and regulatory affairs.
The Boards of the T. Rowe Price Funds held five regularly scheduled formal meetings during calendar year 2022. The Funds are not required to hold annual shareholder meetings. Accordingly, unless the Boards determine otherwise, the Funds do not hold
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an annual meeting of shareholders. If a shareholder meeting to elect directors is held, all nominee directors are encouraged to attend, subject to availability.
Although the Boards have direct responsibility over various matters (such as approval of advisory contracts and review of Fund performance), each Board also exercises certain oversight responsibilities through several Board established committees. Each committee reports back to the full Boards. The Boards believe that a committee structure is an effective means to permit directors to focus on particular operations or issues affecting the Funds, including risk oversight. The Boards currently have three standing committees, a Joint Nominating and Governance Committee, a Joint Audit Committee, and a Joint Executive Committee, which are described in greater detail in the following paragraphs.
The Joint Nominating and Governance Committee consists of all the independent directors of the Funds. Pursuant to the Joint Nominating and Governance Committee’s charter (which is filed as an Appendix to this Proxy Statement), it is responsible for, among other things, seeking, reviewing, and selecting candidates to fill independent director vacancies on each Fund’s Board; periodically evaluating the compensation payable to the independent directors; and performing certain functions with respect to the governance of the Funds. The chair of the Boards of the T. Rowe Price Funds serves as chair of the committee. The committee will consider written recommendations from shareholders for possible nominees for independent directors. Nominees will be considered based on their ability to review critically, evaluate, question, and discuss information provided to them; to interact effectively with the Funds’ management and counsel and the various service providers to the Funds; and to exercise reasonable business judgment in the performance of their duties as directors. The Joint Nominating and Governance Committee seeks to ensure that the Boards are composed of independent directors who bring diverse perspectives, including diverse experiences, backgrounds, race, ethnicity, gender, qualifications, skills, thoughts, viewpoints, and other qualities. Nominees will also be considered based on their independence from T. Rowe Price and other principal service providers. Other than executive sessions in connection with Board meetings, the Joint Nominating and Governance Committee formally met one time in 2022.
The Joint Audit Committee consists of only independent directors. The current members of the committee are Teresa Bryce Bazemore, Robert J. Gerrard, Jr., Paul F. McBride, and Kellye L. Walker. Ms. Bazemore currently serves as chair of the committee and is considered an “audit committee financial expert,” as defined by the Securities and Exchange Commission (“SEC”). The Joint Audit Committee oversees the pricing processes for the T. Rowe Price Funds and holds at least three regular meetings during each fiscal year for the specific purpose of meeting with management of the Price Funds and the Price Funds’ independent registered public accounting firm. The Joint Audit Committee reviews: (1) the services provided; (2) the findings of the most recent audits; (3) management’s response to the findings of the most recent audits; (4) the scope of the audits to be performed; (5) the accountants’ fees; (6) the qualifications, independence, and performance of the independent registered public accounting firm; and (7) any accounting questions relating to particular areas of the T. Rowe Price Funds’ operations, accounting service provider performance, or the operations of parties dealing with the T. Rowe Price Funds, as circumstances indicate.
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The Joint Audit Committee also reviews the risk management program of the Funds’ investment adviser and valuation-related materials and reports provided by the Funds’ valuation designee. The Joint Audit Committee met four times in 2022.
The Joint Executive Committee, which consists of each Fund’s interested directors, has been authorized by the Boards to exercise all powers of the Boards of the Funds in the intervals between regular meetings of the Boards, except for those powers prohibited by statute from being delegated. All actions of the Joint Executive Committee must be approved in advance by the independent chair of the Board (and if the independent chair is unavailable, consult an independent director of the Board) and reviewed after the fact by the full Board. The Joint Executive Committee for each Fund does not hold regularly scheduled meetings. The Joint Executive Committee was called upon one time to take action on behalf of the Funds during 2022.
From time to time, the independent directors may create a special committee (“Special Committee”) or an ad hoc working group composed of independent directors, whose purpose is to review certain limited topics that require in-depth consideration outside of the Boards’ regular review.
In addition to the Boards and the various committees, the directors have established an Advisory Board which consists of Melody Bianchetto and Mark J. Parrell. Advisory Board members serve in a consultative capacity to the Boards. As such, Ms. Bianchetto and Mr. Parrell participate in Board discussions and review Board materials relating to the T. Rowe Price Funds. However, Advisory Board members are not eligible to vote on any matter presented to the Boards and have no power to act on behalf of or bind the directors or any committee of the Boards.
Like other investment companies, the T. Rowe Price Funds are subject to various risks, including, among others, investment, compliance, operational, and valuation risks. The Boards oversee risk as part of their oversight of the Funds. Risk oversight is addressed as part of various Board and committee activities. Each Board, directly or through its committees, interacts with and reviews reports from, among others, the investment adviser or its affiliates, the Funds’ chief compliance officer, the adviser’s liquidity committee, the derivatives risk manager, the Funds’ independent registered public accounting firm, legal counsel, and internal auditors for T. Rowe Price or its affiliates, as appropriate, regarding risks the Funds face and the risk management programs of the investment adviser and certain other service providers. Also, the Joint Audit Committee receives periodic reports from the valuation designee, chief risk officer and members of T. Rowe Price’s Risk and Operational Steering Committee on the significant risks inherent to the adviser’s business, including aggregate investment risks, reputational risk, business continuity risk, technology and cybersecurity risk, and operational risk. The actual day-to-day risk management functions with respect to the Funds are subsumed within the responsibilities of the investment adviser, its affiliates that serve as investment subadvisers to the Funds, and other service providers (depending on the nature of the risk) that carry out the Funds’ investment management and business affairs. Although the risk management policies of T. Rowe Price and its affiliates, and the Funds’ other service providers, are reasonably designed to be effective, those policies and their implementation vary among service providers over time, and there is no guarantee that they will always be effective.
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As of each Fund’s last fiscal year end, each director attended at least 75% of the aggregate meetings of the Board and any committees on which he or she served.
If a shareholder wishes to send a communication to any of the Boards, or to a particular director, the communication should be submitted in writing to Fran M. Pollack-Matz, Secretary of the T. Rowe Price Funds, 100 East Pratt Street, Baltimore, MD 21202, who will forward such communication to the directors.
Who are the directors and director nominees?
The Boards have proposed the persons listed below for election as director, each to hold office until the next annual meeting (if any), retirement, or resignation, or until his or her successor is duly elected and qualified. Each of the nominees has agreed to serve as a director if elected; however, should any nominee become unable or unwilling to accept nomination or election, the persons named in the proxy will exercise their voting power in favor of such other person or persons as the Boards may recommend.
Independent Directors and Nominees. Teresa Bryce Bazemore, Bruce W. Duncan, Robert J. Gerrard, Jr., Paul F. McBride, and Kellye L. Walker currently serve on the Board of each T. Rowe Price Fund and are not considered “interested persons” of the T. Rowe Price Funds, as defined in the 1940 Act. Such persons are commonly referred to as “independent directors.” Shareholders are being asked to consider electing Ms. Walker to continue serving on the Boards of all the T. Rowe Price Funds. Ms. Walker has served on the Boards since November 8, 2021, following her nomination to the Boards by the Joint Nominating and Governance Committee and her appointment by the Boards.
Shareholders are also being asked to consider electing Melody Bianchetto and Mark J. Parrell as independent directors. Ms. Bianchetto and Mr. Parrell do not currently serve as independent directors, although they have served on the Advisory Board since February 24, 2023 and January 1, 2023, respectively. Both Ms. Bianchetto and Mr. Parrell are not considered “interested persons” of the T. Rowe Price Funds, as defined in the 1940 Act. The Joint Nominating and Governance Committee of each Board has selected Ms. Bianchetto and Mr. Parrell to be nominated for election by shareholders and the Boards have nominated them for election. If Ms. Bianchetto and Mr. Parrell are elected by shareholders, they will no longer serve on the Advisory Board and the Advisory Board is expected to terminate.
Ms. Bazemore and Messrs. Duncan, Gerrard, and McBride were previously elected by the shareholders of all Funds and are therefore not standing for election at this time.
Interested Directors Eric Veiel and David Oestreicher currently serve as interested directors of all T. Rowe Price Funds. They are considered interested because they are employed by, and serve as officers of, T. Rowe Price and/or its affiliates. They are also shareholders of T. Rowe Price Group, Inc., the parent company of T. Rowe Price. Shareholders are being asked to elect Mr. Veiel to continue serving on the Boards of all T. Rowe Price Funds. Mr. Veiel was appointed to the Boards in February, 2022. Mr. Oestreicher was elected by shareholders of all Funds in 2018 and is therefore not standing for election at this time.
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The Boards have determined that each director, regardless of whether they are standing for election, should continue to serve on each Fund’s Board. In making this determination, the Boards considered the overall composition of the combined Board in conjunction with each individual director’s experience, qualifications, attributes, or skills. Attributes common to all directors include the ability to review critically, evaluate, question, and discuss information provided to them, to interact effectively with the Funds’ management and counsel and the various service providers to the Funds, and to exercise reasonable business judgment in the performance of their duties as a director. In addition, the actual service and commitment of the directors during their tenure on the Funds’ Boards were taken into consideration. A director’s ability to perform his or her duties effectively may have been attained through his or her educational background or professional training; business, consulting, public service, or academic positions; experience from service as a director of the T. Rowe Price Funds, public companies, non-profit entities, or other organizations; or other experiences. Each director brings a diverse perspective to the Boards.
Each director’s mailing address is 100 E. Pratt Street, Baltimore, MD 21202.
Set forth below is a brief discussion of the specific experience, qualifications, attributes, or skills of each director or director-nominee that led to the conclusion that he or she should serve (or continue to serve) as a director.
Teresa Bryce Bazemore (independent director; not standing for election) has more than 25 years of experience as a senior executive in the mortgage banking field, including building both mortgage insurance and services businesses. Ms. Bazemore currently serves as president and chief executive officer (“CEO”)of the Federal Home Loan Bank of San Francisco (March 2021 to present); a director of First Industrial Realty Trust, an owner and operator of industrial properties (May 2020 to present); a director of Public Media Company (2008 to present); and a trustee of the Southern California chapter of the International Women’s Forum (January 2021 to present). She previously served as chief executive officer of Bazemore Consulting LLC (2018 to 2021); a director of Chimera Investment Corporation, a publicly traded mortgage REIT (November 2017 to February 2021); a director of the University of Virginia Foundation (July 2014 to June 2022); a member of the University of Virginia’s Center for Politics Advisory Board (October 2019 to July 2022); a president of Radian Guaranty, a national private mortgage insurer (2008 to 2017); and a director of the Federal Home Loan Bank of Pittsburgh (August 2017 to February 2019). She has been an independent director of the Price Funds since January 2018 and became the chair of the Joint Audit Committee in August 2019. Ms. Bazemore has a J.D. from Columbia University and a B.A. from the University of Virginia (“UVA”).
Melody Bianchetto (independent director-nominee; standing for election) is an accomplished finance professional with over 30 years of experience. She served as vice president for finance at UVA from 2015 until her retirement in February 2023, with oversight of key financial activities, including tax, accounting, financial reporting, debt and cash management, procurement, payroll, financial planning, and enterprise risk management. Prior to that, she led UVA’s financial planning and analysis function from 1998 to 2015. Ms. Bianchetto earned a B.S. in commerce with a concentration in accounting from UVA and an M.B.A. from James Madison University. She is also a
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licensed Certified Public Accountant. Ms. Bianchetto has served as a member of the Board’s Advisory Committee since February 24, 2023.
Bruce W. Duncan (independent director; not standing for election) has substantial experience in the field of commercial real estate. Mr. Duncan served as president, CEO, and a director of CyrusOne, Inc., a real estate investment trust specializing in engineering, building, and managing data centers, from July 2020 to July 2021. He served as chair of the board of First Industrial Realty Trust from January 2016 until July 2020, president and CEO from January 2009 until September 2016, and CEO until December 2016. Mr. Duncan served as a senior advisor to KKR from November 2018 to December 2022. In May 2016, Mr. Duncan became a member of the board of Boston Properties, and he is currently a member of the nominating and governance committee and is a member of the audit committee of Boston Properties. From September 2016 until July 2020, Mr. Duncan served as a member of the board of Marriott International, Inc. He has been an independent director of the Price Funds since October 2013; in September 2014, he became a member of the Joint Audit Committee until August 2019 and served as chair of the Joint Audit Committee from July 2017 to August 2019. Mr. Duncan holds an M.B.A. in finance from the University of Chicago and a B.A. in economics from Kenyon College.
Robert J. Gerrard, Jr. (independent director; not standing for election) has served as chair of the Boards of all Price Funds since July 2018. He has been an independent director of certain Price Funds since 2012 (and all Price Funds since October 2013), served as the chair of the Joint Audit Committee from September 2014 to July 2017, and became a member of the Joint Audit Committee in August 2019. He has substantial legal and business experience in the industries relating to communications and interactive data services. He has served on the board and compensation committee for Syniverse Holdings and served as general counsel to Scripps Networks. Mr. Gerrard earned a J.D. from Harvard Law School and an A.B. from Harvard College.
Paul F. McBride (independent director; not standing for election) has served in various management and senior leadership roles with the Black & Decker Corporation and General Electric Company. He led businesses in the materials, industrial, and consumer durable segments, and has significant global experience. He serves on the advisory board of Vizzia Technologies as well as Gilman School and Bridges Baltimore. He has been an independent director of the Price Funds since October 2013; served as a member of the Joint Audit Committee from September 2014 to August 2019; and became a member of the Joint Audit Committee in February 2022. Mr. McBride received a B.A. in economics from Trinity College.
Mark J. Parrell (independent director-nominee; standing for election) has been CEO and a member of the Board of Trustees of Equity Residential (“EQR”) since January 2019 and president of EQR since September 2018. Mr. Parrell served as executive vice president and chief financial officer of EQR from October 2007 to September 2018. Mr. Parrell was senior vice president and treasurer of EQR from August 2005 to October 2007 and has held various positions within the EQR finance group since September 1999. He served as director of Brookdale Senior Living Inc., a leading operator of senior living communities throughout the United States, from April 2015 to July 2017, and served as a director of Aviv REIT, Inc., a real estate investment trust, from March 2013 until April 2015 when it merged with Omega
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Healthcare. Mr. Parrell serves on the Board of Directors of the Real Estate Roundtable and the 2022 Executive Board of the National Association of Real Estate Investment Trusts (“Nareit”). He is a member of the Nareit Dividends Through Diversity, Equity & Inclusion CEO Council and was chair of the Nareit 2021 Audit and Investment Committee. He is a member of the Advisory Board for the Ross Business School at University of Michigan, and is a member of the National Multifamily Housing Council and served as the chair of the Finance Committee in 2015 to 2016. Mr. Parrell also serves on the Board of Directors and is chair of the Finance Committee of the Greater Chicago Food Depository and is a member of the Economic Club of Chicago. Mr. Parrell received a B.B.A. from the University of Michigan and a J.D. from the Georgetown University Law Center. Mr. Parrell has served as a member of the Board’s Advisory Committee since January 1, 2023.
David Oestreicher (interested director; not standing for election) has served as an interested director of all Price Funds since July 2018. He is the general counsel for T. Rowe Price Group, Inc. and a member of the firm’s management committee. Mr. Oestreicher serves as a member of the Board of Governors for the Investment Company Institute (“ICI”), and previously served as the chair of the ICI’s international committee. He is on the Mutual Insurance Company Board of Governors, where he serves as a member of its executive committee and chair of its risk management committee. He also served on the board of the Investment Adviser Association and was a past chair of its legal and regulatory committee. Before joining T. Rowe Price in 1997, Mr. Oestreicher was special counsel in the Division of Market Regulation with the SEC. Mr. Oestreicher earned a B.S. in business administration from Bucknell University and a J.D. from Villanova University School of Law.
Eric L. Veiel (interested director; standing for election) has served as an interested director of all Price Funds since February 2022. He is the head of Global Equity and chief investment officer, chair of the Investment Management Steering Committee, and a member of the Management, Equity Steering, International Steering, Multi-Asset Steering, Product Steering, and Management Compensation and Development Committees. Mr. Veiel’s investment experience began in 1999. Prior to joining T. Rowe Price, he spent six years as a sell-side equity analyst, covering health insurers and pharmacy benefit managers at Wachovia Securities, Deutsche Bank Securities, and A.G. Edwards & Sons. He has been with T. Rowe Price since 2005, beginning in the Equity Division as an investment analyst covering life insurance companies, asset managers, money-centered banks, and investment banks. From 2010 to 2014, he was the portfolio manager of the Financial Services Equity Strategy and the financial services sector team leader. He served as a co-director of Equity Research for North America from 2014 to 2015 and co-portfolio manager of the US Equity Structured Research Strategy from 2015 to 2017. Most recently, from 2016 to 2021, he was co-head of Global Equity and head of U.S. Equity. Mr. Veiel earned a B.B.A., magna cum laude, in finance from James Madison University and an M.B.A., with concentrations in finance and accounting, from Washington University in St. Louis, John M. Olin School of Business, where he was a Charles F. Knight Scholar. He also has earned the Chartered Financial Analyst® designation.
Kellye L. Walker (independent director; standing for election) is executive vice president, chief legal officer, and corporate secretary of Eastman Chemical Company.
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She is a seasoned senior executive with over 25 years of experience helping publicly traded companies increase value through forward thinking, strategic discipline, and a focus on continuous improvement. Her experience includes leading law departments, as well as other functions including compliance; government affairs; human resources; health, safety, environment and security; and information technology. Ms. Walker received a B.S. from Louisiana Tech University and a J.D. from Emory University School of Law. Ms. Walker has served as an independent director of the Price Funds since November 2021.
The following table entitled “Independent Directors/Nominees” provides biographical information for the independent directors, including those who have been nominated for election as an independent director, along with their principal occupation(s) during the past five years and any directorships of public companies and other investment companies. The table also shows their ownership in the Funds on which they currently serve or to which they are being nominated to serve as director, as well as their total ownership in all T. Rowe Price Funds. The table entitled “Interested Directors/Nominees” provides similar information, except the information pertains to the interested directors, including those who have been nominated for election as an interested director.
Independent Directors/Nominees | |||
Name, Year of Birth, Position on Fund Board, and Principal Occupations and Other Directorships of Public Companies | Dollar Range of Fund Shares Beneficially Owned, Directly or Indirectly, as of 12/31/2022 | Total Dollar Range of Shares Owned, Directly or Indirectly, in All Funds as of 12/31/2022 | |
Melody Bianchetto, 1966 Advisory Board member / nominated for election as director, Vice President for Finance, University of Virginia (2015 to 2023) | None | None | None |
Teresa Bryce Bazemore, 1959 Director
of all T. Rowe Price Funds President and Chief Executive Officer, Federal Home Loan Bank of San Francisco (2021 to present); Chief Executive Officer, Bazemore Consulting LLC (2018 to 2021) Chimera Investment Corporation (2017 to 2021); First Industrial Realty Trust (2020 to present); Federal Home Loan Bank of Pittsburgh (2017 to 2019) | Blue Chip Growth Emerging Markets Local Currency Bond | Over $100,000 Over $100,000 | Over $100,000 |
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Independent Directors/Nominees | |||
Name, Year of Birth, Position on Fund Board, and Principal Occupations and Other Directorships of Public Companies | Dollar Range of Fund Shares Beneficially Owned, Directly or Indirectly, as of 12/31/2022 | Total Dollar Range of Shares Owned, Directly or Indirectly, in All Funds as of 12/31/2022 | |
Bruce W. Duncan, 1951 Director of all T.
Rowe Price Funds President, Chief Executive Officer, and Director, CyrusOne, Inc. (2020 to 2021); Chair of the Board (2016 to 2020), and President (2009 to 2016), First Industrial Realty Trust, owner and operator of industrial properties; Member, Investment Company Institute Board of Governors (2017 to 2019); Member, Independent Directors Council Governing Board (2017 to 2019); Senior Advisor, KKR (2018 to 2022) CyrusOne, Inc. (2020 to 2021); First Industrial Realty Trust (2016 to 2020); Boston Properties (2016 to present); Marriott International, Inc. (2016 to 2020) | Emerging Markets Stock | Over $100,000 | Over $100,000 |
Robert J. Gerrard, Jr., 1952 Director of all T. Rowe Price Funds None | All-Cap Opportunities Blue Chip Growth Capital Appreciation China Evolution Equity Communications & Technology Diversified Mid-Cap Growth Dividend Growth Emerging Markets Corporate Bond Emerging Markets Discovery Stock Emerging Markets Stock Equity Income Extended Equity Market Index Financial Services Global Consumer Global Industrials Global Stock Global Technology GNMA Growth Stock Health Sciences Integrated U.S. Small-Mid Cap Core Equity Integrated U.S. Small-Cap Growth Equity | $50,001--$100,000 $50,001--$100,000 Over $100,000 $10,001--$50,000 Over $100,000 $10,001--$50,000 $10,001--$50,000 $1--$10,000 $10,001--$50,000 $10,001--$50,000 $10,001--$50,000 $10,001--$50,000 Over $100,000 $10,001--$50,000 $10,001--$50,000 $50,001--$100,000 Over $100,000 $1--$10,000 Over $100,000 Over $100,000 $1--$10,000 $1--$10,000 | Over $100,000 |
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Independent Directors/Nominees | |||
Name, Year of Birth, Position on Fund Board, and Principal Occupations and Other Directorships of Public Companies | Dollar Range of Fund Shares Beneficially Owned, Directly or Indirectly, as of 12/31/2022 | Total Dollar Range of Shares Owned, Directly or Indirectly, in All Funds as of 12/31/2022 | |
International Discovery International Stock Japan Large-Cap Growth Large-Cap Value Mid-Cap Growth Mid-Cap Value New Era New Horizons Overseas Stock Real Assets Retirement 2020 Retirement 2025 Retirement 2030 Retirement 2035 Retirement 2040 Retirement 2055 Retirement 2060 Science & Technology Small-Cap Stock Small-Cap Value Spectrum Moderate Allocation Spectrum Moderate Growth Allocation Target 2060 Target 2065 U.S. Equity Research U.S. Large-Cap Core Ultra Short-Term Bond Value | $1--$10,000 $1--$10,000 $1--$10,000 $10,001--$50,000 $10,001--$50,000 $10,001--$50,000 $50,001--$100,000 $1--$10,000 Over $100,000 $50,001--$100,000 $10,001--$50,000 $10,001--$50,000 $10,001--$50,000 $10,001--$50,000 $10,001--$50,000 $10,001--$50,000 $1--$10,000 $1--$10,000 $50,001--$100,000 $50,001--$100,000 $10,001--$50,000 $50,001-$100,00 $50,001--$100,000 $1--$10,000 $10,001--$50,000 $50,001--$100,000 $50,001--$100,000 $1--$10,000 Over $100,000 | ||
Paul F. McBride, 1956 Director of all T.
Rowe Price Funds Advisory Board Member, Vizzia Technologies (2015 to present); Board Member, Dunbar Armored (2012 to 2018) None | All-Cap Opportunities Capital Appreciation Health Sciences Tax-Free High Yield | Over $100,000 Over $100,000 Over $100,000 Over $100,000 | Over $100,000 |
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Independent Directors/Nominees | |||
Name, Year of Birth, Position on Fund Board, and Principal Occupations and Other Directorships of Public Companies | Dollar Range of Fund Shares Beneficially Owned, Directly or Indirectly, as of 12/31/2022 | Total Dollar Range of Shares Owned, Directly or Indirectly, in All Funds as of 12/31/2022 | |
Mark J. Parrell, 1966 Advisory Board Member / nominated for election as director, Chief Executive Officer (2019 to present) and President, EQR (2018 to present); Executive Vice President and Chief Financial Officer, EQR (2007 to 2018); Senior Vice President and Treasurer, EQR (2005 to 2007); Member, Nareit Dividends Through Diversity, Equity & Inclusion CEO Council and Chair, Nareit 2021 Audit and Investment Committee (2021); Advisory Board, Ross Business School at University of Michigan (2015 to 2016); Member, National Multifamily Housing Council and served as the Chair of the Finance Committee, (2015 to 2016), Member of the Economic Club of Chicago EQR (2019 to present); Brookdale Senior Living Inc. (2015 to 2017); Aviv REIT, Inc. (2013 to 2015); Real Estate Roundtable and the 2022 Executive Board Nareit; Board of Directors and is Chair of the Finance Committee of the Greater Chicago Food Depository | International Value Equity Value | $50,001--$100,000(a) $10,001--$50,000(a) | Over $100,000(a) |
Kellye L. Walker, 1966 Director/Nominee of all T. Rowe Price Funds (210 portfolios) Executive Vice President, Chief Legal Officer, and Corporate Secretary, Eastman Chemical Company (April 2020 to present); Executive Vice President and Chief Legal Officer, Huntington Ingalls Industries, Inc. (January 2015 to March 2020) Lincoln Electric Company (October 2020 to present) | Dividend Growth Emerging Markets Bond Equity Index 500 Floating Rate Global Stock Inflation Protected Bond Mid-Cap Growth Overseas Stock Small-Cap Value Total Return | Over $100,000 $10,001--$50,000 $50,001--$100,000 $10,001--$50,000 $50,001--$100,000 $10,001--$50,000 $10,001--$50,000 $50,001--$100,000 $10,001--$50,000 $10,001--$50,000 | Over $100,000 |
(a) Holdings information for Mr. Parrell is as of February 28, 2023.
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Interested Directors/Nominees | |||
Name, Year of Birth, Position on Fund Board, and Principal Occupations and Other Directorships of Public Companies | Dollar Range of Fund Shares Beneficially Owned, Directly or Indirectly, as of 12/31/2022 | Total Dollar Range of Shares Owned, Directly or Indirectly, in All Funds as of 12/31/2022 | |
David Oestreicher, 1967 Director of all T. Rowe Price Funds (210 portfolios) Principal Executive Officer and Executive Vice President, all T. Rowe Price Funds Director, Vice President, and Secretary, T. Rowe Price, T. Rowe Price Investment Services, Inc., T. Rowe Price Retirement Plan Services, Inc., and T. Rowe Price Services, Inc.; Director and Secretary, Price Investment Management; Vice President and Secretary, Price International; Vice President, Price Hong Kong, Price Japan, and Price Singapore; General Counsel, Vice President, and Secretary, T. Rowe Price Group, Inc.; Chair of the Board, Chief Executive Officer, President, and Secretary, T. Rowe Price Trust Company None | Blue Chip Growth Equity Income Government Money High Yield Mid-Cap Growth Mid-Cap Value New Income Retirement 2020 Retirement 2025 Small-Cap Stock Spectrum Income U.S. Treasury Money | $50,001--$100,000 $50,001--$100,000 $50,001--$100,000 $10,001--$50,000 $10,001-$50,000 $10,001--$50,000 $50,001--$100,000 Over $100,000 $10,001--$50,000 $10,001--$50,000 $1--$10,000 Over $100,000 | Over $100,000 |
Eric L. Veiel, 1972 Director/Nominee of all T. Rowe Price Funds (210 portfolios) Director and Vice President, T. Rowe Price; Vice President, T. Rowe Price Group, Inc. and T. Rowe Price Trust Company Vice President, Global Funds None | All-Cap Opportunities Dividend Growth Floating Rate Fund Inflation Protected Bond Mid-Cap Growth U.S. Treasury Money | Over $100,000 Over $100,000 Over $100,000 Over $100,000 $50,001--$100,000 Over $100,000 | Over $100,000 |
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The following table entitled “Term of T. Rowe Price Funds Directorship” shows the year from which each current director has served on each Fund’s Board (or that of the corporation of which the Fund is a part).
Term of T. Rowe Price Funds Directorship
Corporation | Bazemore | Duncan | Gerrard | McBride | Oestreicher | Veiel | Walker |
All-Cap Opportunities Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Balanced Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Blue Chip Growth Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Capital Appreciation Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Communications & Technology Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Corporate Income Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Credit Opportunities Fund | 2018 | 2014 | 2014 | 2014 | 2018 | 2022 | 2021 |
Diversified Mid-Cap Growth Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Dividend Growth Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Equity Funds | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Equity Income Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Equity Series | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Exchange-Traded Funds | 2019 | 2019 | 2019 | 2019 | 2019 | 2022 | 2021 |
Financial Services Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Fixed Income Series | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Floating Rate Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Global Allocation Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Global Funds | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Global Multi-Sector Bond Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Global Real Estate Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Global Technology Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
GNMA Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Government Money Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
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Corporation | Bazemore | Duncan | Gerrard | McBride | Oestreicher | Veiel | Walker |
Growth Stock Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Health Sciences Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
High Yield Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Index Trust | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Inflation Protected Bond Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Institutional Income Funds | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Integrated Equity Funds | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Intermediate Tax-Free High Yield Fund | 2018 | 2014 | 2014 | 2014 | 2018 | 2022 | 2021 |
International Funds | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
International Index Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
International Series | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Limited Duration Inflation Focused Bond Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Mid-Cap Growth Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Mid-Cap Value Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Multi-Sector Account Portfolios | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Multi-Strategy Total Return Fund | 2018 | 2017 | 2017 | 2017 | 2018 | 2022 | 2021 |
New Era Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
New Horizons Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
New Income Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
QM U.S. Bond Index Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Real Assets Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Real Estate Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Reserve Investment Funds | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Retirement Funds | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Science & Technology Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Short-Term Bond Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Small-Cap Stock Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
20
Corporation | Bazemore | Duncan | Gerrard | McBride | Oestreicher | Veiel | Walker |
Small-Cap Value Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Spectrum Funds | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Spectrum Funds II | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
State Tax-Free Funds | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Summit Income Funds | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Summit Municipal Funds | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Tax-Efficient Funds | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
Tax-Exempt Money Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Tax-Free High Yield Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Tax-Free Income Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Tax-Free Short-Intermediate Fund | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Total Return Fund | 2018 | 2016 | 2016 | 2016 | 2018 | 2022 | 2021 |
U.S. Equity Research Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
U.S. Large-Cap Core Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
U.S. Treasury Funds | 2018 | 2013 | 2013 | 2013 | 2018 | 2022 | 2021 |
Value Fund | 2018 | 2013 | 2012 | 2013 | 2018 | 2022 | 2021 |
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What are the directors paid for their services to the Funds?
Messrs. Oestreicher and Veiel are considered “interested persons” of the Funds because they are employed by, and serve as officers of, T. Rowe Price and/or its affiliates. The officers of the Funds and interested directors do not receive any compensation or benefits from the Funds for their service.
Each independent director and Advisory Board member is paid $375,000 annually for his or her service on the Boards or Advisory Board, as applicable. The chair of the Boards, an independent director, receives an additional $165,000 annually for serving in this capacity. An independent director serving on the Joint Audit Committee receives an additional $30,000 annually for his or her service and the chair of the Joint Audit Committee receives an additional $35,000 for his or her service. An independent director serving as a member of a Special Committee of the Independent Directors receives an additional $1,500 per meeting of the Special Committee (currently, no Special Committees have been assigned by the Boards). All of these fees are allocated to each Fund on a pro-rata basis based on each Fund’s net assets relative to the other Funds.
The following table entitled “Compensation” shows the accrued amounts paid by each Fund, and the total compensation that was paid from all Funds to all the independent directors for the 2022 calendar year. The fees are allocated to each Fund on a pro rata basis based on each Fund’s net assets relative to the other Funds. The independent directors of the Funds do not receive any pension or retirement benefits from the Funds or T. Rowe Price.
Compensation
Fund | Aggregate Compensation From Fund | ||||
Bazemore | Duncan | Gerrard | McBride | Walker | |
Africa & Middle East Fund | $74 | $63 | $96 | $68 | $63 |
All-Cap Opportunities Fund | 3,745 | 3,191 | 4,851 | 3,427 | 3,191 |
All-Cap Opportunities Portfolio | 184 | 157 | 238 | 168 | 157 |
Asia Opportunities Fund | 82 | 70 | 106 | 75 | 70 |
Balanced Fund | 2,176 | 1,855 | 2,819 | 1,991 | 1,855 |
Blue Chip Growth ETF (a) | — | — | — | — | — |
Blue Chip Growth Fund | 34,533 | 29,435 | 44,760 | 31,555 | 29,435 |
Blue Chip Growth Portfolio | 913 | 778 | 1,184 | 835 | 778 |
California Tax-Free Bond Fund | 309 | 263 | 400 | 282 | 263 |
Capital Appreciation Fund | 23,332 | 19,885 | 30,221 | 21,355 | 19,885 |
Cash Reserves Fund | 1,930 | 1,644 | 2,499 | 1,768 | 1,644 |
China Evolution Equity Fund | 31 | 27 | 40 | 29 | 27 |
Communications & Technology Fund | 3,862 | 3,292 | 5,006 | 3,529 | 3,292 |
Corporate Income Fund | 295 | 251 | 382 | 270 | 251 |
Credit Opportunities Fund | 44 | 37 | 57 | 40 | 37 |
Diversified Mid-Cap Growth Fund | 926 | 790 | 1,200 | 847 | 790 |
Dividend Growth ETF (a) | — | — | — | — | — |
Dividend Growth Fund | 9,706 | 8,272 | 12,573 | 8,884 | 8,272 |
Dynamic Credit Fund | 18 | 15 | 23 | 16 | 15 |
Dynamic Global Bond Fund | 2,229 | 1,900 | 2,887 | 2,042 | 1,900 |
Emerging Europe Fund | 26 | 22 | 34 | 24 | 22 |
Emerging Markets Bond Fund | 1,943 | 1,656 | 2,517 | 1,777 | 1,656 |
Emerging Markets Corporate Bond Fund | 316 | 269 | 409 | 289 | 269 |
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Fund | Aggregate Compensation From Fund | ||||
Bazemore | Duncan | Gerrard | McBride | Walker | |
Emerging Markets Corporate Multi-Sector Account Portfolio (a) | — | — | — | — | — |
Emerging Markets Discovery Stock Fund | 1,945 | 1,657 | 2,517 | 1,781 | 1,657 |
Emerging Markets Local Currency Bond Fund | 182 | 155 | 236 | 167 | 155 |
Emerging Markets Local Multi-Sector Account Portfolio (a) | — | — | — | — | — |
Emerging Markets Stock Fund | 4,027 | 3,432 | 5,216 | 3,682 | 3,432 |
Equity Income ETF (a) | — | — | — | — | — |
Equity Income Fund | 8,663 | 7,383 | 11,218 | 7,930 | 7,383 |
Equity Income Portfolio | 354 | 302 | 459 | 324 | 302 |
Equity Index 500 Fund | 12,741 | 10,859 | 16,508 | 11,651 | 10,859 |
Equity Index 500 Portfolio | 12 | 10 | 16 | 11 | 10 |
European Stock Fund | 483 | 412 | 626 | 441 | 412 |
Extended Equity Market Index Fund | 469 | 400 | 608 | 429 | 400 |
Financial Services Fund | 856 | 730 | 1,108 | 784 | 730 |
Floating Rate ETF (a) | — | — | — | — | — |
Floating Rate Fund | 2,274 | 1,938 | 2,942 | 2,084 | 1,938 |
Floating Rate Multi-Sector Account Portfolio (a) | — | — | — | — | — |
Georgia Tax-Free Bond Fund | 212 | 180 | 274 | 194 | 180 |
Global Allocation Fund | 508 | 433 | 658 | 465 | 433 |
Global Consumer Fund | 34 | 29 | 43 | 31 | 29 |
Global Growth Stock Fund | 563 | 480 | 730 | 515 | 480 |
Global High Income Bond Fund | 135 | 115 | 175 | 124 | 115 |
Global Impact Equity Fund | 8 | 7 | 11 | 8 | 7 |
Global Industrials Fund | 87 | 74 | 113 | 80 | 74 |
Global Multi-Sector Bond Fund | 751 | 640 | 972 | 687 | 640 |
Global Real Estate Fund | 49 | 42 | 63 | 45 | 42 |
Global Stock Fund | 2,774 | 2,365 | 3,595 | 2,536 | 2,365 |
Global Technology Fund | 2,359 | 2,011 | 3,059 | 2,152 | 2,011 |
Global Value Equity Fund | 18 | 15 | 23 | 16 | 15 |
GNMA Fund | 479 | 408 | 620 | 438 | 408 |
Government Money Fund | 4,819 | 4,108 | 6,246 | 4,410 | 4,108 |
Government Money Portfolio | 9,181 | 7,823 | 11,882 | 8,402 | 7,823 |
Government Reserve Fund | 508 | 433 | 658 | 465 | 433 |
Growth Stock ETF (a) | — | — | — | — | — |
Growth Stock Fund | 25,701 | 21,907 | 36,293 | 23,065 | 21,907 |
Health Sciences Fund | 7,864 | 6,703 | 10,190 | 7,196 | 6,703 |
Health Sciences Portfolio | 355 | 302 | 459 | 324 | 302 |
High Yield Fund | 3,530 | 3,009 | 4,573 | 3,230 | 3,009 |
High Yield Multi-Sector Account Portfolio (a) | — | — | — | — | — |
Inflation Protected Bond Fund | 353 | 301 | 457 | 323 | 301 |
Institutional Emerging Markets Bond Fund | 192 | 164 | 228 | 145 | 164 |
Institutional Emerging Markets Equity Fund | 615 | 524 | 796 | 561 | 524 |
Institutional Floating Rate Fund | 3,012 | 2,566 | 3,898 | 2,758 | 2,566 |
Institutional High Yield Fund | 834 | 711 | 1,080 | 763 | 711 |
Institutional International Disciplined Equity Fund | 148 | 126 | 191 | 135 | 126 |
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Fund | Aggregate Compensation From Fund | ||||
Bazemore | Duncan | Gerrard | McBride | Walker | |
Institutional Large-Cap Core Growth Fund | 2,171 | 1,850 | 2,813 | 1,984 | 1,850 |
Institutional Long Duration Credit Fund | 13 | 11 | 17 | 12 | 11 |
Institutional Mid-Cap Equity Growth Fund | 2,622 | 2,235 | 3,399 | 2,397 | 2,235 |
Institutional Small-Cap Stock Fund | 2,395 | 2,042 | 3,103 | 2,192 | 2,042 |
Integrated Global Equity Fund | 11 | 10 | 15 | 10 | 10 |
Integrated U.S. Large-Cap Value Equity Fund | 19 | 17 | 25 | 18 | 17 |
Integrated U.S. Small-Cap Growth Equity Fund | 3,602 | 3,070 | 4,667 | 3,294 | 3,070 |
Integrated U.S. Small-Mid Cap Core Equity Fund | 138 | 117 | 178 | 126 | 117 |
Intermediate Tax-Free High Yield Fund | 31 | 27 | 41 | 29 | 27 |
International Bond Fund | 493 | 420 | 639 | 451 | 420 |
International Bond Fund (USD Hedged) | 2,690 | 2,293 | 3,484 | 2,462 | 2,293 |
International Disciplined Equity Fund | 149 | 127 | 193 | 136 | 127 |
International Discovery Fund | 3,605 | 3,072 | 4,671 | 3,294 | 3,072 |
International Equity Index Fund | 313 | 267 | 405 | 286 | 267 |
International Stock Fund | 6,171 | 5,259 | 7,993 | 5,646 | 5,259 |
International Stock Portfolio | 115 | 98 | 149 | 105 | 98 |
International Value Equity Fund | 5,361 | 4,568 | 6,942 | 4,904 | 4,568 |
Investment-Grade Corporate Multi-Sector Account Portfolio (a) | — | — | — | — | — |
Japan Fund | 280 | 239 | 363 | 256 | 239 |
Latin America Fund | 191 | 163 | 248 | 175 | 163 |
Large-Cap Growth Fund | 8,671 | 7,391 | 11,238 | 7,925 | 7,391 |
Large-Cap Value Fund | 1,670 | 1,423 | 2,164 | 1,528 | 1,423 |
Limited Duration Inflation Focused Bond Fund | 4,101 | 3,495 | 5,310 | 3,752 | 3,495 |
Limited-Term Bond Portfolio | 86 | 74 | 112 | 79 | 74 |
Maryland Short-Term Tax-Free Bond Fund | 79 | 67 | 102 | 72 | 67 |
Maryland Tax-Free Bond Fund | 1,174 | 1,001 | 1,521 | 1,074 | 1,001 |
Maryland Tax-Free Money Fund | 48 | 41 | 62 | 44 | 41 |
Mid-Cap Growth Fund | 14,417 | 12,287 | 18,680 | 13,186 | 12,287 |
Mid-Cap Growth Portfolio | 247 | 210 | 320 | 226 | 210 |
Mid-Cap Index Fund | 44 | 37 | 57 | 40 | 37 |
Mid-Cap Value Fund | 6,653 | 5,670 | 8,616 | 6,090 | 5,670 |
Moderate Allocation Portfolio | 85 | 72 | 110 | 77 | 72 |
Mortgage-Backed Securities Multi-Sector Account Portfolio (a) | — | — | — | — | — |
Multi-Strategy Total Return Fund | 178 | 151 | 230 | 163 | 151 |
New Asia Fund | 1,461 | 1,246 | 1,893 | 1,336 | 1,246 |
New Era Fund | 1,520 | 1,295 | 1,967 | 1,392 | 1,295 |
New Horizons Fund | 12,994 | 11,076 | 16,840 | 11,877 | 11,076 |
New Income Fund | 8,360 | 7,125 | 10,829 | 7,647 | 7,125 |
New Jersey Tax-Free Bond Fund | 197 | 168 | 256 | 181 | 168 |
New York Tax-Free Bond Fund | 222 | 189 | 288 | 203 | 189 |
Overseas Stock Fund | 9,586 | 8,169 | 12,415 | 8,771 | 8,169 |
QM U.S. Bond Index ETF (a) | — | — | — | — | — |
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Fund | Aggregate Compensation From Fund | ||||
Bazemore | Duncan | Gerrard | McBride | Walker | |
QM U.S. Bond Index Fund | 619 | 527 | 801 | 566 | 527 |
Real Assets Fund | 2,764 | 2,355 | 3,579 | 2,533 | 2,355 |
Real Estate Fund | 704 | 600 | 912 | 644 | 600 |
Retirement 2005 Fund | 524 | 447 | 679 | 479 | 447 |
Retirement 2010 Fund | 1,451 | 1,237 | 1,880 | 1,327 | 1,237 |
Retirement 2015 Fund | 2,213 | 1,886 | 2,867 | 2,024 | 1,886 |
Retirement 2020 Fund | 5,838 | 4,976 | 7,865 | 5,340 | 4,976 |
Retirement 2025 Fund | 6,444 | 5,492 | 8,347 | 5,894 | 5,492 |
Retirement 2030 Fund | 8,598 | 7,327 | 11,138 | 7,865 | 7,327 |
Retirement 2035 Fund | 5,521 | 4,705 | 7,152 | 5,051 | 4,705 |
Retirement 2040 Fund | 6,202 | 5,286 | 8,035 | 5,674 | 5,286 |
Retirement 2045 Fund | 3,685 | 3,140 | 4,773 | 3,371 | 3,140 |
Retirement 2050 Fund | 3,231 | 2,754 | 4,185 | 2,956 | 2,754 |
Retirement 2055 Fund | 1,881 | 1,603 | 2,436 | 1,721 | 1,603 |
Retirement 2060 Fund | 673 | 573 | 871 | 616 | 573 |
Retirement 2065 Fund | 42 | 36 | 54 | 39 | 36 |
Retirement Balanced Fund | 910 | 775 | 1,178 | 832 | 775 |
Retirement Blend 2005 Fund | 2 | 2 | 2 | 2 | 2 |
Retirement Blend 2010 Fund | 2 | 2 | 3 | 2 | 2 |
Retirement Blend 2015 Fund | 4 | 3 | 5 | 4 | 3 |
Retirement Blend 2020 Fund | 13 | 11 | 17 | 12 | 11 |
Retirement Blend 2025 Fund | 21 | 18 | 28 | 20 | 18 |
Retirement Blend 2030 Fund | 18 | 16 | 24 | 17 | 16 |
Retirement Blend 2035 Fund | 20 | 17 | 26 | 18 | 17 |
Retirement Blend 2040 Fund | 17 | 15 | 22 | 16 | 15 |
Retirement Blend 2045 Fund | 13 | 11 | 17 | 12 | 11 |
Retirement Blend 2050 Fund | 9 | 7 | 11 | 8 | 7 |
Retirement Blend 2055 Fund | 5 | 4 | 6 | 4 | 4 |
Retirement Blend 2060 Fund | 2 | 1 | 2 | 2 | 1 |
Retirement Blend 2065 Fund | 1 | 1 | 1 | 1 | 1 |
Retirement I 2005 Fund—I Class | 148 | 126 | 192 | 136 | 126 |
Retirement I 2010 Fund—I Class | 444 | 379 | 575 | 407 | 379 |
Retirement I 2015 Fund—I Class | 785 | 669 | 1,016 | 718 | 669 |
Retirement I 2020 Fund—I Class | 2,627 | 2,239 | 3,402 | 2,404 | 2,239 |
Retirement I 2025 Fund—I Class | 3,667 | 3,125 | 4,749 | 3,356 | 3,125 |
Retirement I 2030 Fund—I Class | 4,910 | 4,184 | 6,359 | 4,494 | 4,184 |
Retirement I 2035 Fund—I Class | 3,595 | 3,064 | 4,657 | 3,291 | 3,064 |
Retirement I 2040 Fund—I Class | 3,934 | 3,352 | 5,095 | 3,600 | 3,352 |
Retirement I 2045 Fund—I Class | 2,783 | 2,372 | 3,605 | 2,548 | 2,372 |
Retirement I 2050 Fund—I Class | 2,645 | 2,255 | 3,427 | 2,422 | 2,255 |
Retirement I 2055 Fund—I Class | 1,510 | 1,287 | 1,956 | 1,382 | 1,287 |
Retirement I 2060 Fund—I Class | 673 | 574 | 872 | 617 | 574 |
Retirement I 2065 Fund—I Class | 36 | 31 | 47 | 33 | 31 |
Retirement Balanced I Fund—I Class | 248 | 211 | 321 | 227 | 211 |
Retirement Income 2020 Fund | 62 | 53 | 81 | 57 | 53 |
Science & Technology Fund | 3,068 | 2,615 | 3,975 | 2,803 | 2,615 |
Short Duration Income Fund | 23 | 20 | 30 | 21 | 20 |
Short-Term Fund | 0 | 0 | 0 | 0 | 0 |
Short-Term Bond Fund | 2,465 | 2,100 | 3,192 | 2,256 | 2,100 |
Short-Term Government Fund | — | — | — | — | — |
Small-Cap Index Fund | 45 | 38 | 58 | 41 | 38 |
Small-Cap Stock Fund | 4,521 | 3,853 | 5,857 | 4,136 | 3,853 |
Small-Cap Value Fund | 5,657 | 4,821 | 7,328 | 5176, | 4,821 |
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Fund | Aggregate Compensation From Fund | ||||
Bazemore | Duncan | Gerrard | McBride | Walker | |
Spectrum Conservative Allocation Fund | 1,103 | 940 | 1,429 | 1,009 | 940 |
Spectrum Diversified Equity Fund | 1,817 | 1,548 | 2,354 | 1,662 | 1,548 |
Spectrum Income Fund | 3,058 | 2,607 | 3,961 | 2,799 | 2,607 |
Spectrum International Equity Fund | 801 | 683 | 1,037 | 732 | 683 |
Spectrum Moderate Allocation Fund | 1,133 | 966 | 1,468 | 1,037 | 966 |
Spectrum Moderate Growth Allocation Fund | 1,601 | 1,364 | 2,074 | 1,464 | 1,364 |
Summit Municipal Income Fund | 1,148 | 978 | 1,487 | 1,050 | 978 |
Summit Municipal Intermediate Fund | 2,896 | 2,468 | 3,751 | 2,649 | 2,468 |
Target 2005 Fund | 27 | 23 | 35 | 25 | 23 |
Target 2010 Fund | 36 | 31 | 47 | 33 | 31 |
Target 2015 Fund | 89 | 76 | 115 | 81 | 76 |
Target 2020 Fund | 164 | 140 | 212 | 150 | 140 |
Target 2025 Fund | 239 | 204 | 310 | 219 | 204 |
Target 2030 Fund | 261 | 222 | 338 | 239 | 222 |
Target 2035 Fund | 204 | 174 | 264 | 186 | 174 |
Target 2040 Fund | 176 | 150 | 228 | 161 | 150 |
Target 2045 Fund | 156 | 133 | 202 | 143 | 133 |
Target 2050 Fund | 119 | 102 | 154 | 109 | 102 |
Target 2055 Fund | 83 | 71 | 108 | 76 | 71 |
Target 2060 Fund | 40 | 34 | 52 | 37 | 34 |
Target 2065 Fund | 4 | 4 | 6 | 4 | 4 |
Tax-Efficient Equity Fund | 367 | 312 | 475 | 335 | 312 |
Tax-Exempt Money Fund | 300 | 256 | 389 | 275 | 256 |
Tax-Free High Yield Fund | 2,242 | 1,911 | 2,905 | 2,051 | 1,911 |
Tax-Free Income Fund | 1,145 | 976 | 1,483 | 1,047 | 976 |
Tax-Free Short-Intermediate Fund | 949 | 809 | 1,229 | 868 | 809 |
Total Equity Market Index Fund | 1,001 | 853 | 1,298 | 915 | 853 |
Total Return ETF (a) | — | — | — | — | — |
Total Return Fund | 304 | 259 | 393 | 278 | 259 |
Transition Fund | — | — | — | — | — |
Treasury Reserve Fund | 1,502 | 1,280 | 1,945 | 1,376 | 1,280 |
U.S. Equity Research ETF (a) | — | — | — | — | — |
U.S. Equity Research Fund | 5,382 | 4,586 | 6,967 | 4,934 | 4,586 |
U.S. High Yield ETF (a) | — | — | — | — | — |
U.S. High Yield Fund | 240 | 204 | 311 | 219 | 204 |
U.S. Large-Cap Core Fund | 3,240 | 2,762 | 4,198 | 2,968 | 2,762 |
U.S. Limited Duration TIPS Index Fund | 754 | 643 | 976 | 690 | 643 |
U.S. Treasury Intermediate Index Fund | 394 | 335 | 510 | 360 | 335 |
U.S. Treasury Long-Term Index Fund | 1,975 | 1,683 | 2,558 | 1,810 | 1,683 |
U.S. Treasury Money Fund | 5,916 | 5,042 | 7,661 | 5,421 | 5,042 |
Ultra Short-Term Bond ETF (a) | — | — | — | — | — |
Ultra Short-Term Bond Fund | 1,722 | 1,467 | 2,230 | 1,574 | 1,467 |
Value Fund | 15,445 | 13,163 | 20,007 | 14,130 | 13,163 |
Virginia Tax-Free Bond Fund | 701 | 598 | 909 | 642 | 598 |
(a) Directors’ fees were paid by T. Rowe Price on behalf of the fund.
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FURTHER INFORMATION ABOUT VOTING AND THE SHAREHOLDER MEETING
Who is eligible to vote?
Shareholders of record of each Fund at the close of business on Thursday, April 27, 2023, (the “record date”) are entitled to one vote for each full share and a proportionate vote for each fractional share of the Fund they held on April 27, 2023.
The Notice of Joint Meeting of Shareholders, the proxy card, and this Proxy Statement were first mailed to shareholders of record on or about Wednesday, May 10, 2023.
Under Maryland law, shares owned by two or more persons (whether as joint tenants, co-fiduciaries, or otherwise) will be voted as follows, unless a written instrument or court order providing to the contrary has been filed with the Fund: (1) if only one votes, that vote will bind all; (2) if more than one votes, the vote of the majority will bind all; and (3) if more than one votes and the vote is evenly divided, the vote will be cast proportionately.
What is the required quorum?
To hold a shareholder meeting for a T. Rowe Price Fund, one-third of a Fund’s shares entitled to be voted must have been received by proxy or be present at the virtual meeting. In the event that a quorum is present but sufficient votes in favor of a proposal are not received by the Shareholder Meeting date, the persons named as proxies may propose one or more adjournments to permit further solicitation of proxies. Any such adjournment will require the affirmative vote of a majority of the shares present in person or by proxy at the Shareholder Meeting to be adjourned. Shares withheld will be voted against the proposed adjournment. The persons named as proxies will vote in favor of such adjournment if they determine that additional solicitation is reasonable and in the interests of a Fund’s shareholders.
What vote is required to elect the directors?
Four directors have been nominated for shareholder approval for each Board. The proposal requires the affirmative vote of a plurality of the shares present and entitled to vote at the meeting to elect the Board members of that Fund. All shareholders of each corporation, regardless of whether the corporation consists of one or multiple series and/or classes vote together. Thus, if a quorum is present at the Shareholder Meeting for each corporation, the proposal to elect the director nominees will be approved with respect to those director nominees who receive the largest number of votes, with no majority approval requirement.
How are the votes counted?
The individuals named as proxies (or their substitutes) on the enclosed proxy card (or cards, if you have multiple Funds or accounts) will vote according to your directions if your proxy is received properly executed, or in accordance with your instructions given when voting by telephone or online. You may direct the proxy holders to vote your shares with respect to each director-nominee by checking the appropriate box “FOR,” or instruct them not to vote those shares for each director-nominee by checking the “WITHHOLD” box. Alternatively, you may simply sign, date, and return your proxy
27
card(s) with no specific instructions as to the proposals. If you properly execute your proxy card, or submit your vote via the telephone or online, and give no voting instructions with respect to the election of directors, your shares will be voted FOR ALL NOMINEES.
Abstentions and “broker nonvotes” (as described below) are counted for purposes of determining whether a quorum is present for purposes of convening the Shareholder Meeting. Broker nonvotes are shares held by a broker or nominee for which an executed proxy is received by the Fund but are not voted as to one or more proposals because instructions have not been received from the beneficial owners or persons entitled to vote, and the broker or nominee does not have discretionary voting power. Since the proposal must be approved by a plurality vote, abstentions and broker nonvotes will have no effect on the result of the vote.
For shares of a Fund held in an individual retirement account (“IRA”) or Coverdell education savings account (“ESA”) that is sponsored by T. Rowe Price Trust Company and for which T. Rowe Price Trust Company serves as custodian, T. Rowe Price Trust Company shall, without written direction from the investor, vote shares for which no voting instructions are timely received in the same proportion as shares for which voting instructions from other shareholders are timely received.
For shares of the Funds that are series of T. Rowe Price Equity Series, Inc., T. Rowe Price Fixed Income Series, Inc., and T. Rowe Price International Series, Inc. (collectively, the “Variable Insurance Portfolios”) held by insurance company separate accounts for which the insurance company has not received timely voting instructions, as well as shares the insurance company owns, those shares shall be voted in the same proportion as shares for which voting instructions from contract holders are timely received.
Shares of the T. Rowe Price Funds that are held by other T. Rowe Price Funds will be voted in the same proportion as shares for which voting instructions from other shareholders are timely received.
Can additional matters be acted upon at the Shareholder Meeting?
T. Rowe Price knows of no other business that may come before the Shareholder Meeting. However, if any additional matters are properly presented at the Shareholder Meeting, it is intended that the persons named in the enclosed proxy, or their substitutes, will vote on such matters in accordance with their judgment.
Are the T. Rowe Price Funds required to hold annual meetings?
Under Maryland law, each T. Rowe Price Fund is not required to hold an annual meeting of shareholders. The Boards have determined that the Funds will take advantage of this Maryland law provision to avoid the significant expenses associated with holding an annual meeting of shareholders, including legal, accounting, printing, and mailing fees incurred in preparing proxy materials. Accordingly, no annual meeting of shareholders shall be held in any year in which a meeting is not otherwise required to be held under the 1940 Act or Maryland law, unless the Boards determine otherwise. However, special meetings of shareholders will be held in accordance with applicable law or when otherwise determined by the Boards.
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If a shareholder wishes to present a proposal to be included in a proxy statement for a subsequent shareholder meeting, the proposal must be submitted in writing and received by Fran M. Pollack-Matz, Secretary of the T. Rowe Price Funds, 100 East Pratt Street, Baltimore, Maryland 21202, within a reasonable time before a Fund begins to print and mail its proxy materials for the meeting. The timely submission of a proposal does not guarantee its consideration at the meeting.
How are proxies delivered and votes recorded?
This Proxy Statement (or a notice indicating that the Proxy Statement is available) includes instructions on how to vote your shares online, by telephone, by mailing the proxy card, or electronically at the virtual Shareholder Meeting. T. Rowe Price has retained AST to tabulate the votes. The telephone and online voting procedures are reasonably designed to authenticate shareholders’ identities, to allow shareholders to authorize the voting of their shares in accordance with their instructions, and to confirm that their instructions have been properly recorded. AST is also responsible for assisting T. Rowe Price in determining whether quorum is achieved for a particular Fund and whether sufficient votes are received to approve a proposal.
Some shareholders will not automatically receive a copy of these proxy materials in the mail but will instead receive a notice that informs them of how to access all the proxy materials on a publicly available website (commonly referred to as “notice and access”). Shareholders who receive such a notice can follow the instructions on the notice to access the proxy materials and vote their shares. They may also request a paper or email copy of the proxy materials at no charge.
The SEC has adopted rules that permit investment companies such as the T. Rowe Price Funds and intermediaries to satisfy the delivery requirements for proxy statements with respect to two or more shareholders sharing the same address by delivering a single proxy statement addressed to those shareholders. This process, which is commonly referred to as “householding,” could be convenient for certain shareholders and may result in cost savings for the Funds and their shareholders. Unless a Fund has received contrary instructions, only one copy of these proxy materials will be mailed to two or more shareholders who share an address. If you invest directly in the T. Rowe Price Funds and need additional copies, do not want your mailings to be “householded,” or would like to request a single copy if multiple copies are being received, please call 1-800-225-5132 or write us at P.O. Box 17630, Baltimore, Maryland 21297-1630. If you own your Funds through an intermediary, please contact your intermediary.
How can proxies be solicited?
Directors and officers of a Fund, or employees of T. Rowe Price (and its affiliates) may solicit proxies by mail, in person, electronically (assuming that applicable requirements are met) or by telephone. If votes are solicited by telephone, shareholders will be called at the telephone number T. Rowe Price (or the applicable intermediary) has in its records for their accounts, and would be asked for certain identifying information, such as their address. The shareholders will then be given an opportunity to authorize proxies to vote their shares at the Shareholder Meeting in accordance with their instructions. To ensure that shareholders’ instructions have been recorded correctly,
29
shareholders will be mailed a confirmation of their instructions and will also be provided with a special toll-free number to call in case the information contained in the confirmation is incorrect.
The Funds will use the solicitation services of AST to assist them in soliciting proxies and managing the Funds’ overall proxy campaign. AST is also responsible for assisting T. Rowe Price in determining whether quorum is achieved and whether sufficient votes are received to approve a proposal.
Who pays for the costs involved with the proxy?
For managing the T. Rowe Price Funds’ overall proxy campaign, AST will receive a fee plus reimbursement for out-of-pocket expenses. AST will also receive fees in connection with the printing, preparing, assembling, mailing, and transmitting of proxy materials on behalf of the T. Rowe Price Funds, tabulating those votes that are received, hosting the virtual Shareholder Meeting, and any solicitation of additional votes. The fees received by AST will vary based on the level of additional solicitation necessary to achieve quorum and shareholder approval. In addition to the fees paid to AST, securities brokers, custodians, fiduciaries, and other persons holding shares as nominees will be reimbursed, upon request, for their reasonable expenses in sending solicitation materials to the principals of the accounts. The fees for these services, along with printing, postage and solicitation services are estimated to be approximately $12.7 million. All costs of the Shareholder Meeting and the proxy campaign, including the use of AST and the reimbursement to brokers for solicitation and the preparation of proxy materials, will be paid for by each Fund in proportion to its relative asset size at the time of the Shareholder Meeting. For any Funds subject to contractual expense limitations or all-inclusive management fee rates, the proxy expenses over and above any contractually stated fee rate will be borne by T. Rowe Price.
Can I change my vote after I mail my proxy?
Any vote or voting instruction, including those given online or by telephone, may be revoked at any time before the votes have been submitted for tabulation at the Shareholder Meeting by filing a written notice of revocation with a Fund, by delivering a properly executed proxy bearing a later date, or by attending the Shareholder Meeting and voting electronically at the Shareholder Meeting.
GENERAL INFORMATION ABOUT THE FUNDS
Who are the Funds’ investment adviser, principal underwriter, and other service providers?
T. Rowe Price serves as investment adviser to all T. Rowe Price Funds and provides the Funds with investment management services. T. Rowe Price is a wholly owned subsidiary of T. Rowe Price Group, Inc. While T. Rowe Price is responsible for supervising and overseeing the Funds’ investment programs, T. Rowe Price has entered into investment subadvisory agreements with T. Rowe Price Hong Kong Limited (“Price Hong Kong”), T. Rowe Price International Ltd (“Price International”), T. Rowe Price Investment Management, Inc. (“Price Investment Management”), T. Rowe Price Japan, Inc. (“Price Japan”), and/or T. Rowe Price Singapore (“Price Singapore”) on behalf of certain T. Rowe Price Funds. Price Hong Kong, Price Japan,
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and Price Singapore are wholly owned subsidiaries of Price International. Price International and Price Investment Management are wholly owned subsidiaries of T. Rowe Price.
Each Fund (except the ETFs) has fund accounting agreements with T. Rowe Price and The Bank of New York Mellon and the ETFs have a fund accounting agreement with State Street Bank and Trust Company and T. Rowe Price. Each Fund also has an underwriting agreement with T. Rowe Price Investment Services, Inc. (“Investment Services”) and a transfer agency agreement with T. Rowe Price Services, Inc. (“Price Services”). The taxable Funds also have a transfer agency agreement with T. Rowe Price Retirement Plan Services, Inc. (“RPS”). Investment Services, Price Services, and RPS are wholly owned subsidiaries of T. Rowe Price.
T. Rowe Price Trust Company serves as trustee and/or custodian for certain IRAs, ESAs, and small business retirement plans that utilize the Funds as investment options, and is a wholly owned subsidiary of T. Rowe Price.
The address for T. Rowe Price, Investment Services, and T. Rowe Price Trust Company is 100 East Pratt Street, Baltimore, Maryland 21202. The address for Price Services and RPS is 4515 Painters Mill Road, Owings Mills, Maryland 21117. The address for Price Hong Kong is 6/F Charter House 8 Connaught Road, Central, Hong Kong. The address for Price International is 60 Queen Victoria Street, London, United Kingdom EC4N 4TZ. The address for Price Investment Management is 100 East Pratt Street, Baltimore, Maryland 21202. The address for Price Japan is 9-2 Marunouchi 1-Chome, Chiyoda-Ku, Tokyo, Japan 100-6610. The address for Price Singapore is 501 Orchard Road, #10-02 Wheelock Place, Singapore 238880. The address for The Bank of New York Mellon is 225 Liberty Street, New York, New York 10286. The address for State Street Bank and Trust Company is One Lincoln Street, Boston, Massachusetts 02111.
The Funds have a policy to not pay any commissions to affiliated broker-dealers.
As of March 31, 2023, none of the independent directors, independent director nominees or their immediate family members owned beneficially or of record any securities of T. Rowe Price (the Funds’ investment adviser), Investment Services (the Funds’ distributor), or any person controlling, controlled by, or under common control with T. Rowe Price or Investment Services.
Who are the Funds’ executive officers?
Armando (Dino) Capasso serves as Chief Compliance Officer for the T. Rowe Price Funds. In addition, Mr. Capasso is the Chief Compliance Officer and a Vice President of T. Rowe Price and Price Investment Management, as well as a Vice President of T. Rowe Price Group, Inc. Alan S. Dupski serves as Treasurer for the T. Rowe Price Funds. Mr. Dupski is a Vice President of T. Rowe Price, Price Investment Management, T. Rowe Price Trust Company, and T. Rowe Price Group, Inc. Fran M. Pollack-Matz serves as Secretary for the T. Rowe Price Funds. Ms. Pollack-Matz is a Vice President of T. Rowe Price, T. Rowe Price Group, Inc., Investment Services, and Price Services.
The following table, entitled “Executive Officers of the Funds,” lists the other executive officers of the Funds covered by this Proxy Statement and their positions with each
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Fund, T. Rowe Price, and T. Rowe Price Group, Inc., as of February 1, 2023. Each executive officer has been an officer of T. Rowe Price, T. Rowe Price Group, Inc., and the Funds for at least the last five years unless otherwise indicated.
Executive Officers of the Funds | |||
Officer, Year of Birth | Position With Fund | Position With T. Rowe Price | Position With T. Rowe Price Group, Inc. |
All-Cap Opportunities Fund | |||
Justin P. White, 1981 | President | Vice President | Vice President |
Balanced Fund | |||
Charles M. Shriver, 1967 Toby M. Thompson, 1971 | Co-President Co-President | Vice President Vice President | Vice President Vice President |
Blue Chip Growth Fund | |||
Paul Greene II, 1978 | President | Vice President | Vice President |
Capital Appreciation Fund | |||
David R. Giroux, 1975 | President | — | Vice President |
Communications & Technology Fund | |||
James Stillwagon, 1982 | President | Vice President | Vice President |
Corporate Income Fund | |||
Steven E. Boothe, 1977 Lauren T. Wagandt, 1984 | Co-President Co-President | Vice President Vice President | Vice President Vice President |
Credit Opportunities Fund | |||
Rodney M. Rayburn, 1970 | President | Vice President | Vice President |
Diversified Mid-Cap Growth Fund | |||
Donald J. Peters, 1959 | President | Vice President | Vice President |
Dividend Growth Fund | |||
Thomas J. Huber, 1966 | President | Vice President | Vice President |
Equity Funds | |||
Stephon Jackson, 1962 Joshua Nelson, 1977 Francisco Alonso, 1978 Brian W.H. Berghuis, 1958 Paul Greene II, 1978 John D. Linehan, 1965 Gabriel Solomon, 1977 Taymour R. Tamaddon, 1976 | Co-President Co-President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President — — Vice President Vice President Vice President Vice President | — Vice President Vice President Vice President Vice President Vice President Vice President Vice President |
Equity Income Fund | |||
John D. Linehan, 1965 | President | Vice President | Vice President |
Equity Series | |||
Stephon Jackson, 1962 Joshua Nelson, 1977 Ziad Bakri, 1980 Brian W.H. Berghuis, 1958 Paul Greene II, 1978 John D. Linehan, 1965 Charles M. Shriver, 1967 Neil Smith, 1972 Toby M. Thompson, 1971 Justin P. White, 1981 | Co-President Co-President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President — Vice President Vice President Vice President — Vice President Vice President | — Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President |
32
Executive Officers of the Funds | |||
Officer, Year of Birth | Position With Fund | Position With T. Rowe Price | Position With T. Rowe Price Group, Inc. |
Exchange-Traded Funds | |||
Stephon Jackson, 1962 Joshua Nelson, 1977 Christopher P. Brown, 1977 David Corris, 1975 Timothy Coyne, 1967 Vincent Michael DeAugustino, 1983 Anna Alexandra Dreyer, 1981 Shawn T. Driscoll, 1975 Joseph B. Fath, 1971 David R. Giroux, 1975 Paul Greene II, 1978 Ann M. Holcomb, 1972 Thomas J. Huber, 1966 Prashant G. Jeyaganesh, 1983 Vidya Kadiyam, 1980 Robert M. Larkins, 1973 John D. Linehan, 1965 Kevin Patrick Loome, 1967 a Jodi Love, 1977 Paul M. Massaro, 1975b Colin McQueen, 1967 Jason Nogueira, 1974 Alexander S. Obaza, 1981 Donald J. Peters, 1959 Jason Benjamin Polun, 1974 Jordan S. Pryor, 1991 Sebastian Schrott, 1977 Gabriel Solomon, 1977 Peter Stournaras, 1973 Taymour R. Tamaddon, 1976 | Co-President Co-President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President — Vice President Vice President Vice President Vice President Vice President Vice President Vice President — Vice President Vice President — Vice President Vice President Vice President Vice President Vice President — Vice President Vice President Vice President | — Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President ice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President |
Financial Services Fund | |||
Matthew J. Snowling, 1971 | President | Vice President | Vice President |
Fixed Income Series | |||
Michael F. Reinartz, 1973 | President | Vice President | Vice President |
Floating Rate Fund | |||
Paul M. Massaro, 1975 | President | Vice President | Vice President |
Global Allocation Fund | |||
Charles M. Shriver, 1967 Toby M. Thompson, 1971 | Co-President Co-President | Vice President Vice President | Vice President Vice President |
33
Executive Officers of the Funds | |||
Officer, Year of Birth | Position With Fund | Position With T. Rowe Price | Position With T. Rowe Price Group, Inc. |
Global Funds | |||
Justin Thomson, 1968 Malik Sarmad Asif, 1981 Oliver Douglas Martin Bell, 1969 Robert Scott Berg, 1972 Richard N. Clattenburg, 1979 David J. Eiswert, 1972 Sebastien Mallet, 1974 Raymond A. Mills, 1960 Eric C. Moffett, 1974 Samy B. Muaddi, 1984 Joshua Nelson, 1977 Jason Nogueira, 1974 Federico Santilli, 1974 | President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | — — — Vice President Vice President Vice President — Vice President — Vice President Vice President Vice President — | Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President |
Global Multi-Sector Bond Fund | |||
Kenneth Antony Orchard, 1975 | President | — | Vice President |
Global Real Estate Fund | |||
Jai Kapadia, 1982 | President | — | Vice President |
Global Technology Fund | |||
Dominic Rizzo, 1993 Alan Tu, 1985 | Co-President Co-President | — Vice President | Vice President Vice President |
GNMA Fund | |||
Keir R. Joyce, 1972 | President | Vice President | Vice President |
Government Money Fund | |||
Douglas D. Spratley, 1969 | President | Vice President | Vice President |
Growth Stock Fund | |||
Joseph B. Fath, 1971 | President | Vice President | Vice President |
Health Sciences Fund | |||
Ziad Bakri, 1980 | President | Vice President | Vice President |
High Yield Fund | |||
Stephon Jackson, 1962 Andrew C. McCormick, 1960 Kevin Patrick Loome, 1967 Rodney M. Rayburn, 1970 | Co-President Co-President Executive Vice President Executive Vice President | Vice President Vice President — Vice President | — Vice President Vice President Vice President |
Index Trust | |||
Neil Smith, 1972 Michael K. Sewell, 1982 | President Executive Vice President | — Vice President | Vice President Vice President |
Inflation Protected Bond Fund | |||
Michael K. Sewell, 1982 | President | Vice President | Vice President |
Institutional Income Funds | |||
Andrew C. McCormick, 1960 Robert M. Larkins, 1973 Paul M. Massaro, 1975 Rodney M. Rayburn, 1970 | President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President Vice President | Vice President Vice President Vice President Vice President |
Integrated Equity Funds | |||
Peter Stournaras, 1973d David Corris, 1975e Prashant G. Jeyaganesh, 1983 Vidya Kadiyam, 1980 Sudhir Nanda, 1959 Jordan S. Pryor, 1991 | President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President Vice President Vice President Vice President | Vice President Vice President Vice President Vice President Vice President Vice President |
34
Executive Officers of the Funds | |||
Officer, Year of Birth | Position With Fund | Position With T. Rowe Price | Position With T. Rowe Price Group, Inc. |
Intermediate Tax-Free High Yield Fund | |||
James M. Murphy, 1967 Ralph Lee Arnold, Jr., 1970 Colin T. Bando, 1987 | President Executive Vice President Executive Vice President | Vice President Vice President Vice President | Vice President Vice President Vice President |
International Funds | |||
Justin Thomson, 1968 Jason Adams, 1979 Ulle Adamson, 1979 Malik Sarmad Asif, 1981 Harishankar Balkrishna, 1983 Robert Scott Berg, 1972 Archibald Ciganer Albeniz, 1976 Richard N. Clattenburg, 1979 Michael F. Connelly, 1977 Michael Della Vedova, 1969 David J. Eiswert, 1972 Benjamin Griffiths, 1977 Arif Husain, 1972 Andrew J. Keirle, 1974 Anh Thi Lu, 1968 Colin McQueen, 1967c Raymond A. Mills, 1960 Jihong Min, 1979 Eric C. Moffett, 1979 Samy B. Muaddi, 1984 Tobias Fabian Mueller, 1980 Kenneth Antony Orchard, 1975 Oluwaseun Oyegunle, 1984 Federico Santilli, 1974 Weijie (Vivian) Si, 1983 Saurabh Sud, 1985 Siby Thomas, 1979 Verena Wachnitz, 1978 Ernest C. Yeung, 1979 Wenli Zheng, 1979 | President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | — Vice President — — — Vice President — Vice President Vice President — Vice President — — — — — Vice President — — Vice President — — — — Vice President Vice President Vice President — — — | Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President Vice President |
International Index Fund | |||
Neil Smith, 1972 | President | — | Vice President |
International Series | |||
Justin Thomson, 1968 Richard N. Clattenburg, 1979 | President Executive Vice President | — Vice President | Vice President Vice President |
Limited Duration Inflation Focused Bond Fund | |||
Michael K. Sewell, 1982 | President | Vice President | Vice President |
Mid-Cap Growth Fund | |||
Brian W.H. Berghuis, 1958 John F. Wakeman, 1962 | President Executive Vice President | — — | Vice President Vice President |
Mid-Cap Value Fund | |||
Vincent Michael DeAugustino, 1983 Heather K. McPherson, 1967 | President Executive Vice President | Vice President Vice President | Vice President Vice President |
35
Executive Officers of the Funds | |||
Officer, Year of Birth | Position With Fund | Position With T. Rowe Price | Position With T. Rowe Price Group, Inc. |
Multi-Sector Account Portfolios | |||
Steven E. Boothe, 1977 Michael F. Connelly, 1977 Stephen M. Finamore, 1976 Keir R. Joyce, 1972 Andrew J. Keirle, 1974 Samy B. Muaddi, 1984 Siby Thomas, 1979 | President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President Vice President — Vice President Vice President | Vice President Vice President Vice President Vice President Vice President Vice President Vice President |
Multi-Strategy Total Return Fund | |||
Richard de los Reyes, 1975 Stefan Hubrich, 1974 | Co-President Co-President | Vice President Vice President | Vice President Vice President |
New Era Fund | |||
Shinwoo Kim, 1977 | President | Vice President | Vice President |
New Horizons Fund | |||
Joshua K. Spencer, 1973 | President | Vice President | Vice President |
New Income Fund | |||
Stephen L. Bartolini, 1977 | President | Vice President | Vice President |
QM U.S. Bond Index Fund | |||
Robert M. Larkins, 1973 | President | Vice President | Vice President |
Real Assets Fund | |||
Richard Coghlan, 1961 Christopher Faulkner-MacDonagh, 1969 | Co-President Co-President | Vice President Vice President | Vice President Vice President |
Real Estate Fund | |||
Nina P. Jones, 1980 | President | Vice President | Vice President |
TRP Reserve Investment Funds | |||
Douglas D. Spratley, 1969 Matthew W. Novak, 1983 Bradley R. Raglin, 1982 | President Executive Vice President Executive Vice President | Vice President Vice President Vice President | Vice President Vice President — |
Retirement Funds | |||
Kimberly E. DeDominicis, 1976 Andrew G. Jacobs Van Merlen, 1978 Wyatt A. Lee, 1971 | Co-President Co-President Co-President | Vice President Vice President Vice President | Vice President Vice President Vice President |
Science & Technology Fund | |||
Kennard W. Allen, 1977 | President | Vice President | Vice President |
Short-Term Bond Fund | |||
Cheryl A. Mickel, 1967 Steven M. Kohlenstein, 1987 Alexander S. Obaza, 1981 Michael F. Reinartz, 1973 | President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President Vice President | Vice President Vice President Vice President Vice President |
Small-Cap Stock Fund | |||
Francisco Alonso, 1978 | President | — | Vice President |
Small-Cap Value Fund | |||
John David Wagner, 1974 | President | — | Vice President |
Spectrum Funds | |||
Charles M. Shriver, 1967 Toby M. Thompson, 1971 | Co-President Co-President | Vice President Vice President | Vice President Vice President |
Spectrum Funds II | |||
Charles M. Shriver, 1967 Toby M. Thompson, 1971 | Co-President Co-President | Vice President Vice President | Vice President Vice President |
36
Executive Officers of the Funds | |||
Officer, Year of Birth | Position With Fund | Position With T. Rowe Price | Position With T. Rowe Price Group, Inc. |
State Tax-Free Fund | |||
James M. Murphy, 1967 Austin Applegate, 1974 Charles B. Hill, 1961 Konstantine B. Mallas, 1963 Douglas D. Spratley, 1969 Timothy G. Taylor, 1975 | President Executive Vice President Executive Vice President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President Vice President Vice President Vice President | Vice President Vice President Vice President Vice President Vice President Vice President |
Summit Income Funds | |||
Douglas D. Spratley, 1969 | President | Vice President | Vice President |
Summit Municipal Funds | |||
James M. Murphy, 1967 Austin Applegate, 1974 Charles B. Hill, 1961 Konstantine B. Mallas, 1963 | President Executive Vice President Executive Vice President Executive Vice President | Vice President Vice President Vice President Vice President | Vice President Vice President Vice President Vice President |
Tax-Efficient Funds | |||
Donald J. Peters, 1959 | President | Vice President | Vice President |
Tax-Exempt Money Fund | |||
Douglas D. Spratley, 1969 | President | Vice President | Vice President |
Tax-Free High Yield Fund | |||
James M. Murphy, 1967 Ralph Lee Arnold, Jr., 1970 Colin T. Bando, 1987 | President Executive Vice President Executive Vice President | Vice President Vice President Vice President | Vice President Vice President Vice President |
Tax-Free Income Fund | |||
Konstantine B. Mallas, 1963 Timothy G. Taylor, 1975 | Co-President Co-President | Vice President Vice President | Vice President Vice President |
Tax-Free Short-Intermediate Fund | |||
Charles B. Hill, 1961 | President | Vice President | Vice President |
Total Return Fund | |||
Christopher P. Brown, 1977 Anna Alexandra Dreyer, 1981 | Co-President Co-President | Vice President Vice President | Vice President Vice President |
U.S. Equity Research Fund | |||
Ann M. Holcomb, 1972 Jason Nogueira, 1974 Jason Benjamin Polun, 1974 | Co-President Co-President Co-President | Vice President Vice President Vice President | Vice President Vice President Vice President |
U.S. Large-Cap Core Fund | |||
Shawn T. Driscoll, 1975 | President | Vice President | Vice President |
U.S. Treasury Funds | |||
Andrew C. McCormick, 1960 Michael K. Sewell, 1982 Douglas D. Spratley, 1969 | President Executive Vice President Executive Vice President | Vice President Vice President Vice President | Vice President Vice President Vice President |
Value Fund | |||
Ryan S. Hedrick, 1980 | President | Vice President | Vice President |
a Effective October 1, 2022, Mr. Loome was appointed as Executive Vice President of the T. Rowe Price Exchange-Traded Funds, Inc.
b Effective November 1, 2022, Mr. Massaro was appointed as Executive Vice President of the T. Rowe Price Exchange-Traded Funds, Inc.
c Prior to 2019, Colin McQueen was a Senior Investment Manager at Sanlam FOUR Investments UK Limited.
d Prior to 2020, Peter Stournaras was a Chief Portfolio Strategist at JP Morgan Private Bank. Prior to 2018, he was a Private Consultant and Advisor at Pteleos Consulting.
e Prior to 2021, David Corris was Head of Disciplined Equities and Portfolio Manager at Bank of Montreal Global Asset Management.
37
As of March 31, 2023, the directors, Advisory Board members, and executive officers of the T. Rowe Price Funds, as a group, owned less than 1% of the outstanding shares of any Fund, except as shown in the following table.
Fund | % |
China Evolution Equity | 28.75 |
Credit Opportunities | 5.76 |
Dynamic Credit | 3.65 |
Emerging Markets Discovery Stock | 6.06 |
Global Impact Equity | 14.31 |
Integrated Global Equity | 4.39 |
Integrated U.S. Large-Cap Value Equity | 2.24 |
Intermediate Tax-Free High Yield | 9.46 |
Maryland Short-Term Tax-Free Bond | 2.84 |
Maryland Tax-Free Bond | 2.28 |
Maryland Tax-Free Money | 6.73 |
Short Duration Income | 5.98 |
Target 2065 | 4.89 |
U.S. Equity Research ETF | 3.71 |
How many outstanding shares are there of each Fund?
The following table, entitled “Outstanding Shares of Capital Stock,” sets forth the outstanding shares of capital stock of each Fund and class, as applicable, as of March 31, 2023.
Outstanding Shares of Capital Stock
Fund | Outstanding
Shares |
Africa & Middle East Fund | 6,725,846.178 |
Africa & Middle East Fund—I Class | 2,942,349.931 |
Africa & Middle East Fund—Z Class | 793,972.945 |
All-Cap Opportunities Fund | 88,686,812.631 |
All-Cap Opportunities Fund—Advisor Class | 2,779,741.082 |
All-Cap Opportunities Fund—I Class | 61,921,186.328 |
All-Cap Opportunities Portfolio | 12,217,092.114 |
Asia Opportunities Fund | 4,164,261.701 |
Asia Opportunities Fund—Advisor Class | 4,690.226 |
Asia Opportunities Fund—I Class | 3,593,161.527 |
Balanced Fund | 102,093,005.669 |
Balanced Fund—I Class | 74,391,255.503 |
Blue Chip Growth ETF | 13,745,000.000 |
Blue Chip Growth Fund | 217,872,104.905 |
Blue Chip Growth Fund—Advisor Class | 11,696,323.015 |
Blue Chip Growth Fund—I Class | 199,621,639.082 |
Blue Chip Growth Fund—R Class | 6,212,101.540 |
Blue Chip Growth Fund—Z Class | 3,043,954.257 |
Blue Chip Growth Portfolio | 32,058,608.291 |
Blue Chip Growth Portfolio—II | 14,878,361.765 |
California Tax-Free Bond Fund | 33,474,145.676 |
California Tax-Free Bond Fund—I Class | 29,765,722.564 |
Capital Appreciation Equity ETF | -- |
Capital Appreciation Fund | 874,237,119.180 |
Capital Appreciation Fund—Advisor Class | 22,066,102.225 |
38
Fund | Outstanding
Shares |
Capital Appreciation Fund—I Class | 636,857,686.521 |
Cash Reserves Fund | 4,496,030,041.300 |
China Evolution Equity Fund | 2,148,156.834 |
China Evolution Equity Fund—I Class | 3,198,795.664 |
Communications & Technology Fund | 38,458,629.023 |
Communications & Technology Fund—I Class | 23,613,720.818 |
Corporate Income Fund | 18,006,215.603 |
Corporate Income Fund—I Class | 18,652,892.248 |
Corporate Income Fund—Z Class | 32,954,419.863 |
Credit Opportunities Fund | 5,882,801.571 |
Credit Opportunities Fund—Advisor Class | 11,586.097 |
Credit Opportunities Fund—I Class | 8,418,911.971 |
Diversified Mid-Cap Growth Fund | 24,959,360.861 |
Diversified Mid-Cap Growth Fund—I Class | 24,418,685.609 |
Dividend Growth ETF | 9,510,000.000 |
Dividend Growth Fund | 174,519,614.011 |
Dividend Growth Fund—Advisor Class | 5,639,472.000 |
Dividend Growth Fund—I Class | 140,548,160.799 |
Dividend Growth Fund—Z Class | 6,735,642.101 |
Dynamic Credit Fund | 3,422,122.110 |
Dynamic Credit Fund—I Class | 575,593.309 |
Dynamic Global Bond Fund | 65,578,917.771 |
Dynamic Global Bond Fund—Advisor Class | 69,960.062 |
Dynamic Global Bond Fund—I Class | 83,823,396.418 |
Dynamic Global Bond Fund—Z Class | 375,417,326.068 |
Emerging Europe Fund | 10,016,433.694 |
Emerging Europe Fund—I Class | 1,584,403.849 |
Emerging Europe Fund—Z Class | 776,838.905 |
Emerging Markets Bond Fund | 67,037,967.598 |
Emerging Markets Bond Fund—Advisor Class | 12,663.796 |
Emerging Markets Bond Fund—I Class | 52,022,984.329 |
Emerging Markets Bond Fund—Z Class | 347,703,834.843 |
Emerging Markets Corporate Bond Fund | 10,746,862.572 |
Emerging Markets Corporate Bond Fund—Advisor Class | 15,709.504 |
Emerging Markets Corporate Bond Fund—I Class | 32,557,924.004 |
Emerging Markets Corporate Multi-Sector Account Portfolio | 473,048.500 |
Emerging Markets Discovery Stock Fund | 5,839,671.143 |
Emerging Markets Discovery Stock Fund—Advisor Class | 4,739.263 |
Emerging Markets Discovery Stock Fund—I Class | 26,231,163.440 |
Emerging Markets Discovery Stock Fund—Z Class | 306,068,092.321 |
Emerging Markets Local Currency Bond Fund | 4,923,110.094 |
Emerging Markets Local Currency Bond Fund—Advisor Class | 2,912.125 |
Emerging Markets Local Currency Bond Fund—I Class | 19,406,859.798 |
Emerging Markets Local Currency Bond Fund—Z Class | 51,664,276.725 |
Emerging Markets Local Multi-Sector Account Portfolio | 28,074.303 |
Emerging Markets Stock Fund | 35,094,737.924 |
Emerging Markets Stock Fund—I Class | 48,529,564.020 |
Emerging Markets Stock Fund—Z Class | 95,178,482.172 |
Equity Income ETF | 3,095,000.000 |
Equity Income Fund | 259,123,825.331 |
Equity Income Fund—Advisor Class | 4,785,099.285 |
Equity Income Fund—I Class | 222,006,324.497 |
Equity Income Fund—R Class | 1,327,096.816 |
39
Fund | Outstanding
Shares |
Equity Income Fund—Z Class | 31,386,796.587 |
Equity Income Portfolio | 15,745,092.241 |
Equity Income Portfolio—II | 10,572,053.487 |
Equity Index 500 Fund | 56,390,046.298 |
Equity Index 500 Fund—I Class | 60,388,253.305 |
Equity Index 500 Fund—Z Class | 113,085,256.804 |
Equity Index 500 Portfolio | 953,714.133 |
European Stock Fund | 22,365,639.523 |
European Stock Fund—I Class | 9,828,923.222 |
European Stock Fund—Z Class | 10,220,546.725 |
Extended Equity Market Index Fund | 32,449,427.458 |
Financial Services Fund | 26,391,464.486 |
Financial Services Fund—I Class | 18,160,012.914 |
Floating Rate ETF | 550,000.000 |
Floating Rate Fund | 167,482,333.529 |
Floating Rate Fund—Advisor Class | 1,920,031.639 |
Floating Rate Fund—I Class | 87,608,058.202 |
Floating Rate Fund—Z Class | 166,294,535.974 |
Floating Rate Multi-Sector Account Portfolio | 1,163,133.781 |
Georgia Tax-Free Bond Fund | 18,454,138.423 |
Georgia Tax-Free Bond Fund—I Class | 19,736,797.986 |
Global Allocation Fund | 54,964,282.328 |
Global Allocation Fund—Advisor Class | 366,084.674 |
Global Allocation Fund—I Class | 18,091,217.098 |
Global Consumer Fund | 3,467,004.376 |
Global Growth Stock Fund | 10,876,122.029 |
Global Growth Stock Fund—Advisor Class | 433,258.611 |
Global Growth Stock Fund—I Class | 18,806,335.467 |
Global High Income Bond Fund | 6,875,958.423 |
Global High Income Bond Fund—Advisor Class | 41,670.929 |
Global High Income Bond Fund—I Class | 24,268,167.207 |
Global Impact Equity Fund | 1,314,398.910 |
Global Impact Equity Fund—I Class | 769,936.998 |
Global Industrials Fund | 5,203,063.294 |
Global Industrials Fund—I Class | 5,475,299.356 |
Global Multi-Sector Bond Fund | 69,828,349.194 |
Global Multi-Sector Bond Fund—Advisor Class | 1,382,662.736 |
Global Multi-Sector Bond Fund—I Class | 58,020,095.284 |
Global Real Estate Fund | 3,180,999.441 |
Global Real Estate Fund—Advisor Class | 260,127.708 |
Global Real Estate Fund—I Class | 1,695,411.636 |
Global Stock Fund | 53,788,702.579 |
Global Stock Fund—Advisor Class | 879,841.414 |
Global Stock Fund—I Class | 48,712,156.432 |
Global Technology Fund | 177,145,453.507 |
Global Technology Fund—I Class | 96,283,104.782 |
Global Value Equity Fund | 6,031,990.850 |
Global Value Equity Fund—I Class | 1,386,751.381 |
GNMA Fund | 34,061,798.984 |
GNMA Fund—I Class | 20,897,640.521 |
GNMA Fund—Z Class | 65,466,661.170 |
Government Money Fund | 7,581,694,787.794 |
Government Money Fund—I Class | 2,591,432,749.549 |
40
Fund | Outstanding
Shares |
Government Reserve Fund | 14,498,236,201.720 |
Growth ETF | -- |
Growth Stock ETF | 1,750,000.000 |
Growth Stock Fund | 166,979,514.011 |
Growth Stock Fund—Advisor Class | 24,147,820.262 |
Growth Stock Fund—I Class | 183,333,680.503 |
Growth Stock Fund—R Class | 9,519,208.339 |
Growth Stock Fund—Z Class | 270,574,330.014 |
Health Sciences Fund | 111,254,817.508 |
Health Sciences Fund—I Class | 65,582,146.443 |
Health Sciences Portfolio | 2,764,571.650 |
Health Sciences Portfolio—II | 10,705,073.466 |
High Yield Fund | 195,598,359.150 |
High Yield Fund—Advisor Class | 3,149,743.591 |
High Yield Fund—I Class | 450,500,589.452 |
High Yield Fund—Z Class | 567,816,339.291 |
High Yield Multi-Sector Account Portfolio | 1,021,885.544 |
Inflation Protected Bond Fund | 26,660,734.478 |
Inflation Protected Bond Fund—I Class | 23,733,248.618 |
Inflation Protected Bond Fund—Z Class | 7,722.008 |
Institutional Emerging Markets Bond Fund | 56,200,772.168 |
Institutional Emerging Markets Equity Fund | 26,963,849.651 |
Institutional Floating Rate Fund | 421,739,326.381 |
Institutional Floating Rate Fund—F Class | 45,013,095.505 |
Institutional Floating Rate Fund—Z Class | 4,439,667.947 |
Institutional High Yield Fund | 214,762,341.200 |
Institutional High Yield Fund—Z Class | -- |
Institutional International Disciplined Equity Fund | 17,839,960.879 |
Institutional Large-Cap Core Growth Fund | 63,396,856.565 |
Institutional Long Duration Credit Fund | 5,421,915.010 |
Institutional Mid-Cap Equity Growth Fund | 84,314,695.513 |
Institutional Small-Cap Stock Fund | 179,082,426.220 |
Integrated Global Equity Fund | 897,472.943 |
Integrated Global Equity Fund—Advisor Class | 25,000.000 |
Integrated Global Equity Fund—I Class | 933,499.128 |
Integrated U.S. Large-Cap Value Equity Fund | 1,269,963.203 |
Integrated U.S. Large-Cap Value Equity Fund—Advisor Class | 17,483.728 |
Integrated U.S. Large-Cap Value Equity Fund—I Class | 799,256.750 |
Integrated U.S. Small-Cap Growth Equity Fund | 97,659,826.027 |
Integrated U.S. Small-Cap Growth Equity Fund—Advisor Class | 502,175.952 |
Integrated U.S. Small-Cap Growth Equity Fund—I Class | 94,011,082.895 |
Integrated U.S. Small-Mid Cap Core Equity Fund | 7,347,608.469 |
Integrated U.S. Small-Mid Cap Core Equity Fund—Advisor Class | 24,243.556 |
Integrated U.S. Small-Mid Cap Core Equity Fund—I Class | 10,699,867.867 |
Intermediate Tax-Free High Yield Fund | 2,149,088.925 |
Intermediate Tax-Free High Yield Fund—Advisor Class | 0.102 |
Intermediate Tax-Free High Yield Fund—I Class | 6,070,150.928 |
International Bond Fund | 34,543,817.856 |
International Bond Fund—Advisor Class | 449,845.236 |
International Bond Fund—I Class | 60,522,182.397 |
International Bond Fund—Z Class | 41,261,465.194 |
International Bond Fund (USD Hedged) | 9,826,667.574 |
International Bond Fund (USD Hedged)—Advisor Class | 37,723.151 |
41
Fund | Outstanding
Shares |
International Bond Fund (USD Hedged)—I Class | 161,138,965.881 |
International Bond Fund (USD Hedged)—Z Class | 544,924,857.121 |
International Disciplined Equity Fund | 6,546,775.432 |
International Disciplined Equity Fund—Advisor Class | 327,859.186 |
International Disciplined Equity Fund—I Class | 23,518,480.293 |
International Discovery Fund | 48,261,100.607 |
International Discovery Fund—I Class | 58,612,233.481 |
International Discovery Fund—Z Class | 2,225,530.977 |
International Equity ETF | -- |
International Equity Index Fund | 49,648,728.540 |
International Equity Index Fund—Z Class | 4,763,499.337 |
International Stock Fund | 96,505,833.563 |
International Stock Fund—Advisor Class | 760,198.070 |
International Stock Fund—I Class | 203,084,588.567 |
International Stock Fund—R Class | 418,016.424 |
International Stock Fund—Z Class | 498,270,398.092 |
International Stock Portfolio | 16,954,539.176 |
International Value Equity Fund | 26,870,070.258 |
International Value Equity Fund—Advisor Class | 1,900,868.074 |
International Value Equity Fund—I Class | 56,459,523.132 |
International Value Equity Fund—R Class | 2,235,497.335 |
International Value Equity Fund—Z Class | 616,027,386.498 |
Investment-Grade Corporate Multi-Sector Account Portfolio | 6,549,830.242 |
Japan Fund | 20,024,031.065 |
Japan Fund—I Class | 6,399,301.065 |
Japan Fund—Z Class | 6,597,694.522 |
Large-Cap Growth Fund | 4,832,580.783 |
Large-Cap Growth Fund—I Class | 298,699,522.984 |
Large-Cap Value Fund | 4,525,874.965 |
Large-Cap Value Fund—I Class | 144,226,580.047 |
Latin America Fund | 14,884,853.597 |
Latin America Fund—I Class | 4,674,125.905 |
Latin America Fund—Z Class | 843,772.028 |
Limited Duration Inflation Focused Bond Fund | 29,563,589.399 |
Limited Duration Inflation Focused Bond Fund—I Class | 194,613,916.895 |
Limited Duration Inflation Focused Bond Fund—Z Class | 1,297,218,518.772 |
Limited-Term Bond Portfolio | 34,555,096.055 |
Limited-Term Bond Portfolio—II | 3,580,377.389 |
Maryland Short-Term Tax-Free Bond Fund | 12,862,579.172 |
Maryland Short-Term Tax-Free Bond Fund—I Class | 17,827,535.145 |
Maryland Tax-Free Bond Fund | 100,613,986.444 |
Maryland Tax-Free Bond Fund—I Class | 122,750,386.327 |
Maryland Tax-Free Money Fund | 20,745,226.620 |
Maryland Tax-Free Money Fund—I Class | 79,323,979.320 |
Mid-Cap Growth Fund | 129,807,742.178 |
Mid-Cap Growth Fund—Advisor Class | 2,731,454.226 |
Mid-Cap Growth Fund—I Class | 120,452,987.250 |
Mid-Cap Growth Fund—R Class | 366,751.591 |
Mid-Cap Growth Fund—Z Class | 50,427,476.184 |
Mid-Cap Growth Portfolio | 16,150,362.715 |
Mid-Cap Growth Portfolio—II | 2,091,709.195 |
Mid-Cap Index Fund | 12,131.231 |
Mid-Cap Index Fund—I Class | 6,068,569.031 |
42
Fund | Outstanding
Shares |
Mid-Cap Index Fund—Z Class | 1,166,107.529 |
Mid-Cap Value Fund | 140,051,157.006 |
Mid-Cap Value Fund—Advisor Class | 2,442,000.898 |
Mid-Cap Value Fund—I Class | 154,732,986.782 |
Mid-Cap Value Fund—R Class | 4,271,088.251 |
Mid-Cap Value Fund—Z Class | 149,506,368.997 |
Moderate Allocation Portfolio | 8,931,373.834 |
Mortgage-Backed Securities Multi-Sector Account Portfolio | 14,411,122.795 |
Multi-Strategy Total Return Fund | 3,537,726.519 |
Multi-Strategy Total Return Fund—Advisor Class | -- |
Multi-Strategy Total Return Fund—I Class | 32,566,247.465 |
New Asia Fund | 76,909,769.127 |
New Asia Fund—I Class | 87,699,743.333 |
New Asia Fund—Z Class | 11,060,510.632 |
New Era Fund | 33,946,533.015 |
New Era Fund—I Class | 39,628,323.810 |
New Horizons Fund | 202,517,278.811 |
New Horizons Fund—I Class | 229,728,650.877 |
New Horizons Fund—Z Class | 40,791,698.018 |
New Income Fund | 102,386,587.069 |
New Income Fund—Advisor Class | 1,151,423.212 |
New Income Fund—I Class | 325,515,949.072 |
New Income Fund—R Class | 126,230.536 |
New Income Fund—Z Class | 1,485,224,356.263 |
New Jersey Tax-Free Bond Fund | 18,544,465.142 |
New Jersey Tax-Free Bond Fund—I Class | 11,740,011.383 |
New York Tax-Free Bond Fund | 19,764,823.155 |
New York Tax-Free Bond Fund—I Class | 20,850,830.388 |
Overseas Stock Fund | 441,245,987.773 |
Overseas Stock Fund—Advisor Class | 39,251,340.045 |
Overseas Stock Fund—I Class | 448,300,697.474 |
Overseas Stock Fund—Z Class | 877,335,401.153 |
QM U.S. Bond Index ETF | 950,000.000 |
QM U.S. Bond Index Fund | 66,366,584.365 |
QM U.S. Bond Index Fund—I Class | 55,451,870.672 |
QM U.S. Bond Index Fund—Z Class | 4,466,873.149 |
Real Assets Fund | 10,494,230.884 |
Real Assets Fund—I Class | 59,525,898.947 |
Real Assets Fund—Z Class | 422,070,624.337 |
Real Estate Fund | 59,348,613.114 |
Real Estate Fund—Advisor Class | 1,206,967.916 |
Real Estate Fund—I Class | 28,850,116.990 |
Retirement 2005 Fund | 80,085,985.904 |
Retirement 2005 Fund—Advisor Class | 2,874,552.544 |
Retirement 2005 Fund—R Class | 3,201,912.907 |
Retirement 2010 Fund | 176,357,714.396 |
Retirement 2010 Fund—Advisor Class | 10,649,382.796 |
Retirement 2010 Fund—R Class | 6,562,540.444 |
Retirement 2015 Fund | 323,535,044.204 |
Retirement 2015 Fund—Advisor Class | 14,963,747.534 |
Retirement 2015 Fund—R Class | 11,552,749.906 |
Retirement 2020 Fund | 523,360,830.457 |
Retirement 2020 Fund—Advisor Class | 45,280,342.291 |
43
Fund | Outstanding
Shares |
Retirement 2020 Fund—R Class | 38,103,704.986 |
Retirement 2025 Fund | 673,604,282.430 |
Retirement 2025 Fund—Advisor Class | 55,016,533.555 |
Retirement 2025 Fund—R Class | 53,673,292.193 |
Retirement 2030 Fund | 582,008,439.531 |
Retirement 2030 Fund—Advisor Class | 68,953,377.948 |
Retirement 2030 Fund—R Class | 63,701,771.975 |
Retirement 2035 Fund | 498,355,121.071 |
Retirement 2035 Fund—Advisor Class | 48,621,459.350 |
Retirement 2035 Fund—R Class | 53,003,224.189 |
Retirement 2040 Fund | 368,875,097.906 |
Retirement 2040 Fund—Advisor Class | 48,654,815.364 |
Retirement 2040 Fund—R Class | 46,466,099.092 |
Retirement 2045 Fund | 320,876,589.946 |
Retirement 2045 Fund—Advisor Class | 36,650,979.562 |
Retirement 2045 Fund—R Class | 39,304,794.754 |
Retirement 2050 Fund | 309,343,632.369 |
Retirement 2050 Fund—Advisor Class | 54,045,748.110 |
Retirement 2050 Fund—R Class | 52,736,241.531 |
Retirement 2055 Fund | 184,216,453.821 |
Retirement 2055 Fund—Advisor Class | 28,120,583.470 |
Retirement 2055 Fund—R Class | 29,762,648,664 |
Retirement 2060 Fund | 89,963,507.898 |
Retirement 2060 Fund—Advisor Class | 14,453,214.851 |
Retirement 2060 Fund—R Class | 13,952,460.405 |
Retirement 2065 Fund | 12,435,047.665 |
Retirement 2065 Fund—Advisor Class | 665,809.713 |
Retirement 2065 Fund—R Class | 400,411.149 |
Retirement Balanced Fund | 118,592,677.329 |
Retirement Balanced Fund—Advisor Class | 6,691,194.860 |
Retirement Balanced Fund—R Class | 9,512,911.357 |
Retirement Blend 2005 Fund | 205,668.560 |
Retirement Blend 2005 Fund—I Class | 729,635.642 |
Retirement Blend 2010 Fund | 373,095.599 |
Retirement Blend 2010 Fund—I Class | 358,434.445 |
Retirement Blend 2015 Fund | 675,402.639 |
Retirement Blend 2015 Fund—I Class | 1,289,685.022 |
Retirement Blend 2020 Fund | 2,645,363.033 |
Retirement Blend 2020 Fund—I Class | 4,536,850.497 |
Retirement Blend 2025 Fund | 5,007,086.612 |
Retirement Blend 2025 Fund—I Class | 5,578,998.509 |
Retirement Blend 2030 Fund | 4,791,589.198 |
Retirement Blend 2030 Fund—I Class | 5,760,326.974 |
Retirement Blend 2035 Fund | 4,880,247.980 |
Retirement Blend 2035 Fund—I Class | 5,734,215.533 |
Retirement Blend 2040 Fund | 4,955,678.413 |
Retirement Blend 2040 Fund—I Class | 4,454,451.979 |
Retirement Blend 2045 Fund | 3,589,464.233 |
Retirement Blend 2045 Fund—I Class | 3,620,599.416 |
Retirement Blend 2050 Fund | 2,580,719.577 |
Retirement Blend 2050 Fund—I Class | 3,398,895.070 |
Retirement Blend 2055 Fund | 1,381,824.444 |
Retirement Blend 2055 Fund—I Class | 1,627,848.803 |
44
Fund | Outstanding
Shares |
Retirement Blend 2060 Fund | 557,359.552 |
Retirement Blend 2060 Fund—I Class | 921,442.023 |
Retirement Blend 2065 Fund | 275,056.614 |
Retirement Blend 2065 Fund—I Class | 624,378.033 |
Retirement I 2005 Fund—I Class | 26,798,469.094 |
Retirement I 2010 Fund—I Class | 77,577,538.317 |
Retirement I 2015 Fund—I Class | 134,171,028.706 |
Retirement I 2020 Fund—I Class | 424,227,148.197 |
Retirement I 2025 Fund—I Class | 586,504,501.010 |
Retirement I 2030 Fund—I Class | 778,489,266.051 |
Retirement I 2035 Fund—I Class | 563,426,181.679 |
Retirement I 2040 Fund—I Class | 601,546,796.112 |
Retirement I 2045 Fund—I Class | 427,545,440.702 |
Retirement I 2050 Fund—I Class | 411,736,001.060 |
Retirement I 2055 Fund—I Class | 245,258,145.961 |
Retirement I 2060 Fund—I Class | 120,012,732.131 |
Retirement I 2065 Fund—I Class | 17,132,499.881 |
Retirement Balanced I Fund—I Class | 49,016,470.294 |
Retirement Income 2020 Fund | 15,153,774.177 |
Science & Technology Fund | 121,412,828.019 |
Science & Technology Fund—Advisor Class | 1,412,896.123 |
Science & Technology Fund—I Class | 68,364,231.324 |
Short Duration Income Fund | 3,152,192.212 |
Short Duration Income Fund—I Class | 1,866,369.564 |
Short-Term Fund | -- |
Short-Term Bond Fund | 346,120,696.990 |
Short-Term Bond Fund—Advisor Class | 1,681,632.314 |
Short-Term Bond Fund—I Class | 664,836,761.210 |
Short-Term Bond Fund—Z Class | 33,436,790.367 |
Short-Term Government Fund | -- |
Small-Cap Index Fund | 12,322.640 |
Small-Cap Index Fund—I Class | 6,888,729.172 |
Small-Cap Index Fund—Z Class | 1,327,372.572 |
Small-Cap Stock Fund | 45,958,563.471 |
Small-Cap Stock Fund—Advisor Class | 1,090,836.111 |
Small-Cap Stock Fund—I Class | 60,595,376.745 |
Small-Cap Stock Fund—Z Class | 57,894,074.914 |
Small-Cap Value Fund | 93,937,811.719 |
Small-Cap Value Fund—Advisor Class | 1,590,735.720 |
Small-Cap Value Fund—I Class | 60,520,491.984 |
Small-Cap Value Fund—Z Class | 56,856,800.727 |
Small-Mid Cap ETF | -- |
Spectrum Conservative Allocation Fund | 59,439,204.767 |
Spectrum Conservative Allocation Fund—I Class | 55,426,180.297 |
Spectrum Diversified Equity Fund | 89,805,328.129 |
Spectrum Diversified Equity Fund—I Class | 76,285,037.767 |
Spectrum Income Fund | 178,067,856.055 |
Spectrum Income Fund—I Class | 360,338,381.422 |
Spectrum International Equity Fund | 50,097,549.555 |
Spectrum International Equity Fund—I Class | 63,917,240.219 |
Spectrum Moderate Allocation Fund | 51,044,066.591 |
Spectrum Moderate Allocation Fund—I Class | 46,224,247.254 |
Spectrum Moderate Growth Allocation Fund | 41,183,438.910 |
45
Fund | Outstanding
Shares |
Spectrum Moderate Growth Allocation Fund—I Class | 49,969,891.557 |
Summit Municipal Income Fund | 87,630,601.634 |
Summit Municipal Income Fund—Advisor Class | 36,097.747 |
Summit Municipal Income Fund—I Class | 114,948,246.330 |
Summit Municipal Intermediate Fund | 201,147,497.558 |
Summit Municipal Intermediate Fund—Advisor Class | 437,767.931 |
Summit Municipal Intermediate Fund—I Class | 287,392,714.452 |
Target 2005 Fund | 2,025,280.125 |
Target 2005 Fund—Advisor Class | 13,152.205 |
Target 2005 Fund—I Class | 2,684,039.770 |
Target 2010 Fund | 3,181,698.579 |
Target 2010 Fund—Advisor Class | 36,678.685 |
Target 2010 Fund—I Class | 3,433,335.126 |
Target 2015 Fund | 6,968,421.842 |
Target 2015 Fund—Advisor Class | 126,521.727 |
Target 2015 Fund—I Class | 8,631,720.910 |
Target 2020 Fund | 11,864,543.934 |
Target 2020 Fund—Advisor Class | 575,501.801 |
Target 2020 Fund—I Class | 14,799,426.797 |
Target 2025 Fund | 14,384,004.551 |
Target 2025 Fund—Advisor Class | 478,271.156 |
Target 2025 Fund—I Class | 24,134,521.757 |
Target 2030 Fund | 14,877,192.269 |
Target 2030 Fund—Advisor Class | 500,516.983 |
Target 2030 Fund—I Class | 26,072,929.457 |
Target 2035 Fund | 11,453,252.375 |
Target 2035 Fund—Advisor Class | 213,730.790 |
Target 2035 Fund—I Class | 21,455,782.438 |
Target 2040 Fund | 10,840,831.851 |
Target 2040 Fund—Advisor Class | 378,001.191 |
Target 2040 Fund—I Class | 15,954,376.663 |
Target 2045 Fund | 6,696,285.691 |
Target 2045 Fund—Advisor Class | 407,767.677 |
Target 2045 Fund—I Class | 17,003,634.378 |
Target 2050 Fund | 7,035,220.474 |
Target 2050 Fund—Advisor Class | 321,350.180 |
Target 2050 Fund—I Class | 10,900,355.296 |
Target 2055 Fund | 4,384,155.079 |
Target 2055 Fund—Advisor Class | 273,213.940 |
Target 2055 Fund—I Class | 8,470,862.596 |
Target 2060 Fund | 3,857,246.002 |
Target 2060 Fund—Advisor Class | 209,758.543 |
Target 2060 Fund—I Class | 3,860,564.541 |
Target 2065 Fund | 443,376.768 |
Target 2065 Fund—Advisor Class | 11,803.895 |
Target 2065 Fund—I Class | 887,388.325 |
Tax-Efficient Equity Fund | 5,615,605.966 |
Tax-Efficient Equity Fund—I Class | 10,275,297.407 |
Tax-Exempt Money Fund | 176,843,511.768 |
Tax-Exempt Money Fund—I Class | 486,463,609.516 |
Tax-Free High Yield Fund | 183,599,117.320 |
Tax-Free High Yield Fund—Advisor Class | 495,297.848 |
Tax-Free High Yield Fund—I Class | 169,031,070.446 |
46
Fund | Outstanding
Shares |
Tax-Free Income Fund | 88,412,144.154 |
Tax-Free Income Fund—Advisor Class | 4,995,940.454 |
Tax-Free Income Fund—I Class | 156,855,854.218 |
Tax-Free Short-Intermediate Fund | 158,373,193.572 |
Tax-Free Short-Intermediate Fund—Advisor Class | 493,873.020 |
Tax-Free Short-Intermediate Fund—I Class | 170,648,535.922 |
Total Equity Market Index Fund | 44,793,942.347 |
Total Return ETF | 625,000.000 |
Total Return Fund | 10,158,746.156 |
Total Return Fund—Advisor Class | 98,094.073 |
Total Return Fund—I Class | 67,419,978.241 |
Transition Fund | 212,275.512 |
Treasury Reserve Fund | 2,962,906,209.070 |
U.S. Equity Research ETF | 1,015,000.000 |
U.S. Equity Research Fund | 82,243,097.075 |
U.S. Equity Research Fund—Advisor Class | 981,848.262 |
U.S. Equity Research Fund—I Class | 105,337,568.715 |
U.S. Equity Research Fund—R Class | 2,234,740.687 |
U.S. Equity Research Fund—Z Class | 109,710,487.598 |
U.S. High Yield ETF | 425,000.000 |
U.S. High Yield Fund | 27,170,028.724 |
U.S. High Yield Fund—Advisor Class | 626,144.454 |
U.S. High Yield Fund—I Class | 23,733,485.489 |
U.S. Large-Cap Core Fund | 51,229,943.214 |
U.S. Large-Cap Core Fund—Advisor Class | 342,697.093 |
U.S. Large-Cap Core Fund—I Class | 46,306,348.498 |
U.S. Large-Cap Core Fund—Z Class | 224,055,315.160 |
U.S. Limited Duration TIPS Index Fund | 1,703,626.627 |
U.S. Limited Duration TIPS Index Fund—I Class | 160,269,383.965 |
U.S. Limited Duration TIPS Index Fund—Z Class | 2,179,858.287 |
U.S. Treasury Intermediate Index Fund | 135,156,452.049 |
U.S. Treasury Intermediate Index Fund—I Class | 27,801,331.053 |
U.S. Treasury Intermediate Index Fund—Z Class | 91,375.825 |
U.S. Treasury Long-Term Index Fund | 27,002,867.750 |
U.S. Treasury Long-Term Index Fund—I Class | 40,538,110.894 |
U.S. Treasury Long-Term Index Fund—Z Class | 491,847,139.904 |
U.S. Treasury Money Fund | 5,145,222,563.887 |
U.S. Treasury Money Fund—I Class | 3,639,019,616.261 |
U.S. Treasury Money Fund—Z Class | 4,719,972,723.100 |
Ultra Short-Term Bond ETF | 1,100,000.000 |
Ultra Short-Term Bond Fund | 314,003,447.463 |
Ultra Short-Term Bond Fund—I Class | 193,632,566.520 |
Ultra Short-Term Bond Fund—Z Class | 19,607.843 |
Value ETF | -- |
Value Fund | 91,338,964.594 |
Value Fund—Advisor Class | 5,950,225.632 |
Value Fund—I Class | 108,627,377.310 |
Value Fund—Z Class | 504,154,958.959 |
Virginia Tax-Free Bond Fund | 61,843,138.235 |
Virginia Tax-Free Bond Fund—I Class | 53,665,977.141 |
47
Who are the principal holders of the Funds’ shares?
The following table, entitled “Principal Holders of Fund Shares,” provides the shareholders of record that owned more than 5% of the indicated Funds and/or classes, as of March 31, 2023.
Principal Holders of Fund Shares
FUND/CLASS | SHAREHOLDER | #
OF | % OWNERSHIP | |
AFRICA & MIDDLE EAST | CHARLES SCHWAB & CO INC | 378,511.07 | 5.63 | |
FUND | REINVEST ACCOUNT | |||
ATTN MUTUAL FUND DEPT | ||||
| SAN FRANCISCO CA 94105-1905 | |||
| NATIONAL FINANCIAL SERVICES | 463,313.51 | 6.89 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| JERSEY CITY NJ 07310-2010 | |||
AFRICA & MIDDLE EAST | T ROWE PRICE RPS INC | 571,250.07 | 19.42 | |
FUND—I CLASS | FBO TRP PLAN | |||
| TRP AFRICA & MIDDLE EAST I | |||
| BALTIMORE MD 21297-1215 | |||
| TD AMERITRADE INC FBO | 171,598.11 | 5.83 | |
| OUR CUSTOMERS | |||
| OMAHA NE 68103-2226 | |||
AFRICA & MIDDLE EAST | SPECTRUM INTERNATIONAL EQUITY | 793,236.24 | 100.00(a) | |
FUND—Z CLASS | FUND | |||
ATTN FUND ACCOUNTING DEPT | ||||
T ROWE PRICE ASSOCIATES |
| |||
| BALTIMORE MD 21202-1009 |
| ||
ALL-CAP OPPORTUNITIES | CHARLES SCHWAB & CO INC | 11,195,275.46 | 12.64 | |
FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 17,368,098.91 | 19.60 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
ALL-CAP OPPORTUNITIES | CHARLES SCHWAB & CO INC | 384,139.10 | 13.82 | |
FUND—ADVISOR CLASS | REINVEST ACCOUNT |
| ||
| EMPOWER TRUST COMPANY LLC | 145,306.02 | 5.23 | |
| VARIOUS FASCORE LLC RECORDKEPT |
| ||
| C/O FASCORE LLC |
| ||
| GREENWOOD VLG CO 80111-5002 |
| ||
| EMPOWER TRUST FBO | 615,252.54 | 22.14 | |
| FBO: SANTA BARBARA COUNTY DCP |
| ||
| GREENWOOD VLG CO 80111-5002 |
| ||
| NATIONAL FINANCIAL SERVICES | 237,308.55 | 8.54 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
ALL-CAP OPPORTUNITIES | CHARLES SCHWAB & CO INC | 8,047,359.38 | 13.01 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 11,789,817.69 | 19.06 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
48
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
ALL-CAP OPPORTUNITIES | MODERN WOODMEN OF AMERICA | 1,882,705.49 | 15.39 | |
PORTFOLIO | TOPEKA KS 66636-0001 |
| ||
| NATIONWIDE INSURANCE COMPANY | 1,855,482.40 | 15.16 | |
| C/O IPO PORTFOLIO ACCOUNTING |
| ||
COLUMBUS OH 43218-2029 | ||||
| NATIONWIDE LIFE INSURANCE COMPANY | 3,114,441.34 | 25.45(d) | |
COLUMBUS OH 43218-2029 | ||||
| PARAGON LIFE INSURANCE CO | 732,972.25 | 5.99 | |
SAINT LOUIS MO 63128-3499 | ||||
| SECURITY BENEFIT LIFE INS CO | 1,676,147.52 | 13.70 | |
FBO T ROWE PRICE NO LOAD V A | ||||
| ATTN MARK YOUNG |
| ||
| TOPEKA KS 66636-0001 |
| ||
ASIA OPPORTUNITIES | CHARLES SCHWAB & CO INC | 307,399.54 | 7.38 | |
FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 615,885.79 | 14.79 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 248,063.50 | 5.96 | |
| JERSEY CITY NJ 07399-0002 |
| ||
ASIA OPPORTUNITIES | NATIONAL FINANCIAL SERVICES | 2,342.06 | 49.95(b) | |
FUND—ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 857.134 | 18.28 | |
| VANTAGEPOINT ROTH IRA | 237.496 | 5.06 | |
| C/O MISSIONSQUARE RETIREMENT |
| ||
| WASHINGTON DC 20002-4239 |
| ||
| WELLS FARGO CLEARING SERVICES LLC | 908.065 | 19.37 | |
| SPECIAL CUSTODY ACCT FOR THE |
| ||
| EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
| SAINT LOUIS MO 63103-2523 |
| ||
ASIA OPPORTUNITIES | CHARLES SCHWAB & CO INC | 906,469.77 | 25.23(b) | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 321,381.36 | 8.94 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE ASSOCIATES | 477,067.73 | 13.28 | |
| ATTN FINANCIAL REPORTING DEPT |
| ||
| BALTIMORE MD 21202-1009 |
| ||
BALANCED FUND | NATIONAL FINANCIAL SERVICES | 8,362,455.32 | 8.19 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE TRUST CO INC | 19,973,899.01 | 19.56 | |
| ATTN TRPS INST CONTROL DEPT |
| ||
| BALTIMORE MD 21297-1215 |
| ||
BALANCED FUND—I CLASS | CHARLES SCHWAB & CO INC | 7,906,231.76 | 10.62 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 3,945,849.98 | 5.30 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
49
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
BLUE CHIP GROWTH ETF | CHARLES SCHWAB & CO INC | 2,605,399 | 18.91 | |
| NATIONAL FINANCIAL SERVICES LLC | 1,742,470 | 12.65 | |
| PERSHING LLC | 2,409,154 | 17.49 | |
| RELIANCE TRUST COMPANY | 934,003 | 6.78 | |
ATLANTA, GA 30328 | ||||
| TD AMERITRADE CLEARING, INC. | 2,808,577 | 20.39 | |
OMAHA, NE 68154-2631 | ||||
BLUE CHIP GROWTH FUND | CHARLES SCHWAB & CO INC | 16,103,285.73 | 7.39 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 33,043,695.41 | 15.17 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 11,666,660.87 | 5.35 | |
| WELLS FARGO CLEARING SERVICES LLC | 31,881,816.10 | 14.63 | |
| SPECIAL CUSTODY ACCT FOR THE |
| ||
| EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
BLUE CHIP GROWTH | EMPOWER TRUST FBO | 655,482.33 | 5.55 | |
FUND—ADVISOR CLASS | GREAT WEST IRA ADVANTAGE |
| ||
| EMPOWER TRUST FBO | 758,637.19 | 6.42 | |
| EMPLOYEE BENEFITS CLIENTS 401K |
| ||
| NATIONAL FINANCIAL SERVICES | 2,554,759.12 | 21.63 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
BLUE CHIP GROWTH | CHARLES SCHWAB & CO INC | 15,057,992.80 | 7.53 | |
FUND—I CLASS | EDWARD D JONES & CO | 21,778,011.51 | 10.89 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| SAINT LOUIS MO 63131-3729 |
| ||
| NATIONAL FINANCIAL SERVICES | 29,828,220.10 | 14.92 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
BLUE CHIP GROWTH | DCGT AS TTEE AND/OR CUST | 381,363.94 | 6.13 | |
FUND—R CLASS | ATTN NPIO TRADE DESK |
| ||
| FBO PLIC VARIOUS RETIREMENT PLANS |
| ||
| DES MOINES IA 50392-0001 |
| ||
| NATIONWIDE LIFE INSURANCE COMPANY | 372,256.08 | 5.98 | |
| NATIONWIDE LIFE INSURANCE COMPANY | 557,401.02 | 8.96 | |
| SAMMONS FINANCIAL NETWORK LLC | 1,558,298.45 | 25.05(b) | |
| WEST DES MOINES IA 50266-5911 |
| ||
| STATE STREET BANK AND TRUST AS | 896,381.43 | 14.41 | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
| BOSTON MA 02111-2901 |
| ||
BLUE CHIP GROWTH | SPECTRUM DIVERSIFIED EQUITY | 3,044,533.34 | 100.00(a) | |
FUND—Z CLASS | T. ROWE PRICE ASSOCIATES |
|
50
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
BLUE CHIP GROWTH | EMPOWER ANNUITY INSURANCE | 2,762,898.14 | 8.61 | |
PORTFOLIO | COMPANY OF AMERICA |
| ||
CLIENT PLANS | ||||
GREAT-WEST LIFE & ANNUITY INS CO | ||||
ENGLEWOOD CO 80111-5002 | ||||
| MID ATLANTIC TRUST COMPANY FBO | 3,778,292.76 | 11.77 | |
MUTUAL OF AMERICA SEPARATE |
| |||
ACCT#1 | ||||
PITTSBURGH PA 15222-4228 | ||||
| MID ATLANTIC TRUST COMPANY FBO | 8,083,296.76 | 25.18(d) | |
| MUTUAL OF AMERICA SEPARATE |
| ||
ACCT#2 | ||||
| NATIONWIDE INSURANCE COMPANY | 2,769,190.56 | 8.63 | |
| NATIONWIDE LIFE INSURANCE COMPANY | 3,794,908.07 | 11.82 | |
| NYLIAC | 3,056,822.89 | 9.52 | |
ATTN ASHESH UPADHYAY |
| |||
NYLIM CENTER | ||||
| JERSEY CITY NJ 07302-4600 |
| ||
BLUE CHIP GROWTH | AMERITAS LIFE INSURANCE CORP | 1,361,377.37 | 9.14 | |
PORTFOLIO—II | AMERITAS VARIABLE SEP ACCT VA |
| ||
| ATTN VARIABLE TRADES |
| ||
LINCOLN NE 68510-2234 | ||||
| JEFFERSON NATIONAL LIFE INS CO | 1,989,868.16 | 13.35 | |
LOUISVILLE KY 40223-6178 |
| |||
| MIDLAND NATIONAL LIFE INSURANCE CO | 1,603,596.09 | 10.76 | |
| WEST DES MOINES IA 50266-1036 |
| ||
| NATIONWIDE LIFE INSURANCE COMPANY | 1,483,094.62 | 9.95 | |
| PACIFIC SELECT EXEC | 3,996,414.03 | 26.82(d) | |
SEPARATE ACCOUNT OF PACIFIC LIFE |
| |||
ATTN VARIABLE PRODUCTS ACCOUNTING | ||||
| NEWPORT BEACH CA 92660-6307 |
| ||
CALIFORNIA TAX-FREE | CHARLES SCHWAB & CO INC | 3,580,057.34 | 10.71 | |
BOND FUND | REINVEST ACCOUNT |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 1,806,743.51 | 5.40 | |
| ITS CUSTOMERS |
| ||
| JACKSONVILLE FL 32246-6484 |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 2,269,304.62 | 6.79 | |
| FOR THE EXCLSIVE BENE OF ITS CUST |
| ||
| NEW YORK NY 10004-1932 |
| ||
| NATIONAL FINANCIAL SERVICES | 12,323,398.65 | 36.86(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
CALIFORNIA TAX-FREE | CHARLES SCHWAB & CO INC | 3,348,130.25 | 11.27 | |
BOND FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
CAPITAL APPRECIATION | CHARLES SCHWAB & CO INC | 61,771,470.84 | 7.07 | |
FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 156,149,577.20 | 17.87 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| ATTN MUTUAL FUND TRADING |
| ||
| SAN DIEGO CA 92121-3091 |
| ||
| NATIONAL FINANCIAL SERVICES | 137,231,057.44 | 15.71 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 59,387,743.35 | 6.80 | |
| TD AMERITRADE INC FBO | 53,900,199.02 | 6.17 | |
| OUR CUSTOMERS |
|
51
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
CAPITAL APPRECIATION | CHARLES SCHWAB & CO INC | 2,732,347.98 | 12.38 | |
FUND—ADVISOR CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 2,044,397.35 | 9.26 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| UMB BANK N/A | 7,058,782.26 | 31.97(b) | |
| FBO FIDUCIARY FOR TAX DEFERRED |
| ||
| ACCOUNTS |
| ||
| TOPEKA KS 66636-0001 |
| ||
CAPITAL APPRECIATION | CHARLES SCHWAB & CO INC | 108,483,246.06 | 17.04 | |
FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 97,236,205.51 | 15.27 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 44,349,194.76 | 6.97 | |
| OUR CUSTOMERS |
| ||
CHINA EVOLUTION EQUITY | CHARLES SCHWAB & CO INC | 155,662.36 | 7.25 | |
FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 117,570.35 | 5.47 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| WENLI ZHENG | 142,279.47 | 6.62 | |
CHINA EVOLUTION EQUITY | CHARLES SCHWAB & CO INC | 548,176.18 | 17.15 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| T ROWE PRICE ASSOCIATES | 597,924.27 | 18.70 | |
| T ROWE PRICE RPS INC | 428,596.46 | 13.41 | |
| FBO TRP PLAN |
| ||
| TRP CHINA EVOLUTION EQUITY I |
| ||
| WENLI ZHENG | 263,051.35 | 8.23 | |
COMMUNICATIONS & | CHARLES SCHWAB & CO INC | 2,242,836.17 | 5.83 | |
TECHNOLOGY FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 2,329,389.84 | 6.06 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 5,174,167.25 | 13.46 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE TRUST CO INC | 2,189,303.11 | 5.69 | |
| MEDIA & TELECOMMUNICATION FUND |
| ||
CORPORATE INCOME | T ROWE PRICE RPS INC | 1,108,372.28 | 5.96 | |
FUND—I CLASS | FBO TRP PLAN |
| ||
| T ROWE PRICE CORP INCOME I |
| ||
CORPORATE INCOME | SPECTRUM INCOME FUND | 32,829,052.95 | 100.00(a) | |
FUND—Z CLASS | T. ROWE PRICE ASSOCIATES |
| ||
CREDIT OPPORTUNITIES | CHARLES SCHWAB & CO INC | 1,440,200.47 | 25.25(b) | |
FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 528,256.35 | 9.26 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 473,098.16 | 8.29 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
CREDIT OPPORTUNITIES | CHARLES SCHWAB & CO INC | 3,576.93 | 31.02(b) | |
FUND—ADVISOR CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| PERSHING LLC | 7,565.41 | 65.60(b) | |
CREDIT OPPORTUNITIES | CHARLES SCHWAB & CO INC | 1,733,766.37 | 20.65 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| T ROWE PRICE ASSOCIATES | 2,484,688.89 | 29.59(c) |
52
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
DIVERSIFIED MID-CAP | LPL FINANCIAL | 1,512,800.25 | 6.06 | |
GROWTH FUND | OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 3,490,463.68 | 13.99 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 1,408,538.96 | 5.65 | |
DIVERSIFIED MID-CAP | NATIONAL FINANCIAL SERVICES | 3,114,456.86 | 12.76 | |
GROWTH FUND—I CLASS | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PIMS/PRUDENTIAL RETIREMENT | 2,984,517.57 | 12.22 | |
| AS NOMINEE FOR THE TTEE/CUST PL |
| ||
| STATE OF CONNECTICUT DEFERRED |
| ||
| HARTFORD CT 06106-1659 |
| ||
DIVIDEND GROWTH ETF | CITIGROUP GLOBAL MARKETS INC. | 600,000 | 6.27 | |
NEW YORK, NY 10013 | ||||
| CHARLES SCHWAB & CO INC | 1,408,033 | 14.72 | |
| NATIONAL FINANCIAL SERVICES LLC | 2,200,654 | 23.01 | |
| PERSHING LLC | 1,444,611 | 15.10 | |
| TD AMERITRADE CLEARING, INC. | 2,427,226 | 25.38(f) | |
DIVIDEND GROWTH FUND | CHARLES SCHWAB & CO INC | 17,389,099.39 | 9.97 | |
| REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 21,955,087.46 | 12.59 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 12,940,646.44 | 7.42 | |
| ITS CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 35,198,856.86 | 20.19 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 10,051,502.04 | 5.76 | |
DIVIDEND GROWTH | EMPOWER TRUST FBO | 462,466.95 | 8.20 | |
FUND—ADVISOR CLASS | GREAT WEST IRA ADVANTAGE |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 289,870.11 | 5.14 | |
| ITS CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 2,552,445.28 | 45.24(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
DIVIDEND GROWTH | CHARLES SCHWAB & CO INC | 12,455,987.43 | 8.87 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| EDWARD D JONES & CO | 32,693,902.48 | 23.27 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 22,562,554.68 | 16.06 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
DIVIDEND GROWTH | SPECTRUM DIVERSIFIED EQUITY | 6,736,996.90 | 100.00(a) | |
FUND—Z CLASS | T. ROWE PRICE ASSOCIATES |
| ||
DYNAMIC CREDIT FUND | NATIONAL FINANCIAL SERVICES | 317,995.05 | 9.31 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE ASSOCIATES | 2,475,000.00 | 72.44(c) | |
DYNAMIC CREDIT | ANDREW C MC CORMICK | 61,150.65 | 10.70 | |
FUND—I CLASS | LYN R. MC CORMICK JT TEN |
| ||
| JOHN D BESSON T O D | 58,609.24 | 10.25 | |
| T ROWE PRICE RPS INC | 125,538.81 | 21.96 | |
| FBO TRP PLAN |
| ||
| TRP DYNAMIC CRED I CL |
|
53
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
DYNAMIC GLOBAL BOND | CHARLES SCHWAB & CO INC | 5,411,039.65 | 8.33 | |
FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 10,023,491.66 | 15.44 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 26,702,272.90 | 41.13(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 4,642,010.35 | 7.15 | |
| RAYMOND JAMES | 5,863,293.84 | 9.03 | |
| OMNIBUS FOR MUTUAL FUNDS |
| ||
| ATTN COURTNEY WALLER |
| ||
DYNAMIC GLOBAL BOND | CHARLES SCHWAB & CO INC | 13,927.06 | 19.95 | |
FUND—ADVISOR CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 21,067.26 | 30.17(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 16,348.14 | 23.42 | |
| T ROWE PRICE ASSOCIATES | 10,730.00 | 15.37 | |
DYNAMIC GLOBAL BOND | CHARLES SCHWAB & CO INC | 15,238,083.54 | 18.24 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| LADYBIRD & CO | 14,368,173.45 | 17.20 | |
| C/O T ROWE PRICE ASSOC |
| ||
| BALTIMORE MD 21202-1009 |
| ||
| LADYBUG & CO | 7,325,413.21 | 8.77 | |
| C/O T ROWE PRICE ASSOC |
| ||
| BALTIMORE MD 21202-1009 |
| ||
| MAC & CO | 5,699,199.39 | 6.82 | |
| ATTN MUTUAL FUND OPERATIONS |
| ||
| PITTSBURGH PA 15219-2502 |
| ||
| PERSHING LLC | 6,899,735.96 | 8.26 | |
DYNAMIC GLOBAL BOND | RETIREMENT I 2020 FUND | 21,316,264.39 | 5.71 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2025 FUND | 28,395,481.10 | 7.60 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2030 FUND | 31,175,962.15 | 8.35 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2020 | 43,559,968.44 | 11.66 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 43,663,440.92 | 11.69 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 47,643,565.49 | 12.75 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 20,751,273.30 | 5.55 | |
| T ROWE PRICE ASSOCIATES |
| ||
| SPECTRUM INCOME FUND | 29,245,242.76 | 7.83 | |
| T. ROWE PRICE ASSOCIATES |
| ||
EMERGING EUROPE FUND | NATIONAL FINANCIAL SERVICES | 683,973.33 | 6.83 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 618,246.05 | 6.17 | |
| T ROWE PRICE RPS INC | 519,726.74 | 5.19 | |
| OMNIBUS PLAN |
| ||
| NEW BUSINESS-CONV ASSTS |
|
54
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
EMERGING EUROPE | CHRISTOPHER HADDAD | 152,201.33 | 9.61 | |
FUND—I CLASS | LYNN HADDAD JT TEN |
| ||
| KATHRYN A FOLEY T O D | 105,630.12 | 6.67 | |
| KEVIN M STEPHENSON | 88,346.77 | 5.58 | |
| KAREN S STEPHENSON JT TEN |
| ||
| T ROWE PRICE RPS INC | 257,378.87 | 16.24 | |
| FBO TRP PLAN |
| ||
| TRP EMERGING EUROPE I |
| ||
| T ROWE PRICE TRUST CO | 89,494.54 | 5.65 | |
| CUST FOR THE ROLLOVER IRA OF |
| ||
| DAVY SHIAN |
| ||
EMERGING EUROPE | SPECTRUM INTERNATIONAL EQUITY | 776,838.91 | 100.00(a) | |
FUND—Z CLASS | FUND | |||
T ROWE PRICE ASSOCIATES |
| |||
EMERGING MARKETS | NATIONAL FINANCIAL SERVICES | 22,109,318.94 | 33.20(b) | |
BOND FUND | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 5,210.29 | 41.33(b) | |
BOND FUND— | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
ADVISOR CLASS | MATRIX TRUST COMPANY CUST FBO | 4,031.81 | 31.98(b) | |
| MODERN FOUNDATIONS, INC 401(K) PSP |
| ||
| DENVER CO 80202-3304 |
| ||
| MID ATLANTIC TRUST COMPANY FBO | 2,905.28 | 23.05 | |
| CFD LEASING, INC 401(K) PLAN |
| ||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 3,542,265.64 | 6.84 | |
BOND FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| CHARLES SCHWAB & CO INC | 4,309,243.62 | 8.32 | |
| REINVEST ACCOUNT |
| ||
| EDWARD D JONES & CO | 14,086,081.06 | 27.20(b) | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
EMERGING MARKETS | RETIREMENT I 2020 FUND | 21,441,018.49 | 6.23 | |
BOND FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2025 FUND | 25,598,667.34 | 7.43 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2030 FUND | 23,520,082.18 | 6.83 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2015 | 17,730,863.02 | 5.15 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2020 | 43,571,832.83 | 12.65 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 39,578,971.47 | 11.49 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 35,741,134.99 | 10.38 | |
| T ROWE PRICE ASSOCIATES |
| ||
| SPECTRUM INCOME FUND | 59,786,842.33 | 17.36 | |
| T. ROWE PRICE ASSOCIATES |
| ||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 2,746,495.79 | 25.65(b) | |
CORPORATE BOND FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 1,130,579.66 | 10.56 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 4,455,855.13 | 41.61(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
55
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 6,498.15 | 41.51(b) | |
CORPORATE BOND | REINVEST ACCOUNT |
| ||
FUND—ADVISOR CLASS | LPL FINANCIAL | 3,076.37 | 19.65 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 2,118.44 | 13.53 | |
| ITS CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 3,790.86 | 24.22 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 26,901,526.38 | 82.92(b) | |
CORPORATE BOND | REINVEST ACCOUNT |
| ||
FUND—I CLASS |
| |||
EMERGING MARKETS | BALTIMORE EQUITABLE SOCIETY | 63,971.94 | 13.59 | |
CORPORATE MULTI- | ATTN MARY HARLEE |
| ||
SECTOR ACCOUNT | BALTIMORE MD 21201-3808 |
| ||
PORTFOLIO | GENERAL DYNAMICS CORP 401K | 320,537.30 | 68.11(b) | |
| PLAN MASTER TRUST CP |
| ||
| FALLS CHURCH VA 22042-4541 |
| ||
| ILLINOIS STUDENT ASSISTANCE | 86,122.67 | 18.30 | |
| COMMISSION |
| ||
| ATTN ROGER ROJAS |
| ||
| DEERFIELD IL 60015-5209 |
| ||
EMERGING MARKETS | LPL FINANCIAL | 494,868.72 | 8.48 | |
DISCOVERY STOCK FUND | OMNIBUS CUSTOMER ACCOUNT |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 465,924.29 | 7.99 | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 607,310.67 | 10.41 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| VANGUARD BROKERAGE SERVICES | 631,378.96 | 10.83 | |
| VALLEY FORGE PA 19482-1170 |
| ||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 778.738 | 16.43 | |
DISCOVERY STOCK | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
FUND—ADVISOR CLASS | MATRIX TRUST COMPANY AS AGENT | 985.178 | 20.79 | |
| FOR ADVISOR TRUST, INC. |
| ||
| CRESTWOOD SD (PA) 403(B) |
| ||
| PERSHING LLC | 2,867.61 | 60.51(b) | |
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 1,510,346.74 | 5.76 | |
DISCOVERY STOCK | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
FUND—I CLASS | LINCOLN INVESTMENT PLANNING, LLC | 3,571,791.33 | 13.62 | |
| FBO LINCOLN CUSTOMERS |
| ||
| FORT WASHINGTON PA 19034-3275 |
| ||
| MARYLAND COLLEGE INVESTMENT | 1,313,578.55 | 5.01 | |
| PLAN PORTFOLIO 2027 |
| ||
| ATTN FUND ACCOUNTING |
| ||
| BALTIMORE MD 21202-1013 |
| ||
| MARYLAND COLLEGE INVESTMENT | 1,346,598.68 | 5.13 | |
| PLAN PORTFOLIO 2030 |
| ||
| MARYLAND COLLEGE INVESTMENT | 1,789,515.26 | 6.82 | |
| PLAN EQUITY PORTFOLIO |
| ||
| T ROWE PRICE FUND ACCOUNTING |
| ||
| NATIONAL FINANCIAL SERVICES | 1,847,414.54 | 7.04 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
56
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
EMERGING MARKETS | RETIREMENT I 2030 FUND | 19,277,260.20 | 6.30 | |
DISCOVERY STOCK | T ROWE PRICE ASSOCIATES |
| ||
FUND—Z CLASS | RETIREMENT I 2035 FUND | 16,886,604.9 | 5.52 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 20,343,384.34 | 6.65 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2045 FUND | 15,297,425.98 | 5.00 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 27,269,256.64 | 8.92 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 18,303,087.50 | 5.98 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 29,369,045.82 | 9.60 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 22,091,009.63 | 7.22 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 17,275,344.63 | 5.65 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 15,463,411.55 | 5.06 | |
| T ROWE PRICE ASSOCIATES |
| ||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 710,217.59 | 14.50 | |
LOCAL CURRENCY | REINVEST ACCOUNT |
| ||
BOND FUND | NATIONAL FINANCIAL SERVICES | 1,426,668.89 | 29.13(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
EMERGING MARKETS | NATIONAL FINANCIAL SERVICES | 559.215 | 19.31 | |
LOCAL CURRENCY BOND | FOR THE EXCLUSIVE BENEFIT |
| ||
FUND—ADVISOR CLASS | OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 1,890.33 | 65.28(b) | |
| TD AMERITRADE INC FBO | 445.099 | 15.37 | |
| OUR CUSTOMERS |
| ||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 1,367,096.38 | 7.09 | |
LOCAL CURRENCY BOND | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
FUND—I CLASS | CHARLES SCHWAB & CO INC | 5,607,130.43 | 29.09(b) | |
| REINVEST ACCOUNT |
| ||
| HORIZONDECK & CO | 5,066,077.03 | 26.28(a) | |
| C/O T ROWE PRICE ASSOC |
| ||
| ATTN GLOBAL ALLOCATION FUND |
| ||
| BALTIMORE MD 21202-1009 |
| ||
| PERSHING LLC | 4,295,611.44 | 22.28 | |
EMERGING MARKETS | SPECTRUM INCOME FUND | 51,344,674.53 | 100.00(a) | |
LOCAL CURRENCY | T. ROWE PRICE ASSOCIATES |
| ||
BOND FUND—Z CLASS |
| |||
EMERGING MARKETS | T ROWE PRICE ASSOCIATES | 28,074.30 | 100.00(c) | |
LOCAL MULTI-SECTOR | ||||
ACCOUNT PORTFOLIO |
| |||
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 2,963,602.56 | 8.45 | |
STOCK FUND | REINVEST ACCOUNT |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 1,973,385.85 | 5.62 | |
| ITS CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 3,302,547.56 | 9.41 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 6,924,270.42 | 19.73 |
57
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
EMERGING MARKETS | CHARLES SCHWAB & CO INC | 3,058,883.79 | 6.30 | |
STOCK FUND—I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 13,472,171.32 | 27.74(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 3,475,271.07 | 7.16 | |
| OUR CUSTOMERS |
| ||
EMERGING MARKETS | RETIREMENT I 2030 FUND | 5,868,503.92 | 6.17 | |
STOCK FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2035 FUND | 5,058,314.93 | 5.32 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 6,067,971.47 | 6.38 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 8,441,331.36 | 8.88 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 5,544,611.73 | 5.83 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 8,998,791.02 | 9.46 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 6,801,727.15 | 7.15 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 5,361,013.96 | 5.64 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 4,780,719.42 | 5.03 | |
| T ROWE PRICE ASSOCIATES |
| ||
EQUITY INCOME ETF | CITIGROUP GLOBAL MARKETS INC. | 600,000 | 19,39 | |
| CHARLES SCHWAB & CO INC | 704,186 | 22.75 | |
| NATIONAL FINANCIAL SERVICES LLC | 332,462 | 10.74 | |
| PERSHING LLC | 595,232 | 19.23 | |
| TD AMERITRADE CLEARING, INC. | 543,413 | 17.56 | |
EQUITY INCOME FUND | NATIONAL FINANCIAL SERVICES | 30,172,211.74 | 11.65 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE TRUST CO INC | 19,843,837.10 | 7.66 | |
EQUITY INCOME FUND— | MORGAN STANLEY SMITH BARNEY LLC | 290,507.50 | 6.07 | |
ADVISOR CLASS | FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 2,352,187.33 | 49.15(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
EQUITY INCOME FUND— | EDWARD D JONES & CO | 14,994,901.22 | 6.76 | |
I CLASS | FOR THE BENEFIT OF CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 14,301,886.86 | 6.44 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
58
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
EQUITY INCOME FUND— | AMERICAN UNITED LIFE | 134,773.00 | 10.03 | |
R CLASS | AMERICAN UNIT TRUST |
| ||
| ATTN SEPARATE ACCOUNTS |
| ||
| INDIANAPOLIS IN 46206-0368 |
| ||
| AMERICAN UNITED LIFE | 196,034.31 | 14.59 | |
| SEPARATE ACCOUNT II |
| ||
| AXA EQUITABLE FOR SA | 68,606.87 | 5.11 | |
| SECAUCUS NJ 07094-3619 |
| ||
| DCGT AS TTEE AND/OR CUST | 74,073.55 | 5.51 | |
| FBO PLIC VARIOUS RETIREMENT PLANS |
| ||
| HARTFORD LIFE INSURANCE CO | 136,796.89 | 10.18 | |
| SEPARATE ACCOUNT |
| ||
| ATTN UNIT OPERATIONS |
| ||
| HARTFORD CT 06104-2999 |
| ||
| NATIONWIDE TRUST CO FSB | 125,548.78 | 9.35 | |
EQUITY INCOME FUND— | SPECTRUM DIVERSIFIED EQUITY | 11,106,676.41 | 35.37(a) | |
Z CLASS | T. ROWE PRICE ASSOCIATES |
| ||
| SPECTRUM INCOME FUND | 20,290,412.59 | 64.63(a) | |
| T. ROWE PRICE ASSOCIATES |
| ||
EQUITY INCOME | AMERICAN UNITED LIFE | 1,049,633.11 | 6.67 | |
PORTFOLIO | AMERICAN UNIT TRUST |
| ||
| AMERICAN UNITED LIFE | 1,328,741.27 | 8.44 | |
SEPARATE ACCOUNT II | ||||
| LINCOLN BENEFIT LIFE CO | 1,117,948.04 | 7.10 | |
LINCOLN BENEFIT VARIABLE LIFE | ||||
PALATINE IL 60094-4210 | ||||
| MASS MUTUAL LIFE INS CO | 794,427.79 | 5.05 | |
ATTN RS FUND OPERATIONS | ||||
SPRINGFIELD MA 01111-0001 | ||||
| PRUCO LIFE INSURANCE COMPANY | 1,491,039.61 | 9.47 | |
FLEXIBLE PREMIUM | ||||
VARIABLE ANNUITY ACCOUNT | ||||
ATTN SEPARATE ACCTS | ||||
NEWARK NJ 07102-2917 | ||||
| SECURITY BENEFIT LIFE INS CO | 2,469,630.94 | 15.68 | |
| FBO T ROWE PRICE NO LOAD V A |
| ||
EQUITY INCOME | JEFFERSON NATIONAL LIFE INS CO | 786,703.88 | 7.45 | |
PORTFOLIO—II | NATIONWIDE INSURANCE COMPANY | 576,830.20 | 5.46 | |
| NATIOWIDE LIFE INSURANCE COMPANY | 1,924,726.78 | 18.23 | |
| PACIFIC SELECT EXEC | 3,370,509.10 | 31.93(d) | |
SEPARATE ACCOUNT OF PACIFIC LIFE | ||||
| SEPARATE ACCOUNT 70 OF THE | 1,149,102.62 | 10.88 | |
AXA EQUITABLE LIFE INSURANCE CO | ||||
NEW YORK NY 10104-1472 | ||||
| SEPARATE ACCOUNT FP OF THE | 813,265.57 | 7.70 | |
AXA EQUITABLE LIFE INSURANCE CO | ||||
EQUITY INDEX 500 FUND | T ROWE PRICE TRUST CO INC | 6,443,733.98 | 11.49 | |
| ATTN RPS CONTROL DEPT |
| ||
| OWINGS MILLS MD 21117-4842 |
| ||
| TD AMERITRADE INC FBO | 4,166,214.60 | 7.43 | |
| OUR CUSTOMERS |
| ||
EQUITY INDEX 500 | MARYLAND COLLEGE INVESTMENT PLAN | 3,794,915.64 | 6.28 | |
FUND—I CLASS | EQUITY INDEX 500 PORTFOLIO |
59
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
EQUITY INDEX 500 | RETIREMENT I 2030 FUND | 7,163,073.57 | 6.34 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2035 FUND | 6,227,308.21 | 5.51 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 7,529,771.97 | 6.66 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2045 FUND | 5,835,536.65 | 5.16 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2050 FUND | 5,757,971.45 | 5.10 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 10,242,360.09 | 9.06 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 6,673,278.23 | 5.91 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 10,913,093.08 | 9.66 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 8,392,075.09 | 7.43 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 6,662,517.09 | 5.90 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 5,982,457.80 | 5.29 | |
| T ROWE PRICE ASSOCIATES |
| ||
EQUITY INDEX 500 | NYLIAC | 57,653.53 | 6.05 | |
PORTFOLIO | NYLIM CENTER |
| ||
| SECURITY BENEFIT LIFE INS CO | 848,810.17 | 89.00(d) | |
| FBO T ROWE PRICE NO LOAD V A |
| ||
EUROPEAN STOCK FUND | CHARLES SCHWAB & CO INC | 2,846,578.51 | 12.73 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 2,328,206.64 | 10.41 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
EUROPEAN STOCK | CHARLES SCHWAB & CO INC | 861,631.05 | 8.77 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
EUROPEAN STOCK | SPECTRUM INTERNATIONAL EQUITY | 10,211,169.81 | 100.00(a) | |
FUND—Z CLASS | FUND | |||
| T ROWE PRICE ASSOCIATES |
| ||
EXTENDED EQUITY | TD AMERITRADE INC FBO | 1,850,813.75 | 5.70 | |
MARKET INDEX FUND | OUR CUSTOMERS |
| ||
FINANCIAL SERVICES | CHARLES SCHWAB & CO INC | 2,276,464.14 | 8.63 | |
FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 2,406,928.82 | 9.12 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 3,856,446.25 | 14.61 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 1,985,070.54 | 7.52 | |
FINANCIAL SERVICES | AFFILIATED FM INSURANCE CO. | 2,921,891.89 | 16.09 | |
FUND—I CLASS | JOHNSTON RI 02919-4923 |
| ||
| CHARLES SCHWAB & CO INC | 1,193,597.18 | 6.57 | |
| REINVEST ACCOUNT |
| ||
| T ROWE PRICE SERVICES INC FBO | 1,988,920.56 | 10.95 | |
| EDUCATION TRUST OF ALASKA |
| ||
| PORTFOLIO FUTURE TRENDS |
| ||
| ATTN DAWN WAGNER FIXED INCOME |
| ||
BALTIMORE MD 21202-1013 |
60
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
FLOATING RATE ETF | CITIGROUP GLOBAL MARKETS INC. | 400,000 | 72.73(f) | |
| TD AMERITRADE CLEARING, INC. | 107,496 | 19.54 | |
FLOATING RATE FUND | CHARLES SCHWAB & CO INC | 12,224,627.14 | 7.35 | |
| SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| LPL FINANCIAL | 16,545,531.69 | 9.95 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 10,507,082.31 | 6.32 | |
| ITS CUSTOMERS |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 13,190,497.61 | 7.93 | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 31,128,237.91 | 18.72 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 9,712,136.49 | 5.84 | |
| UBS WM USA | 14,904,994.01 | 8.96 | |
| SPEC CDY A/C EXL BEN CUSTOMERS |
| ||
| OF UBSFI |
| ||
| WEEHAWKEN NJ 07086-6761 |
| ||
| WELLS FARGO CLEARING SERVICES LLC | 18,357,837.69 | 11.04 | |
| SPECIAL CUSTODY ACCT FOR THE |
| ||
| EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
FLOATING RATE FUND— | CHARLES SCHWAB & CO INC | 166,803.25 | 8.72 | |
ADVISOR CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 776,032.06 | 40.55(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 134,477.68 | 7.03 | |
| TD AMERITRADE INC FBO | 602,802.78 | 31.50(b) | |
| OUR CUSTOMERS |
| ||
FLOATING RATE FUND— | CHARLES SCHWAB & CO INC | 29,339,197.73 | 33.74(b) | |
I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 7,560,676.96 | 8.69 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 6,137,519.33 | 7.06 | |
| T ROWE PRICE ASSOCIATES | 7,058,854.14 | 8.12 | |
| TD AMERITRADE INC FBO | 6,480,267.48 | 7.45 | |
| OUR CUSTOMERS |
| ||
FLOATING RATE | RETIREMENT I 2020 FUND | 8,472,282.98 | 5.14 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2025 FUND | 10,634,062.55 | 6.45 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2030 FUND | 10,616,850.79 | 6.44 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2020 | 17,240,191.38 | 10.46 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 16,418,660.65 | 9.96 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 16,251,576.56 | 9.86 | |
| T ROWE PRICE ASSOCIATES |
| ||
| SPECTRUM INCOME FUND | 43,694,097.98 | 26.51(a) | |
| T. ROWE PRICE ASSOCIATES |
|
61
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
FLOATING RATE MULTI- | BALTIMORE EQUITABLE SOCIETY | 83,280.08 | 7.20 | |
SECTOR ACCOUNT | ATTN MARY HARLEE |
| ||
PORTFOLIO | GENERAL DYNAMICS CORP 401K | 401,494.66 | 34.70(b) | |
| PLAN MASTER TRUST CP |
| ||
| ILLINOIS STUDENT ASSISTANCE | 112,437.57 | 9.72 | |
| COMMISSION |
| ||
| ATTN ROGER ROJAS |
| ||
| T ROWE PRICE ASSOCIATES | 402,363.02 | 34.77(c) | |
| XCEL ENERGY INC. | 157,616.56 | 13.62 | |
| ATTN GREG ZICK |
| ||
| MINNEAPOLIS MN 55401-1993 |
| ||
GEORGIA TAX-FREE | CHARLES SCHWAB & CO INC | 1,889,446.57 | 10.26 | |
BOND FUND | REINVEST ACCOUNT |
| ||
| MARIL & CO FBO | 1,228,911.01 | 6.67 | |
| C/O RELIANCE TRUST COMPANY WI |
| ||
| MILWAUKEE WI 53223-2422 |
| ||
| NATIONAL FINANCIAL SERVICES | 6,311,162.81 | 34.27(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
GEORGIA TAX-FREE | CHARLES SCHWAB & CO INC | 2,595,689.12 | 13.17 | |
BOND FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| SEI PRIVATE TRUST COMPANY | 7,684,542.11 | 38.98(b) | |
| C/O TRUST |
| ||
| OAKS PA 19456-9989 |
| ||
GLOBAL ALLOCATION | LPL FINANCIAL | 9,215,544.53 | 16.77 | |
FUND | OMNIBUS CUSTOMER ACCOUNT |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 3,596,712.46 | 6.54 | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 5,795,909.76 | 10.55 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 3,432,158.12 | 6.24 | |
| T ROWE PRICE ASSOCIATES | 15,533,327.83 | 28.26(c) | |
| UBS WM USA | 2,824,039.49 | 5.14 | |
| SPEC CDY A/C EXL BEN CUSTOMERS |
| ||
| OF UBSFI |
| ||
GLOBAL ALLOCATION | CHARLES SCHWAB & CO INC | 25,602.22 | 6.99 | |
FUND—ADVISOR CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 22,568.70 | 6.17 | |
| ITS CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 187,113.97 | 51.12(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 49,693.93 | 13.58 | |
GLOBAL ALLOCATION | CHARLES SCHWAB & CO INC | 1,513,166.92 | 8.37 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| CHARLES SCHWAB & CO INC | 4,676,093.31 | 25.87(b) | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 2,216,817.24 | 12.26 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 1,114,918.80 | 6.17 | |
| OUR CUSTOMERS |
| ||
GLOBAL CONSUMER | NATIONAL FINANCIAL SERVICES | 923,191.82 | 26.63(b) | |
FUND | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
62
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
GLOBAL GROWTH | CHARLES SCHWAB & CO INC | 694,722.96 | 6.39 | |
STOCK FUND | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| MLPF&S FOR THE SOLE BENEFIT OF | 1,430,971.80 | 13.16 | |
| ITS CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 1,796,523.11 | 16.52 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 707,572.93 | 6.51 | |
GLOBAL GROWTH STOCK | ASCENSUS TRUST COMPANY FBO | 45,101.49 | 10.41 | |
FUND—ADVISOR CLASS | FARMINGTON ACUTE CARE |
| ||
EMERGENCY SPE | ||||
| FARGO ND 58106-0758 |
| ||
| NATIONAL FINANCIAL SERVICES | 232,792.19 | 53.74(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 66,548.25 | 15.36 | |
GLOBAL GROWTH STOCK | CTC FBO | 2,707,946.74 | 14.40 | |
FUND—I CLASS | TEXAS TUITION PROMISE FUND 529 |
| ||
| OMAHA NE 68130-2033 |
| ||
| NATIONAL FINANCIAL SERVICES | 6,152,102.00 | 32.72(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| WASHINGTON SUBURBAN SANITARY | 981,497.15 | 5.22 | |
| COMMISSION RETIREE OTHER POST |
| ||
| EMPLOYMENT BENEFIT TRUST |
| ||
| LAUREL MD 20707-5901 |
| ||
GLOBAL HIGH INCOME | CHARLES SCHWAB & CO INC | 703,467.40 | 10.28 | |
BOND FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 1,236,507.31 | 18.06 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 539,662.47 | 7.88 | |
| OUR CUSTOMERS |
| ||
GLOBAL HIGH INCOME | CHARLES SCHWAB & CO INC | 5,744.50 | 13.82 | |
BOND FUND— | REINVEST ACCOUNT |
| ||
ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 10,644.52 | 25.60(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 19,051.26 | 45.82(b) | |
| TD AMERITRADE INC FBO | 6,130.71 | 14.75 | |
| OUR CUSTOMERS |
| ||
GLOBAL HIGH INCOME | CHARLES SCHWAB & CO INC | 2,827,327.74 | 11.71 | |
BOND FUND—I CLASS | MAC & CO | 1,441,581.89 | 5.97 | |
| MAC & CO | 2,018,706.80 | 8.36 | |
| MAC & CO | 1,330,055.63 | 5.51 | |
| MAC & CO | 1,605,848.22 | 6.65 | |
| BLK SMA |
| ||
| NATIONAL FINANCIAL SERVICES | 6,527,369.56 | 27.04(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
GLOBAL IMPACT EQUITY | NATIONAL FINANCIAL SERVICES | 93,713.55 | 7.13 | |
FUND | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE ASSOCIATES | 675,000.00 | 51.35(c) |
63
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
GLOBAL IMPACT EQUITY | EDUCATION TRUST OF ALASKA | 190,945.37 | 24.81 | |
FUND—I CLASS | GLOBAL IMPACT EQUITY PORTFOLIO |
| ||
| C/O T ROWE PRICE ASSOCIATES |
| ||
| ATTN FIXED INCOME |
| ||
| ERIC C MOFFETT | 142,573.66 | 18.52 | |
| MIRI C MOFFETT JT TEN |
| ||
| T ROWE PRICE RPS INC | 55,285.07 | 7.18 | |
| FBO TRP PLAN |
| ||
| GLOBAL IMPACT EQUITY-I |
| ||
GLOBAL INDUSTRIALS | CHARLES SCHWAB & CO INC | 595,850.75 | 11.46 | |
FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 697,974.31 | 13.42 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 896,784.50 | 17.24 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 265,548.08 | 5.11 | |
| UBS WM USA | 830,647.16 | 15.97 | |
| SPEC CDY A/C EXL BEN CUSTOMERS |
| ||
| OF UBSFI |
| ||
GLOBAL INDUSTRIALS | NATIONAL FINANCIAL SERVICES | 1,671,125.16 | 30.52(b) | |
FUND—I CLASS | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| SUTTER HEALTH | 2,185,118.62 | 39.91(b) | |
| SACRAMENTO CA 95833-4134 |
| ||
GLOBAL MULTI-SECTOR | CHARLES SCHWAB & CO INC | 6,108,617.25 | 8.78 | |
BOND FUND | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| LPL FINANCIAL | 5,551,320.32 | 7.98 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 6,334,385.96 | 9.11 | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 8,911,164.25 | 12.81 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 5,723,130.76 | 8.23 | |
| RAYMOND JAMES | 4,520,817.35 | 6.50 | |
| OMNIBUS FOR MUTUAL FUNDS |
| ||
| TD AMERITRADE INC FBO | 3,925,371.48 | 5.64 | |
| OUR CUSTOMERS |
| ||
GLOBAL MULTI-SECTOR | CHARLES SCHWAB & CO INC | 76,098.99 | 5.53 | |
BOND FUND— ADVISOR | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
CLASS | NATIONAL FINANCIAL SERVICES | 811,131.83 | 58.91(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
GLOBAL MULTI-SECTOR | CHARLES SCHWAB & CO INC | 11,061,367.82 | 19.14 | |
BOND FUND—I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 5,344,163.22 | 9.25 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 8,229,495.04 | 14.24 |
64
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
GLOBAL REAL ESTATE | CHARLES SCHWAB & CO INC | 321,068.05 | 10.09 | |
FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 187,111.08 | 5.88 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 375,945.15 | 11.82 | |
| OUR CUSTOMERS |
| ||
GLOBAL REAL ESTATE | EMPOWER ANNUITY INSURANCE | 43,661.41 | 16.80 | |
FUND—ADVISOR CLASS | FBO FUTURE FUNDS II |
| ||
| GREENWOOD VLG CO 80111-5002 |
| ||
| EMPOWER TRUST FBO | 15,113.34 | 5.81 | |
| EMPLOYEE BENEFITS CLIENTS 401K - FG |
| ||
| EMPOWER TRUST FBO | 104,181.94 | 40.08(b) | |
| EMPLOYEE BENEFITS CLIENTS 401K |
| ||
| LINCOLN RETIREMENT SERVICES | 14,717.20 | 5.66 | |
COMPANY | ||||
| FORT WAYNE IN 46801-7876 |
| ||
| LINCOLN RETIREMENT SERVICES | 15,644.75 | 6.02 | |
COMPANY | ||||
| FBO PAL DEFERRED COMPENSATION |
| ||
PLAN | ||||
GLOBAL REAL ESTATE | CHARLES SCHWAB & CO INC | 96,972.80 | 5.72 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 176,092.78 | 10.39 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE RPS INC | 115,328.57 | 6.80 | |
| FBO TRP PLAN |
| ||
| TRP GLOBAL REAL ESTATE I |
| ||
GLOBAL STOCK FUND | CHARLES SCHWAB & CO INC | 2,795,957.17 | 5.20 | |
| REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 5,058,028.96 | 9.41 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 4,781,162.25 | 8.89 | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 13,026,600.29 | 24.23 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 8,266,313.04 | 15.38 | |
GLOBAL STOCK FUND— | MORGAN STANLEY SMITH BARNEY LLC | 47,258.93 | 5.37 | |
ADVISOR CLASS | FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| UMB BANK N/A | 607,057.75 | 68.92(b) | |
| FBO FIDUCIARY FOR VARIOUS |
| ||
| RETIREMENT PROGRAMS |
| ||
GLOBAL STOCK FUND— | AFFILIATED FM INSURANCE CO. | 2,990,295.34 | 6.14 | |
I CLASS | CHARLES SCHWAB & CO INC | 5,251,057.46 | 10.78 | |
| REINVEST ACCOUNT |
| ||
| EDWARD D JONES & CO | 7,156,924.87 | 14.70 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| FACTORY MUTUAL INSURANCE CO | 5,732,816.32 | 11.77 | |
| JOHNSTON RI 02919-4923 |
| ||
| NATIONAL FINANCIAL SERVICES | 5,753,220.11 | 11.82 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 3,723,862.55 | 7.65 | |
| OUR CUSTOMERS |
|
65
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
GLOBAL TECHNOLOGY | CHARLES SCHWAB & CO INC | 12,670,201.14 | 7.15 | |
FUND | REINVEST ACCOUNT |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 10,129,652.60 | 5.72 | |
| FOR THE EXCLSIVE BENE OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 20,540,497.63 | 11.60 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 9,388,543.63 | 5.30 | |
| OUR CUSTOMERS |
| ||
GLOBAL TECHNOLOGY | NATIONAL FINANCIAL SERVICES | 6,770,722.97 | 7.03 | |
FUND—I CLASS | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
GLOBAL VALUE EQUITY | CHARLES SCHWAB & CO INC | 311,294.31 | 5.16 | |
FUND | REINVEST ACCOUNT |
| ||
| PERSHING LLC | 5,047,819.42 | 83.69(b) | |
GLOBAL VALUE EQUITY | CHARLES SCHWAB & CO INC | 124,018.91 | 8.95 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| T ROWE PRICE ASSOCIATES | 679,149.29 | 48.99(c) | |
| T ROWE PRICE RPS INC | 200,295.07 | 14.45 | |
| FBO TRP PLAN |
| ||
| GLOBAL VALUE EQUITY I CLASS |
| ||
GNMA FUND | CHARLES SCHWAB & CO INC | 1,903,325.25 | 5.60 | |
| REINVEST ACCOUNT |
| ||
GNMA FUND—Z CLASS | SPECTRUM INCOME FUND | 65,285,403.11 | 100.00(a) | |
| T. ROWE PRICE ASSOCIATES |
| ||
GOVERNMENT MONEY | T ROWE PRICE ASSOCIATES INC | 744,000,228.28 | 9.85 | |
FUND |
| |||
GOVERNMENT RESERVE | JPMORGAN CHASE BANK AS AGENT | 1,843,608,869.70 | 12.55 | |
FUND | FOR INSTITUTIONAL FUNDS |
| ||
| ATTN AMANDA MORLEY |
| ||
| NEWARK DE 19713-2105 |
| ||
| SEAMILE & CO | 2,256,461,426.15 | 15.36 | |
| C/O T ROWE PRICE ASSOC |
| ||
| ATTN CAPITAL APPREC FUND |
| ||
| BALTIMORE MD 21202-1009 |
| ||
| SHERBET & CO | 842,116,283.37 | 5.73 | |
| C/O T ROWE PRICE ASSOC |
| ||
| ATTN DIVIDEND GROWTH FUND |
| ||
| BALTIMORE MD 21202-1009 |
| ||
| TUNA & COMPANY | 1,247,376,595.90 | 8.49 | |
| C/O T ROWE PRICE ASSOC |
| ||
| ATTN NEW INCOME FUND |
| ||
| BALTIMORE MD 21202-1009 |
| ||
GROWTH STOCK ETF | CITIGROUP GLOBAL MARKETS INC. | 600,000 | 34.29(f) | |
| CHARLES SCHWAB & CO INC | 327,029 | 18.69 | |
| NATIONAL FINANCIAL SERVICES LLC | 138,430 | 7.91 | |
| PERSHING LLC | 327,012 | 18.69 | |
| TD AMERITRADE CLEARING, INC. | 116,213 | 6.64 | |
GROWTH STOCK FUND | CHARLES SCHWAB & CO INC | 12,538,089.69 | 7.51 | |
| REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 9,728,335.08 | 5.82 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 23,154,997.30 | 13.86 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE TRUST CO INC | 22,706,523.00 | 13.59 |
66
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
GROWTH STOCK FUND— | NATIONAL FINANCIAL SERVICES | 1,804,746.18 | 7.47 | |
ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| NATIONWIDE LIFE INSURANCE CO | 1,764,012.29 | 7.30 | |
| NATIONWIDE LIFE INSURANCE CO | 3,718,556.51 | 15.39 | |
| VANTAGETRUST - UNITIZED | 7,710,208.12 | 31.91(b) | |
| C/O ICMA RETIREMENT CORPORATION |
| ||
| WASHINGTON DC 20002-4239 |
| ||
GROWTH STOCK FUND— | CHARLES SCHWAB & CO INC | 10,140,312.29 | 5.53 | |
I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| CHARLES SCHWAB & CO INC | 12,791,483.24 | 6.97 | |
| SAN FRANCISCO CA 94104-4151 |
| ||
| NATIONAL FINANCIAL SERVICES | 17,861,435.85 | 9.74 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
GROWTH STOCK FUND— | AXA EQUITABLE FOR SA | 1,031,639.26 | 10.81 | |
R CLASS | HARTFORD LIFE INSURANCE CO | 661,295.24 | 6.93 | |
| SEPARATE ACCOUNT |
| ||
| STATE STREET BANK AND TRUST AS | 1,426,639.91 | 14.95 | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
| UMB BANK N/A | 1,210,372.48 | 12.68 | |
| FBO FIDUCIARY FOR TAX DEFERRED |
| ||
| ACCOUNTS |
| ||
| UMB BANK N/A | 1,198,626.21 | 12.56 | |
| FBO FIDUCIARY FOR TAX DEFERRED |
| ||
| ACCOUNTS GROUP |
| ||
GROWTH STOCK | RETIREMENT I 2030 FUND | 17,186,945.25 | 6.35 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2035 FUND | 15,034,930.31 | 5.56 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 17,937,437.38 | 6.63 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2045 FUND | 13,582,877.67 | 5.02 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 24,221,407.29 | 8.95 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 16,126,347.64 | 5.96 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 26,110,004.52 | 9.65 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 19,682,772.60 | 7.28 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 15,569,334.28 | 5.76 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 14,112,977.94 | 5.22 | |
| T ROWE PRICE ASSOCIATES |
|
67
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
HEALTH SCIENCES FUND | CHARLES SCHWAB & CO INC | 6,968,808.02 | 6.27 | |
| REINVEST ACCOUNT |
| ||
| JOHN HANCOCK LIFE | 5,958,976.24 | 5.36 | |
| INSURANCE CO USA |
| ||
| ATTN JHRPS TRADING OPS |
| ||
| BOSTON MA 02116-5022 |
| ||
| LPL FINANCIAL | 6,765,132.92 | 6.08 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 14,405,193.00 | 12.95 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 6,699,794.34 | 6.02 | |
HEALTH SCIENCES | CHARLES SCHWAB & CO INC | 4,631,541.70 | 7.06 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 3,779,537.20 | 5.76 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
HEALTH SCIENCES | AMERICAN NATIONAL GROUP | 148,395.96 | 5.37 | |
PORTFOLIO | UNALLOCATED VA CORP |
| ||
ATTN JOHN BURCHETT | ||||
8TH FLOOR CONTROLLERS DEPT | ||||
GALVESTON TX 77550-7947 | ||||
| MODERN WOODMEN OF AMERICA | 683,504.42 | 24.73(d) | |
ATTN MUTUAL FUNDS ACCTG | ||||
| NATIONWIDE LIFE AND ANNUITY | 800,115.58 | 28.95(d) | |
| INSURANCE COMPANY |
| ||
COLUMBUS OH 43218-2029 | ||||
SECURITY BENEFIT LIFE INS CO | 568,773.76 | 20.58(d) | ||
FBO T ROWE PRICE NO LOAD V A | ||||
HEALTH SCIENCES | MIDLAND NATIONAL LIFE INSURANCE CO | 546,487.82 | 5.11 | |
PORTFOLIO—II | NATIONWIDE LIFE INSURANCE COMPANY | 549,500.90 | 5.14 | |
| NATIONWIDE LIFE INSURANCE COMPANY | 639,781.92 | 5.98 | |
NATIONWIDE LIFE INSURANCE COMPANY | 5,812,545.74 | 54.32(d) | ||
HIGH YIELD FUND | CHARLES SCHWAB & CO INC | 13,728,427.31 | 7.05 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 16,677,419.34 | 8.57 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
HIGH YIELD FUND— | CHARLES SCHWAB & CO INC | 223,275.32 | 7.12 | |
ADVISOR CLASS | REINVEST ACCOUNT |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 161,761.18 | 5.16 | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 1,653,554.56 | 52.75(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| VOYA INSTITUTIONAL TRUST COMPANY | 181,376.16 | 5.79 | |
| WINDSOR CT 06095-4774 |
| ||
HIGH YIELD FUND— | EDWARD D JONES & CO | 220,842,279.23 | 49.29(b) | |
I CLASS | FOR THE BENEFIT OF CUSTOMERS |
| ||
| FUBON LIFE INSURANCE CO. | 30,158,160.42 | 6.73 | |
| LTD.-FIXED INCOME |
| ||
| TAIPEI, 105 |
|
68
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
HIGH YIELD FUND— | RETIREMENT I 2020 FUND | 28,826,322.96 | 5.13 | |
Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2025 FUND | 35,004,960.63 | 6.22 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2030 FUND | 34,095,399.92 | 6.06 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2020 | 58,590,313.39 | 10.42 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 54,231,213.52 | 9.64 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 51,885,875.02 | 9.23 | |
| T ROWE PRICE ASSOCIATES |
| ||
| SPECTRUM INCOME FUND | 161,387,992.75 | 28.70(a) | |
| T. ROWE PRICE ASSOCIATES |
| ||
HIGH YIELD MULTI-SECTOR | BALTIMORE EQUITABLE SOCIETY | 114,323.21 | 11.24 | |
ACCOUNT PORTFOLIO | ATTN MARY HARLEE |
| ||
| GENERAL DYNAMICS CORP 401K | 562,884.28 | 55.37(b) | |
| PLAN MASTER TRUST CP |
| ||
| ILLINOIS STUDENT ASSISTANCE | 154,149.19 | 15.16 | |
| COMMISSION |
| ||
| ATTN ROGER ROJAS |
| ||
| T ROWE PRICE ASSOCIATES | 185,314.46 | 18.23 | |
INFLATION PROTECTED | NATIONAL FINANCIAL SERVICES | 6,008,551.46 | 22.55 | |
BOND FUND | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE RPS INC | 1,530,503.34 | 5.74 | |
| OMNIBUS ACCOUNT |
| ||
| INFLATION PROTECTED BOND |
| ||
INFLATION PROTECTED | CHARLES SCHWAB & CO INC | 1,448,481.37 | 6.11 | |
BOND FUND—I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 1,283,358.53 | 5.41 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
INFLATION PROTECTED | T ROWE PRICE ASSOCIATES | 7,722.01 | 100.00(c) | |
BOND FUND—Z CLASS |
| |||
INSTITUTIONAL EMERGING | CAPINCO C/O US BANK NA | 4,766,711.72 | 8.58 | |
MARKETS BOND FUND | MILWAUKEE WI 53212-3958 |
| ||
| EMPOWER TRUST FBO | 6,428,168.88 | 11.58 | |
| RECORDKEEPING FOR VARIOUS BENEFIT |
| ||
| HORIZONDECK & CO | 6,151,413.69 | 11.08 | |
| C/O T ROWE PRICE ASSOC |
| ||
| ATTN GLOBAL ALLOCATION FUND |
| ||
| LADYBIRD & CO | 16,987,601.38 | 30.59(a) | |
| LADYBUG & CO | 10,375,093.05 | 18.68 | |
| LAKESIDE & CO | 6,008,743.82 | 10.82 | |
| C/O T ROWE PRICE ASSOC |
| ||
| BALTIMORE MD 21202-1009 |
|
69
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INSTITUTIONAL EMERGING | GOLDMAN SACHS & CO | 5,378,243.33 | 19.94 | |
MARKETS EQUITY FUND | EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
| NEW YORK NY 10004-2434 |
| ||
| LADYBIRD & CO | 1,745,466.15 | 6.47 | |
| LADYBUG & CO | 2,711,268.08 | 10.05 | |
| LAKESIDE & CO | 5,417,693.74 | 20.09 | |
| NATIONAL FINANCIAL SERVICES | 2,536,643.45 | 9.41 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| WELLS FARGO BANK NA FBO | 3,015,961.51 | 11.18 | |
| OMNIBUS ACCOUNT CASH/CASH |
| ||
| MINNEAPOLIS MN 55480-1533 |
| ||
INSTITUTIONAL FLOATING | CHARLES SCHWAB & CO INC | 49,607,753.24 | 11.83 | |
RATE FUND | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 84,520,464.97 | 20.16 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| SEAMILE & CO | 82,709,340.66 | 19.73 | |
| C/O T ROWE PRICE ASSOC |
| ||
| ATTN CAPITAL APPREC FUND |
| ||
| WELLS FARGO BANK NA FBO | 33,987,087.66 | 8.11 | |
| OMNIBUS ACCOUNT CASH/CASH |
| ||
INSTITUTIONAL FLOATING | LPL FINANCIAL | 5,104,111.52 | 11.40 | |
RATE FUND—F CLASS | OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 30,791,374.99 | 68.78(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 3,878,800.70 | 8.66 | |
| OUR CUSTOMERS |
| ||
INSTITUTIONAL FLOATING | TUNA AND COMPANY | 4,403,801.92 | 100.00(b) | |
RATE FUND—Z CLASS | C/O T ROWE PRICE ASSOCIATES INC |
| ||
| ATTN NEW INCOME FUND |
| ||
INSTITUTIONAL HIGH | BREAD & CO | 26,831,678.98 | 12.57 | |
YIELD FUND | C/O T ROWE PRICE ASSOC |
| ||
| ATTN BALANCED FUND |
| ||
| BALTIMORE MD 21202-1009 |
| ||
| FACTORY MUTUAL INSURANCE CO | 20,871,738.24 | 9.78 | |
| GOLDMAN SACHS & CO | 16,375,646.56 | 7.67 | |
| EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
| LADYBIRD & CO | 11,832,302.23 | 5.54 | |
| NATIONAL FINANCIAL SERVICES | 45,232,347.37 | 21.19 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
INSTITUTIONAL | CHARLES SCHWAB & CO INC | 3,175,795.04 | 17.81 | |
INTERNATIONAL | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
DISCIPLINED EQUITY FUND | COLUMBIA TRUST PARTNERS | 1,175,668.31 | 6.59 | |
| SALEM OR 97308-1012 |
| ||
| J.P. MORGAN SECURITIES LLC | 1,016,028.49 | 5.70 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| BROOKLYN NY 11245-0003 |
| ||
| NATIONAL FINANCIAL SERVICES | 9,264,980.88 | 51.94(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
70
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INSTITUTIONAL LARGE-CAP | MAC & CO | 3,566,471.80 | 5.63 | |
CORE GROWTH FUND | FBO HIGHMARK HEALTH AHN |
| ||
| NATIONAL FINANCIAL SERV CORP | 20,292,521.62 | 32.02(b) | |
| FOR EXCLUSIVE BENEFIT OF OUR |
| ||
| CUSTOMERS |
| ||
| RUSS LENNON |
| ||
| VANGUARD FIDUCIARY TRUST COMPANY | 3,994,627.56 | 6.30 | |
| T ROWE INSTITUTIONAL CLASS |
| ||
| ATTN OUTSIDE FUNDS/SCOTT GELLERT |
| ||
| VALLEY FORGE PA 19482-2600 |
| ||
INSTITUTIONAL LONG | BAND & CO C/O US BANK NA | 1,025,197.45 | 19.01 | |
DURATION CREDIT FUND | MILWAUKEE WI 53212-3958 |
| ||
| CHARLES SCHWAB & CO INC | 3,170,218.88 | 58.78(b) | |
| REINVEST ACCOUNT |
| ||
| CHILDRENS HOME SOCIETY OF NJ | 858,286.04 | 15.91 | |
| PENSION FUND |
| ||
| C/O BRUNO CELLUCCI |
| ||
| TRENTON NJ 08611-1831 |
| ||
INSTITUTIONAL MID-CAP | CHARLES SCHWAB & CO INC | 7,008,728.60 | 8.31 | |
EQUITY GROWTH FUND | REINVEST ACCOUNT |
| ||
| KY PUBLIC EMP DEF COMP AUTHORITY | 6,189,030.46 | 7.34 | |
| C/O NATIONWIDE AS CUSTODIAN & |
| ||
| RECORDKEEPER |
| ||
| IPO PORTFOLIO ACCOUNTING |
| ||
| COLUMBUS OH 43218-2029 |
| ||
| NATIONAL FINANCIAL SERVICES | 24,340,002.00 | 28.87(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| THE STATE OF WISC DEF COMP BRD TTEE | 8,555,576.16 | 10.15 | |
| STATE OF WISCONSIN DCP |
| ||
| C/O FASCORE |
| ||
| GREENWOOD VLG CO 80111-5002 |
| ||
| VANGUARD FIDUCIARY TRUST COMPANY | 6,425,052.80 | 7.62 | |
| T ROWE INSTITUTIONAL CLASS |
| ||
INSTITUTIONAL SMALL-CAP | NATIONAL FINANCIAL SERVICES | 45,386,900.34 | 25.34(b) | |
STOCK FUND | FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| NORTHERN TRUST COMPANY TR | 19,742,827.04 | 11.02 | |
| FBO PFIZER SAVINGS AND |
| ||
| INVESTMENT PLAN |
| ||
| CHICAGO IL 60675-0001 |
| ||
| STATE OF MINNESOTA | 33,476,288.60 | 18.69 | |
| FBO MINNESOTA STATE RETIREMENT |
| ||
SYST | ||||
| GREENWOOD VLG CO 80111-5002 |
| ||
| T ROWE PRICE RPS INC. | 17,393,376.82 | 9.71 | |
| OMNIBUS |
| ||
| INSTL SMALL CAP STOCK |
| ||
| VANGUARD FIDUCIARY TRUST COMPANY | 30,573,883.57 | 17.07 | |
| T ROWE INSTITUTIONAL CLASS |
| ||
INTEGRATED GLOBAL | CHARLES SCHWAB & CO INC | 172,192.80 | 19.19 | |
EQUITY FUND | REINVEST ACCOUNT | |||
| T ROWE PRICE ASSOCIATES | 359,799.55 | 40.09(c) | |
INTEGRATED GLOBAL | T ROWE PRICE ASSOCIATES | 25,000.00 | 100.00(c) | |
EQUITY FUND— | ||||
ADVISOR CLASS |
71
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INTEGRATED GLOBAL | PORT OF SEATTLE POLICE RMT 401 PLAN | 51,743.62 | 5.55 | |
EQUITY FUND—I CLASS | C/O ICMA RETIREMENT CORPORATION | |||
| WASHINGTON DC 20002-4239 | |||
| PORT OF SEATTLE WA | 389,434.26 | 41.75(b) | |
| C/O ICMA RETIREMENT CORPORATION | |||
| WASHINGTON DC 20002-4239 | |||
| T ROWE PRICE RPS INC | 47,151.73 | 5.05 | |
| FBO TRP PLAN |
| ||
| QM GLOBAL EQUITY FUND I |
| ||
INTEGRATED U.S. LARGE- | CHARLES SCHWAB & CO INC | 318,932.68 | 25.11(b) | |
CAP VALUE EQUITY FUND | REINVEST ACCOUNT | |||
INTEGRATED U.S. LARGE- | PERSHING LLC | 6,433.73 | 36.80(b) | |
CAP VALUE EQUITY FUND— | T ROWE PRICE ASSOCIATES | 11,050.00 | 63.20(c) | |
ADVISOR CLASS | ||||
INTEGRATED U.S. LARGE- | T ROWE PRICE RPS INC | 114,112.58 | 14.28 | |
CAP VALUE EQUITY | FBO TRP PLAN |
| ||
FUND—I CLASS | QM US VALUE EQUITY FUND I |
| ||
INTEGRATED U.S. SMALL- | LPL FINANCIAL | 9,770,644.30 | 10.01 | |
CAP GROWTH EQUITY | OMNIBUS CUSTOMER ACCOUNT | |||
FUND | MLPF&S FOR THE SOLE BENEFIT OF | 5,332,856.26 | 5.46 | |
| ITS CUSTOMERS | |||
| MORGAN STANLEY SMITH BARNEY LLC | 10,925,255.93 | 11.19 | |
| FOR THE EXCL BENEFIT OF ITS CUST | |||
| NATIONAL FINANCIAL SERVICES | 15,540,687.09 | 15.92 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 5,992,538.37 | 6.14 | |
| WELLS FARGO CLEARING SERVICES LLC | 6,462,646.36 | 6.62 | |
| SPECIAL CUSTODY ACCT FOR THE | |||
| EXCLUSIVE BENEFIT OF CUSTOMERS | |||
INTEGRATED U.S. SMALL- | JOHN HANCOCK TRUST COMPANY LLC | 118,386.69 | 23.57 | |
CAP GROWTH EQUITY | BOSTON MA 02116-5022 | |||
FUND—ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 92,546.93 | 18.43 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| UMB BANK CUSTODIAN | 246,729.78 | 49.13(b) | |
| SECURITY FINANCIAL RESOURCES | |||
| TOPEKA KS 66636-0001 | |||
INTEGRATED U.S. SMALL- | CHARLES SCHWAB & CO INC | 15,158,456.25 | 16.12 | |
CAP GROWTH EQUITY | EDWARD D JONES & CO | 5,939,570.85 | 6.32 | |
FUND—I CLASS | FOR THE BENEFIT OF CUSTOMERS | |||
| MAC & CO | 13,972,489.31 | 14.86 | |
| NATIONAL FINANCIAL SERVICES | 14,222,882.04 | 15.13 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 5,199,286.66 | 5.53 | |
INTEGRATED U.S. SMALL- | LPL FINANCIAL | 2,147,294.74 | 29.27(b) | |
MID CAP CORE EQUITY | OMNIBUS CUSTOMER ACCOUNT | |||
FUND | PERSHING LLC | 928,935.59 | 12.66 | |
INTEGRATED U.S. SMALL- | CHARLES SCHWAB & CO INC | 2,176.05 | 8.98 | |
MID CAP CORE EQUITY | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
FUND—ADVISOR CLASS | PERSHING LLC | 8,949.34 | 36.91(b) | |
| T ROWE PRICE ASSOCIATES | 9,460.00 | 39.02(c) |
72
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INTEGRATED U.S. SMALL- | CHARLES SCHWAB & CO INC | 1,344,140.07 | 12.57 | |
MID CAP CORE EQUITY | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
FUND—I CLASS | HORIZONDECK & CO | 2,917,764.85 | 27.30(a) | |
| C/O T ROWE PRICE ASSOCIATES INC | |||
| TRP GAF - QM SMID EQUITY |
| ||
| NATIONAL FINANCIAL SERVICES | 562,394.33 | 5.26 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 2,462,207.28 | 23.03 | |
INTERMEDIATE TAX-FREE | CHARLES SCHWAB & CO INC | 750,541.04 | 35.11(b) | |
HIGH YIELD FUND | REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 255,896.14 | 11.97 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 221,278.93 | 10.35 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
INTERMEDIATE TAX-FREE | INTERACTIVE BROKERS LLC | 0.102 | 100.00(b) | |
HIGH YIELD FUND— | GREENWICH CT 06830-5576 |
| ||
ADVISOR CLASS | ||||
INTERMEDIATE TAX-FREE | CHARLES SCHWAB & CO INC | 2,249,761.56 | 37.13(b) | |
HIGH YIELD FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| CINDY PATTERSON | 730,944.42 | 12.06 | |
| VANGUARD BROKERAGE SERVICES | 449,108.25 | 7.41 | |
INTERNATIONAL BOND | CHARLES SCHWAB & CO INC | 811,177.41 | 8.27 | |
FUND (USD HEDGED) | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 760,920.22 | 7.76 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 1,692,041.27 | 17.25 | |
INTERNATIONAL BOND | PERSHING LLC | 27,392.89 | 72.70(b) | |
FUND (USD HEDGED)— | T ROWE PRICE ASSOCIATES | 10,287.50 | 27.30(c) | |
ADVISOR CLASS | ||||
INTERNATIONAL BOND | EDWARD D JONES & CO | 85,898,846.53 | 53.45(b) | |
FUND (USD HEDGED)— | FOR THE BENEFIT OF CUSTOMERS |
| ||
I CLASS | LADYBIRD & CO | 13,775,841.95 | 8.57 | |
| LADYBUG & CO | 10,486,828.46 | 6.53 | |
| NATIONAL FINANCIAL SERVICES | 15,928,378.01 | 9.91 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 10,342,026.53 | 6.44 | |
INTERNATIONAL BOND | RETIREMENT I 2020 FUND | 30,896,063.84 | 5.69 | |
FUND (USD HEDGED)— | T ROWE PRICE ASSOCIATES |
| ||
Z CLASS | RETIREMENT I 2025 FUND | 41,163,849.04 | 7.58 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2030 FUND | 45,646,712.45 | 8.40 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2020 | 63,157,859.98 | 11.63 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 63,676,585.00 | 11.72 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 69,851,712.14 | 12.86 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 30,760,958.37 | 5.66 | |
| T ROWE PRICE ASSOCIATES |
| ||
| SPECTRUM INCOME FUND | 40,249,458.16 | 7.41 | |
| T. ROWE PRICE ASSOCIATES |
|
73
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INTERNATIONAL BOND | CHARLES SCHWAB & CO INC | 3,513,359.25 | 10.19 | |
FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 4,456,110.10 | 12.92 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
INTERNATIONAL BOND | MORGAN STANLEY SMITH BARNEY LLC | 71,933.51 | 16.05 | |
FUND—ADVISOR CLASS | FOR THE EXCL BENEFIT OF ITS CUST | |||
| NATIONAL FINANCIAL SERVICES | 64,248.32 | 14.34 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 147,666.30 | 32.95(b) | |
| OUR CUSTOMERS |
| ||
| VOYA INSTITUTIONAL TRUST COMPANY | 40,106.17 | 8.95 | |
INTERNATIONAL BOND | CHARLES SCHWAB & CO INC | 3,719,963.98 | 6.16 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| EDWARD D JONES & CO | 3,099,397.57 | 5.13 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| HORIZONDECK & CO | 3,980,927.36 | 6.59 | |
| C/O T ROWE PRICE ASSOC |
| ||
| ATTN GLOBAL ALLOCATION FUND |
| ||
| NATIONAL FINANCIAL SERVICES | 3,941,889.03 | 6.53 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 7,182,242.01 | 11.89 | |
| TD AMERITRADE INC FBO | 23,502,820.50 | 38.92(b) | |
| OUR CUSTOMERS |
| ||
INTERNATIONAL BOND | SPECTRUM INCOME FUND | 41,191,142.74 | 100.00(a) | |
FUND—Z CLASS | T. ROWE PRICE ASSOCIATES |
| ||
INTERNATIONAL | CHARLES SCHWAB & CO INC | 2,411,461.96 | 36.97(b) | |
DISCIPLINED EQUITY FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 1,815,200.03 | 27.83(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| RAYMOND JAMES | 950,837.37 | 14.58 | |
| OMNIBUS FOR MUTUAL FUNDS |
| ||
INTERNATIONAL | EMPOWER TRUST FBO | 21,024.94 | 6.41 | |
DISCIPLINED EQUITY | EMPLOYEE BENEFITS CLIENTS 401K |
| ||
FUND—ADVISOR CLASS | FIIOC AS AGENT | 74,338.54 | 22.67 | |
| FBO DENTAL ASSOCIATES OF WALPOLE |
| ||
| 401K PROFIT SHARING PLAN & TRUST |
| ||
| COVINGTON KY 41015-1987 |
| ||
| FIIOC AS AGENT | 57,474.19 | 17.53 | |
| PRO TOOL & SUPPLY, INC AND |
| ||
| PRO EQUIPMENT RENTAL, INC 401K |
| ||
| NATIONAL FINANCIAL SERVICES | 139,363.22 | 42.51(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
INTERNATIONAL | CHARLES SCHWAB & CO INC | 9,154,883.11 | 39.01(b) | |
DISCIPLINED EQUITY | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
FUND—I CLASS | MAC & CO | 4,356,406.58 | 18.56 | |
| NATIONAL FINANCIAL SERVICES | 1,617,936.90 | 6.89 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 3,140,733.55 | 13.38 | |
| TD AMERITRADE INC FBO | 1,190,617.24 | 5.07 | |
| OUR CUSTOMERS |
|
74
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INTERNATIONAL | CHARLES SCHWAB & CO | 2,643,903.91 | 5.48 | |
DISCOVERY FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 13,211,378.66 | 27.38(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 7,639,167.23 | 15.83 | |
INTERNATIONAL | CHARLES SCHWAB & CO INC | 4,669,674.88 | 7.97 | |
DISCOVERY FUND— | REINVEST ACCOUNT |
| ||
I CLASS | EDWARD D JONES & CO | 12,527,504.96 | 21.38 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 13,351,200.20 | 22.79 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
INTERNATIONAL | SPECTRUM DIVERSIFIED EQUITY | 1,228,542.39 | 55.22(a) | |
DISCOVERY FUND— | T. ROWE PRICE ASSOCIATES |
| ||
Z CLASS | SPECTRUM INTERNATIONAL EQUITY | 996,307.06 | 44.78(a) | |
FUND | ||||
| T ROWE PRICE ASSOCIATES |
| ||
INTERNATIONAL EQUITY | MARYLAND COLLEGE INVESTMENT PLAN | 8,290,664.42 | 16.71 | |
INDEX FUND | GLOBAL EQUITY MARKET INDEX | |||
| NATIONAL FINANCIAL SERVICES | 2,577,881.67 | 5.19 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
INTERNATIONAL EQUITY | RETIREMENT BLEND 2020 FUND | 331,910.11 | 6.99 | |
INDEX FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2025 FUND | 546,467.89 | 11.52 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2030 FUND | 646,723.89 | 13.63 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2035 FUND | 761,594.21 | 16.05 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2040 FUND | 738,975.45 | 15.57 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2045 FUND | 603,979.45 | 12.73 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2050 FUND | 508,064.97 | 10.71 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2055 FUND | 256,980.97 | 5.42 | |
| T ROWE PRICE ASSOCIATES |
| ||
INTERNATIONAL STOCK | CHARLES SCHWAB & CO INC | 7,126,436.34 | 7.39 | |
FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 8,328,259.74 | 8.63 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE TRUST CO INC | 5,008,365.71 | 5.19 | |
INTERNATIONAL STOCK | CHARLES SCHWAB & CO INC | 119,903.16 | 15.79 | |
FUND—ADVISOR CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 232,804.59 | 30.65(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| WELLS FARGO CLEARING SERVICES LLC | 44,056.86 | 5.80 | |
| SPECIAL CUSTODY ACCT FOR THE |
| ||
| EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
INTERNATIONAL STOCK | EDWARD D JONES & CO | 117,283,180.72 | 57.75(b) | |
FUND—I CLASS | FOR THE BENEFIT OF CUSTOMERS |
|
75
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INTERNATIONAL STOCK | AMERICAN UNITED LIFE | 78,733.44 | 18.80 | |
FUND—R CLASS | SEPARATE ACCOUNT II |
| ||
| AXA EQUITABLE FOR SA | 36,216.38 | 8.65 | |
| CAPITAL BANK & TRUST COMPANY TTEE | 28,564.93 | 6.82 | |
| PATTCO LLC 401K |
| ||
| GREENWOOD VLG CO 80111-5002 |
| ||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 125,138.90 | 29.88(b) | |
| VARIOUS RETIREMENT PLANS OMNIBUS |
| ||
INTERNATIONAL STOCK | RETIREMENT I 2030 FUND | 30,457,213.71 | 6.12 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2035 FUND | 26,533,776.57 | 5.33 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 32,088,132.41 | 6.44 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 43,007,587.89 | 8.64 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 28,538,174.26 | 5.73 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 46,399,546.87 | 9.32 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 34,786,656.63 | 6.99 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 27,410,895.01 | 5.51 | |
| T ROWE PRICE ASSOCIATES |
| ||
INTERNATIONAL STOCK | FARM BUREAU LIFE INS CO | 1,249,181.91 | 7.37 | |
PORTFOLIO | ATTN MUTUAL FUND ACCOUNTING |
| ||
WEST DES MOINES IA 50266-5997 |
| |||
| NYLIAC | 1,388,264.15 | 8.19 | |
| NYLIM CENTER |
| ||
| PRUCO LIFE INSURANCE COMPANY | 4,033,867.43 | 23.80(d) | |
PLAZ LIFE | ||||
| SECURITY BENEFIT LIFE INS CO | 1,207,870.11 | 7.13 | |
| FBO T ROWE PRICE NO LOAD V A |
| ||
| TRANSAMERICA LIFE INSURANCE | 2,372,674.06 | 14.00 | |
| COMPANY |
| ||
| WRL SERIES LIFE CORPORATE ACCOUNT |
| ||
CEDAR RAPIDS IA 52499-3830 | ||||
INTERNATIONAL VALUE | LPL FINANCIAL | 3,459,928.72 | 12.90 | |
EQUITY FUND | OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 3,769,760.32 | 14.05 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| RAYMOND JAMES | 2,391,839.11 | 8.92 | |
| OMNIBUS FOR MUTUAL FUNDS |
| ||
| WELLS FARGO CLEARING SERVICES LLC | 2,700,104.51 | 10.07 | |
| SPECIAL CUSTODY ACCT FOR THE |
| ||
| EXCLUSIVE BENEFIT OF CUSTOMERS |
|
76
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
INTERNATIONAL VALUE | EMPOWER TRUST FBO | 101,916.90 | 5.25 | |
EQUITY FUND— | EMPLOYEE BENEFITS CLIENTS 401K |
| ||
ADVISOR CLASS | NATIONAL FINANCIAL SERVICES | 101,948.03 | 5.25 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| NATIONWIDE TRUST CO FSB | 105,581.72 | 5.44 | |
| FBO PARTICIPATING RETIREMENT PLANS |
| ||
| STATE STREET BANK AND TRUST AS | 1,111,792.77 | 57.28(b) | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
INTERNATIONAL VALUE | MARYLAND COLLEGE INVESTMENT | 3,578,376.67 | 6.34 | |
EQUITY FUND—I CLASS | PLAN EQUITY PORTFOLIO |
| ||
| T ROWE PRICE FUND ACCOUNTING |
| ||
| PERSHING LLC | 3,472,356.99 | 6.15 | |
| TD AMERITRADE INC FBO | 10,517,624.61 | 18.63 | |
| OUR CUSTOMERS |
| ||
INTERNATIONAL VALUE | DCGT AS TTEE AND/OR CUST FBO PLIC | 130,676.89 | 5.84 | |
EQUITY FUND—R CLASS | VARIOUS RETIREMENT PLANS OMNIBUS |
| ||
| SAMMONS FINANCIAL NETWORK LLC | 1,126,952.77 | 50.37(b) | |
| STATE STREET BANK AND TRUST AS | 635,204.13 | 28.39(b) | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
INTERNATIONAL VALUE | RETIREMENT I 2030 FUND | 37,192,651.39 | 6.04 | |
EQUITY FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2035 FUND | 32,536,705.84 | 5.29 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 39,373,090.54 | 6.40 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 53,550,999.34 | 8.70 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 35,040,478.86 | 5.69 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 57,023,021.08 | 9.26 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 43,559,346.60 | 7.08 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 34,465,784.94 | 5.60 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 30,996,403.03 | 5.04 | |
| T ROWE PRICE ASSOCIATES |
| ||
INVESTMENT-GRADE | ALLEN & COMPANY | 884,678.16 | 13.56 | |
CORPORATE MULTI- | NEW YORK NY 10022-3168 |
| ||
SECTOR ACCOUNT | BALTIMORE EQUITABLE SOCIETY | 787,878.39 | 12.08 | |
PORTFOLIO | ATTN MARY HARLEE |
| ||
| GENERAL DYNAMICS CORP 401K | 3,785,915.85 | 58.04(b) | |
| PLAN MASTER TRUST CP |
| ||
| ILLINOIS STUDENT ASSISTANCE | 1,064,636.60 | 16.32 | |
| COMMISSION |
| ||
| ATTN ROGER ROJAS |
| ||
JAPAN FUND | CHARLES SCHWAB & CO INC | 1,298,740.05 | 6.49 | |
| REINVEST ACCOUNT |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 8,716,268.18 | 43.58(b) | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 1,340,688.91 | 6.70 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
77
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
JAPAN FUND—I CLASS | CHARLES SCHWAB & CO INC | 849,658.14 | 13.28 | |
| SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| J.P. MORGAN SECURITIES LLC | 428,271.04 | 6.69 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 656,602.35 | 10.26 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| S KENNETH LEECH | 666,499.85 | 10.42 | |
| EILEEN STUECK LEECH JT TEN |
| ||
JAPAN FUND—Z CLASS | SPECTRUM INTERNATIONAL EQUITY | 6,591,716.48 | 100.00(a) | |
FUND | ||||
| T ROWE PRICE ASSOCIATES |
| ||
LARGE-CAP GROWTH FUND | LPL FINANCIAL | 1,929,174.72 | 40.00(b) | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 388,439.72 | 8.05 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE RPS INC | 1,227,976.83 | 25.46(e) | |
| OMNIBUS ACCOUNT |
| ||
| TRP LARGE CAP GROWTH - INV CLASS |
| ||
FUND | ||||
LARGE-CAP GROWTH | CHARLES SCHWAB & CO INC | 16,518,253.35 | 5.52 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| EDWARD D JONES & CO | 38,064,651.07 | 12.73 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 73,143,252.34 | 24.46 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TIAA, FSB CUST/TTEE FBO | 18,879,283.85 | 6.31 | |
| RETIREMENT PLANS FOR WHICH |
| ||
| TIAA ACTS AS RECORDKEEPER |
| ||
| ATTN TRUST OPERATIONS |
| ||
| SAINT LOUIS MO 63102-2748 |
| ||
LARGE-CAP VALUE FUND | CHARLES SCHWAB & CO INC | 252,182.69 | 5.57 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 1,058,805.20 | 23.40 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 247,095.23 | 5.46 | |
| VANGUARD FIDUCIARY TRUST COMPANY | 878,950.76 | 19.42 | |
| T ROWE PRICE RETAIL CLASS FUNDS |
| ||
| ATTN OUTSIDE FUNDS |
| ||
LARGE-CAP VALUE | MAC & CO | 13,467,115.78 | 9.35 | |
FUND—I CLASS | ATTN MUTUAL FUND OPERATION |
| ||
| NATIONAL FINANCIAL SERVICES | 56,934,827.80 | 39.54(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TIAA, FSB CUST/TTEE FBO | 27,556,708.27 | 19.14 | |
| RETIREMENT PLANS FOR WHICH |
| ||
| TIAA ACTS AS RECORDKEEPER |
| ||
LATIN AMERICA FUND | CHARLES SCHWAB & CO INC | 1,373,203.06 | 9.23 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 1,630,689.99 | 10.96 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
78
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
LATIN AMERICA FUND— | T ROWE PRICE RPS INC | 483,392.42 | 10.33 | |
I CLASS | FBO TRP PLAN |
| ||
| TRP LATIN AMERICA I |
| ||
| WASHINGTON & CO C/O US BANK NA | 397,964.37 | 8.51 | |
| MILWAUKEE WI 53212-3958 |
| ||
LATIN AMERICA FUND— | SPECTRUM INTERNATIONAL EQUITY | 842,986.57 | 100.00(a) | |
Z CLASS | FUND | |||
| T ROWE PRICE ASSOCIATES |
| ||
LIMITED DURATION | CHARLES SCHWAB & CO INC | 4,189,872.10 | 14.17 | |
INFLATION FOCUSED | REINVEST ACCOUNT |
| ||
BOND FUND | LPL FINANCIAL | 2,553,104.89 | 8.64 | |
| NATIONAL FINANCIAL SERVICES | 2,634,725.31 | 8.91 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 6,019,361.31 | 20.36 | |
LIMITED DURATION | PERSHING LLC | 11,169,997.96 | 5.74 | |
INFLATION FOCUSED | T ROWE PRICE SERVICES INC FBO | 10,964,871.08 | 5.63 | |
BOND FUND—I CLASS | EDUCATION TRUST OF ALASKA |
| ||
| PORTFOLIO 2025-2028 |
| ||
| T ROWE PRICE SERVICES INC FBO | 54,950,102.82 | 28.24(b) | |
| EDUCATION TRUST OF ALASKA |
| ||
| ENROLLMENT PORTFOLIO |
| ||
| T ROWE PRICE SERVICES INC FBO | 81,904,488.99 | 42.09(b) | |
| EDUCATION TRUST OF ALASKA |
| ||
| PORTFOLIO 2021-2024 |
| ||
LIMITED DURATION | RETIREMENT I 2020 FUND | 116,640,219.66 | 9.03 | |
INFLATION FOCUSED | T ROWE PRICE ASSOCIATES |
| ||
BOND FUND—Z CLASS | RETIREMENT I 2025 FUND | 119,780,085.15 | 9.28 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT INCOME PORTFOLIO | 68,943,418.64 | 5.34 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2010 | 82,433,558.26 | 6.39 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2015 | 108,041,267.99 | 8.37 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2020 | 236,982,526.17 | 18.36 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 185,620,855.58 | 14.38 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 88,313,684.32 | 6.84 | |
| T ROWE PRICE ASSOCIATES |
| ||
LIMITED-TERM BOND | EMPOWER ANNUITY INSURANCE | 3,051,280.61 | 8.86 | |
PORTFOLIO | COMPANY OF AMERICA |
| ||
CLIENT PLANS |
| |||
| GREAT-WEST LIFE & ANNUITY INS CO |
| ||
| JPMORGAN CHASE BANK CUST FBO | 11,673,712.71 | 33.90(d) | |
| INTELLIGENT VARIABLE ANNUITY |
| ||
| TIAA-CREF LIFE SEP A/C VA-1 OF |
| ||
TIAA-CREF LIFE INSURANCE CO | ||||
CHARLOTTE NC 28262-8551 | ||||
| NATIONWIDE INSURANCE COMPANY | 5,650,690.02 | 16.41 | |
| NATIONWIDE LIFE INSURANCE COMPANY | 1,916,445.97 | 5.57 | |
| SECURITY BENEFIT LIFE INS CO | 2,064,415.67 | 5.99 | |
| FBO T ROWE PRICE NO LOAD V A |
| ||
| TRANSAMERICA LIFE INSURANCE CO | 2,910,693.73 | 8.45 | |
| EM PRIVATE PLACEMENT ADVANTAGE V |
|
79
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
LIMITED-TERM BOND | JEFFERSON NATIONAL | 3,441,878.51 | 96.35(d) | |
PORTFOLIO—II | LIFE INS CO | |||
MARYLAND SHORT-TERM | CHARLES SCHWAB & CO INC | 2,268,131.18 | 17.65 | |
TAX-FREE BOND FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 1,376,453.39 | 10.71 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 2,427,141.85 | 18.89 | |
| TD AMERITRADE INC FBO | 757,042.25 | 5.89 | |
| OUR CUSTOMERS |
| ||
MARYLAND TAX-FREE | CHARLES SCHWAB & CO INC | 9,338,488.69 | 9.30 | |
BOND FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 19,238,669.74 | 19.17 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
MARYLAND TAX-FREE | SAXON & CO | 6,779,665.48 | 5.53 | |
BOND FUND—I CLASS | CLEVELAND OH 44101-4597 |
| ||
MARYLAND TAX-FREE | LPL FINANCIAL | 1,044,879.10 | 5.06 | |
MONEY FUND | OMNIBUS CUSTOMER ACCOUNT |
| ||
| RBC CAPITAL MARKETS, LLC | 1,450,024.18 | 7.02 | |
| MUTUAL FUND OMNIBUS PROCESSING |
| ||
| ATTN MUTUAL FUND OPS MANAGER |
| ||
| MINNEAPOLIS MN 55401-1931 |
| ||
MARYLAND TAX-FREE | ARNOLD SAGNER AGENT POA | 5,809,100.70 | 7.34 | |
MONEY FUND—I CLASS | MONICA SAGNER TR |
| ||
| MONICA SAGNER REVOCABLE TRUST |
| ||
| BARBARA T TICE T O D | 6,114,513.98 | 7.73 | |
| MARY JOHN MILLER | 11,124,685.77 | 14.06 | |
| JAMES D MILLER JT TEN |
| ||
MID-CAP GROWTH FUND | CHARLES SCHWAB & CO INC | 8,419,261.48 | 6.48 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERV CORP | 23,092,862.91 | 17.79 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE TRUST CO | 22,328,700.05 | 17.20 | |
| ATTN ASSET RECONCILIATIONS |
| ||
| WELLS FARGO CLEARING SERVICES LLC | 12,444,740.84 | 9.58 | |
| SPECIAL CUSTODY ACCT FOR THE |
| ||
| EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
MID-CAP GROWTH FUND— | CHARLES SCHWAB & CO INC | 144,128.07 | 5.28 | |
ADVISOR CLASS | REINVEST ACCOUNT |
| ||
| DCGT AS TTEE AND/OR CUST | 140,774.80 | 5.16 | |
| FBO PLIC VARIOUS RETIREMENT PLANS |
| ||
| LINCOLN RETIREMENT SERVICES | 155,561.91 | 5.70 | |
COMPANY | ||||
| FBO UNIVERSITY HOSPITAL 401K PLAN |
| ||
| MATRIX TRUST COMPANY CUST FBO | 157,250.57 | 5.76 | |
| VERMEER CORPORATION 401(K) RETIRE |
| ||
| NATIONAL FINANCIAL SERVICES | 1,025,193.52 | 37.56(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
MID-CAP GROWTH | CHARLES SCHWAB & CO INC | 15,316,602.48 | 12.72 | |
FUND—I CLASS | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 15,323,819.01 | 12.73 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
80
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
MID-CAP GROWTH | AMERICAN UNITED LIFE | 51,647.72 | 14.08 | |
FUND—R CLASS | SEPARATE ACCOUNT II |
| ||
| EMPOWER TRUST COMPANY LLC | 28,843.74 | 7.86 | |
| VARIOUS FASCORE LLC RECORDKEPT |
| ||
| EMPOWER TRUST FBO | 22,350.44 | 6.09 | |
| RECORDKEEPING FOR VARIOUS BENEFIT |
| ||
| NATIONAL FINANCIAL SERVICES | 44,325.39 | 12.08 | |
| NATIONWIDE TRUST CO FSB | 34,585.53 | 9.43 | |
| STATE STREET BANK AND TRUST AS | 25,079.32 | 6.84 | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
| VOYA RETIREMENT INS & ANNUITY CO | 60,588.02 | 16.52 | |
| WINDSOR CT 06095-4774 |
| ||
MID-CAP GROWTH | RETIREMENT I 2030 FUND | 3,243,721.66 | 6.44 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2035 FUND | 2,777,110.69 | 5.51 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 3,362,815.72 | 6.67 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 4,465,085.02 | 8.86 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 3,073,603.69 | 6.10 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 4,895,083.36 | 9.71 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 3,590,231.72 | 7.12 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 2,797,519.02 | 5.55 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 2,536,497.46 | 5.03 | |
| T ROWE PRICE ASSOCIATES |
| ||
MID-CAP GROWTH | C M LIFE INSURANCE CO | 2,064,281.65 | 12.78 | |
PORTFOLIO | ATTN FUND OPERATIONS |
| ||
| SPRINGFIELD MA 01111-0001 |
| ||
| FARM BUREAU LIFE INS CO | 926,294.00 | 5.74 | |
| ATTN MUTUAL FUND ACCOUNTING |
| ||
| M M L BAYSTATE LIFE INS CO | 1,624,476.61 | 10.06 | |
| ATTN RS FUND OPERATIONS |
| ||
SPRINGFIELD MA 01111-0001 | ||||
| MASS MUTUAL LIFE INS CO | 2,117,267.30 | 13.11 | |
| ATTN FUND OPERATIONS |
| ||
MODERN WOODMEN OF AMERICA | 3,170,617.08 | 19.63 | ||
ATTN MUTUAL FUNDS ACCTG | ||||
| SECURITY BENEFIT LIFE INS CO | 2,360,778.63 | 14.62 | |
| FBO T ROWE PRICE NO LOAD V A |
| ||
MID-CAP GROWTH | LINCOLN NATIONAL LIFE INS CO | 178,818.10 | 8.55 | |
PORTFOLIO—II | ATTN CAMMIE KLINE |
| ||
| FORT WAYNE IN 46802-3506 |
| ||
| NATIONWIDE INSURANCE COMPANY | 1,231,472.01 | 58,87(d) | |
| NATIONWIDE LIFE INSURANCE COMPANY | 653,737.07 | 31.25(d) | |
MID-CAP INDEX FUND | T ROWE PRICE ASSOCIATES | 12,131.23 | 100.00(c) |
81
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
MID-CAP INDEX FUND— | EDUCATION TRUST OF ALASKA | 483,975.28 | 7.98 | |
I CLASS | ACT PORTFOLIO |
| ||
| C/O T ROWE PRICE ASSOCIATES |
| ||
| EDUCATION TRUST OF ALASKA | 2,415,163.88 | 39.80(b) | |
| TOTAL EQUITY MARKET INDEX |
| ||
PORTFOLIO | ||||
| C/O T ROWE PRICE ASSOCIATES |
| ||
| MARYLAND COLLEGE INVESTMENT PLAN | 1,127,375.05 | 18.58 | |
| EXTENDED EQUITY INDEX PORTFOLIO |
| ||
| MARYLAND COLLEGE INVESTMENT PLAN | 1,730,603.44 | 28.52(b) | |
| GLOBAL EQUITY MARKET INDEX |
| ||
MID-CAP INDEX FUND— | RETIREMENT BLEND 2020 FUND | 81,222.64 | 6.99 | |
Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2025 FUND | 134,865.65 | 11.61 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2030 FUND | 159,021.91 | 13.69 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2035 FUND | 187,566.80 | 16.15 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2040 FUND | 181,209.78 | 15.60 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2045 FUND | 146,005.64 | 12.57 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2050 FUND | 124,008.23 | 10.68 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT BLEND 2055 FUND | 62,395.04 | 5.37 | |
| T ROWE PRICE ASSOCIATES |
| ||
MID-CAP VALUE FUND | CHARLES SCHWAB & CO INC | 7,104,204.56 | 5.08 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 22,888,585.61 | 16.36 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE RPS INC | 11,178,234.65 | 7.99 | |
| PLAN OMNIBUS ACCT |
| ||
| NEW BUSINESS GROUP |
| ||
MID-CAP VALUE FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 128,222.60 | 5.26 | |
ADVISOR CLASS | VARIOUS RETIREMENT PLANS OMNIBUS |
| ||
| EMPOWER TRUST COMPANY LLC | 171,347.77 | 7.02 | |
| RECORDKEEPING FOR LARGE BENEFIT PL |
| ||
| LINCOLN RETIREMENT SERVICES | 163,746.47 | 6.71 | |
COMPANY | ||||
| FBO CAROLINAEAST MEDICAL CENTER |
| ||
| NATIONAL FINANCIAL SERVICES | 470,959.57 | 19.30 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| STATE STREET BANK AND TRUST AS | 409,275.66 | 16.77 | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
MID-CAP VALUE FUND— | CHARLES SCHWAB & CO INC | 8,886,997.49 | 5.75 | |
I CLASS | EDWARD D JONES & CO | 9,366,599.42 | 6.06 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| NATIONAL FINANCIAL SERVICES | 20,807,326.47 | 13.46 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
|
82
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
MID-CAP VALUE FUND— | NATIONWIDE TRUST CO FSB | 1,825,645.09 | 42.70(b) | |
R CLASS | STATE STREET BANK AND TRUST AS | 1,711,745.43 | 40.04(b) | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
MID-CAP VALUE FUND— | RETIREMENT I 2030 FUND | 9,178,661.88 | 6.14 | |
Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2035 FUND | 8,009,084.94 | 5.36 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2040 FUND | 9,637,247.81 | 6.45 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2040 | 13,337,879.52 | 8.93 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 8,879,963.37 | 5.94 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 14,348,156.94 | 9.60 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 10,858,454.41 | 7.27 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 8,471,557.88 | 5.67 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 7,619,030.51 | 5.10 | |
| T ROWE PRICE ASSOCIATES |
| ||
MODERATE ALLOCATION | AMERICAN NATIONAL GROUP | 508,627.78 | 5.70 | |
PORTFOLIO | UNALLOCATED VA CORP |
| ||
| ATTN JOHN BURCHETT |
| ||
8TH FLOOR CONTROLLERS DEPT | ||||
| FARM BUREAU LIFE INS CO | 913,093.96 | 10.22 | |
| ATTN MUTUAL FUND ACCOUNTING |
| ||
MODERN WOODMEN OF AMERICA | 2,031,298.68 | 22.74 | ||
ATTN PRODUCT VALUATION | ||||
PARAGON LIFE INSURANCE CO | 1,207,539.15 | 13.52 | ||
| SECURITY BENEFIT LIFE INS CO | 1,619,345.10 | 18.13 | |
| FBO T ROWE PRICE NO LOAD V A |
| ||
MORTGAGE-BACKED | ALLEN & COMPANY | 1,297,885.24 | 9.03 | |
SECURITIES MULTI-SECTOR | BALTIMORE EQUITABLE SOCIETY | 1,320,843.23 | 9.19 | |
ACCOUNT PORTFOLIO | ATTN MARY HARLEE |
| ||
| GENERAL DYNAMICS CORP 401K | 6,318,837.23 | 43.98(b) | |
| PLAN MASTER TRUST CP |
| ||
| ILLINOIS STUDENT ASSISTANCE | 1,790,685.44 | 12.46 | |
| COMMISSION |
| ||
| ATTN ROGER ROJAS |
| ||
| XCEL ENERGY INC. | 3,639,690.37 | 25.33(b) | |
| ATTN GREG ZICK |
| ||
MULTI-STRATEGY TOTAL | CHARLES SCHWAB & CO INC | 427,983.41 | 12.10 | |
RETURN FUND | SPECIAL CUSTODY A/C FBO CUSTOMERS |
| ||
| LPL FINANCIAL | 498,778.63 | 14.10 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 368,522.88 | 10.42 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 490,969.00 | 13.88 | |
| TD AMERITRADE INC FBO | 414,838.93 | 11.73 | |
| OUR CUSTOMERS |
| ||
| VANGUARD BROKERAGE SERVICES | 283,635.55 | 8.02 |
83
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
MULTI-STRATEGY TOTAL | HORIZONDECK & CO | 3,026,953.63 | 9.29 | |
RETURN FUND—I CLASS | C/O T ROWE PRICE ASSOCIATES INC |
| ||
| ATTN TRP GLOBAL ALLOCATION FUND |
| ||
| LADYBIRD & CO | 10,579,655.20 | 32.49(a) | |
| LADYBUG & CO | 8,130,163.98 | 24.97 | |
| LAKESIDE & CO | 7,699,372.55 | 23.64 | |
NEW ASIA FUND | CHARLES SCHWAB & CO INC | 6,608,191.18 | 8.59 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 10,759,863.90 | 13.99 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
NEW ASIA FUND—I CLASS | CHARLES SCHWAB & CO INC | 7,491,488.83 | 8.54 | |
| REINVEST ACCOUNT |
| ||
| J.P. MORGAN SECURITIES LLC | 26,835,048.00 | 30.60(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| MITRA & CO FBO VA | 6,020,310.38 | 6.87 | |
| MILWAUKEE WI 53223-2422 |
| ||
NEW ASIA FUND—Z CLASS | SPECTRUM INTERNATIONAL | 11,050,315.77 | 100.00(a) | |
EQUITY FUND | ||||
| T ROWE PRICE ASSOCIATES |
| ||
NEW ERA FUND | CHARLES SCHWAB & CO INC | 1,920,768.01 | 5.66 | |
| REINVEST ACCOUNT |
| ||
| LPL FINANCIAL | 1,733,626.99 | 5.11 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 3,532,213.85 | 10.41 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| WELLS FARGO CLEARING SERVICES LLC | 1,739,537.05 | 5.12 | |
| SPECIAL CUSTODY ACCT FOR THE |
| ||
| EXCLUSIVE BENEFIT OF CUSTOMERS |
| ||
NEW ERA FUND—I CLASS | NATIONAL FINANCIAL SERVICES | 14,775,344.05 | 37.28(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 3,465,117.06 | 8.74 | |
| OUR CUSTOMERS |
| ||
NEW HORIZONS FUND | CHARLES SCHWAB & CO INC | 10,711,218.29 | 5.29 | |
| REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 41,601,777.88 | 20.54 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| T ROWE PRICE TRUST CO INC | 32,320,912.66 | 15.96 | |
NEW HORIZONS FUND— | NATIONAL FINANCIAL SERVICES | 45,634,918.55 | 19.86 | |
I CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS |
84
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
NEW HORIZONS FUND— | RETIREMENT I 2030 FUND | 2,537,268.62 | 6.22 | |
Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 2,163,403.49 | 5.31 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 2,611,601.02 | 6.41 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2045 FUND | 2,037,795.66 | 5.00 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 3,501,683.22 | 8.59 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 2,350,248.46 | 5.76 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 3,815,323.68 | 9.36 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 2,838,202.36 | 6.96 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2045 | 2,265,012.76 | 5.56 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2050 | 2,075,375.14 | 5.09 | |
| T ROWE PRICE ASSOCIATES |
| ||
NEW INCOME FUND | NATIONAL FINANCIAL SERVICES | 6,031,287.37 | 5.91 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 5,712,396.33 | 5.60 | |
| T ROWE PRICE TRUST CO INC | 8,759,546.60 | 8.58 | |
NEW INCOME FUND— | EMPOWER TRUST FBO | 96,486.80 | 8.40 | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K |
| ||
| MORGAN STANLEY SMITH BARNEY LLC | 101,259.44 | 8.82 | |
| FOR THE EXCL BENEFIT OF ITS CUST |
| ||
| NATIONAL FINANCIAL SERVICES | 69,863.72 | 6.08 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| PERSHING LLC | 175,445.99 | 15.28 | |
| STATE STREET BANK AND TRUST AS | 60,788.21 | 5.29 | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
| VANTAGEPOINT ROTH IRA | 60,405.76 | 5.26 | |
| VANTAGEPOINT TRADITIONAL IRA | 260,983.68 | 22.72 | |
NEW INCOME FUND— | EDUCATION TRUST OF ALASKA | 25,006,305.96 | 7.71 | |
I CLASS | PORTFOLIO 2024 |
| ||
| C/O T ROWE PRICE ASSOCIATES |
| ||
| EDWARD D JONES & CO | 20,548,618.28 | 6.33 | |
| FOR THE BENEFIT OF CUSTOMERS |
| ||
| PERSHING LLC | 33,103,152.68 | 10.20 | |
| T ROWE PRICE SERVICES INC FBO | 31,246,542.32 | 9.63 | |
| EDUCATION TRUST OF ALASKA |
| ||
| PORTFOLIO FOR EDUCATION TODAY |
| ||
NEW INCOME FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 14,913.96 | 10.72 | |
R CLASS | VARIOUS RETIREMENT PLANS OMNIBUS |
| ||
| MATRIX TRUST COMPANY CUST FBO | 17,122.61 | 12.30 | |
| FAMILY HOME OFFICE LLC 401(K) PLAN |
| ||
| NATIONWIDE TRUST CO FSB | 19,468.66 | 13.99 | |
| STATE STREET BANK AND TRUST AS | 70,776.72 | 50.85(b) | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
|
85
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
NEW INCOME FUND— | RETIREMENT I 2020 FUND | 84,812,427.02 | 5.76 | |
Z CLASS | T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2025 FUND | 112,512,484.49 | 7.64 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT I 2030 FUND | 125,174,508.78 | 8.50 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2020 | 174,573,315.23 | 11.86 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2025 | 175,398,360.81 | 11.92 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2030 | 192,596,936.91 | 13.09 | |
| T ROWE PRICE ASSOCIATES |
| ||
| RETIREMENT PORTFOLIO 2035 | 82,213,560.20 | 5.59 | |
| T ROWE PRICE ASSOCIATES |
| ||
| SPECTRUM INCOME FUND | 99,642,098.85 | 6.77 | |
| T. ROWE PRICE ASSOCIATES |
| ||
NEW JERSEY TAX-FREE | CHARLES SCHWAB & CO INC | 1,164,638.41 | 6.29 | |
BOND FUND | REINVEST ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 7,487,989.48 | 40.44(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
NEW JERSEY TAX-FREE | SAXON & CO | 1,106,826.34 | 9.44 | |
BOND FUND—I CLASS | ||||
NEW YORK TAX-FREE | CHARLES SCHWAB & CO INC | 1,509,782.55 | 7.65 | |
BOND FUND | REINVEST ACCOUNT | |||
| MLPF&S FOR THE SOLE BENEFIT OF | 1,035,700.99 | 5.25 | |
| ITS CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 2,313,266.20 | 11.72 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TD AMERITRADE INC FBO | 1,026,540.02 | 5.20 | |
| OUR CUSTOMERS | |||
NEW YORK TAX-FREE | CHARLES SCHWAB & CO INC | 1,586,570.42 | 7.62 | |
BOND FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
OVERSEAS STOCK FUND | NATIONAL FINANCIAL SERVICES | 31,613,727.31 | 7.17 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| RAYMOND JAMES | 74,597,152.10 | 16.91 | |
| OMNIBUS FOR MUTUAL FUNDS | |||
| WELLS FARGO CLEARING SERVICES LLC | 239,217,670.51 | 54.24(b) | |
| SPECIAL CUSTODY ACCT FOR THE | |||
| EXCLUSIVE BENEFIT OF CUSTOMERS | |||
OVERSEAS STOCK FUND— | NATIONAL FINANCIAL SERVICES | 36,840,795.42 | 93.88(b) | |
ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
OVERSEAS STOCK | CHARLES SCHWAB & CO INC | 34,011,343.64 | 7.60 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| CHARLES SCHWAB & CO INC | 36,075,122.23 | 8.06 | |
| EDWARD D JONES & CO | 59,188,335.77 | 13.22 | |
| FOR THE BENEFIT OF CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 80,480,646.44 | 17.98 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| WELLS FARGO BANK NA FBO | 28,482,866.98 | 6.36 | |
| OMNIBUS CASH |
86
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
OVERSEAS STOCK | RETIREMENT I 2030 FUND | 55,198,021.00 | 6.30 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 48,293,711.31 | 5.51 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 58,232,735.17 | 6.64 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2045 FUND | 44,493,886.96 | 5.07 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 78,620,425.81 | 8.97 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 52,479,574.99 | 5.99 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 85,053,963.78 | 9.70 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 63,932,424.18 | 7.29 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2045 | 50,109,433.12 | 5.71 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2050 | 44,957,096.92 | 5.13 | |
| T ROWE PRICE ASSOCIATES |
| ||
QM U.S. BOND ETF | CITIGROUP GLOBAL MARKETS INC. | 400,000 | 42.11(f) | |
| CHARLES SCHWAB & CO INC | 228,470 | 24.05 | |
| U.S. BANK N/A | 270,843 | 28.51 | |
| MILWAUKEE, WI 53226 |
| ||
QM U.S. BOND INDEX FUND | CHARLES SCHWAB & CO INC | 7,065,106.15 | 10.68 | |
| REINVEST ACCOUNT | |||
| LPL FINANCIAL | 5,331,530.57 | 8.06 | |
| OMNIBUS CUSTOMER ACCOUNT |
| ||
| NATIONAL FINANCIAL SERVICES | 16,836,319.61 | 25.46(b) | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
QM U.S. BOND INDEX | EDUCATION TRUST OF ALASKA | 9,673,353.12 | 17.49 | |
FUND—I CLASS | ACT PORTFOLIO | |||
| C/O T ROWE PRICE ASSOCIATES | |||
| T ROWE PRICE CHARITABLE | 2,980,003.51 | 5.39 | |
| BALANCED INDEX POOL | |||
QM U.S. BOND INDEX | RETIREMENT BLEND 2015 FUND | 249,265.12 | 5.61 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2020 FUND | 871,606.37 | 19.62 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2025 FUND | 1,199,277.35 | 27.00(a) | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2030 FUND | 939,432.62 | 21.15 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2035 FUND | 612,091.45 | 13.78 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2040 FUND | 233,007.99 | 5.25 | |
| T ROWE PRICE ASSOCIATES | |||
REAL ASSETS FUND | NATIONAL FINANCIAL SERVICES | 1,183,836.37 | 11.28 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 848,568.65 | 8.09 | |
| RAYMOND JAMES | 3,667,947.61 | 34.96(b) | |
| OMNIBUS FOR MUTUAL FUNDS |
87
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
REAL ASSETS FUND— | BREAD & CO | 9,768,046.07 | 16.41 | |
I CLASS | C/O T ROWE PRICE ASSOC | |||
| ATTN BALANCED FUND | |||
| LADYBUG & CO | 4,250,306.06 | 7.14 | |
| LAKESIDE & CO | 8,841,064.63 | 14.85 | |
REAL ASSETS FUND— | RETIREMENT I 2030 FUND | 26,498,231.04 | 6.30 | |
Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 22,939,343.13 | 5.45 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 27,704,550.53 | 6.58 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2045 FUND | 21,115,322.98 | 5.02 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 37,259,198.78 | 8.85 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 24,684,520.96 | 5.86 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 40,138,659.22 | 9.54 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 29,942,411.69 | 7.11 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2045 | 24,111,871.37 | 5.73 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2050 | 21,435,624.78 | 5.09 | |
| T ROWE PRICE ASSOCIATES |
| ||
REAL ESTATE FUND | CHARLES SCHWAB & CO INC | 3,117,740.27 | 5.25 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 17,011,791.86 | 28.67(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
REAL ESTATE FUND— | CHARLES SCHWAB & CO INC | 73,640.22 | 6.10 | |
ADVISOR CLASS | REINVEST ACCOUNT | |||
| EMPOWER TRUST FBO | 202,741.79 | 16.81 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 254,018.45 | 21.06 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 71,606.31 | 5.94 | |
REAL ESTATE FUND— | INTERNATIONAL PAPER COMPANY | 2,286,634.51 | 7.92 | |
I CLASS | MODERATE PORTFOLIO |
| ||
| STAMFORD CT 06901-3284 |
| ||
| NATIONAL FINANCIAL SERVICES | 1,888,930.74 | 6.55 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
RETIREMENT 2005 FUND | NATIONAL FINANCIAL SERVICES | 6,845,924.47 | 8.55 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 4,998,157.82 | 6.24 | |
| OMNIBUS ACCOUNT - RETIREMENT |
88
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT 2005 FUND— | NATIONAL FINANCIAL SERV CORP | 375,742.15 | 13.07 | |
ADVISOR CLASS | FOR EXCLUSIVE BENEFIT OF OUR | |||
| CUSTOMERS | |||
| RUSS LENNON | |||
| RELIANCE TRUST COMPANY FBO | 222,566.61 | 7.74 | |
| RETIREMENT PLANS SERVICED BY | |||
METLIFE | ||||
| GREENWOOD VLG CO 80111-5002 | |||
| VANTAGEPOINT ROTH IRA | 165,303.53 | 5.75 | |
| VANTAGEPOINT TRADITIONAL IRA | 1,005,918.21 | 34.98(b) | |
RETIREMENT 2005 | AXA EQUITABLE FOR SA | 265,573.25 | 8.26 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 1,746,586.24 | 54.30(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VOYA RETIREMENT INS & ANNUITY CO | 523,672.46 | 16.28 | |
RETIREMENT 2010 FUND | NATIONAL FINANCIAL SERVICES | 13,981,009.55 | 8.10 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
RETIREMENT 2010 FUND— | EMPOWER TRUST COMPANY LLC | 1,088,816.72 | 10.25 | |
ADVISOR CLASS | EMPOWER BENEFIT PLANS | |||
| LINCOLN FINANCIAL GROUP TRUST CO | 701,926.01 | 6.61 | |
| FBO ROLLOVER IRA PLANS | |||
| CONCORD NH 03301-3258 | |||
| NATIONAL FINANCIAL SERVICES | 789,701.45 | 7.43 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 593,354.72 | 5.59 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER | |||
| VANTAGEPOINT TRADITIONAL IRA | 621,529.90 | 5.85 | |
RETIREMENT 2010 | AXA EQUITABLE FOR SA | 335,178.92 | 5.09 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 3,340,618.44 | 50.77(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT |
| ||
RETIREMENT 2015 FUND | NATIONAL FINANCIAL SERVICES | 28,419,566.65 | 8.90 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 20,279,575.62 | 6.35 | |
| OMNIBUS ACCOUNT - RETIREMENT | |||
RETIREMENT 2015 FUND— | LINCOLN FINANCIAL GROUP TRUST CO | 1,231,556.21 | 8.20 | |
ADVISOR CLASS | FBO ROLLOVER IRA PLANS | |||
| NATIONAL FINANCIAL SERV CORP | 2,812,285.35 | 18.72 | |
| FOR EXCLUSIVE BENEFIT OF OUR | |||
| CUSTOMERS | |||
| RUSS LENNON | |||
| VALIC SEPARATE ACCOUNT A | 1,128,734.84 | 7.51 | |
| HOUSTON TX 77019-2107 | |||
| VANTAGEPOINT TRADITIONAL IRA | 1,118,984.28 | 7.45 | |
RETIREMENT 2015 | AXA EQUITABLE FOR SA | 1,026,023.63 | 8.80 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 5,626,945.03 | 48.26(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VOYA RETIREMENT INS & ANNUITY CO | 942,493.08 | 8.08 |
89
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT 2020 FUND | NATIONAL FINANCIAL SERVICES | 70,270,273.03 | 13.53 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 50,482,761.08 | 9.72 | |
| OMNIBUS ACCOUNT | |||
| RETIREMENT 2020 | |||
RETIREMENT 2020 FUND— | CHARLES SCHWAB & CO INC | 2,390,405.99 | 5.27 | |
ADVISOR CLASS | REINVEST ACCOUNT | |||
| EMPOWER TRUST FBO | 2,465,793.00 | 5.44 | |
| EMPOWER BENEFIT PLANS | |||
| NATIONAL FINANCIAL SERVICES | 6,196,961.38 | 13.67 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 2,328,963.38 | 5.14 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
RETIREMENT 2020 | STATE STREET BANK AND TRUST AS | 19,791,226.63 | 51.72(b) | |
FUND—R CLASS | TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
RETIREMENT 2025 FUND | NATIONAL FINANCIAL SERVICES | 110,097,817.02 | 16.49 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 93,332,520.12 | 13.98 | |
| OMNIBUS ACCOUNT - RETIREMENT | |||
RETIREMENT 2025 FUND— | EMPOWER TRUST FBO | 3,698,771.19 | 6.72 | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERV CORP | 11,070,996.61 | 20.11 | |
| FOR EXCLUSIVE BENEFIT OF OUR | |||
| CUSTOMERS | |||
| RUSS LENNON | |||
| STATE STREET BANK AND TRUST AS | 3,406,229.72 | 6.19 | |
| TRUSTEE AND/OR CUSTODIAN |
| ||
| FBO ADP ACCESS PRODUCT |
| ||
| VALIC SEPARATE ACCOUNT A | 4,178,840.42 | 7.59 | |
RETIREMENT 2025 | AXA EQUITABLE FOR SA | 4,874,985.00 | 9.04 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 27,476,997.28 | 50.94(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VOYA RETIREMENT INS & ANNUITY CO | 4,399,174.51 | 8.15 | |
RETIREMENT 2030 FUND | NATIONAL FINANCIAL SERVICES | 95,323,592.03 | 16.48 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 80,210,619.83 | 13.86 | |
| OMNIBUS ACCOUNT | |||
| RETIREMENT 2030 |
90
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT 2030 FUND— | CHARLES SCHWAB & CO INC | 3,830,708.91 | 5.55 | |
ADVISOR CLASS | REINVEST ACCOUNT | |||
| EMPOWER TRUST COMPANY LLC | 4,038,025.98 | 5.85 | |
| EMPOWER BENEFIT PLANS | |||
| EMPOWER TRUST FBO | 4,011,818.57 | 5.81 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 9,725,753.20 | 14.10 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 4,491,608.74 | 6.51 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
RETIREMENT 2030 | AXA EQUITABLE FOR SA | 3,821,540.10 | 5.98 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 34,484,851.42 | 53.95(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
RETIREMENT 2035 FUND | NATIONAL FINANCIAL SERVICES | 84,116,275.74 | 17.03 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 73,091,139.19 | 14.79 | |
| OMNIBUS ACCOUNT - RETIREMENT | |||
RETIREMENT 2035 FUND— | EMPOWER TRUST FBO | 2,883,656.96 | 5.93 | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERV CORP | 10,287,334.15 | 21.15 | |
| FOR EXCLUSIVE BENEFIT OF OUR | |||
| CUSTOMERS | |||
| RUSS LENNON | |||
| STATE STREET BANK AND TRUST AS | 2,990,671.64 | 6.15 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VALIC SEPARATE ACCOUNT A | 3,633,525.74 | 7.47 | |
RETIREMENT 2035 | AXA EQUITABLE FOR SA | 4,974,647.37 | 9.35 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 28,627,474.20 | 53.82(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VOYA RETIREMENT INS & ANNUITY CO | 3,522,727.97 | 6.62 | |
RETIREMENT 2040 FUND | CHARLES SCHWAB & CO INC | 19,507,526.18 | 5.31 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 62,709,080.32 | 17.06 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 49,609,096.85 | 13.49 | |
| OMNIBUS ACCOUNT | |||
| RETIREMENT 2040 |
91
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT 2040 FUND— | CHARLES SCHWAB & CO INC | 2,511,685.07 | 5.16 | |
ADVISOR CLASS | REINVEST ACCOUNT | |||
| EMPOWER TRUST FBO | 2,488,406.57 | 5.12 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| EMPOWER TRUST FBO | 2,688,110.85 | 5.53 | |
| EMPOWER BENEFIT PLANS | |||
| NATIONAL FINANCIAL SERVICES | 6,660,515.99 | 13.70 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 3,337,435.98 | 6.86 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VALIC SEPARATE ACCOUNT A | 2,472,289.67 | 5.08 | |
RETIREMENT 2040 | AXA EQUITABLE FOR SA | 2,694,833.53 | 5.77 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 26,802,996.64 | 57.37(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
RETIREMENT 2045 FUND | CHARLES SCHWAB & CO INC | 16,401,009.43 | 5.12 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 60,257,626.52 | 18.82 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 46,223,125.63 | 14.44 | |
| OMNIBUS ACCOUNT - RETIREMENT | |||
RETIREMENT 2045 FUND— | EMPOWER TRUST FBO | 2,068,247.49 | 5.64 | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERV CORP | 8,359,442.88 | 22.82 | |
| FOR EXCLUSIVE BENEFIT OF OUR | |||
| CUSTOMERS | |||
| RUSS LENNON | |||
| STATE STREET BANK AND TRUST AS | 2,360,996.52 | 6.44 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VALIC SEPARATE ACCOUNT A | 2,747,628.50 | 7.50 | |
RETIREMENT 2045 | AXA EQUITABLE FOR SA | 3,568,344.56 | 9.03 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 22,515,980.03 | 56.96(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VOYA RETIREMENT INS & ANNUITY CO | 2,789,039.80 | 7.06 | |
RETIREMENT 2050 FUND | CHARLES SCHWAB & CO INC | 20,795,305.65 | 6.73 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 68,399,412.63 | 22.14 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 43,223,069.23 | 13.99 | |
| OMNIBUS ACCOUNT - RETIREMENT |
92
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT 2050 FUND— | CHARLES SCHWAB & CO INC | 2,914,797.59 | 5.40 | |
ADVISOR CLASS | REINVEST ACCOUNT | |||
| EMPOWER TRUST FBO | 2,770,590.39 | 5.13 | |
| EMPOWER BENEFIT PLANS | |||
| NATIONAL FINANCIAL SERVICES | 9,142,346.40 | 16.92 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 4,495,834.88 | 8.32 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VALIC SEPARATE ACCOUNT A | 2,888,312.10 | 5.35 | |
RETIREMENT 2050 | AXA EQUITABLE FOR SA | 3,317,007.05 | 6.25 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 31,741,330.30 | 59.81(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
RETIREMENT 2055 FUND | NATIONAL FINANCIAL SERVICES | 38,650,066.20 | 20.99 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 26,868,373.67 | 14.59 | |
| OMNIBUS ACCOUNT - RETIREMENT | |||
RETIREMENT 2055 FUND— | EMPOWER TRUST FBO | 1,977,316.90 | 7.04 | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERV CORP | 7,543,724.09 | 26.84(b) | |
| FOR EXCLUSIVE BENEFIT OF OUR | |||
| CUSTOMERS | |||
| RUSS LENNON | |||
| STATE STREET BANK AND TRUST AS | 2,312,261.94 | 8.23 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VALIC SEPARATE ACCOUNT A | 1,525,216.65 | 5.43 | |
RETIREMENT 2055 | AXA EQUITABLE FOR SA | 2,838,977.41 | 9.50 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 18,393,599.50 | 61.53(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VOYA RETIREMENT INS & ANNUITY CO | 1,612,174.75 | 5.39 | |
RETIREMENT 2060 FUND | CHARLES SCHWAB & CO INC | 4,962,431.56 | 5.52 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 18,141,410.14 | 20.20 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 14,629,999.66 | 16.29 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT 2060 | |||
RETIREMENT 2060 FUND— | NATIONAL FINANCIAL SERVICES | 1,972,537.73 | 13.68 | |
ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 976,036.45 | 6.77 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| STATE STREET BANK CUSTODIAN FBO | 725,366.72 | 5.03 | |
| ACCESS LARGE MARKET 401K | |||
| BOSTON MA 02111-2901 | |||
| VALIC SEPARATE ACCOUNT A | 1,488,442.27 | 10.32 |
93
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT 2060 | AXA EQUITABLE FOR SA | 1,007,245.89 | 7.19 | |
FUND—R CLASS | STATE STREET BANK AND TRUST AS | 8,200,376.96 | 58.57(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
RETIREMENT 2065 FUND | DCGT AS TTEE AND/OR CUST FBO PLIC | 1,276,421.02 | 10.29 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 1,183,883.15 | 9.54 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 3,164,298.37 | 25.50(e) | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT 2065 FUND INV | |||
RETIREMENT 2065 FUND— | AMERITAS LIFE INSURANCE CORP | 100,096.10 | 15.07 | |
ADVISOR CLASS | SEPARATE ACCOUNT G | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 99,982.04 | 15.05 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 83,720.14 | 12.61 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 48,296.73 | 7.27 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| STATE STREET BANK CUSTODIAN FBO | 42,674.59 | 6.43 | |
| ACCESS LARGE MARKET 401K | |||
| VOYA RETIREMENT INS & ANNUITY CO | 43,442.64 | 6.54 | |
RETIREMENT 2065 | AMERICAN UNITED LIFE | 37,681.97 | 9.44 | |
FUND—R CLASS | SEPARATE ACCOUNT II | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 91,666.92 | 22.97 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 25,791.68 | 6.46 | |
FOR THE EXCLUSIVE BENEFIT | ||||
OF OUR CUSTOMERS | ||||
| STATE STREET BANK AND TRUST AS | 98,567.97 | 24.70 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| VOYA RETIREMENT INS & ANNUITY CO | 83,250.34 | 20.86 | |
RETIREMENT BALANCED | NATIONAL FINANCIAL SERV CORP | 10,327,100.11 | 8.70 | |
FUND | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
RETIREMENT BALANCED | AMERITAS LIFE INSURANCE CORP | 483,570.66 | 7.23 | |
FUND—ADVISOR CLASS | SEPARATE ACCOUNT G | |||
| CHARLES SCHWAB & CO INC | 477,440.31 | 7.14 | |
| REINVEST ACCOUNT | |||
| LINCOLN FINANCIAL GROUP TRUST CO | 559,856.37 | 8.37 | |
| FBO ROLLOVER IRA PLANS | |||
| NATIONAL FINANCIAL SERVICES | 796,822.68 | 11.92 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 469,700.98 | 7.02 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT |
94
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT BALANCED | STATE STREET BANK AND TRUST AS | 4,795,256.74 | 50.43(b) | |
FUND—R CLASS | TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| UMB BANK N/A | 815,486.20 | 8.58 | |
| FBO FIDUCIARY FOR VARIOUS | |||
| RETIREMENT PROGRAMS | |||
RETIREMENT BALANCED I | CHARLES SCHWAB & CO INC | 3,767,845.33 | 7.71 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 5,823,054.14 | 11.91 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PIMS/PRUDENTIAL RETIREMENT | 4,604,248.55 | 9.42 | |
| AS NOMINEE FOR THE TTEE/CUST PL 701 | |||
| INTERMOUNTAIN IRONWORKERS | |||
| SALT LAKE CTY UT 84130-0124 | |||
RETIREMENT BLEND | SUE E NORWITZ TR | 34,264.60 | 16.67 | |
2005 FUND | IRREV TRUST OF STEVEN E NORWITZ | |||
| T ROWE PRICE RPS INC | 22,862.22 | 11.12 | |
| FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2005 FUND | |||
| T ROWE PRICE TRUST CO | 11,747.73 | 5.71 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| MARK DERBY | |||
| T ROWE PRICE TRUST CO | 12,101.32 | 5.89 | |
| CUST FOR THE IRA OF | |||
| ROBERT BORGE (DCD) | |||
| KEITH BORGE (BENE) | |||
| T ROWE PRICE TRUST CO | 22,609.90 | 11.00 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| PHILIP A. DE VITO | |||
| T ROWE PRICE TRUST CO | 24,130.89 | 11.74 | |
| CUST FOR THE IRA OF | |||
| ROSALIE A JONES | |||
| T ROWE PRICE TRUST CO | 42,370.46 | 20.61 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| ROSE CAMPBELL | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 112,987.59 | 15.49 | |
2005 FUND—I CLASS | OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2005 - I | |||
| T ROWE PRICE TRUST CO | 37,642.03 | 5.16 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| CLAUDE F WALEDISCH | |||
| T ROWE PRICE TRUST CO | 46,413.53 | 6.36 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| JOHN J RAUSER | |||
| VOYA INSTITUTIONAL TRUST COMPANY | 466,097.74 | 63.89(b) |
95
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT BLEND | CHARLES RUSSELL | 29,527.68 | 7.92 | |
2010 FUND | KARLA K RUSSELL TRS | |||
| CHARLES AND KARLA REV LIVING TRUST | |||
| T ROWE PRICE RPS INC | 234,425.27 | 62.90(e) | |
| FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2010 | |||
| T ROWE PRICE TRUST CO | 18,866.92 | 5.06 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| ANDREW O CHAN | |||
| T ROWE PRICE TRUST CO | 18,885.28 | 5.07 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| ARLENE M MCGLASSON | |||
| T ROWE PRICE TRUST CO | 21,596.27 | 5.79 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| SHARON M CAMPING | |||
| T ROWE PRICE TRUST CO | 23,849.22 | 6.40 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| JANICE MORRIS | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 97,918.04 | 27.32(b) | |
2010 FUND—I CLASS | REINVEST ACCOUNT | |||
| ELEANOR BROWN T O D | 31,727.86 | 8.85 | |
| VOYA INSTITUTIONAL TRUST COMPANY | 161,885.09 | 45.16(b) | |
RETIREMENT BLEND | T ROWE PRICE RPS INC | 337,218.57 | 49.99(e) | |
2015 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2015 | |||
| T ROWE PRICE TRUST CO | 43,015.97 | 6.38 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| WILLIAM LUTZ | |||
| T ROWE PRICE TRUST CO | 43,455.05 | 6.44 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| SIMON S. JACOBO | |||
| T ROWE PRICE TRUST CO | 44,297.03 | 6.57 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| RAMON MORENO | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 112,546.55 | 8.73 | |
2015 FUND—I CLASS | REINVEST ACCOUNT | |||
| JESSICA N LEVIN | 115,006.57 | 8.92 | |
| RICHARD MANDY TRS | |||
| STEVEN E NORWITZ 2009 IRREVOCABLE | |||
| TRUST | |||
| T ROWE PRICE TRUST CO | 114,958.80 | 8.91 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| DAVID J PAGE | |||
| T ROWE PRICE TRUST CO | 125,144.76 | 9.70 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| DORIS E MARSH | |||
| T ROWE PRICE TRUST CO | 131,639.97 | 10.21 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| LEE A KOZSEY | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 1,686,731.13 | 63.86(e) | |
2020 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2020 |
96
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 426,701.42 | 9.41 | |
2020 FUND—I CLASS | REINVEST ACCOUNT | |||
| T ROWE PRICE RPS INC | 501,601.98 | 11.06 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2020 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 3,519,914.72 | 70.53(e) | |
2025 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2025 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 834,850.25 | 14.97 | |
2025 FUND—I CLASS | REINVEST ACCOUNT | |||
| EUGENE WATER & ELECTRIC | 299,280.17 | 5.36 | |
| C/O ICMA RETIREMENT CORPORATION | |||
| WASHINGTON DC 20002-4239 | |||
| T ROWE PRICE RPS INC | 610,239.21 | 10.94 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2025 - I | |||
| VOYA INSTITUTIONAL TRUST COMPANY | 407,642.78 | 7.31 | |
RETIREMENT BLEND | T ROWE PRICE RPS INC | 3,463,678.53 | 72.49(e) | |
2030 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2030 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 1,199,127.72 | 20.82 | |
2030 FUND—I CLASS | REINVEST ACCOUNT | |||
| T ROWE PRICE RPS INC | 1,124,919.71 | 19.53 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2030 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 3,831,737.22 | 78.73(e) | |
2035 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2035 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 1,035,272.09 | 18.05 | |
2035 FUND—I CLASS | REINVEST ACCOUNT | |||
| HELENKA HOPKINS NOLAN T O D | 288,263.36 | 5.03 | |
| T ROWE PRICE RPS INC | 1,421,665.74 | 24.79 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2035 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 3,785,396.32 | 76.60(e) | |
2040 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2040 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 1,011,089.17 | 22.70 | |
2040 FUND—I CLASS | REINVEST ACCOUNT | |||
| T ROWE PRICE RPS INC | 892,831.71 | 20.04 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2040 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 2,495,766.03 | 69.72(e) | |
2045 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2045 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 987,189.62 | 27.27(b) | |
2045 FUND—I CLASS | REINVEST ACCOUNT | |||
| T ROWE PRICE RPS INC | 893,324.29 | 24.67 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2045 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 1,589,616.96 | 61.80(e) | |
2050 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2050 |
97
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 1,407,269.57 | 41.40(b) | |
2050 FUND—I CLASS | REINVEST ACCOUNT | |||
| T ROWE PRICE RPS INC | 509,903.10 | 15.00 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2050 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 869,113.24 | 63.16(e) | |
2055 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2055 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 623,682.85 | 38.32(b) | |
2055 FUND—I CLASS | REINVEST ACCOUNT | |||
| T ROWE PRICE RPS INC | 254,845.25 | 15.66 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2055 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 248,915.87 | 44.88(e) | |
2060 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| TRP RETIREMENT BLEND 2060 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 454,647.88 | 49.35(b) | |
2060 FUND—I CLASS | REINVEST ACCOUNT | |||
| T ROWE PRICE RPS INC | 93,236.08 | 10.12 | |
| OMNIBUS ACCOUNT | |||
| TRP RETIREMENT BLEND 2060 - I | |||
RETIREMENT BLEND | T ROWE PRICE RPS INC | 81,326.34 | 29.65(e) | |
2065 FUND | FBO RETIREMENT PLAN CLIENTS | |||
| T. ROWE PRICE RETIREMENT BLEND 2065 | |||
RETIREMENT BLEND | CHARLES SCHWAB & CO INC | 179,147.61 | 28.70(b) | |
2065 FUND—I CLASS | REINVEST ACCOUNT | |||
| INDIAN RIVER LAND TRUST | 158,126.03 | 25.33(b) | |
| VERO BEACH FL 32960-4228 | |||
| T ROWE PRICE TRUST CO | 63,049.96 | 10.10 | |
| CUST FOR THE ROTH IRA OF | |||
| JOSEPH HUBER | |||
| T ROWE PRICE TRUST CO | 86,909.33 | 13.92 | |
| CUST FOR THE ROLLOVER IRA OF | |||
| RUSSELL K KARASCH | |||
RETIREMENT I 2005 | NATIONAL FINANCIAL SERVICES | 8,582,227.22 | 32.00(b) | |
FUND—I CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 2,124,699.52 | 7.92 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER | |||
RETIREMENT I 2010 | DCGT AS TTEE AND/OR CUST FBO PLIC | 5,451,829.67 | 7.03 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 16,895,165.71 | 21.78 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 5,130,361.47 | 6.61 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER | |||
RETIREMENT I 2015 | NATIONAL FINANCIAL SERVICES | 37,240,614.52 | 27.78(b) | |
FUND—I CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 9,928,913.19 | 7.41 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER |
98
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT I 2020 | DCGT AS TTEE AND/OR CUST FBO PLIC | 23,991,530.58 | 5.66 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 117,033,649.98 | 27.59(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
RETIREMENT I 2025 | NATIONAL FINANCIAL SERVICES | 200,087,210.69 | 34.14(b) | |
FUND—I CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 29,442,446.67 | 5.02 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER | |||
RETIREMENT I 2030 | DCGT AS TTEE AND/OR CUST FBO PLIC | 50,589,037.82 | 6.50 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 238,352,942.10 | 30.64(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
RETIREMENT I 2035 | DCGT AS TTEE AND/OR CUST FBO PLIC | 28,995,532.73 | 5.15 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 196,059,696.96 | 34.83(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 32,064,638.30 | 5.70 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER | |||
RETIREMENT I 2040 | DCGT AS TTEE AND/OR CUST FBO PLIC | 41,931,592.26 | 6.98 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 186,821,177.28 | 31.08(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 33,016,710.71 | 5.49 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER | |||
RETIREMENT I 2045 | DCGT AS TTEE AND/OR CUST FBO PLIC | 23,065,755.36 | 5.40 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 146,501,480.44 | 34.30(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TIAA, FSB CUST/TTEE FBO | 25,202,001.90 | 5.90 | |
| RETIREMENT PLANS FOR WHICH | |||
| TIAA ACTS AS RECORDKEEPER | |||
RETIREMENT I 2050 | DCGT AS TTEE AND/OR CUST FBO PLIC | 32,723,528.66 | 7.96 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 128,962,401.23 | 31.35(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
RETIREMENT I 2055 | DCGT AS TTEE AND/OR CUST FBO PLIC | 16,063,252.57 | 6.56 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 84,173,162.03 | 34.35(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
RETIREMENT I 2060 | DCGT AS TTEE AND/OR CUST FBO PLIC | 12,265,770.31 | 10.24 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 35,934,103.77 | 29.99(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS |
99
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
RETIREMENT I 2065 | DCGT AS TTEE AND/OR CUST FBO PLIC | 2,305,362.52 | 13.54 | |
FUND—I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| JOHN HANCOCK LIFE | 1,272,200.16 | 7.47 | |
| INSURANCE CO USA | |||
| NATIONAL FINANCIAL SERVICES | 4,960,047.19 | 29.13(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
SCIENCE & TECHNOLOGY | JOHN HANCOCK LIFE | 13,749,618.15 | 11.32 | |
FUND | INSURANCE CO USA | |||
| T ROWE PRICE RPS INC | 9,888,261.70 | 8.14 | |
| NEW BUSINESS-CONV ASSTS | |||
SCIENCE & TECHNOLOGY | FIIOC AS AGENT | 93,256.96 | 6.60 | |
FUND—ADVISOR CLASS | FBO CLEAN ENERGY 401K PLAN | |||
| VANGUARD FIDUCIARY TRUST COMPANY | 73,232.43 | 5.19 | |
| T ROWE PRICE ADVISOR CLASS FUNDS | |||
| ATTN OUTSIDE FUNDS | |||
| VOYA INSTITUTIONAL TRUST COMPANY | 132,691.45 | 9.40 | |
| VOYA RETIREMENT INS & ANNUITY CO | 400,615.30 | 28.37(b) | |
SHORT DURATION | NATIONAL FINANCIAL SERVICES | 184,430.35 | 5.86 | |
INCOME FUND | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE ASSOCIATES | 1,975,000.00 | 62.73(c) | |
SHORT DURATION | T ROWE PRICE RPS INC | 188,356.41 | 10.12 | |
INCOME FUND—I CLASS | FBO TRP PLAN | |||
| TRP SHORT DURATION INCOME I | |||
SHORT-TERM BOND FUND | NATIONAL FINANCIAL SERVICES | 25,681,892.20 | 7.44 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE ASSOCIATES | 51,825,393.09 | 15.01 | |
| WELLS FARGO CLEARING SERVICES LLC | 47,678,523.25 | 13.81 | |
| SPECIAL CUSTODY ACCT FOR THE | |||
| EXCLUSIVE BENEFIT OF CUSTOMERS | |||
SHORT-TERM BOND | CHARLES SCHWAB & CO INC | 98,722.98 | 5.88 | |
FUND—ADVISOR CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 272,530.02 | 16.23 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 212,285.39 | 12.64 | |
| TD AMERITRADE INC FBO | 424,704.27 | 25.29(b) | |
| OUR CUSTOMERS | |||
| WELLS FARGO CLEARING SERVICES LLC | 100,648.47 | 5.99 | |
| SPECIAL CUSTODY ACCT FOR THE | |||
| EXCLUSIVE BENEFIT OF CUSTOMERS | |||
SHORT-TERM BOND | EDWARD D JONES & CO | 41,529,491.49 | 6.26 | |
FUND—I CLASS | FOR THE BENEFIT OF CUSTOMERS | |||
| MARYLAND COLLEGE INVESTMENT PLAN | 81,372,961.73 | 12.26 | |
| PORTFOLIO 2024 | |||
| NATIONAL FINANCIAL SERVICES | 99,760,088.18 | 15.03 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE SERVICES INC FBO | 111,454,553.31 | 16.80 | |
| MARYLAND COLLEGE INVESTMENT PLAN | |||
| PORTFOLIO FOR EDUCATION TODAY | |||
SHORT-TERM BOND | SPECTRUM INCOME FUND | 33,347,495.68 | 100.00(a) | |
FUND—Z CLASS | T. ROWE PRICE ASSOCIATES | |||
SMALL-CAP INDEX FUND | T ROWE PRICE ASSOCIATES | 12,322.64 | 100.00(c) |
100
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
SMALL-CAP INDEX | EDUCATION TRUST OF ALASKA | 498,600.45 | 7.24 | |
FUND—I CLASS | ACT PORTFOLIO | |||
| C/O T ROWE PRICE ASSOCIATES | |||
| EDUCATION TRUST OF ALASKA | 2,777,402.69 | 40.32(b) | |
| TOTAL EQUITY MARKET INDEX | |||
PORTFOLIO | ||||
| C/O T ROWE PRICE ASSOCIATES | |||
| MARYLAND COLLEGE INVESTMENT PLAN | 1,262,880.05 | 18.33 | |
| EXTENDED EQUITY INDEX PORTFOLIO | |||
| MARYLAND COLLEGE INVESTMENT PLAN | 1,985,933.53 | 28.83(b) | |
| GLOBAL EQUITY MARKET INDEX | |||
SMALL-CAP INDEX | RETIREMENT BLEND 2020 FUND | 92,454.28 | 6.99 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2025 FUND | 153,101.20 | 11.58 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2030 FUND | 182,235.04 | 13.79 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2035 FUND | 213,007.03 | 16.11 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2040 FUND | 205,466.43 | 15.54 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2045 FUND | 166,073.79 | 12.56 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2050 FUND | 141,249.77 | 10.69 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2055 FUND | 70,838.52 | 5.36 | |
| T ROWE PRICE ASSOCIATES | |||
SMALL-CAP STOCK FUND | CHARLES SCHWAB & CO INC | 3,362,377.07 | 7.32 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERV CORP | 7,318,234.18 | 15.93 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE TRUST CO INC | 2,435,079.83 | 5.30 | |
| T R P O T C FUND | |||
| ATTN R P S CONTROL DEPT | |||
SMALL-CAP STOCK | DCGT AS TTEE AND/OR CUST FBO PLIC | 142,477.51 | 13.06 | |
FUND—ADVISOR CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 175,182.81 | 16.06 | |
| EMPOWER BENEFIT PLANS | |||
| JOHN HANCOCK TRUST COMPANY | 55,505.18 | 5.09 | |
| LINCOLN INVESTMENT PLANNING, LLC | 78,987.50 | 7.24 | |
| FBO LINCOLN CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 157,144.08 | 14.41 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
SMALL-CAP STOCK | CHARLES SCHWAB & CO INC | 3,953,184.72 | 6.53 | |
FUND—I CLASS | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 5,993,393.90 | 9.89 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS |
101
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
SMALL-CAP STOCK | RETIREMENT I 2030 FUND | 3,697,433.10 | 6.40 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 3,212,885.89 | 5.57 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 3,875,784.61 | 6.71 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2045 FUND | 2,961,210.20 | 5.13 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2050 FUND | 2,890,849.54 | 5.01 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 5,320,899.04 | 9.22 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 3,566,263.87 | 6.18 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 5,769,849.20 | 9.99 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 4,310,365.36 | 7.47 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2045 | 3,403,846.74 | 5.90 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2050 | 3,055,009.09 | 5.29 | |
| T ROWE PRICE ASSOCIATES | |||
SMALL-CAP VALUE FUND | CHARLES SCHWAB & CO INC | 5,422,426.55 | 5.78 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 12,447,428.07 | 13.26 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 5,236,270.67 | 5.58 | |
| RAYMOND JAMES | 20,045,523.66 | 21.35 | |
| OMNIBUS FOR MUTUAL FUNDS | |||
| T ROWE PRICE TRUST CO INC | 5,654,358.52 | 6.02 | |
SMALL-CAP VALUE | CHARLES SCHWAB & CO INC | 285,256.01 | 17.93 | |
FUND—ADVISOR CLASS | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 424,214.07 | 26.66(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 141,558.65 | 8.90 | |
| RAYMOND JAMES | 122,936.73 | 7.73 | |
| OMNIBUS FOR MUTUAL FUNDS | |||
SMALL-CAP VALUE | CHARLES SCHWAB & CO INC | 4,336,439.29 | 7.17 | |
FUND—I CLASS | REINVEST ACCOUNT | |||
| EDWARD D JONES & CO | 3,037,515.91 | 5.02 | |
| FOR THE BENEFIT OF CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 6,757,202.35 | 11.17 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS |
102
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
SMALL-CAP VALUE | RETIREMENT I 2030 FUND | 3,504,895.93 | 6.17 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 3,002,417.73 | 5.28 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 3,611,590.52 | 6.36 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 5,003,228.06 | 8.80 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 3,304,131.74 | 5.81 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 5,419,811.08 | 9.54 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 4,042,113.67 | 7.11 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2045 | 3,130,205.60 | 5.51 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2050 | 2,844,865.30 | 5.01 | |
| T ROWE PRICE ASSOCIATES | |||
SPECTRUM CONSERVATIVE | CHARLES SCHWAB & CO | 3,597,578.10 | 6.05 | |
ALLOCATION FUND | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 7,453,201.30 | 12.54 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TD AMERITRADE INC FBO | 3,114,544.37 | 5.24 | |
| OUR CUSTOMERS | |||
SPECTRUM CONSERVATIVE | CHARLES SCHWAB & CO INC | 2,830,393.98 | 5.11 | |
ALLOCATION FUND— | REINVEST ACCOUNT | |||
I CLASS | NATIONAL FINANCIAL SERVICES | 10,863,418.84 | 19.61 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
SPECTRUM DIVERSIFIED | NATIONAL FINANCIAL SERVICES | 4,701,456.93 | 5.24 | |
EQUITY FUND | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE TRUST CO INC | 5,482,184.83 | 6.10 | |
SPECTRUM INCOME FUND | JOHN HANCOCK LIFE | 9,886,769.49 | 5.57 | |
| INSURANCE CO USA | |||
| NATIONAL FINANCIAL SERVICES | 10,281,279.48 | 5.79 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE TRUST CO INC | 28,779,684.84 | 16.21 | |
SPECTRUM INCOME | MARYLAND COLLEGE INVESTMENT PLAN | 29,648,436.57 | 8.26 | |
FUND—I CLASS | PORTFOLIO 2030 | |||
| MARYLAND COLLEGE INVESTMENT PLAN | 45,256,727.87 | 12.60 | |
| PORTFOLIO 2027 | |||
| T ROWE PRICE SERVICES INC FBO | 18,402,938.16 | 5.12 | |
| EDUCATION TRUST OF ALASKA | |||
| PORTFOLIO 2021-2024 | |||
| T ROWE PRICE SERVICES INC FBO | 20,325,213.11 | 5.66 | |
| EDUCATION TRUST OF ALASKA | |||
| PORTFOLIO 2025-2028 |
103
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
SPECTRUM | CHARLES SCHWAB & CO INC | 8,966,155.64 | 17.96 | |
INTERNATIONAL | REINVEST ACCOUNT | |||
EQUITY FUND | NATIONAL FINANCIAL SERVICES | 7,155,333.90 | 14.33 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC CORP | 3,150,617.29 | 6.31 | |
| OMNIPLAN ACCOUNT | |||
| NEW BUSINESS GROUP | |||
SPECTRUM | CHARLES SCHWAB & CO INC | 4,035,851.57 | 6.31 | |
INTERNATIONAL EQUITY | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
FUND—I CLASS | ||||
SPECTRUM MODERATE | CHARLES SCHWAB & CO INC | 3,338,938.72 | 6.54 | |
ALLOCATION FUND | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 6,888,411.93 | 13.50 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TD AMERITRADE INC FBO | 2,644,719.60 | 5.18 | |
| OUR CUSTOMERS | |||
SPECTRUM MODERATE | CHARLES SCHWAB & CO INC | 4,112,529.13 | 8.90 | |
ALLOCATION FUND— | REINVEST ACCOUNT | |||
I CLASS | NATIONAL FINANCIAL SERVICES | 4,273,247.93 | 9.25 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
SPECTRUM MODERATE | CHARLES SCHWAB & CO | 2,779,229.94 | 6.75 | |
GROWTH ALLOCATION | REINVEST ACCOUNT |
| ||
FUND | NATIONAL FINANCIAL SERVICES | 6,503,702.27 | 15.79 | |
| FOR THE EXCLUSIVE BENEFIT |
| ||
| OF OUR CUSTOMERS |
| ||
| TD AMERITRADE INC FBO | 3,343,290.68 | 8.12 | |
| OUR CUSTOMERS |
| ||
SPECTRUM MODERATE | CHARLES SCHWAB & CO INC | 25,743,658.62 | 51.52(b) | |
GROWTH ALLOCATION | REINVEST ACCOUNT | |||
FUND—I CLASS | ||||
SUMMIT MUNICIPAL | LPL FINANCIAL | 14,917,363.91 | 17.10 | |
INCOME FUND | OMNIBUS CUSTOMER ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 4,756,981.04 | 5.45 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| RAYMOND JAMES | 21,623,959.86 | 24.78 | |
| OMNIBUS FOR MUTUAL FUNDS | |||
| WELLS FARGO CLEARING SERVICES LLC | 27,196,840.04 | 31.17(b) | |
| SPECIAL CUSTODY ACCT FOR THE | |||
| EXCLUSIVE BENEFIT OF CUSTOMERS | |||
SUMMIT MUNICIPAL | NATIONAL FINANCIAL SERVICES | 12,707.78 | 35.24(b) | |
INCOME FUND— | FOR THE EXCLUSIVE BENEFIT | |||
ADVISOR CLASS | OF OUR CUSTOMERS | |||
| PERSHING LLC | 20,957.16 | 58.12(b) | |
| TD AMERITRADE INC FBO | 2,021.88 | 5.61 | |
| OUR CUSTOMERS |
104
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
SUMMIT MUNICIPAL | EDWARD D JONES & CO | 13,674,596.39 | 11.92 | |
INCOME FUND—I CLASS | FOR THE BENEFIT OF CUSTOMERS | |||
| J.P. MORGAN SECURITIES LLC | 50,854,195.62 | 44.31(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 6,625,465.84 | 5.77 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| SAXON & CO | 16,516,365.83 | 14.39 | |
SUMMIT MUNICIPAL | LPL FINANCIAL | 24,274,724.98 | 12.09 | |
INTERMEDIATE FUND | OMNIBUS CUSTOMER ACCOUNT | |||
| MLPF&S FOR THE SOLE BENEFIT OF | 16,649,320.57 | 8.29 | |
| ITS CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 13,197,695.57 | 6.57 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| WELLS FARGO CLEARING SERVICES LLC | 94,167,010.95 | 46.91(b) | |
| SPECIAL CUSTODY ACCT FOR THE | |||
| EXCLUSIVE BENEFIT OF CUSTOMERS | |||
SUMMIT MUNICIPAL | CHARLES SCHWAB & CO INC | 73,098.65 | 16.71 | |
INTERMEDIATE FUND— | REINVEST ACCOUNT | |||
ADVISOR CLASS | CITBANCO A PARTNERSHIP | 219,025.58 | 50.08(b) | |
| STORM LAKE IA 50588-1227 | |||
| NATIONAL FINANCIAL SERVICES | 124,244.17 | 28.41(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
SUMMIT MUNICIPAL | CHARLES SCHWAB & CO INC | 19,726,294.88 | 6.88 | |
INTERMEDIATE FUND— | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
I CLASS | CHARLES SCHWAB & CO INC | 62,484,027.51 | 21.78 | |
| SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| EDWARD D JONES & CO | 66,839,561.40 | 23.30 | |
| FOR THE BENEFIT OF CUSTOMERS | |||
| J.P. MORGAN SECURITIES LLC | 37,256,977.46 | 12.99 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| SAXON & CO | 17,454,872.41 | 6.08 | |
TARGET 2005 FUND— | PERSHING LLC | 3,527.12 | 26.82(b) | |
ADVISOR CLASS | T ROWE PRICE ASSOCIATES | 9,625.00 | 73.18(c) | |
TARGET 2005 FUND— | NATIONAL FINANCIAL SERVICES | 763,474.03 | 28.47(b) | |
I CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
TARGET 2010 FUND | NATIONAL FINANCIAL SERVICES | 277,388.15 | 8.72 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 208,206.08 | 6.54 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2010 |
105
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TARGET 2010 FUND— | MATRIX TRUST COMPANY AS AGENT FOR | 13,967.73 | 38.08(b) | |
ADVISOR CLASS | BANCORPSOUTH FBO | |||
| CAFFEY INC 401(K) PLAN | |||
| TUPELO MS 38801-6799 | |||
| NATIONAL FINANCIAL SERVICES | 20,634.44 | 56.26(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 2,017.20 | 5.50 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2010 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 188,784.62 | 5.50 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| REBECCA L. BESSON | 356,816.11 | 10.39 | |
| STUART B COOPER TEN ENT | |||
TARGET 2015 FUND— | NATIONAL FINANCIAL SERVICES | 7,116.74 | 5.62 | |
ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 109,291.43 | 86.38(b) | |
TARGET 2020 FUND | DCGT AS TTEE AND/OR CUST FBO PLIC | 682,761.80 | 5.76 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 802,591.34 | 6.77 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 1,375,767.36 | 11.60 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2020 | |||
TARGET 2020 FUND— | EMPOWER TRUST FBO | 382,804.83 | 66.52(b) | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 83,971.94 | 14.59 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 38,788.32 | 6.74 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2020 FUND— | EMPOWER TRUST FBO | 772,652.08 | 5.23 | |
I CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 2,575,304.03 | 17.44 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
TARGET 2025 FUND | CHARLES SCHWAB & CO INC | 739,245.69 | 5.14 | |
| REINVEST ACCOUNT | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 1,587,582.56 | 11.04 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 1,814,201.59 | 12.62 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 1,282,204.50 | 8.92 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2025 |
106
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TARGET 2025 FUND— | EMPOWER TRUST FBO | 144,215.27 | 30.16(b) | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 101,673.33 | 21.26 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 197,987.80 | 41.41(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2025 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 1,521,941.08 | 6.31 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 1,332,838.60 | 5.53 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 5,625,195.71 | 23.32 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
TARGET 2030 FUND | CHARLES SCHWAB & CO INC | 982,556.28 | 6.61 | |
| REINVEST ACCOUNT | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 1,343,990.81 | 9.04 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 1,616,346.48 | 10.87 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 2,376,803.76 | 15.99 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2030 | |||
TARGET 2030 FUND— | FIIOC AS AGENT | 56,272.20 | 11.24 | |
ADVISOR CLASS | NICCOLI BROS OIL INC | |||
| PROFIT SHARING PLAN | |||
| NATIONAL FINANCIAL SERVICES | 318,384.30 | 63.62(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 50,342.96 | 10.06 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2030 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 1,582,972.97 | 6.09 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 1,854,537.50 | 7.13 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 7,483,883.46 | 28.77(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
TARGET 2035 FUND | DCGT AS TTEE AND/OR CUST FBO PLIC | 1,257,872.48 | 10.99 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 1,768,189.49 | 15.45 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 1,680,720.54 | 14.69 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2035 |
107
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TARGET 2035 FUND— | EMPOWER TRUST FBO | 13,985.90 | 6.55 | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| FIIOC AS AGENT | 20,865.99 | 9.77 | |
| FBO RICHTON TIE AND TIMBER LLC | |||
| MATRIX TRUST COMPANY AS AGENT FOR | 19,156.26 | 8.97 | |
| BANCORPSOUTH FBO | |||
| CAFFEY INC 401(K) PLAN | |||
| NATIONAL FINANCIAL SERVICES | 63,091.83 | 29.53(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 83,136.78 | 38.91(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2035 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 1,475,760.39 | 6.89 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 1,542,243.56 | 7.20 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| JOHN HANCOCK TRUST COMPANY LLC | 1,235,064.13 | 5.76 | |
| NATIONAL FINANCIAL SERVICES | 7,102,633.99 | 33.14(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 1,071,777.63 | 5.00 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET 2035-ICL | |||
TARGET 2040 FUND | CHARLES SCHWAB & CO INC | 742,570.45 | 6.86 | |
| REINVEST ACCOUNT | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 676,566.53 | 6.25 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 1,771,903.91 | 16.36 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 1,988,134.24 | 18.36 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2040 | |||
TARGET 2040 FUND— | CHARLES SCHWAB & CO INC | 19,709.20 | 5.21 | |
ADVISOR CLASS | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 149,927.40 | 39.67(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 26,405.12 | 6.99 | |
| STATE STREET BANK AND TRUST AS | 103,146.50 | 27.29(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| TRAC 2000 | 23,397.55 | 6.19 | |
| SKONA ADVERTISING, INC, 401K PLAN | |||
| JENNY SAGSTROM-WARNES | |||
| SAN FRANCISCO CA 94107-3208 |
108
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TARGET 2040 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 1,354,777.55 | 8.52 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 1,421,297.55 | 8.94 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 5,204,774.47 | 32.74(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 906,579.79 | 5.70 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| T ROWE PRICE RPS INC | 1,343,344.40 | 8.45 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET 2040-ICL | |||
TARGET 2045 FUND | CHARLES SCHWAB & CO INC | 339,095.16 | 5.07 | |
| REINVEST ACCOUNT | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 552,485.21 | 8.25 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 989,282.30 | 14.78 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 355,394.29 | 5.31 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| T ROWE PRICE RPS INC | 839,179.18 | 12.54 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2045 | |||
TARGET 2045 FUND— | NATIONAL FINANCIAL SERVICES | 127,375.19 | 31.24(b) | |
ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 205,175.12 | 50.32(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2045 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 955,643.76 | 5.63 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EDWARD C BERNARD TR | 1,163,650.80 | 6.85 | |
| THORNTON MILL IRREVOCABLE TRUST | |||
| EMPOWER TRUST FBO | 1,173,138.97 | 6.91 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 5,630,838.90 | 33.17(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 1,043,674.07 | 6.15 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET 2045-ICL | |||
TARGET 2050 FUND | CHARLES SCHWAB & CO INC | 757,256.00 | 10.78 | |
| REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 1,043,499.17 | 14.86 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 546,827.17 | 7.78 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| T ROWE PRICE RPS INC | 843,931.20 | 12.01 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2050 |
109
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TARGET 2050 FUND— | NATIONAL FINANCIAL SERVICES | 117,775.81 | 36.66(b) | |
ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 163,339.84 | 50.85(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2050 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 753,771.31 | 6.93 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 867,045.49 | 7.97 | |
| MARY FREE BED REHABILITATION HOSP | |||
| EMPOWER TRUST FBO | 881,537.08 | 8.11 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| NATIONAL FINANCIAL SERVICES | 3,969,587.87 | 36.50(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 654,962.64 | 6.02 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| T ROWE PRICE RPS INC | 802,943.01 | 7.38 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET 2050-ICL | |||
TARGET 2055 FUND | CHARLES SCHWAB & CO INC | 289,353.33 | 6.61 | |
| REINVEST ACCOUNT | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 250,141.61 | 5.71 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 812,812.87 | 18.57 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 638,884.35 | 14.60 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RET 2055 | |||
TARGET 2055 FUND— | NATIONAL FINANCIAL SERVICES | 105,389.22 | 38.34(b) | |
ADVISOR CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 133,074.45 | 48.41(b) | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2055 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 660,037.50 | 7.82 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 428,961.16 | 5.08 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| EMPOWER TRUST FBO | 542,463.42 | 6.43 | |
| MARY FREE BED REHABILITATION HOSP | |||
| JOHN HANCOCK TRUST COMPANY LLC | 572,232.66 | 6.78 | |
| NATIONAL FINANCIAL SERVICES | 3,304,740.50 | 39.15(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 596,767.61 | 7.07 | |
| OMNI ACCT – 401K PLAN | |||
| TRP TARGET 2055 |
110
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TARGET 2060 FUND | CHARLES SCHWAB & CO INC | 352,048.23 | 9.10 | |
| REINVEST ACCOUNT | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 218,589.16 | 5.65 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 898,046.61 | 23.22 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 268,647.68 | 6.95 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| T ROWE PRICE RPS INC | 453,443.24 | 11.72 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET RETIREMENT 2060 | |||
TARGET 2060 FUND— | EMPOWER TRUST FBO | 26,642.10 | 12.59 | |
ADVISOR CLASS | EMPLOYEE BENEFITS CLIENTS 401K | |||
| MID ATLANTIC TRUST COMPANY FBO | 11,626.53 | 5.49 | |
| THE WOODSTOCK FOUNDATION, INC | |||
| NATIONAL FINANCIAL SERVICES | 100,814.96 | 47.64(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| STATE STREET BANK AND TRUST AS | 51,094.42 | 24.15 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
TARGET 2060 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 413,453.37 | 10.75 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| EMPOWER TRUST FBO | 241,288.68 | 6.28 | |
| EMPLOYEE BENEFITS CLIENTS 401K | |||
| EMPOWER TRUST FBO | 336,287.81 | 8.75 | |
| MARY FREE BED REHABILITATION HOSP | |||
| NATIONAL FINANCIAL SERVICES | 1,180,541.51 | 30.71(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 317,936.31 | 8.27 | |
| OMNI ACCT – 401K PLAN | |||
| TRP TARGET 2060 | |||
TARGET 2065 FUND | CHARLES SCHWAB & CO INC | 35,507.17 | 8.03 | |
| SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 50,940.56 | 11.51 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| NATIONAL FINANCIAL SERVICES | 52,149.47 | 11.79 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE RPS INC | 58,805.96 | 13.29 | |
| OMNIBUS ACCOUNT | |||
| TRP TARGET 2065 FUND - INV | |||
| TD AMERITRADE INC FBO | 36,857.69 | 8.33 | |
| OUR CUSTOMERS | |||
TARGET 2065 FUND— | T ROWE PRICE ASSOCIATES | 10,125.35 | 85.78(c) | |
ADVISOR CLASS | VOYA RETIREMENT INS & ANNUITY CO | 1,170.97 | 9.92 |
111
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TARGET 2065 FUND— | DCGT AS TTEE AND/OR CUST FBO PLIC | 150,551.03 | 17.14 | |
I CLASS | VARIOUS RETIREMENT PLANS OMNIBUS | |||
| HOWARD P COLHOUN TTEE | 85,950.44 | 9.79 | |
| HOWARD P COLHOUN REV TRUST | |||
| NATIONAL FINANCIAL SERVICES | 293,159.09 | 33.38(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE TRUST CO | 52,717.22 | 6.00 | |
| CUST FOR THE ROTH IRA OF | |||
| JOSEPH HUBER | |||
TAX-EFFICIENT EQUITY | CHARLES SCHWAB & CO INC | 452,935.71 | 8.07 | |
FUND | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| LPL FINANCIAL | 327,778.01 | 5.84 | |
| OMNIBUS CUSTOMER ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 1,073,171.14 | 19.11 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 553,731.22 | 9.86 | |
| TD AMERITRADE INC FBO | 390,304.54 | 6.95 | |
| OUR CUSTOMERS | |||
TAX-EFFICIENT EQUITY | CHARLES SCHWAB & CO INC | 832,952.70 | 8.11 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
TAX-FREE HIGH YIELD | BAND & CO C/O US BANK NA | 12,468,357.93 | 6.81 | |
FUND | GOLDMAN SACHS & CO | 48,129,906.33 | 26.27(b) | |
| C/O MUTUAL FUNDS OPS | |||
| SALT LAKE CITY UT 84101-2199 | |||
| NATIONAL FINANCIAL SERVICES | 24,124,032.72 | 13.17 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 12,900,740.62 | 7.04 | |
TAX-FREE HIGH YIELD | LPL FINANCIAL | 32,165.83 | 6.51 | |
FUND—ADVISOR CLASS | OMNIBUS CUSTOMER ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 254,087.10 | 51.41(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 116,728.30 | 23.62 | |
| RAYMOND JAMES | 25,148.88 | 5.09 | |
| OMNIBUS FOR MUTUAL FUNDS | |||
TAX-FREE HIGH YIELD | CHARLES SCHWAB & CO INC | 11,645,451.49 | 6.91 | |
FUND—I CLASS | REINVEST ACCOUNT | |||
| EDWARD D JONES & CO | 37,512,032.77 | 22.24 | |
| FOR THE BENEFIT OF CUSTOMERS | |||
TAX-FREE INCOME FUND | CHARLES SCHWAB & CO INC | 5,309,170.79 | 6.02 | |
| REINVEST ACCOUNT | |||
| LPL FINANCIAL | 7,101,924.89 | 8.05 | |
| OMNIBUS CUSTOMER ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 9,803,055.50 | 11.11 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| RAYMOND JAMES | 6,333,397.08 | 7.18 | |
| OMNIBUS FOR MUTUAL FUNDS | |||
| TD AMERITRADE INC FBO | 4,462,273.11 | 5.06 | |
| OUR CUSTOMERS |
112
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TAX-FREE INCOME FUND— | CHARLES SCHWAB & CO INC | 1,053,431.45 | 21.09 | |
ADVISOR CLASS | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 2,888,211.27 | 57.84(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TD AMERITRADE INC FBO | 347,284.00 | 6.95 | |
| OUR CUSTOMERS | |||
TAX-FREE INCOME | J.P. MORGAN SECURITIES LLC | 9,575,957.94 | 6.12 | |
FUND—I CLASS | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 11,744,956.32 | 7.50 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| SEI PRIVATE TRUST COMPANY | 31,918,655.84 | 20.38 | |
| C/O M&T BANK | |||
| ATTN MUTUAL FUND ADMINISTRATOR | |||
TAX-FREE SHORT- | CHARLES SCHWAB & CO INC | 13,028,341.46 | 8.24 | |
INTERMEDIATE FUND | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 15,942,742.62 | 10.09 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 7,966,794.28 | 5.04 | |
| TD AMERITRADE INC FBO | 10,287,408.17 | 6.51 | |
| OUR CUSTOMERS | |||
| WELLS FARGO CLEARING SERVICES LLC | 52,176,806.46 | 33.01(b) | |
| SPECIAL CUSTODY ACCT FOR THE | |||
| EXCLUSIVE BENEFIT OF CUSTOMERS | |||
TAX-FREE SHORT- | CITBANCO A PARTNERSHIP | 180,646.85 | 38.03(b) | |
INTERMEDIATE FUND— | MORGAN STANLEY SMITH BARNEY LLC | 39,732.13 | 8.37 | |
ADVISOR CLASS | FOR THE EXCL BENEFIT OF ITS CUST | |||
| NATIONAL FINANCIAL SERVICES | 153,530.90 | 32.32(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 89,806.07 | 18.91 | |
TAX-FREE SHORT- | CHARLES SCHWAB & CO INC | 11,521,294.87 | 6.76 | |
INTERMEDIATE FUND— | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
I CLASS | CHARLES SCHWAB & CO INC | 16,395,001.48 | 9.62 | |
| SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| EDWARD D JONES & CO | 21,525,083.77 | 12.63 | |
| FOR THE BENEFIT OF CUSTOMERS | |||
| TD AMERITRADE INC FBO | 20,104,604.25 | 11.80 | |
| OUR CUSTOMERS | |||
TOTAL EQUITY MARKET | PERSHING LLC | 3,007,875.21 | 6.72 | |
INDEX FUND | ||||
TOTAL RETURN ETF | CITIGROUP GLOBAL MARKETS INC. | 400,000 | 64.00(f) | |
| CHARLES SCHWAB & CO INC | 33,130 | 5.30 | |
| TD AMERITRADE CLEARING, INC. | 157,655 | 25.22(f) |
113
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
TOTAL RETURN FUND | CHARLES SCHWAB & CO INC | 1,698,098.98 | 16.78 | |
| REINVEST ACCOUNT | |||
| LPL FINANCIAL | 1,527,420.78 | 15.09 | |
| OMNIBUS CUSTOMER ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 892,921.54 | 8.82 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TD AMERITRADE INC FBO | 759,394.20 | 7.50 | |
| OUR CUSTOMERS | |||
TOTAL RETURN FUND— | PERSHING LLC | 10,271.68 | 10.50 | |
ADVISOR CLASS | RAYMOND JAMES | 78,052.37 | 79.82(b) | |
| OMNIBUS FOR MUTUAL FUNDS | |||
TOTAL RETURN | GOLDEY-BEACOM COLLEGE | 3,531,977.36 | 5.26 | |
FUND—I CLASS | ENDOWMENT FUND | |||
ATTN KRISTINE M SANTOMAURO | ||||
| WILMINGTON DE 19808-1993 | |||
| JEANETTE STUMP & JAMES CARNEY & | 5,405,890.47 | 8.04 | |
| HOWARD KLINE TRS – SPECIAL METALS | |||
| CORPORATION RETIREE BENEFIT TRUST | |||
| NATIONAL FINANCIAL SERVICES | 14,562,056.75 | 21.67 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| SEI PRIVATE TRUST COMPANY | 4,252,118.30 | 6.33 | |
| C/O TRUST | |||
| FBO THE CHURCH FOUNDATION | |||
TREASURY RESERVE FUND | BARNACLESAIL | 1,047,448,855.27 | 36.34(a) | |
| C/O T ROWE PRICE ASSOC | |||
| ATTN MID CAP GROWTH FUND | |||
| BALTIMORE MD 21202-1009 | |||
| BRIDGESAIL & CO | 453,208,623.58 | 15.73 | |
| C/O T ROWE PRICE ASSOC | |||
| ATTN SCIENCE & TECHNOLOGY FD | |||
| BALTIMORE MD 21202-1009 | |||
| T ROWE PRICE | 349,556,223.84 | 12.13 | |
| RETIREMENT PLAN SERVICE INC | |||
| ATTN RPS CASH GROUP | |||
| OWINGS MILLS MD 21117-4903 | |||
U.S. EQUITY | CITIGROUP GLOBAL MARKETS INC. | 600,000 | 59.11(f) | |
RESEARCH ETF | CHARLES SCHWAB & CO INC | 107,344 | 10.58 | |
| PERSHING LLC | 232,201 | 22.88 | |
U.S. EQUITY RESEARCH | NATIONAL FINANCIAL SERVICES | 19,134,183.56 | 23.28 | |
FUND | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| RAYMOND JAMES | 42,216,053.02 | 51.36(b) | |
| OMNIBUS FOR MUTUAL FUNDS |
114
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
U.S. EQUITY RESEARCH | CHARLES SCHWAB & CO INC | 62,274.37 | 6.31 | |
FUND—ADVISOR CLASS | REINVEST ACCOUNT | |||
| DCGT AS TTEE AND/OR CUST FBO PLIC | 55,630.24 | 5.64 | |
| VARIOUS RETIREMENT PLANS OMNIBUS | |||
| FIIOC AS AGENT | 150,002.58 | 15.20 | |
| SHEPHERD ELECTRIC COMPANY INC | |||
| 401K AND PROFIT SHARING PLAN | |||
| MATRIX TRUST COMPANY AS AGENT FOR | 93,948.71 | 9.52 | |
| NEWPORT TRUST COMPANY | |||
| MEDICAL SERVICES GROUP-DEPARTMENT | |||
| OF MEDICINE PROFIT SHARING | |||
| FOLSOM CA 95630-8587 | |||
| PERSHING LLC | 56,607.75 | 5.73 | |
U.S. EQUITY RESEARCH | CHARLES SCHWAB & CO INC | 46,933,622.46 | 44.06(b) | |
FUND—I CLASS | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 11,343,425.39 | 10.65 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| SEI PRIVATE TRUST COMPANY | 9,994,166.85 | 9.38 | |
| C/O PRINCIPAL FINANCIAL | |||
| ATTN MUTUAL FUND ADMINISTRATOR | |||
U.S. EQUITY RESEARCH | RETIREMENT I 2030 FUND | 7,049,346.43 | 6.43 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 6,171,669.31 | 5.63 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 7,425,798.99 | 6.77 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2045 FUND | 5,708,196.42 | 5.20 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2050 FUND | 5,583,984.99 | 5.09 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 10,113,174.15 | 9.22 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 6,644,709.47 | 6.06 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 10,774,148.95 | 9.82 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 8,182,988.47 | 7.46 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2045 | 6,462,501.45 | 5.89 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2050 | 5,828,201.89 | 5.31 | |
| T ROWE PRICE ASSOCIATES | |||
U.S. HIGH YIELD ETF | CITIGROUP GLOBAL MARKETS INC. | 400,000 | 94.12(f) | |
U.S. HIGH YIELD FUND | LPL FINANCIAL | 4,641,642.28 | 17.17 | |
| OMNIBUS CUSTOMER ACCOUNT | |||
| MORGAN STANLEY SMITH BARNEY LLC | 5,626,067.35 | 20.81 | |
| FOR THE EXCL BENEFIT OF ITS CUST | |||
| PERSHING LLC | 1,758,536.24 | 6.51 |
115
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
U.S. HIGH YIELD FUND— | MORGAN STANLEY SMITH BARNEY LLC | 40,016.26 | 6.42 | |
ADVISOR CLASS | FOR THE EXCL BENEFIT OF ITS CUST | |||
| NATIONAL FINANCIAL SERVICES | 63,417.96 | 10.18 | |
| FOR EXCLUSIVE BENEFIT OF OUR CUST | |||
| PERSHING LLC | 59,342.55 | 9.52 | |
| RBC CAPITAL MARKETS, LLC | 147,096.79 | 23.60 | |
| MUTUAL FUND OMNIBUS PROCESSING | |||
| TD AMERITRADE INC FBO | 218,905.77 | 35.13(b) | |
| OUR CUSTOMERS | |||
U.S. HIGH YIELD FUND— | NATIONAL FINANCIAL SERVICES | 2,419,970.20 | 10.25 | |
I CLASS | FOR EXCLUSIVE BENEFIT OF OUR CUST | |||
| PERSHING LLC | 2,552,489.34 | 10.81 | |
U.S. LARGE-CAP CORE | NATIONAL FINANCIAL SERVICES | 4,600,071.72 | 8.98 | |
FUND | FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| T ROWE PRICE TRUST CO INC | 2,754,624.30 | 5.38 | |
| OMNI ACCOUNT | |||
U.S. LARGE-CAP CORE | CHARLES SCHWAB & CO INC | 28,578.43 | 8.34 | |
FUND—ADVISOR CLASS | REINVEST ACCOUNT | |||
| MLPF&S FOR THE SOLE BENEFIT OF | 17,818.76 | 5.20 | |
| ITS CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 50,309.73 | 14.68 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 67,119.79 | 19.59 | |
| STATE STREET BANK AND TRUST AS | 39,863.97 | 11.63 | |
| TRUSTEE AND/OR CUSTODIAN | |||
| FBO ADP ACCESS PRODUCT | |||
| TD AMERITRADE INC FBO | 45,077.86 | 13.15 | |
| OUR CUSTOMERS | |||
U.S. LARGE-CAP CORE | RETIREMENT I 2030 FUND | 13,337,361.84 | 5.96 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 11,700,949.29 | 5.23 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 14,200,295.57 | 6.34 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 19,301,299.36 | 8.62 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 12,531,157.77 | 5.60 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 20,419,861.70 | 9.12 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 15,569,448.01 | 6.95 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2045 | 12,380,547.51 | 5.53 | |
| T ROWE PRICE ASSOCIATES | |||
| SPECTRUM DIVERSIFIED EQUITY | 14,620,207.43 | 6.53 | |
| T. ROWE PRICE ASSOCIATES | |||
U.S. LIMITED DURATION | CHARLES SCHWAB & CO INC | 317,340.00 | 18.63 | |
TIPS INDEX FUND | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| PERSHING LLC | 144,857.19 | 8.50 |
116
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
U.S. LIMITED DURATION | EDUCATION TRUST OF ALASKA | 20,201,216.78 | 12.60 | |
TIPS INDEX FUND—I CLASS | PORTFOLIO 2024 | |||
| C/O T ROWE PRICE ASSOCIATES | |||
| MARYLAND COLLEGE INVESTMENT PLAN | 39,939,772.71 | 24.92 | |
| PORTFOLIO 2024 | |||
| T ROWE PRICE SERVICES INC FBO | 28,023,789.20 | 17.48 | |
| EDUCATION TRUST OF ALASKA | |||
| PORTFOLIO FOR EDUCATION TODAY | |||
| T ROWE PRICE SERVICES INC FBO | 55,896,339.88 | 34.87(b) | |
| MARYLAND COLLEGE INVESTMENT PLAN | |||
| PORTFOLIO FOR EDUCATION TODAY | |||
U.S. LIMITED DURATION | RETIREMENT BLEND 2005 FUND | 145,387.41 | 6.68 | |
TIPS INDEX FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2015 FUND | 232,909.93 | 10.70 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2020 FUND | 717,868.56 | 32.98(a) | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2025 FUND | 726,522.31 | 33.38(a) | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT BLEND 2030 FUND | 251,539.90 | 11.56 | |
| T ROWE PRICE ASSOCIATES | |||
U.S. TREASURY | LPL FINANCIAL | 39,163,161.31 | 29.04(b) | |
INTERMEDIATE | OMNIBUS CUSTOMER ACCOUNT | |||
INDEX FUND | MLPF&S FOR THE SOLE BENEFIT OF | 51,000,928.53 | 37.82(b) | |
| ITS CUSTOMERS | |||
U.S. TREASURY | CHARLES SCHWAB & CO INC | 1,644,424.28 | 5.93 | |
INTERMEDIATE | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
INDEX FUND—I CLASS | ||||
U.S. TREASURY | SPECTRUM INCOME FUND | 91,059.08 | 100.00(a) | |
INTERMEDIATE INDEX | T. ROWE PRICE ASSOCIATES | |||
FUND—Z CLASS | ||||
U.S. TREASURY | CHARLES SCHWAB & CO INC | 1,967,506.83 | 7.30 | |
LONG-TERM INDEX FUND | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 5,209,643.23 | 19.34 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 2,660,377.97 | 9.88 | |
U.S. TREASURY | LADYBIRD & CO | 5,388,166.58 | 13.33 | |
LONG-TERM INDEX | LADYBUG & CO | 7,441,490.17 | 18.41 | |
FUND—I CLASS | LAKESIDE & CO | 8,129,100.43 | 20.11 | |
| MARIL & CO FBO | 2,130,723.00 | 5.27 | |
| PERSHING LLC | 3,028,700.76 | 7.49 |
117
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
U.S. TREASURY | RETIREMENT I 2025 FUND | 32,263,308.34 | 6.60 | |
LONG-TERM INDEX | T ROWE PRICE ASSOCIATES | |||
FUND—Z CLASS | RETIREMENT I 2030 FUND | 45,551,872.09 | 9.32 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 28,560,177.33 | 5.85 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2020 | 43,114,173.29 | 8.82 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 50,344,478.14 | 10.30 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 69,915,755.43 | 14.31 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 38,192,190.21 | 7.82 | |
| T ROWE PRICE ASSOCIATES | |||
| SPECTRUM INCOME FUND | 35,676,461.01 | 7.30 | |
| T. ROWE PRICE ASSOCIATES | |||
U.S. TREASURY MONEY | EDWARD D JONES & CO | 1,079,609,048.33 | 29.88(b) | |
FUND—I CLASS | FOR THE BENEFIT OF CUSTOMERS | |||
| MARYLAND COLLEGE INVESTMENT PLAN | 232,245,820.62 | 6.43 | |
| US TREASURY MONEY MARKET | |||
U.S. TREASURY MONEY | RETIREMENT I 2030 FUND | 269,531,324.61 | 6.04 | |
FUND—Z CLASS | T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 226,904,378.82 | 5.09 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 335,489,579.29 | 7.52 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2020 | 312,219,935.97 | 7.00 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 311,550,073.46 | 6.99 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 428,408,582.70 | 9.61 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 300,696,447.04 | 6.74 | |
| T ROWE PRICE ASSOCIATES | |||
ULTRA SHORT-TERM | CITIGROUP GLOBAL MARKETS INC. | 400,000 | 36.36(f) | |
BOND ETF | CHARLES SCHWAB & CO INC | 197,351 | 17.94 | |
| NATIONAL FINANCIAL SERVICES LLC | 105,505 | 9.59 | |
| PERSHING LLC | 115,862 | 10.53 | |
| TD AMERITRADE CLEARING, INC. | 202,616 | 18.42 | |
ULTRA SHORT-TERM | CHARLES SCHWAB & CO INC | 55,733,833.43 | 17.83 | |
BOND FUND | REINVEST ACCOUNT | |||
| LPL FINANCIAL | 29,885,576.50 | 9.56 | |
| OMNIBUS CUSTOMER ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 108,540,228.29 | 34.73(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| TD AMERITRADE INC FBO | 19,695,141.17 | 6.30 | |
| OUR CUSTOMERS | |||
| UBS WM USA | 28,697,669.14 | 9.18 | |
| SPEC CDY A/C EXL BEN CUSTOMERS | |||
| OF UBSFI |
118
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
ULTRA SHORT-TERM BOND | CHARLES SCHWAB & CO INC | 46,233,242.02 | 23.95 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 10,292,572.68 | 5.33 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
ULTRA SHORT-TERM BOND | T ROWE PRICE ASSOCIATES | 19,607.84 | 100.00(c) | |
FUND—Z CLASS | ||||
VALUE FUND | CHARLES SCHWAB & CO INC | 6,266,936.96 | 6.86 | |
| REINVESTMENT ACCOUNT | |||
| LPL FINANCIAL | 8,113,341.47 | 8.88 | |
| OMNIBUS CUSTOMER ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 15,770,789.84 | 17.27 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 6,689,280.59 | 7.32 | |
| T ROWE PRICE TRUST CO | 7,179,850.25 | 7.86 | |
| ATTN INSTALLATION TEAM FOR | |||
| TRPS INST CONTROL DEPT | |||
VALUE FUND—ADVISOR | CHARLES SCHWAB & CO INC | 321,822.02 | 5.41 | |
CLASS | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 1,873,113.94 | 31.48(b) | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 385,905.56 | 6.49 | |
| PIMS/PRUDENTIAL RETIREMENT | 732,298.25 | 12.31 | |
| AS NOMINEE FOR THE TTEE/CUST PL 980 | |||
| DEFERRED COMPENSATION PLAN FOR | |||
| WHITE PLAINS NY 10601-3311 | |||
| VOYA RETIREMENT INS & ANNUITY CO | 771,520.93 | 12.97 | |
VALUE FUND—I CLASS | CHARLES SCHWAB & CO INC | 9,669,002.41 | 8.90 | |
| SPECIAL CUSTODY A/C FBO CUSTOMERS | |||
| NATIONAL FINANCIAL SERVICES | 11,933,530.82 | 10.99 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
VALUE FUND—Z CLASS | RETIREMENT I 2030 FUND | 31,756,737.54 | 6.30 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2035 FUND | 27,665,307.92 | 5.49 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2040 FUND | 33,211,979.86 | 6.59 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT I 2045 FUND | 25,582,956.24 | 5.08 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2040 | 45,122,614.43 | 8.95 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2025 | 30,062,612.83 | 5.97 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2030 | 48,630,902.25 | 9.65 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2035 | 36,652,958.13 | 7.27 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2045 | 28,748,653.57 | 5.70 | |
| T ROWE PRICE ASSOCIATES | |||
| RETIREMENT PORTFOLIO 2050 | 25,890,498.06 | 5.14 | |
| T ROWE PRICE ASSOCIATES |
119
FUND/CLASS | SHAREHOLDER | # OF | % OWNERSHIP | |
VIRGINIA TAX-FREE | CHARLES SCHWAB & CO INC | 6,823,228.29 | 11.07 | |
BOND FUND | REINVEST ACCOUNT | |||
| NATIONAL FINANCIAL SERVICES | 14,973,151.24 | 24.30 | |
| FOR THE EXCLUSIVE BENEFIT | |||
| OF OUR CUSTOMERS | |||
| PERSHING LLC | 3,672,443.98 | 5.96 | |
| RAYMOND JAMES | 3,700,206.63 | 6.01 | |
| OMNIBUS FOR MUTUAL FUNDS | |||
| TD AMERITRADE INC FBO | 3,755,453.73 | 6.10 | |
| OUR CUSTOMERS | |||
VIRGINIA TAX-FREE BOND | CHARLES SCHWAB & CO INC | 5,368,503.35 | 10.02 | |
FUND—I CLASS | SPECIAL CUSTODY A/C FBO CUSTOMERS |
(a) | T. Rowe Price Retirement Plan Services, Inc., is a wholly owned subsidiary of T. Rowe Price, which is a wholly owned subsidiary of T. Rowe Price Group, Inc., each a Maryland corporation. T. Rowe Price Retirement Plan Services, Inc. is not the beneficial owner of these shares. Such shares are held of record by T. Rowe Price Retirement Plan Services, Inc. and are normally voted by various retirement plans and retirement plan participants. |
(b) | At the level of ownership indicated, the shareholder may be able to determine the outcome of any matters affecting a Fund or one of its classes that are submitted to shareholders for vote. |
(c) | T. Rowe Price is a wholly owned subsidiary of T. Rowe Price Group, Inc., each a Maryland corporation. Shares owned by T. Rowe Price may represent discretionary investments and/or a contribution to the Fund at its inception that provided the Fund with sufficient capital to invest in accordance with its investment program. At the level of ownership indicated, T. Rowe Price may be able to determine the outcome of most issues that were submitted to shareholders for vote. |
(d) | The indicated percentage of the outstanding shares of this Fund are owned by another T. Rowe Price Fund and held in the nominee name indicated. Shares of the Fund are “echo-voted” by the T. Rowe Price Fund that owns the shares in the same proportion that the shares of the underlying Fund are voted by other shareholders. |
(e) | T. Rowe Price Trust Company is a wholly owned subsidiary of T. Rowe Price, which is a wholly owned subsidiary of T. Rowe Price Group, Inc., each a Maryland corporation. T. Rowe Price Trust Company is not the beneficial owner of these shares. Such shares are held of record by T. Rowe Price Trust Company and are normally voted by various retirement plans and retirement plan participants. |
(f) | At the level of ownership indicated, the shareholder may be able to determine the outcome of any matters that are submitted to shareholders for vote. |
(g) | Security Benefit Life Insurance Company, organized under the laws of Kansas, owns the percentage indicated (in connection with issuing the T. Rowe Price Variable Annuity) of the outstanding shares of the Fund. Under current law, the insurance company must vote these shares in accordance with instructions received by underlying contract holders. |
INFORMATION ABOUT INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS
The Joint Audit Committee has selected PricewaterhouseCoopers LLP (PricewaterhouseCoopers) as the independent registered public accounting firm for the T. Rowe Price Funds for their current fiscal years, and such selection has also been approved by the Funds’ independent directors. Representatives of PricewaterhouseCoopers are not expected to be present at the Shareholder Meeting or available to make a statement or respond to any shareholders’ questions.
The following table, entitled “Independent Auditor Fees,” sets forth the amounts accrued by each Fund for audit and tax fees during each Fund’s last two fiscal years. None of the Funds accrued any fees for audit-related or other fees during each Fund’s last two fiscal years. The table also includes aggregate fees billed by PricewaterhouseCoopers for non-audit services rendered to the Fund, T. Rowe Price,
120
and any entity controlling, controlled by, or under common control with T. Rowe Price that provides ongoing services to the Funds for each Fund’s last two fiscal years.
Audit fees are billed for professional services rendered by PricewaterhouseCoopers for the audit of each Fund’s annual financial statements and for services normally provided in connection with statutory and regulatory filings. Tax fees are billed to the T. Rowe Price ETFs for services rendered by PricewaterhouseCoopers for tax compliance, tax advice, and tax planning. The nature of services comprising these fees includes the review of distribution calculations and the preparation of federal, state, and excise tax returns.
Pursuant to the Joint Audit Committee’s charter, the Joint Audit Committee is responsible for approving in advance any permissible non-audit services to be provided by PricewaterhouseCoopers to: i. The Price Funds; and ii. Any investment advisers of the Price Funds or any affiliates of such investment advisers if such investment advisers or affiliates provide ongoing services to the Price Funds and the engagement relates directly to the operations and financial reporting of the Price Funds; provided, that any single member of the Committee may approve such services on behalf of the Committee if such approval is reported to the Committee at its next regular meeting. These pre-approval requirements were not waived for any Fund during its last two fiscal year-ends.
Independent Auditor Fees
Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Africa & Middle East | $24,030 | $24,055 | — | — | $3,600,000 | $2,760,000 |
All-Cap Opportunities | 21,464 | 21,409 | — | — | 3,732,000— | 2,037,000 |
All-Cap Opportunities Portfolio | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Asia Opportunities | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Balanced | 30,530 | 30,755 | — | — | 3,732,000 | 2,037,000 |
Blue Chip Growth ETF | 19,964 | 20,562 | $4,382 | $4,514 | 3,732,000 | 2,037,000 |
Blue Chip Growth | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Blue Chip Growth Portfolio | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
California Tax-Free Bond | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Capital Appreciation | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Cash Reserves | 23,424 | 23,429 | — | — | 3,600,000 | 2,760,000 |
China Evolution Equity | 24,030 | 24,005 | — | — | 3,600,000 | 2,760,000 |
Communications & Technology | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Corporate Income | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Credit Opportunities | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
121
Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Diversified Mid-Cap Growth | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Dividend Growth ETF | 19,964 | 20,562 | 4,382 | 4,514 | 3,732,000 | 2,037,000 |
Dividend Growth | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Dynamic Credit | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Dynamic Global Bond | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Emerging Europe | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Emerging Markets Bond | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
Emerging Markets Corporate Bond | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
Emerging Markets Corporate Multi-Sector Account Portfolio | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
Emerging Markets Discovery Stock | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Emerging Markets Local Currency Bond | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
Emerging Markets Local Multi-Sector Account Portfolio | 35,966 | 18,121 | — | — | 3,732,000 | 2,037,000 |
Emerging Markets Stock | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Equity Income ETF | 19,964 | 20,562 | 4,382 | 4,514 | 3,732,000 | 2,037,000 |
Equity Income | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Equity Income Portfolio | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Equity Index 500 | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Equity Index 500 Portfolio | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
European Stock | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Extended Equity Market Index | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Financial Services | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Floating Rate ETF | — | 2,600 | — | — | — | 2,959,000 |
Floating Rate | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
Floating Rate Multi-Sector Account Portfolio | 41,344 | 41,889 | — | — | 3,749,000 | 1,454,000 |
Georgia Tax-Free Bond | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Global Allocation | 41,344 | 41,889 | — | — | 3,600,000 | 2,760,000 |
Global Consumer | 24,030 | 24,055 | — | — | 3,732,000 | 2,037,000 |
Global Growth Stock | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Global High Income Bond | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
Global Impact Equity | 26,530 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Global Industrials | 24,030 | 24,055 | — | — | 3,732,000 | 2,037,000 |
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Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Global Multi-Sector Bond | 35,141 | 36,351 | 6,334 | — | 3,481,000 | 2,959,000 |
Global Real Estate | 24,030 | 24,055 | — | — | 3,732,000 | 2,037,000 |
Global Stock | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Global Technology | 24,030 | 24,055 | — | — | 3,732,000 | 2,037,000 |
Global Value Equity | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
GNMA | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Government Money | 22,599 | 23,429 | 3,581 | — | 3,481,000 | 2,959,000 |
Government Money Portfolio | 23,424 | — | — | — | 3,732,000 | — |
Government Reserve | 22,599 | 23,429 | 3,581 | — | 3,481,000 | 2,959,000 |
Growth Stock ETF | 19,964 | 20,562 | 4,382 | 4,514 | 3,732,000 | 2,037,000 |
Growth Stock | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Health Sciences | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Health Sciences Portfolio | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
High Yield | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
High Yield Multi-Sector Account Portfolio | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Inflation Protected Bond | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Institutional Emerging Markets Bond | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
Institutional Emerging Markets Equity | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Institutional Floating Rate | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
Institutional High Yield | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
Institutional International Disciplined Equity | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Institutional Large-Cap Core Growth | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Institutional Long Duration Credit | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Institutional Mid-Cap Equity Growth | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Institutional Small-Cap Stock | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Integrated Global Equity | 24,030 | 24,055 | — | — | 3,732,000 | 2,037,000 |
Integrated U.S. Large-Cap Value Equity | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Integrated U.S. Small-Cap Growth Equity | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Integrated U.S. Small-Mid Cap Core Equity | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
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Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Intermediate Tax-Free High Yield | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
International Bond | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
International Bond (USD Hedged) | 35,966 | 36,351 | — | — | 3,732,000 | 2,037,000 |
International Disciplined Equity | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
International Discovery | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
International Equity Index | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
International Stock | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
International Stock Portfolio | 24,030 | 24,055 | — | — | 3,732,000 | 2,037,000 |
International Value Equity | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Investment-Grade Corporate Multi-Sector Account Portfolio | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Japan | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Large-Cap Growth | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Large-Cap Value | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Latin America | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
Limited Duration Inflation Focused Bond | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Limited-Term Bond Portfolio | 30,530 | 30,755 | — | — | 3,732,000 | 2,037,000 |
Maryland Short-Term Tax-Free Bond | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Maryland Tax-Free Bond | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Maryland Tax-Free Money | 23,424 | 23,429 | — | — | 3,749,000 | 1,454,000 |
Mid-Cap Growth | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Mid-Cap Growth Portfolio | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Mid-Cap Index | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Mid-Cap Value | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Moderate Allocation Portfolio | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Mortgage-Backed Securities Multi-Sector Account Portfolio | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Multi-Strategy Total Return | 66,958 | 68,153 | — | — | 3,600,000 | 2,760,000 |
New Asia | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
124
Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
New Era | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
New Horizons | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
New Income | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
New Jersey Tax-Free Bond | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
New York Tax-Free Bond | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Overseas Stock | 24,030 | 24,055 | — | — | 3,600,000 | 2,760,000 |
QM U.S. Bond ETF | 17,595 | 29,899 | 3,314 | 6,563 | 3,600,000 | 2,760,000 |
QM U.S. Bond Index | 30,530 | 30,755 | — | — | 3,600,000 | 2,760,000 |
Real Assets | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Real Estate | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Retirement 2005 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2010 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2015 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2020 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2025 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2030 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2035 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2040 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2045 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2050 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2055 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2060 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement 2065 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement Balanced | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement Blend 2005 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2010 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2015 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2020 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2025 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2030 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2035 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2040 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2045 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2050 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2055 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2060 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement Blend 2065 | 1,250 | 13,183 | — | — | 3,481,000 | 2,959,000 |
Retirement I 2005 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2010 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
125
Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Retirement I 2015 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2020 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2025 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2030 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2035 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2040 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2045 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2050 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2055 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2060 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement I 2065 Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement Balanced I Fund—I Class | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Retirement Income 2020 | 13,478 | 13,183 | — | — | 3,732,000 | 2,037,000 |
Science & Technology | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Short Duration Income | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Short-Term | 22,599 | — | 3,581 | — | 3,481,000 | — |
Short-Term Bond | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Short-Term Government | — | — | — | — | — | — |
Small-Cap Index | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Small-Cap Stock | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Small-Cap Value | 41,344 | 41,889 | — | — | 3,732,000 | 2,037,000 |
Spectrum Conservative Allocation | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
Spectrum Diversified Equity | 13,478 | 13,183 | — | — | 3,732,000 | 2,037,000 |
Spectrum Income | 13,478 | 13,183 | — | — | 3,732,000 | 2,037,000 |
Spectrum International Equity | 13,478 | 13,183 | — | — | 3,732,000 | 2,037,000 |
Spectrum Moderate Allocation | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
Spectrum Moderate Growth Allocation | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
126
Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Summit Municipal Income | 30,530 | 30,755 | — | — | 3,600,000 | 2,760,000 |
Summit Municipal Intermediate | 30,530 | 30,755 | — | — | 3,600,000 | 2,760,000 |
Target 2005 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2010 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2015 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2020 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2025 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2030 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2035 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2040 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2045 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2050 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2055 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2060 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Target 2065 | 12,653 | 13,183 | 1,397 | — | 3,481,000 | 2,959,000 |
Tax-Efficient Equity | 21,464 | 21,409 | — | — | 3,749,000 | 1,454,000 |
Tax-Exempt Money | 29,924 | 23,429 | — | — | 3,749,000 | 1,454,000 |
Tax-Free High Yield | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Tax-Free Income | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Tax-Free Short-Intermediate | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
Total Equity Market Index | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Total Return ETF | 2,500 | 29,899 | — | 6,563 | 3,481,000 | 2,959,000 |
Total Return | 40,519 | 41,889 | 7,514 | — | 3,481,000 | 2,959,000 |
Transition | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Treasury Reserve | 22,599 | 23,429 | 3,581 | — | 3,481,000 | 2,959,000 |
U.S. Equity Research ETF | 22,464 | 20,562 | 4,382 | 4,514 | 2,732,000 | 3,732,000 |
U.S. Equity Research | 25,964 | 21,409 | — | — | 3,732,000 | 2,037,000 |
U.S. High Yield ETF | — | 2,600 | — | — | — | 2,959,000 |
U.S. High Yield | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
U.S. Large-Cap Core | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
U.S. Limited Duration TIPS Index | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
U.S. Treasury Intermediate Index | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
U.S. Treasury Long-Term Index | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
U.S. Treasury Money | 22,599 | 23,429 | 3,581 | — | 3,481,000 | 2,959,000 |
Ultra Short-Term Bond ETF | 2,500 | 29,899 | — | 6,563 | 3,481,000 | 2,959,000 |
Ultra Short-Term Bond | 29,705 | 30,755 | 5,140 | — | 3,481,000 | 2,959,000 |
127
Fund | Audit Fees | Tax Fees | Aggregate Fees Non-Audit Services to the Fund, T. Rowe Price, and any Entity Controlling, Controlled by, or Under Common Control with T. Rowe Price that Provides Ongoing Services to the Fund | |||
Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | Previous Fiscal Year | Current Fiscal Year | |
Value | 21,464 | 21,409 | — | — | 3,732,000 | 2,037,000 |
Virginia Tax-Free Bond | 30,530 | 30,755 | — | — | 3,749,000 | 1,454,000 |
128
Exhibit 1
T. ROWE PRICE FUNDS
Funds | Ticker | Fiscal |
T. ROWE PRICE ALL-CAP OPPORTUNITIES FUND, INC. | ||
T. Rowe Price All-Cap Opportunities Fund | PRWAX | 12/31 |
T. Rowe Price All-Cap Opportunities Fund—Advisor Class | PAWAX | 12/31 |
T. Rowe Price All-Cap Opportunities Fund—I Class | PNAIX | 12/31 |
T. ROWE PRICE BALANCED FUND, INC. | ||
T. Rowe Price Balanced Fund | RPBAX | 12/31 |
T. Rowe Price Balanced Fund—I Class | RBAIX | 12/31 |
T. ROWE PRICE BLUE CHIP GROWTH FUND, INC. | ||
T. Rowe Price Blue Chip Growth Fund | TRBCX | 12/31 |
T. Rowe Price Blue Chip Growth Fund—Advisor Class | PABGX | 12/31 |
T. Rowe Price Blue Chip Growth Fund—I Class | TBCIX | 12/31 |
T. Rowe Price Blue Chip Growth Fund—R Class | RRBGX | 12/31 |
T. Rowe Price Blue Chip Growth Fund—Z Class | TRZBX | 12/31 |
T. ROWE PRICE CAPITAL APPRECIATION FUND, INC. | ||
T. Rowe Price Capital Appreciation Fund | PRWCX | 12/31 |
T. Rowe Price Capital Appreciation Fund—Advisor Class | PACLX | 12/31 |
T. Rowe Price Capital Appreciation Fund—I Class | TRAIX | 12/31 |
T. ROWE PRICE COMMUNICATIONS & TECHNOLOGY FUND, INC. | ||
T. Rowe Price Communications & Technology Fund | PRMTX | 12/31 |
T. Rowe Price Communications & Technology Fund—I Class | TTMIX | 12/31 |
T. ROWE PRICE CORPORATE INCOME FUND, INC. | ||
T. Rowe Price Corporate Income Fund | PRPIX | 5/31 |
T. Rowe Price Corporate Income Fund—I Class | TICCX | 5/31 |
T. Rowe Price Corporate Income Fund—Z Class | TRZCX | 5/31 |
T. ROWE PRICE CREDIT OPPORTUNITIES FUND, INC. | ||
T. Rowe Price Credit Opportunities Fund | PRCPX | 5/31 |
T. Rowe Price Credit Opportunities Fund—Advisor Class | PAOPX | 5/31 |
T. Rowe Price Credit Opportunities Fund—I Class | TCRRX | 5/31 |
T. ROWE PRICE DIVERSIFIED MID-CAP GROWTH FUND, INC. | ||
T. Rowe Price Diversified Mid-Cap Growth Fund | PRDMX | 12/31 |
T. Rowe Price Diversified Mid-Cap Growth Fund—I Class | RPTTX | 12/31 |
T. ROWE PRICE DIVIDEND GROWTH FUND, INC. | ||
T. Rowe Price Dividend Growth Fund | PRDGX | 12/31 |
T. Rowe Price Dividend Growth Fund—Advisor Class | TADGX | 12/31 |
T. Rowe Price Dividend Growth Fund—I Class | PDGIX | 12/31 |
T. Rowe Price Dividend Growth Fund—Z Class | TRZDX | 12/31 |
T. ROWE PRICE EQUITY FUNDS, INC. |
| |
T. Rowe Price Institutional Large-Cap Core Growth Fund | TPLGX | 12/31 |
T. Rowe Price Institutional Mid-Cap Equity Growth Fund | PMEGX | 12/31 |
T. Rowe Price Institutional Small-Cap Stock Fund | TRSSX | 12/31 |
T. Rowe Price Large-Cap Growth Fund | TRGOX | 12/31 |
T. Rowe Price Large-Cap Growth Fund—I Class | TRLGX | 12/31 |
T. Rowe Price Large-Cap Value Fund | TRLUX | 12/31 |
T. Rowe Price Large-Cap Value Fund—I Class | TILCX | 12/31 |
T. ROWE PRICE EQUITY INCOME FUND, INC. | ||
T. Rowe Price Equity Income Fund | PRFDX | 12/31 |
T. Rowe Price Equity Income Fund—Advisor Class | PAFDX | 12/31 |
T. Rowe Price Equity Income Fund—I Class | REIPX | 12/31 |
T. Rowe Price Equity Income Fund—R Class | RRFDX | 12/31 |
T. Rowe Price Equity Income Fund—Z Class | TRZQX | 12/31 |
129
Funds | Ticker | Fiscal |
T. ROWE PRICE EQUITY SERIES, INC. | ||
T. Rowe Price All-Cap Opportunities Portfolio | QAOSWX | 12/31 |
T. Rowe Price Blue Chip Growth Portfolio | QAAAJX | 12/31 |
T. Rowe Price Blue Chip Growth Portfolio—II | QAAGXX | 12/31 |
T. Rowe Price Equity Income Portfolio | QAAHCX | 12/31 |
T. Rowe Price Equity Income Portfolio—II | QAAHAX | 12/31 |
T. Rowe Price Equity Index 500 Portfolio | QAAGTX | 12/31 |
T. Rowe Price Health Sciences Portfolio | QAAGZX | 12/31 |
T. Rowe Price Health Sciences Portfolio—II | QAAHBX | 12/31 |
T. Rowe Price Mid-Cap Growth Portfolio | QAMWEX | 12/31 |
T. Rowe Price Mid-Cap Growth Portfolio—II | QAAGSX | 12/31 |
T. Rowe Price Moderate Allocation Portfolio | QAAGRX | 12/31 |
T. ROWE PRICE EXCHANGE-TRADED FUNDS, INC. | ||
T. Rowe Price Blue Chip Growth ETF | TCHP | 12/31 |
T. Rowe Price Capital Appreciation Equity ETF | TCAF | 12/31 |
T. Rowe Price Dividend Growth ETF | TDVG | 12/31 |
T. Rowe Price Equity Income ETF | TEQI | 12/31 |
T. Rowe Price Floating Rate ETF | TFLR | 5/31 |
T. Rowe Price Growth ETF | TGRT | 12/31 |
T. Rowe Price Growth Stock ETF | TGRW | 12/31 |
T. Rowe Price International Equity ETF | TOUS | 10/31 |
T. Rowe Price QM U.S. Bond ETF | TAGG | 10/31 |
T. Rowe Price Small-Mid Cap ETF | TMSL | 12/31 |
T. Rowe Price Total Return ETF | TOTR | 5/31 |
T. Rowe Price Ultra Short-Term Bond ETF | TBUX | 5/31 |
T. Rowe Price U.S. Equity Research ETF | TSPA | 12/31 |
T. Rowe Price U.S. High Yield ETF | THYF | 5/31 |
T. Rowe Price Value ETF | TVAL | 12/31 |
T. ROWE PRICE FINANCIAL SERVICES FUND, INC. | ||
T. Rowe Price Financial Services Fund | PRISX | 12/31 |
T. Rowe Price Financial Services Fund—I Class | TFIFX | 12/31 |
T. ROWE PRICE FIXED INCOME SERIES, INC. | ||
T. Rowe Price Limited-Term Bond Portfolio | QAAGWX | 12/31 |
T. Rowe Price Limited-Term Bond Portfolio—II | QAAGUX | 12/31 |
T. ROWE PRICE FLOATING RATE FUND, INC. | ||
T. Rowe Price Floating Rate Fund | PRFRX | 5/31 |
T. Rowe Price Floating Rate Fund—Advisor Class | PAFRX | 5/31 |
T. Rowe Price Floating Rate Fund—I Class | TFAIX | 5/31 |
T. Rowe Price Floating Rate Fund—Z Class | TRIZX | 5/31 |
T. ROWE PRICE GLOBAL ALLOCATION FUND, INC. | ||
T. Rowe Price Global Allocation Fund | RPGAX | 10/31 |
T. Rowe Price Global Allocation Fund—Advisor Class | PAFGX | 10/31 |
T. Rowe Price Global Allocation Fund—I Class | TGAFX | 10/31 |
T. ROWE PRICE GLOBAL FUNDS, INC. | ||
T. Rowe Price Global Value Equity Fund | TRGVX | 10/31 |
T. Rowe Price Global Value Equity Fund—I Class | PRIGX | 10/31 |
T. Rowe Price Institutional Emerging Markets Bond Fund | TREBX | 12/31 |
T. Rowe Price Institutional Emerging Markets Equity Fund | IEMFX | 10/31 |
T. Rowe Price Institutional International Disciplined Equity Fund | RPICX | 10/31 |
T. ROWE PRICE GLOBAL MULTI-SECTOR BOND FUND, INC. | ||
T. Rowe Price Global Multi-Sector Bond Fund | PRSNX | 5/31 |
T. Rowe Price Global Multi-Sector Bond Fund—Advisor Class | PRSAX | 5/31 |
T. Rowe Price Global Multi-Sector Bond Fund—I Class | PGMSX | 5/31 |
130
Funds | Ticker | Fiscal |
T. ROWE PRICE GLOBAL REAL ESTATE FUND, INC. | ||
T. Rowe Price Global Real Estate Fund | TRGRX | 12/31 |
T. Rowe Price Global Real Estate Fund—Advisor Class | PAGEX | 12/31 |
T. Rowe Price Global Real Estate Fund—I Class | TIRGX | 12/31 |
T. ROWE PRICE GLOBAL TECHNOLOGY FUND, INC. | ||
T. Rowe Price Global Technology Fund | PRGTX | 12/31 |
T. Rowe Price Global Technology Fund—I Class | PGTIX | 12/31 |
T. ROWE PRICE GNMA FUND, INC. | ||
T. Rowe Price GNMA Fund | PRGMX | 5/31 |
T. Rowe Price GNMA Fund—I Class | PRXAX | 5/31 |
T. Rowe Price GNMA Fund—Z Class | TRZGX | 5/31 |
T. ROWE PRICE GOVERNMENT MONEY FUND, INC. | ||
T. Rowe Price Government Money Fund | PRRXX | 5/31 |
T. Rowe Price Government Money Fund—I Class | TTGXX | 5/31 |
T. ROWE PRICE GROWTH STOCK FUND, INC. | ||
T. Rowe Price Growth Stock Fund | PRGFX | 12/31 |
T. Rowe Price Growth Stock Fund—Advisor Class | TRSAX | 12/31 |
T. Rowe Price Growth Stock Fund—I Class | PRUFX | 12/31 |
T. Rowe Price Growth Stock Fund—R Class | RRGSX | 12/31 |
T. Rowe Price Growth Stock Fund—Z Class | TRJZX | 12/31 |
T. ROWE PRICE HEALTH SCIENCES FUND, INC. | ||
T. Rowe Price Health Sciences Fund | PRHSX | 12/31 |
T. Rowe Price Health Sciences Fund—I Class | THISX | 12/31 |
T. ROWE PRICE HIGH YIELD FUND, INC. | ||
T. Rowe Price High Yield Fund | PRHYX | 5/31 |
T. Rowe Price High Yield Fund—Advisor Class | PAHIX | 5/31 |
T. Rowe Price High Yield Fund—I Class | PRHIX | 5/31 |
T. Rowe Price High Yield Fund—Z Class | TRKZX | 5/31 |
T. Rowe Price U.S. High Yield Fund | TUHYX | 5/31 |
T. Rowe Price U.S. High Yield Fund—Advisor Class | TUHAX | 5/31 |
T. Rowe Price U.S. High Yield Fund—I Class | TUHIX | 5/31 |
T. ROWE PRICE INDEX TRUST, INC. | ||
T. Rowe Price Equity Index 500 Fund | PREIX | 12/31 |
T. Rowe Price Equity Index 500 Fund—I Class | PRUIX | 12/31 |
T. Rowe Price Equity Index 500 Fund—Z Class | TRHZX | 12/31 |
T. Rowe Price Extended Equity Market Index Fund | PEXMX | 12/31 |
T. Rowe Price Mid-Cap Index Fund | TRMNX | 12/31 |
T. Rowe Price Mid-Cap Index Fund—I Class | TRMSX | 12/31 |
T. Rowe Price Mid-Cap Index Fund—Z Class | TRSZX | 12/31 |
T. Rowe Price Small-Cap Index Fund | TRSYX | 12/31 |
T. Rowe Price Small-Cap Index Fund—I Class | TRCSX | 12/31 |
T. Rowe Price Small-Cap Index Fund—Z Class | TRZIX | 12/31 |
T. Rowe Price Total Equity Market Index Fund | POMIX | 12/31 |
T. Rowe Price U.S. Limited Duration TIPS Index Fund | TLDTX | 5/31 |
T. Rowe Price U.S. Limited Duration TIPS Index Fund—I Class | TLDUX | 5/31 |
T. Rowe Price U.S. Limited Duration TIPS Index Fund—Z Class | TLDZX | 5/31 |
T. ROWE PRICE INFLATION PROTECTED BOND FUND, INC. | ||
T. Rowe Price Inflation Protected Bond Fund | PRIPX | 5/31 |
T. Rowe Price Inflation Protected Bond Fund—I Class | TIIPX | 5/31 |
T. Rowe Price Inflation Protected Bond Fund—Z Class | TRZHX | 5/31 |
131
Funds | Ticker | Fiscal |
T. ROWE PRICE INSTITUTIONAL INCOME FUNDS, INC. | ||
T. Rowe Price Institutional Floating Rate Fund | RPIFX | 5/31 |
T. Rowe Price Institutional Floating Rate Fund—F Class | PFFRX | 5/31 |
T. Rowe Price Institutional Floating Rate Fund—Z Class | TRAZX | 5/31 |
T. Rowe Price Institutional High Yield Fund | TRHYX | 5/31 |
T. Rowe Price Institutional High Yield Fund—Z Class | TRCZX | 5/31 |
T. Rowe Price Institutional Long Duration Credit Fund | RPLCX | 5/31 |
T. ROWE PRICE INTEGRATED EQUITY FUNDS, INC. (formerly T. ROWE PRICE QUANTITATIVE MANAGEMENT FUNDS, INC.) | ||
T. Rowe Price Integrated Global Equity Fund (formerly T. Rowe Price QM Global Equity Fund) | TQGEX | 12/31 |
T. Rowe Price Integrated Global Equity Fund—Advisor Class (formerly T. Rowe Price QM Global Equity Fund—Advisor Class) | TQGAX | 12/31 |
T. Rowe Price Integrated Global Equity Fund—I Class (formerly T. Rowe Price QM Global Equity Fund—I Class) | TQGIX | 12/31 |
T. Rowe Price Integrated U.S. Large-Cap Value Equity Fund (formerly T. Rowe Price QM U.S. Value Equity Fund) | TQMVX | 12/31 |
T. Rowe Price Integrated U.S. Large-Cap Value Equity Fund—Advisor Class (formerly T. Rowe Price QM U.S. Value Equity Fund—Advisor Class) | TQVAX | 12/31 |
T. Rowe Price Integrated U.S. Large-Cap Value Equity Fund—I Class (formerly T. Rowe Price QM U.S. Value Equity Fund—I Class) | TQVIX | 12/31 |
T. Rowe Price Integrated U.S. Small-Cap Growth Equity Fund (formerly T. Rowe Price QM U.S. Small-Cap Growth Equity Fund) | PRDSX | 12/31 |
T. Rowe Price Integrated U.S. Small-Cap Growth Equity Fund—Advisor Class (formerly T. Rowe Price QM U.S. Small-Cap Growth Equity Fund—Advisor Class) | TQAAX | 12/31 |
T. Rowe Price Integrated U.S. Small-Cap Growth Equity Fund—I Class (formerly T. Rowe Price QM U.S. Small-Cap Growth Equity Fund—I Class) | TQAIX | 12/31 |
T. Rowe Price Integrated U.S. Small-Mid Cap Core Equity Fund (formerly T. Rowe Price QM U.S. Small & Mid-Cap Core Equity Fund) | TQSMX | 12/31 |
T. Rowe Price Integrated U.S. Small-Mid Cap Core Equity Fund—Advisor Class (formerly T. Rowe Price QM U.S. Small & Mid-Cap Core Equity Fund—Advisor Class) | TQSAX | 12/31 |
T. Rowe Price Integrated U.S. Small-Mid Cap Core Equity Fund—I Class (formerly T. Rowe Price QM U.S. Small & Mid-Cap Core Equity Fund—I Class) | TQSIX | 12/31 |
T. ROWE PRICE INTERMEDIATE TAX-FREE HIGH YIELD FUND, INC. | ||
T. Rowe Price Intermediate Tax-Free High Yield Fund | PRIHX | 2/28 |
T. Rowe Price Intermediate Tax-Free High Yield Fund—Advisor Class | PRAHX | 2/28 |
T. Rowe Price Intermediate Tax-Free High Yield Fund—I Class | TFHAX | 2/28 |
T. ROWE PRICE INTERNATIONAL FUNDS, INC. | ||
T. Rowe Price Africa & Middle East Fund | TRAMX | 10/31 |
T. Rowe Price Africa & Middle East Fund—I Class | PRAMX | 10/31 |
T. Rowe Price Africa & Middle East Fund—Z Class | TRZMX | 10/31 |
T. Rowe Price Asia Opportunities Fund | TRAOX | 10/31 |
T. Rowe Price Asia Opportunities Fund—Advisor Class | PAAOX | 10/31 |
T. Rowe Price Asia Opportunities Fund—I Class | TRASX | 10/31 |
T. Rowe Price China Evolution Equity Fund | TCELX | 10/31 |
T. Rowe Price China Evolution Equity Fund—I Class | TRCLX | 10/31 |
T. Rowe Price Dynamic Credit Fund | RPIDX | 12/31 |
T. Rowe Price Dynamic Credit Fund—I Class | RPELX | 12/31 |
T. Rowe Price Dynamic Global Bond Fund | RPIEX | 12/31 |
T. Rowe Price Dynamic Global Bond Fund—Advisor Class | PAIEX | 12/31 |
T. Rowe Price Dynamic Global Bond Fund—I Class | RPEIX | 12/31 |
T. Rowe Price Dynamic Global Bond Fund—Z Class | TRDZX | 12/31 |
132
Funds | Ticker | Fiscal |
T. Rowe Price Emerging Europe Fund | TREMX | 10/31 |
T. Rowe Price Emerging Europe Fund—I Class | TTEEX | 10/31 |
T. Rowe Price Emerging Europe Fund—Z Class | TRZEX | 10/31 |
T. Rowe Price Emerging Markets Bond Fund | PREMX | 12/31 |
T. Rowe Price Emerging Markets Bond Fund—Advisor Class | PAIKX | 12/31 |
T. Rowe Price Emerging Markets Bond Fund—I Class | PRXIX | 12/31 |
T. Rowe Price Emerging Markets Bond Fund—Z Class | TREZX | 12/31 |
T. Rowe Price Emerging Markets Corporate Bond Fund | TRECX | 12/31 |
T. Rowe Price Emerging Markets Corporate Bond Fund—Advisor Class | PACEX | 12/31 |
T. Rowe Price Emerging Markets Corporate Bond Fund—I Class | TECIX | 12/31 |
T. Rowe Price Emerging Markets Discovery Stock Fund | PRIJX | 10/31 |
T. Rowe Price Emerging Markets Discovery Stock Fund—Advisor Class | PAIJX | 10/31 |
T. Rowe Price Emerging Markets Discovery Stock Fund—I Class | REVIX | 10/31 |
T. Rowe Price Emerging Markets Discovery Stock Fund—Z Class | TRFZX | 10/31 |
T. Rowe Price Emerging Markets Local Currency Bond Fund | PRELX | 12/31 |
T. Rowe Price Emerging Markets Local Currency Bond Fund—Advisor Class | PAELX | 12/31 |
T. Rowe Price Emerging Markets Local Currency Bond Fund—I Class | TEIMX | 12/31 |
T. Rowe Price Emerging Markets Local Currency Bond Fund—Z Class | TRZFX | 12/31 |
T. Rowe Price Emerging Markets Stock Fund | PRMSX | 10/31 |
T. Rowe Price Emerging Markets Stock Fund—I Class | PRZIX | 10/31 |
T. Rowe Price Emerging Markets Stock Fund—Z Class | TRGZX | 10/31 |
T. Rowe Price European Stock Fund | PRESX | 10/31 |
T. Rowe Price European Stock Fund—I Class | TEUIX | 10/31 |
T. Rowe Price European Stock Fund—Z Class | TRZPX | 10/31 |
T. Rowe Price Global Consumer Fund | PGLOX | 12/31 |
T. Rowe Price Global Growth Stock Fund | RPGEX | 10/31 |
T. Rowe Price Global Growth Stock Fund—Advisor Class | PAGLX | 10/31 |
T. Rowe Price Global Growth Stock Fund—I Class | RGGIX | 10/31 |
T. Rowe Price Global High Income Bond Fund | RPIHX | 12/31 |
T. Rowe Price Global High Income Bond Fund—Advisor Class | PAIHX | 12/31 |
T. Rowe Price Global High Income Bond Fund—I Class | RPOIX | 12/31 |
T. Rowe Price Global Impact Equity Fund | TGPEX | 10/31 |
T. Rowe Price Global Impact Equity Fund—I Class | TGBLX | 10/31 |
T. Rowe Price Global Industrials Fund | RPGIX | 12/31 |
T. Rowe Price Global Industrials Fund—I Class | TRGAX | 12/31 |
T. Rowe Price Global Stock Fund | PRGSX | 10/31 |
T. Rowe Price Global Stock Fund—Advisor Class | PAGSX | 10/31 |
T. Rowe Price Global Stock Fund—I Class | TRGLX | 10/31 |
T. Rowe Price International Bond Fund | RPIBX | 12/31 |
T. Rowe Price International Bond Fund—Advisor Class | PAIBX | 12/31 |
T. Rowe Price International Bond Fund—I Class | RPISX | 12/31 |
T. Rowe Price International Bond Fund—Z Class | TRLZX | 12/31 |
T. Rowe Price International Bond Fund (USD Hedged) | TNIBX | 12/31 |
T. Rowe Price International Bond Fund (USD Hedged)—Advisor Class | TTABX | 12/31 |
T. Rowe Price International Bond Fund (USD Hedged)—I Class | TNBMX | 12/31 |
T. Rowe Price International Bond Fund (USD Hedged)—Z Class | TRMZX | 12/31 |
T. Rowe Price International Disciplined Equity Fund | PRCNX | 10/31 |
T. Rowe Price International Disciplined Equity Fund—Advisor Class | PRNCX | 10/31 |
T. Rowe Price International Disciplined Equity Fund—I Class | RICIX | 10/31 |
T. Rowe Price International Discovery Fund | PRIDX | 10/31 |
T. Rowe Price International Discovery Fund—I Class | TIDDX | 10/31 |
T. Rowe Price International Discovery Fund—Z Class | TRZKX | 10/31 |
133
Funds | Ticker | Fiscal |
T. Rowe Price International Stock Fund | PRITX | 10/31 |
T. Rowe Price International Stock Fund—Advisor Class | PAITX | 10/31 |
T. Rowe Price International Stock Fund—I Class | PRIUX | 10/31 |
T. Rowe Price International Stock Fund—R Class | RRITX | 10/31 |
T. Rowe Price International Stock Fund—Z Class | TRNZX | 10/31 |
T. Rowe Price International Value Equity Fund | TRIGX | 10/31 |
T. Rowe Price International Value Equity Fund—Advisor Class | PAIGX | 10/31 |
T. Rowe Price International Value Equity Fund—I Class | TRTIX | 10/31 |
T. Rowe Price International Value Equity Fund—R Class | RRIGX | 10/31 |
T. Rowe Price International Value Equity Fund—Z Class | TROZX | 10/31 |
T. Rowe Price Japan Fund | PRJPX | 10/31 |
T. Rowe Price Japan Fund—I Class | RJAIX | 10/31 |
T. Rowe Price Japan Fund—Z Class | TRZJX | 10/31 |
T. Rowe Price Latin America Fund | PRLAX | 10/31 |
T. Rowe Price Latin America Fund—I Class | RLAIX | 10/31 |
T. Rowe Price Latin America Fund—Z Class | TRZYX | 10/31 |
T. Rowe Price New Asia Fund | PRASX | 10/31 |
T. Rowe Price New Asia Fund—I Class | PNSIX | 10/31 |
T. Rowe Price New Asia Fund—Z Class | TRZNX | 10/31 |
T. Rowe Price Overseas Stock Fund | TROSX | 10/31 |
T. Rowe Price Overseas Stock Fund—Advisor Class | PAEIX | 10/31 |
T. Rowe Price Overseas Stock Fund—I Class | TROIX | 10/31 |
T. Rowe Price Overseas Stock Fund—Z Class | TRZSX | 10/31 |
T. ROWE PRICE INTERNATIONAL INDEX FUND, INC. | ||
T. Rowe Price International Equity Index Fund | PIEQX | 10/31 |
T. Rowe Price International Equity Index Fund—Z Class | TLIEX | 10/31 |
T. ROWE PRICE INTERNATIONAL SERIES, INC. | ||
T. Rowe Price International Stock Portfolio | QAAGYX | 12/31 |
T. ROWE PRICE LIMITED DURATION INFLATION FOCUSED BOND FUND, INC. | ||
T. Rowe Price Limited Duration Inflation Focused Bond Fund | TRBFX | 5/31 |
T. Rowe Price Limited Duration Inflation Focused Bond Fund—I Class | TRLDX | 5/31 |
T. Rowe Price Limited Duration Inflation Focused Bond Fund—Z Class | TRPZX | 5/31 |
T. ROWE PRICE MID-CAP GROWTH FUND, INC. | ||
T. Rowe Price Mid-Cap Growth Fund | RPMGX | 12/31 |
T. Rowe Price Mid-Cap Growth Fund—Advisor Class | PAMCX | 12/31 |
T. Rowe Price Mid-Cap Growth Fund—I Class | RPTIX | 12/31 |
T. Rowe Price Mid-Cap Growth Fund—R Class | RRMGX | 12/31 |
T. Rowe Price Mid-Cap Growth Fund—Z Class | TRQZX | 12/31 |
T. ROWE PRICE MID-CAP VALUE FUND, INC. | ||
T. Rowe Price Mid-Cap Value Fund | TRMCX | 12/31 |
T. Rowe Price Mid-Cap Value Fund—Advisor Class | TAMVX | 12/31 |
T. Rowe Price Mid-Cap Value Fund—I Class | TRMIX | 12/31 |
T. Rowe Price Mid-Cap Value Fund—R Class | RRMVX | 12/31 |
T. Rowe Price Mid-Cap Value Fund—Z Class | TRTZX | 12/31 |
T. ROWE PRICE MULTI-SECTOR ACCOUNT PORTFOLIOS, INC. | ||
T. Rowe Price Emerging Markets Corporate Multi-Sector Account Portfolio | 12/31 | |
T. Rowe Price Emerging Markets Local Multi-Sector Account Portfolio | 12/31 | |
T. Rowe Price Floating Rate Multi-Sector Account Portfolio | 2/28 | |
T. Rowe Price High Yield Multi-Sector Account Portfolio | 2/28 | |
T. Rowe Price Investment-Grade Corporate Multi-Sector Account Portfolio | 2/28 | |
T. Rowe Price Mortgage-Backed Securities Multi-Sector Account Portfolio | 2/28 |
134
Funds | Ticker | Fiscal |
T. ROWE PRICE MULTI-STRATEGY TOTAL RETURN FUND, INC. | ||
T. Rowe Price Multi-Strategy Total Return Fund | TMSRX | 10/31 |
T. Rowe Price Multi-Strategy Total Return Fund—Advisor Class | TMSAX | 10/31 |
T. Rowe Price Multi-Strategy Total Return Fund—I Class | TMSSX | 10/31 |
T. ROWE PRICE NEW ERA FUND, INC. | ||
T. Rowe Price New Era Fund | PRNEX | 12/31 |
T. Rowe Price New Era Fund—I Class | TRNEX | 12/31 |
T. ROWE PRICE NEW HORIZONS FUND, INC. | ||
T. Rowe Price New Horizons Fund | PRNHX | 12/31 |
T. Rowe Price New Horizons Fund—I Class | PRJIX | 12/31 |
T. Rowe Price New Horizons Fund—Z Class | TRUZX | 12/31 |
T. ROWE PRICE NEW INCOME FUND, INC. | ||
T. Rowe Price New Income Fund | PRCIX | 5/31 |
T. Rowe Price New Income Fund—Advisor Class | PANIX | 5/31 |
T. Rowe Price New Income Fund—I Class | PRXEX | 5/31 |
T. Rowe Price New Income Fund—R Class | RRNIX | 5/31 |
T. Rowe Price New Income Fund—Z Class | TRVZX | 5/31 |
T. ROWE PRICE QM U.S. BOND INDEX FUND, INC. | ||
T. Rowe Price QM U.S. Bond Index Fund | PBDIX | 10/31 |
T. Rowe Price QM U.S. Bond Index Fund—I Class | TSBLX | 10/31 |
T. Rowe Price QM U.S. Bond Index Fund—Z Class | TSBZX | 10/31 |
T. ROWE PRICE REAL ASSETS FUND, INC. | ||
T. Rowe Price Real Assets Fund | PRAFX | 12/31 |
T. Rowe Price Real Assets Fund—I Class | PRIKX | 12/31 |
T. Rowe Price Real Assets Fund—Z Class | TRZRX | 12/31 |
T. ROWE PRICE REAL ESTATE FUND, INC. | ||
T. Rowe Price Real Estate Fund | TRREX | 12/31 |
T. Rowe Price Real Estate Fund—Advisor Class | PAREX | 12/31 |
T. Rowe Price Real Estate Fund—I Class | TIRRX | 12/31 |
T. ROWE PRICE RESERVE INVESTMENT FUNDS, INC. | ||
T. Rowe Price Government Reserve Fund | 5/31 | |
T. Rowe Price Short-Term Fund | 5/31 | |
T. Rowe Price Short-Term Government Fund | 5/31 | |
T. Rowe Price Transition Fund | 12/31 | |
T. Rowe Price Treasury Reserve Fund | 5/31 | |
T. ROWE PRICE RETIREMENT FUNDS, INC. | ||
T. Rowe Price Retirement 2005 Fund | TRRFX | 5/31 |
T. Rowe Price Retirement 2005 Fund—Advisor Class | PARGX | 5/31 |
T. Rowe Price Retirement 2005 Fund—R Class | RRTLX | 5/31 |
T. Rowe Price Retirement 2010 Fund | TRRAX | 5/31 |
T. Rowe Price Retirement 2010 Fund—Advisor Class | PARAX | 5/31 |
T. Rowe Price Retirement 2010 Fund—R Class | RRTAX | 5/31 |
T. Rowe Price Retirement 2015 Fund | TRRGX | 5/31 |
T. Rowe Price Retirement 2015 Fund—Advisor Class | PARHX | 5/31 |
T. Rowe Price Retirement 2015 Fund—R Class | RRTMX | 5/31 |
T. Rowe Price Retirement 2020 Fund | TRRBX | 5/31 |
T. Rowe Price Retirement 2020 Fund—Advisor Class | PARBX | 5/31 |
T. Rowe Price Retirement 2020 Fund—R Class | RRTBX | 5/31 |
T. Rowe Price Retirement 2025 Fund | TRRHX | 5/31 |
T. Rowe Price Retirement 2025 Fund—Advisor Class | PARJX | 5/31 |
T. Rowe Price Retirement 2025 Fund—R Class | RRTNX | 5/31 |
T. Rowe Price Retirement 2030 Fund | TRRCX | 5/31 |
T. Rowe Price Retirement 2030 Fund—Advisor Class | PARCX | 5/31 |
135
Funds | Ticker | Fiscal |
T. Rowe Price Retirement 2030 Fund—R Class | RRTCX | 5/31 |
T. Rowe Price Retirement 2035 Fund | TRRJX | 5/31 |
T. Rowe Price Retirement 2035 Fund—Advisor Class | PARKX | 5/31 |
T. Rowe Price Retirement 2035 Fund—R Class | RRTPX | 5/31 |
T. Rowe Price Retirement 2040 Fund | TRRDX | 5/31 |
T. Rowe Price Retirement 2040 Fund—Advisor Class | PARDX | 5/31 |
T. Rowe Price Retirement 2040 Fund—R Class | RRTDX | 5/31 |
T. Rowe Price Retirement 2045 Fund | TRRKX | 5/31 |
T. Rowe Price Retirement 2045 Fund—Advisor Class | PARLX | 5/31 |
T. Rowe Price Retirement 2045 Fund—R Class | RRTRX | 5/31 |
T. Rowe Price Retirement 2050 Fund | TRRMX | 5/31 |
T. Rowe Price Retirement 2050 Fund—Advisor Class | PARFX | 5/31 |
T. Rowe Price Retirement 2050 Fund—R Class | RRTFX | 5/31 |
T. Rowe Price Retirement 2055 Fund | TRRNX | 5/31 |
T. Rowe Price Retirement 2055 Fund—Advisor Class | PAROX | 5/31 |
T. Rowe Price Retirement 2055 Fund—R Class | RRTVX | 5/31 |
T. Rowe Price Retirement 2060 Fund | TRRLX | 5/31 |
T. Rowe Price Retirement 2060 Fund—Advisor Class | TRRYX | 5/31 |
T. Rowe Price Retirement 2060 Fund—R Class | TRRZX | 5/31 |
T. Rowe Price Retirement 2065 Fund | TRSJX | 5/31 |
T. Rowe Price Retirement 2065 Fund—Advisor Class | PASUX | 5/31 |
T. Rowe Price Retirement 2065 Fund—R Class | RRSUX | 5/31 |
T. Rowe Price Retirement Balanced Fund | TRRIX | 5/31 |
T. Rowe Price Retirement Balanced Fund—Advisor Class | PARIX | 5/31 |
T. Rowe Price Retirement Balanced Fund—R Class | RRTIX | 5/31 |
T. Rowe Price Retirement Blend 2005 Fund | TBLPX | 5/31 |
T. Rowe Price Retirement Blend 2005 Fund—I Class | TBLAX | 5/31 |
T. Rowe Price Retirement Blend 2010 Fund | TBLQX | 5/31 |
T. Rowe Price Retirement Blend 2010 Fund—I Class | TBLBX | 5/31 |
T. Rowe Price Retirement Blend 2015 Fund | TBLSX | 5/31 |
T. Rowe Price Retirement Blend 2015 Fund—I Class | TBLCX | 5/31 |
T. Rowe Price Retirement Blend 2020 Fund | TSBAX | 5/31 |
T. Rowe Price Retirement Blend 2020 Fund—I Class | TBLDX | 5/31 |
T. Rowe Price Retirement Blend 2025 Fund | TBLVX | 5/31 |
T. Rowe Price Retirement Blend 2025 Fund—I Class | TBLEX | 5/31 |
T. Rowe Price Retirement Blend 2030 Fund | TBLWX | 5/31 |
T. Rowe Price Retirement Blend 2030 Fund—I Class | TBLGX | 5/31 |
T. Rowe Price Retirement Blend 2035 Fund | TBLYX | 5/31 |
T. Rowe Price Retirement Blend 2035 Fund—I Class | TBLHX | 5/31 |
T. Rowe Price Retirement Blend 2040 Fund | TRBLX | 5/31 |
T. Rowe Price Retirement Blend 2040 Fund—I Class | TBLJX | 5/31 |
T. Rowe Price Retirement Blend 2045 Fund | TRBQX | 5/31 |
T. Rowe Price Retirement Blend 2045 Fund—I Class | TBLKX | 5/31 |
T. Rowe Price Retirement Blend 2050 Fund | TRBSX | 5/31 |
T. Rowe Price Retirement Blend 2050 Fund—I Class | TBLLX | 5/31 |
T. Rowe Price Retirement Blend 2055 Fund | TRBOX | 5/31 |
T. Rowe Price Retirement Blend 2055 Fund—I Class | TBLMX | 5/31 |
T. Rowe Price Retirement Blend 2060 Fund | TRBNX | 5/31 |
T. Rowe Price Retirement Blend 2060 Fund—I Class | TBLNX | 5/31 |
T. Rowe Price Retirement Blend 2065 Fund | TRBPX | 5/31 |
T. Rowe Price Retirement Blend 2065 Fund—I Class | TBLOX | 5/31 |
T. Rowe Price Retirement I 2005 Fund—I Class | TRPFX | 5/31 |
T. Rowe Price Retirement I 2010 Fund—I Class | TRPAX | 5/31 |
136
Funds | Ticker | Fiscal |
T. Rowe Price Retirement I 2015 Fund—I Class | TRFGX | 5/31 |
T. Rowe Price Retirement I 2020 Fund—I Class | TRBRX | 5/31 |
T. Rowe Price Retirement I 2025 Fund—I Class | TRPHX | 5/31 |
T. Rowe Price Retirement I 2030 Fund—I Class | TRPCX | 5/31 |
T. Rowe Price Retirement I 2035 Fund—I Class | TRPJX | 5/31 |
T. Rowe Price Retirement I 2040 Fund—I Class | TRPDX | 5/31 |
T. Rowe Price Retirement I 2045 Fund—I Class | TRPKX | 5/31 |
T. Rowe Price Retirement I 2050 Fund—I Class | TRPMX | 5/31 |
T. Rowe Price Retirement I 2055 Fund—I Class | TRPNX | 5/31 |
T. Rowe Price Retirement I 2060 Fund—I Class | TRPLX | 5/31 |
T. Rowe Price Retirement I 2065 Fund—I Class | TRFKX | 5/31 |
T. Rowe Price Retirement Balanced I Fund—I Class | TRPTX | 5/31 |
T. Rowe Price Retirement Income 2020 Fund | TRLAX | 12/31 |
T. Rowe Price Target 2005 Fund | TRARX | 5/31 |
T. Rowe Price Target 2005 Fund—Advisor Class | PANRX | 5/31 |
T. Rowe Price Target 2005 Fund—I Class | TFRRX | 5/31 |
T. Rowe Price Target 2010 Fund | TRROX | 5/31 |
T. Rowe Price Target 2010 Fund—Advisor Class | PAERX | 5/31 |
T. Rowe Price Target 2010 Fund—I Class | TORFX | 5/31 |
T. Rowe Price Target 2015 Fund | TRRTX | 5/31 |
T. Rowe Price Target 2015 Fund—Advisor Class | PAHRX | 5/31 |
T. Rowe Price Target 2015 Fund—I Class | TTRTX | 5/31 |
T. Rowe Price Target 2020 Fund | TRRUX | 5/31 |
T. Rowe Price Target 2020 Fund—Advisor Class | PAIRX | 5/31 |
T. Rowe Price Target 2020 Fund—I Class | TTURX | 5/31 |
T. Rowe Price Target 2025 Fund | TRRVX | 5/31 |
T. Rowe Price Target 2025 Fund—Advisor Class | PAJRX | 5/31 |
T. Rowe Price Target 2025 Fund—I Class | TRVVX | 5/31 |
T. Rowe Price Target 2030 Fund | TRRWX | 5/31 |
T. Rowe Price Target 2030 Fund—Advisor Class | PAKRX | 5/31 |
T. Rowe Price Target 2030 Fund—I Class | TWRRX | 5/31 |
T. Rowe Price Target 2035 Fund | RPGRX | 5/31 |
T. Rowe Price Target 2035 Fund—Advisor Class | PATVX | 5/31 |
T. Rowe Price Target 2035 Fund—I Class | TPGPX | 5/31 |
T. Rowe Price Target 2040 Fund | TRHRX | 5/31 |
T. Rowe Price Target 2040 Fund—Advisor Class | PAHHX | 5/31 |
T. Rowe Price Target 2040 Fund—I Class | TRXRX | 5/31 |
T. Rowe Price Target 2045 Fund | RPTFX | 5/31 |
T. Rowe Price Target 2045 Fund—Advisor Class | PAFFX | 5/31 |
T. Rowe Price Target 2045 Fund—I Class | TRFWX | 5/31 |
T. Rowe Price Target 2050 Fund | TRFOX | 5/31 |
T. Rowe Price Target 2050 Fund—Advisor Class | PAOFX | 5/31 |
T. Rowe Price Target 2050 Fund—I Class | TOORX | 5/31 |
T. Rowe Price Target 2055 Fund | TRFFX | 5/31 |
T. Rowe Price Target 2055 Fund—Advisor Class | PAFTX | 5/31 |
T. Rowe Price Target 2055 Fund—I Class | TRPPX | 5/31 |
T. Rowe Price Target 2060 Fund | TRTFX | 5/31 |
T. Rowe Price Target 2060 Fund—Advisor Class | TRTGX | 5/31 |
T. Rowe Price Target 2060 Fund—I Class | TTOIX | 5/31 |
T. Rowe Price Target 2065 Fund | PRSLX | 5/31 |
T. Rowe Price Target 2065 Fund—Advisor Class | PAZLX | 5/31 |
T. Rowe Price Target 2065 Fund—I Class | RPFDX | 5/31 |
137
Funds | Ticker | Fiscal |
T. ROWE PRICE SCIENCE & TECHNOLOGY FUND, INC. | ||
T. Rowe Price Science & Technology Fund | PRSCX | 12/31 |
T. Rowe Price Science & Technology Fund—Advisor Class | PASTX | 12/31 |
T. Rowe Price Science & Technology Fund—I Class | TSNIX | 12/31 |
T. ROWE PRICE SHORT-TERM BOND FUND, INC. | ||
T. Rowe Price Short-Term Bond Fund | PRWBX | 5/31 |
T. Rowe Price Short-Term Bond Fund—Advisor Class | PASHX | 5/31 |
T. Rowe Price Short-Term Bond Fund—I Class | TBSIX | 5/31 |
T. Rowe Price Short-Term Bond Fund—Z Class | TRZOX | 5/31 |
T. Rowe Price Short Duration Income Fund | TSDLX | 5/31 |
T. Rowe Price Short Duration Income Fund—I Class | TSIDX | 5/31 |
T. Rowe Price Ultra Short-Term Bond Fund | TRBUX | 5/31 |
T. Rowe Price Ultra Short-Term Bond Fund—I Class | TRSTX | 5/31 |
T. Rowe Price Ultra Short-Term Bond Fund—Z Class | TRZWX | 5/31 |
T. ROWE PRICE SMALL-CAP STOCK FUND, INC. | ||
T. Rowe Price Small-Cap Stock Fund | OTCFX | 12/31 |
T. Rowe Price Small-Cap Stock Fund—Advisor Class | PASSX | 12/31 |
T. Rowe Price Small-Cap Stock Fund—I Class | OTIIX | 12/31 |
T. Rowe Price Small-Cap Stock Fund—Z Class | TRZZX | 12/31 |
T. ROWE PRICE SMALL-CAP VALUE FUND, INC. | ||
T. Rowe Price Small-Cap Value Fund | PRSVX | 12/31 |
T. Rowe Price Small-Cap Value Fund—Advisor Class | PASVX | 12/31 |
T. Rowe Price Small-Cap Value Fund—I Class | PRVIX | 12/31 |
T. Rowe Price Small-Cap Value Fund—Z Class | TRZVX | 12/31 |
T. ROWE PRICE SPECTRUM FUND, INC. |
| |
T. Rowe Price Spectrum Diversified Equity Fund | PRSGX | 12/31 |
T. Rowe Price Spectrum Diversified Equity Fund—I Class | TSVPX | 12/31 |
T. Rowe Price Spectrum Income Fund | RPSIX | 12/31 |
T. Rowe Price Spectrum Income Fund—I Class | TSPNX | 12/31 |
T. Rowe Price Spectrum International Equity Fund | PSILX | 12/31 |
T. Rowe Price Spectrum International Equity Fund—I Class | TSINX | 12/31 |
T. ROWE PRICE SPECTRUM FUNDS II, INC. |
| |
T. Rowe Price Spectrum Conservative Allocation Fund | PRSIX | 5/31 |
T. Rowe Price Spectrum Conservative Allocation Fund—I Class | PPIPX | 5/31 |
T. Rowe Price Spectrum Moderate Allocation Fund | TRPBX | 5/31 |
T. Rowe Price Spectrum Moderate Allocation Fund—I Class | TPPAX | 5/31 |
T. Rowe Price Spectrum Moderate Growth Allocation Fund | TRSGX | 5/31 |
T. Rowe Price Spectrum Moderate Growth Allocation Fund—I Class | TGIPX | 5/31 |
T. ROWE PRICE STATE TAX-FREE FUNDS, INC. |
| |
T. Rowe Price California Tax-Free Bond Fund | PRXCX | 2/28 |
T. Rowe Price California Tax-Free Bond Fund—I Class | TCFEX | 2/28 |
T. Rowe Price Georgia Tax-Free Bond Fund | GTFBX | 2/28 |
T. Rowe Price Georgia Tax-Free Bond Fund—I Class | TBGAX | 2/28 |
T. Rowe Price Maryland Short-Term Tax-Free Bond Fund | PRMDX | 2/28 |
T. Rowe Price Maryland Short-Term Tax-Free Bond Fund—I Class | TRMUX | 2/28 |
T. Rowe Price Maryland Tax-Free Bond Fund | MDXBX | 2/28 |
T. Rowe Price Maryland Tax-Free Bond Fund—I Class | TFBIX | 2/28 |
T. Rowe Price Maryland Tax-Free Money Fund | TMDXX | 2/28 |
T. Rowe Price Maryland Tax-Free Money Fund—I Class | TWNXX | 2/28 |
T. Rowe Price New Jersey Tax-Free Bond Fund | NJTFX | 2/28 |
T. Rowe Price New Jersey Tax-Free Bond Fund—I Class | TRJIX | 2/28 |
T. Rowe Price New York Tax-Free Bond Fund | PRNYX | 2/28 |
T. Rowe Price New York Tax-Free Bond Fund—I Class | TRYIX | 2/28 |
138
Funds | Ticker | Fiscal |
T. Rowe Price Virginia Tax-Free Bond Fund | PRVAX | 2/28 |
T. Rowe Price Virginia Tax-Free Bond Fund—I Class | TFBVX | 2/28 |
T. ROWE PRICE SUMMIT FUNDS, INC. |
| |
T. Rowe Price Cash Reserves Fund | TSCXX | 10/31 |
T. ROWE PRICE SUMMIT MUNICIPAL FUNDS, INC. |
| |
T. Rowe Price Summit Municipal Income Fund | PRINX | 10/31 |
T. Rowe Price Summit Municipal Income Fund—Advisor Class | PAIMX | 10/31 |
T. Rowe Price Summit Municipal Income Fund—I Class | PRIMX | 10/31 |
T. Rowe Price Summit Municipal Intermediate Fund | PRSMX | 10/31 |
T. Rowe Price Summit Municipal Intermediate Fund—Advisor Class | PAIFX | 10/31 |
T. Rowe Price Summit Municipal Intermediate Fund—I Class | PRTMX | 10/31 |
T. ROWE PRICE TAX-EFFICIENT FUNDS, INC. |
| |
T. Rowe Price Tax-Efficient Equity Fund | PREFX | 2/28 |
T. Rowe Price Tax-Efficient Equity Fund—I Class | TEEFX | 2/28 |
T. ROWE PRICE TAX-EXEMPT MONEY FUND, INC. | ||
T. Rowe Price Tax-Exempt Money Fund | PTEXX | 2/28 |
T. Rowe Price Tax-Exempt Money Fund—I Class | TERXX | 2/28 |
T. ROWE PRICE TAX-FREE HIGH YIELD FUND, INC. | ||
T. Rowe Price Tax-Free High Yield Fund | PRFHX | 2/28 |
T. Rowe Price Tax-Free High Yield Fund—Advisor Class | PATFX | 2/28 |
T. Rowe Price Tax-Free High Yield Fund—I Class | PTYIX | 2/28 |
T. ROWE PRICE TAX-FREE INCOME FUND, INC. | ||
T. Rowe Price Tax-Free Income Fund | PRTAX | 2/28 |
T. Rowe Price Tax-Free Income Fund—Advisor Class | PATAX | 2/28 |
T. Rowe Price Tax-Free Income Fund—I Class | TFILX | 2/28 |
T. ROWE PRICE TAX-FREE SHORT-INTERMEDIATE FUND, INC. | ||
T. Rowe Price Tax-Free Short-Intermediate Fund | PRFSX | 2/28 |
T. Rowe Price Tax-Free Short-Intermediate Fund—Advisor Class | PATIX | 2/28 |
T. Rowe Price Tax-Free Short-Intermediate Fund—I Class | TTSIX | 2/28 |
T. ROWE PRICE TOTAL RETURN FUND, INC. | ||
T. Rowe Price Total Return Fund | PTTFX | 5/31 |
T. Rowe Price Total Return Fund—Advisor Class | PTATX | 5/31 |
T. Rowe Price Total Return Fund—I Class | PTKIX | 5/31 |
T. ROWE PRICE U.S. EQUITY RESEARCH FUND, INC. | ||
T. Rowe Price U.S Equity Research Fund | PRCOX | 12/31 |
T. Rowe Price U.S Equity Research Fund—Advisor Class | PACOX | 12/31 |
T. Rowe Price U.S Equity Research Fund—I Class | PCCOX | 12/31 |
T. Rowe Price U.S Equity Research Fund—R Class | RRCOX | 12/31 |
T. Rowe Price U.S Equity Research Fund—Z Class | PCUZX | 12/31 |
T. ROWE PRICE U.S. LARGE-CAP CORE FUND, INC. | ||
T. Rowe Price U.S. Large-Cap Core Fund | TRULX | 12/31 |
T. Rowe Price U.S. Large-Cap Core Fund—Advisor Class | PAULX | 12/31 |
T. Rowe Price U.S. Large-Cap Core Fund—I Class | RCLIX | 12/31 |
T. Rowe Price U.S. Large-Cap Core Fund—Z Class | TRZLX | 12/31 |
139
Funds | Ticker | Fiscal |
T. ROWE PRICE U.S. TREASURY FUNDS, INC. |
| |
T. Rowe Price U.S. Treasury Intermediate Index Fund | PRTIX | 5/31 |
T. Rowe Price U.S. Treasury Intermediate Index Fund—I Class | PRKIK | 5/31 |
T. Rowe Price U.S. Treasury Intermediate Index Fund—Z Class | TRZTX | 5/31 |
T. Rowe Price U.S. Treasury Long-Term Index Fund | PRULX | 5/31 |
T. Rowe Price U.S. Treasury Long-Term Index Fund—I Class | PRUUX | 5/31 |
T. Rowe Price U.S. Treasury Long-Term Index Fund—Z Class | TRZUX | 5/31 |
T. Rowe Price U.S. Treasury Money Fund | PRTXX | 5/31 |
T. Rowe Price U.S. Treasury Money Fund—I Class | TRGXX | 5/31 |
T. Rowe Price U.S. Treasury Money Fund—Z Class | TRZXX | 5/31 |
T. ROWE PRICE VALUE FUND, INC. | ||
T. Rowe Price Value Fund | TRVLX | 12/31 |
T. Rowe Price Value Fund—Advisor Class | PAVLX | 12/31 |
T. Rowe Price Value Fund—I Class | TRPIX | 12/31 |
T. Rowe Price Value Fund—Z Class | TRZAX | 12/31 |
140
Appendix
T. ROWE PRICE FUNDS CHARTER OF
JOINT NOMINATING AND GOVERNANCE COMMITTEE
The Joint Nominating and Governance Committee (the “Committee”) of the Boards of Directors (the “Board” or “Directors”) of the T. Rowe Price registered funds (the “Price Funds” or the “Funds”) has the oversight responsibility, authority and duties described in this Charter (the “Charter”). “Independent Directors” means those Directors of the Price Funds who are not “interested persons” of the Price Funds (“Independent Directors”), as that term is defined in Section 2(a)(19) of the Investment Company Act of 1940, as amended (the “1940 Act”).
Purpose
The primary purpose of the Committee is to seek, review, and select candidates to fill Independent Director vacancies on each Price Fund’s Board, periodically evaluate the compensation payable to the Independent Directors, and perform certain functions with respect to the governance of the Price Funds.
Composition
The membership of the Committee shall be composed of all of the Independent Directors of the Price Funds.
If the Chairman of the Board is an Independent Director, he or she will serve as Chair of the Committee. If the Chairman of the Board is not an Independent Director, then the Independent Director who has been appointed as the Lead Independent Director will serve as Chair of the Committee. The Chair shall preside at all Committee meetings at which he or she is present and shall have such other duties and powers as may be determined by the Committee members. The Chair shall serve until his or her successor is duly appointed.
Meetings
The Committee shall hold meetings at least annually. The Committee shall hold such additional meetings as deemed necessary or desirable by the Committee.
Duties and Powers
The following shall be the principal recurring functions of the Committee in carrying out its responsibilities. The functions are set forth as a guide with the understanding that the Committee may modify or supplement them as appropriate.
Selection and Nomination of Independent Directors
· The Committee shall have the responsibility to select and nominate persons to serve as Independent Directors of the Price Funds.
· In furtherance of the advisory responsibility vested in it, the Committee is authorized, in the name and on behalf of the Price Funds, to:
i. Seek out appropriate, qualified candidates to serve as Independent Directors of the Price Funds;
141
ii. Seek to ensure that the Independent Directors possess, in the aggregate, the strategic, managerial, and financial skills and experience necessary to fulfill the Board’s duties and, in recognizing diversity as a strategic enabler to long-term success, seek to ensure that the Board is comprised of Independent Directors who bring diverse perspectives to the Board, including diverse experiences, backgrounds, race, ethnicity, gender, qualifications, skills, thoughts, viewpoints, and other qualities;
iii. Recommend to the Board the appropriate skills and characteristics required of Independent Directors, as well as any additional qualifications appropriate for any one or more Independent Directors, based on the needs of the Price Funds from time to time;
iv. Encourage recommendations for Independent Director candidates;
v. Receive recommendations for Independent Director candidates;
vi. Interview and otherwise examine Independent Director candidates and their credentials, including considering the independence of such candidates from the Price Funds’ investment adviser and other principal service providers. The Committee shall also consider the effect of any relationships beyond those delineated in the 1940 Act that might impair independence, e.g., business, financial, or family relationships with the investment adviser or service providers; and
vii. Nominate candidates to the Board for Independent Directors of the Price Funds.
Nomination of any persons to serve on the Board other than as an Independent Director shall be made by the Board.
Governance
· With regard to fund governance, the Committee is authorized, in the name and on behalf of the Price Funds, to:
i. Periodically evaluate the compensation payable to the Independent Directors, including for service on any committee (or for serving as Chair of the Board or a committee), and recommend adjustments as and when appropriate;
ii. At least annually, perform a self-assessment of the effectiveness of the Independent Directors in their role as Independent Directors of the Price Funds and participate in a self-assessment of the effectiveness of the Board as a whole and its Committees;
iii. Periodically review the retirement policy for Independent Directors and make any recommendations to the Board with respect thereto;
iv. At least once annually, evaluate the independence (pursuant to Rule 0-1 under the1940 Act) and overall performance of independent counsel to the Price Funds and Independent Directors; and
142
v. Perform such other functions with respect to the governance of the Price Funds not inconsistent with the foregoing as the members of the Committee shall determine to be necessary, appropriate, or desirable.
Other Responsibilities
· An Independent Director seeking a relationship with a profitmaking enterprise outside of the Price Funds shall receive approval from the Committee prior to accepting any such position or directorship to avoid any potential conflict of interest, and an Independent Director may not accept such a position or directorship if the Committee determines that to do so would be inappropriate given legal or other conflict issues.
· The Committee is authorized and directed to meet at least once annually and at such other times and places, to formulate such guidelines, policies, and procedures, and to make such reports and recommendations, as the Committee shall from time to time determine to be necessary, appropriate or desirable to carry out the responsibilities set forth in this Charter.
· The Committee is authorized, in the Price Funds’ names and on their behalf, to seek such assistance, staff or facilities from the investment adviser(s) of the Price Funds, the independent auditors and legal counsel to the Price Funds, and to engage such persons, or other experts or consultants, at the expense of the Price Funds, as the Committee shall deem appropriate, necessary or desirable in order to carry out its responsibilities under this Charter.
· Nothing in this Charter shall be deemed to confer on the Committee, and the Committee shall not have, authority to bind the Price Funds or otherwise deprive the Board or shareholders of the Price Funds of any authority vested in it or them with respect to the nomination, election, or removal of Directors or any other matter within the scope of the authority and responsibility of Directors and shareholders under applicable law.
Resources and Authority
The Committee shall have the resources and authority appropriate to discharge its responsibilities and to retain and determine the necessary funding for a special counsel, a search firm, and other experts or consultants, which shall be paid by the Price Funds.
Annual Review
The Committee shall review, on at least an annual basis, this Charter and the scope of the responsibilities of this Committee. Any proposed changes, where indicated, shall be referred to the Board for appropriate action.
Operating Procedures
Formal actions to be taken by the Committee shall be at a meeting at which a quorum is present. A quorum shall consist of a majority of the members of the Committee. Except as otherwise required by applicable law, members may participate in a meeting of the Committee by means of conference call or similar communications equipment by means of which all persons participating in the meeting can hear each other, and
143
may also act by unanimous written consent in lieu of a meeting. The Committee shall cause to be kept such minutes of its meetings as it shall deem appropriate.
144
C00-060 5/10/23 |
IMPORTANT NOTICE REGARDING THE AVAILABILITY OF PROXY MATERIALS
FOR A JOINT SPECIAL MEETING OF SHAREHOLDERS OF ALL T. ROWE PRICE FUNDS ON JULY 24, 2023
MAY 2023
As a shareholder of a T. Rowe Price Fund(s):
You are receiving this notice regarding the Internet availability of proxy materials related to a joint special meeting of shareholders (the “Meeting”) of all mutual funds and exchange-traded funds sponsored and managed by T. Rowe Price Associates, Inc. (the “Funds”). The Meeting will be held via live webcast by accessing the portable document format (“PDF”) document available at the following url: vote.proxyonline.com/trowe/docs/2023virtualmeetinginformation.pdf. The PDF will provide instructions on how to register to attend the Shareholder Meeting and vote your shares. You must have PDF viewing software, such as Adobe Reader, installed on your computer to view the document and attend the Shareholder Meeting at 12:15 p.m., Eastern time, on July 24, 2023. Shareholders of the Funds will be asked to vote to elect four (4) director-nominees, and any other business that may come before the Meeting. The Boards of Directors of the Funds have unanimously recommended that you elect each director-nominee.
This Notice presents only an overview of the proxy materials. To review the proxy materials (including the proxy statement and notice of shareholder meeting) and vote your shares, go to vote.proxyonline.com/trowe/18900 and enter your voter control number found above. For details about the Meeting, or about how to cast your proxy vote at the Meeting, please see the enclosed proxy statement (also available at the URL below).
The proxy materials are also publicly available at: vote.proxyonline.com/trowe/docs/2023jointspecialmeeting.pdf
Please review the proxy materials and vote your shares. Thank you in advance for your participation and for your investment.
QUESTIONS? Please read the proxy materials carefully and vote your shares. If you have any questions about this notice, the proxy materials, or how to attend the virtual Meeting, please call (800) 434-3719 Monday through Friday between the hours of 9:00 a.m. and 10:00 p.m. Eastern Time.
REQUEST FOR PROXY MATERIALS AND OTHER DOCUMENTS
If you would like to receive a paper or e-mail copy of the proxy statement, each fund’s most recent annual report, and the proxy card, you must request one. There is no charge to you for requesting a copy. Please make your request for a copy using any of the options below. Please be sure to request your copy on or before July 17, 2023, to allow for timely delivery. If you do not request a paper or e-mail copy of these documents, you will not otherwise receive one.
You may also elect to receive all future proxy materials from the T. Rowe Price Funds via the U.S. Postal Service or e-mail.
Request By Internet
Go to vote.proxyonline.com/trowe/18900 and enter the voter control number found on the upper right of the reverse side of this notice or use the QR code on the reverse side to be automatically logged in on a smart phone. Once you have logged in, you may request a copy of the proxy materials to be sent to your e-mail address or to your physical address associated with your account.
Each fund’s most recent annual report is available at troweprice.com/prospectus
Request By Phone
You can request either an electronic copy or hardcopy of the proxy materials by calling (800) 434-3719 Monday through Friday between the hours of 9:00 a.m. and 10:00 p.m. Eastern Time and referencing the voter control number found in the box on the upper right of the reverse side of this notice.
Request by Email
To request a copy of the proxy materials, please send an e-mail with your voter control number in the subject line to one of the addresses noted below:
To receive a physical copy by mail: trppaperproxy@equiniti.com
For an electronic copy: trpemailproxy@equiniti.com
(“equiniti” is a proxy services provider to the Funds)
To elect to receive all future proxy materials from the Funds via the referenced delivery method, please type “Permanent Request” in the body of the e-mail.
Dear Shareholder,
We have scheduled a Joint Special Meeting for Shareholders of all mutual funds and exchange-traded funds sponsored and managed by T. Rowe Price Associates, Inc. to be held at 12:15 p.m., Eastern time, on July 24, 2023 by means of a live webcast. The Funds’ Boards of Directors has sent you this notice to ask for your vote on the proposal to elect four (4) directors-nominees for each Fund who have not been previously elected by shareholders.
Your
vote is important no matter how many shares you own. Please take the time to read
the proxy statement and cast your proxy vote today!
HOW TO VOTE:
To be automatically logged in to vote online, please click on the link below and follow the on-screen instructions.
TO VIEW THE PROXY STATEMENT AND VOTE YOUR SHARES CLICK HERE
For Reference:
· To vote with a live agent or for questions, call (800) 434-3719 Monday through Friday between the hours of 9:00 a.m. and 10:00 p.m. Eastern Time.
· To vote through the Internet, enter your Control Number at https://vote.proxyonline.com/TRowe/18900 and follow the on-screen instructions.
· To vote by touchtone telephone, call 888-227-9349, and follow the recorded instructions.
YOUR CONTROL NUMBER IS:
(Control Number Here)
ADDITIONAL INFORMATION:
To
access the electronic Proxy Materials, you may need Adobe Acrobat Reader software. This software is available
for download at no cost at https://get.adobe.com/reader/ Downloading
time may vary. To request a paper copy of Proxy Materials relating to this proxy, please call (800) 434-3719.
There is no charge to you for requesting a paper copy. Please make your request for a copy on or before
July 10, 2023 to facilitate timely delivery of the materials.
Thank you for choosing eDelivery. We look forward to serving your investment needs in years to come.
Best
regards,
T. Rowe Price Associates, Inc.
Sincerely,
Visit troweprice.com to get more information about T. Rowe Price funds. |
Robert W. Sharps
Chief Executive Officer, T. Rowe Price Group, Inc.
PROXY FOR A JOINT SPECIAL MEETING OF SHAREHOLDERS TO BE HELD ON JULY 24, 2023
All mutual funds and exchange-traded funds sponsored and managed by T. Rowe Price Associates, Inc.
[FUND NAME PRINTED HERE]
The undersigned, revoking all Proxies heretofore given, hereby appoints Fran Pollack-Matz and David Oestreicher as Proxies of the undersigned, with full power of substitution to each, to vote on behalf of the undersigned all shares of the above listed Fund(s) that the undersigned is entitled to vote at the joint special meeting of shareholders, and at any adjournment(s) thereof, to be held at 12:15 p.m., Eastern time, on July 24, 2023 by means of a live webcast, as fully as the undersigned would be entitled to vote if personally present. The undersigned hereby acknowledges receipt of the Notice of Joint Special Meeting of Shareholders and the Joint Proxy Statement.
To attend the live webcast of the Joint Special Meeting on July 24, 2023 at 12:15 pm E.T please follow the URL: vote.proxyonline.com/trowe/docs/2023virtualmeetinginformation.pdf You will be asked to enter your name and your email address. For details about the Meeting, or about how to cast your proxy vote at the Meeting, please see the enclosed proxy statement (also available at the URL below).
Important Notice Regarding the Availability of Proxy Materials for this Joint Special Meeting of Shareholders to Be Held on July 24, 2023. The proxy statement and the accompanying notice of joint special meeting of shareholders for this meeting are available at: https://vote.proxyonline.com/trowe/docs/2023jointspecialmeeting.pdf
The votes entitled to be cast by the undersigned will be cast according to instructions given below with respect to the Proposal. If this Proxy Ballot is executed but no instructions are given, the undersigned acknowledges that the votes entitled to be cast by the undersigned will be cast by the proxies, or any of them, “FOR” the proposals. Additionally, the votes entitled to be cast by the undersigned will be cast at the discretion of the proxy holder on any other matter that may properly come before the joint special meeting.
THIS PROXY IS SOLICITED ON BEHALF OF THE T. ROWE PRICE FUNDS’ BOARDS OF DIRECTORS WHICH UNANIMOUSLY RECOMMENDS THAT YOU VOTE FOR THE PROPOSAL.
TO VOTE YOUR SHARES FOR ALL T. ROWE PRICE FUNDS INDICATED ABOVE, MARK CIRCLE IN BLUE OR BLACK INK. Example: ●
|
|
| FOR | WITHHOLD | |||||||||||
1. | Elect four (4) director-nominees for each Fund | ||||||||||||||
1.1 | Melody Bianchetto | ○ | ○ | ||||||||||||
1.2 | Mark J. Parrell | ○ | ○ | ||||||||||||
1.3 | Eric L. Veiel | ○ | ○ | ||||||||||||
1.4 | Kellye L. Walker | ○ | ○ |
THANK YOU FOR VOTING
PROXY FOR A JOINT SPECIAL MEETING OF SHAREHOLDERS TO BE HELD ON JULY 24, 2023
All mutual funds and exchange-traded funds sponsored and managed by T. Rowe Price Associates, Inc.
The undersigned, revoking all Proxies heretofore given, hereby appoints Fran Pollack-Matz and David Oestreicher as Proxies of the undersigned, with full power of substitution to each, to vote on behalf of the undersigned all shares of the above listed Fund(s) that the undersigned is entitled to vote at the joint special meeting of shareholders, and at any adjournment(s) thereof, to be held at 12:15 p.m., Eastern time, on July 24, 2023 by means of a live webcast, as fully as the undersigned would be entitled to vote if personally present. The undersigned hereby acknowledges receipt of the Notice of Joint Special Meeting of Shareholders and the Joint Proxy Statement.
To attend the live webcast of the Joint Special Meeting on July 24, 2023 at 12:15 pm E.T please follow the URL: vote.proxyonline.com/trowe/docs/2023virtualmeetinginformation.pdf You will be asked to enter your name and your email address. For details about the Meeting, or about how to cast your proxy vote at the Meeting, please see the enclosed proxy statement (also available at the URL below).
Important Notice Regarding the Availability of Proxy Materials for this Joint Special Meeting of Shareholders to Be Held on July 24, 2023. The proxy statement and the accompanying notice of joint special meeting of shareholders for this meeting are available at: vote.proxyonline.com/trowe/docs/2023jointspecialmeeting.pdf
MAIL ID: BARCODE CUSIP:
The votes entitled to be cast by the undersigned will be cast according to instructions given below with respect to the Proposal. If this Proxy Ballot is executed but no instructions are given, the undersigned acknowledges that the votes entitled to be cast by the undersigned will be cast by the proxies, or any of them, “FOR” the proposals. Additionally, the votes entitled to be cast by the undersigned will be cast at the discretion of the proxy holder on any other matter that may properly come before the joint special meeting.
THIS PROXY IS SOLICITED ON BEHALF OF THE T. ROWE PRICE FUNDS’ BOARDS OF DIRECTORS WHICH UNANIMOUSLY RECOMMENDS THAT YOU VOTE FOR THE PROPOSAL.
TO VOTE YOUR SHARES FOR ALL T. ROWE PRICE FUNDS INDICATED ABOVE, MARK CIRCLE IN BLUE OR BLACK INK. Example: ●
PROPOSAL 1: Elect four (4) director-nominees for each Fund
THANK YOU FOR VOTING
MAIL ID: BARCODE CUSIP:
)HM4_9V_9D^#"2>'
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