SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
REGISTRATION STATEMENT (NO. 33-82366)
UNDER THE SECURITIES ACT OF 1933
Pre-Effective Amendment No.
Post-Effective Amendment No. 86
and
REGISTRATION STATEMENT
UNDER THE INVESTMENT COMPANY ACT OF 1940
Investment Company Act File No. 811-08690
Amendment No. 88
(Exact Name of Registrant as Specified in Declaration of Trust)
1295 State Street
Springfield, MA 01111-0001
(413) 744-1000
Name and Address of Agent for Service
Andrew M. Goldberg, Esq.
Vice President, Secretary, and Chief Legal Officer
MassMutual Premier Funds
1295 State Street
Springfield, MA 01111-0001
Copy to:
Brian D. McCabe, Esq.
Ropes & Gray LLP
The Prudential Tower
800 Boylston Street
Boston, MA 02199-3600
It
is proposed that this filing become effective on
TO THE SECURITIES AND EXCHANGE COMMISSION:
Registrant submits this Post-Effective Amendment No. 86 to its Registration Statement No. 33-82366 under the Securities Act of 1933, as amended, and this Amendment No. 88 to its Registration Statement No. 811-08690 under the Investment Company Act of 1940, as amended. This Post-Effective Amendment relates to each series of the Registrant.
Fund Name
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Class I
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Class R5
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Service
Class |
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Administrative
Class |
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Class R4
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Class A
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Class R3
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Class
Y |
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MassMutual U.S. Government Money Market Fund
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MassMutual Inflation-Protected and Income Fund
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MassMutual Core Bond Fund | | |
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MassMutual Diversified Bond Fund | | |
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MassMutual Balanced Fund | | |
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MassMutual Disciplined Value Fund | | |
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MassMutual Main Street Fund | | |
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MassMutual Disciplined Growth Fund | | |
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MassMutual Small Cap Opportunities Fund
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MassMutual Global Fund | | |
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MassMutual International Equity Fund | | |
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MassMutual Strategic Emerging Markets Fund
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Page |
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About the Funds | | ||||||
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Management of the Funds | | ||||||
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Class R5
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Maximum Sales Charge (Load) Imposed on Purchases (as a % of offering price) | | |
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Maximum Deferred Sales Charge (Load) (as a % of the lower of the original offering price or redemption proceeds) | | |
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Class R5
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Management Fees | | |
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Distribution and Service (Rule 12b-1) Fees | | |
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Other Expenses | | |
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Total Annual Fund Operating Expenses | | |
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Expense Reimbursement | | |
( |
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Total Annual Fund Operating Expenses after Expense Reimbursement(1) | | |
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1 Year |
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3 Years |
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5 Years |
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10 Years |
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Class R5 | | |
$ |
| |
$ |
| |
$ |
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$ |
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| |
, |
| | | | | | | |
| | 1Q ’14 thru 3Q ’14; 1Q ’15 thru 4Q ’16; 2Q ’20 thru , |
|
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Class R5 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
FTSE 3 Month US T Bill Index expenses, or taxes) |
| | | | | % | | | | | | | % | | | | | | | % | | |
| | |
Class I |
| |
Class R5 |
| |
Service Class |
| |
Administrative Class |
| |
Class R4 |
| |
Class A |
| |
Class R3 |
| |
Class Y |
|
Maximum Sales Charge (Load) Imposed on Purchases
(as a % of offering price) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
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|
Maximum Deferred Sales Charge (Load) (as a % of
the lower of the original offering price or redemption proceeds) |
| |
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| |
|
| |
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|
| |
|
| |
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| | |
Class I
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Class R5
|
| |
Service Class |
| |
Admini- strative Class |
| |
Class R4
|
| |
Class A
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Class R3
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| |
Class Y |
|
Management Fees | | |
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Distribution and Service (Rule 12b-1) Fees
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Other Expenses | | |
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Total Annual Fund Operating Expenses |
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|
| |
|
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class I | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R5 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Service Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Administrative Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R4 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class A | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R3 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class Y | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| Quarter: |
| |
, |
| | | | | | | Quarter: |
| |
,
|
| |
– |
|
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Class R5
|
| | |
Return Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
| Return After Taxes on Distributions | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
| Return After Taxes on Distributions and sales of Fund Shares | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
Class I | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Service Class | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Administrative
Class |
| | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R4 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class A | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R3 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class Y | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Bloomberg U.S. Treasury Inflation Protected Securities (TIPS) Index (Series – L) fees, expenses, or taxes) |
| | | | | % | | | | | | | % | | | | | | | % | | |
Purchase Minimums* |
| ||||||||||||
| | |
Class A |
| |
Class Y |
| ||||||
Initial Investment |
| |
$1,000 |
| |
$100,000 |
| ||||||
Subsequent Investment |
| |
$250 |
| |
$250 |
|
| | |
Class I |
| |
Class R5 |
| |
Service Class |
| |
Administrative Class |
| |
Class R4 |
| |
Class A |
| |
Class R3 |
| |
Class Y |
|
Maximum Sales Charge (Load) Imposed on Purchases
(as a % of offering price) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Maximum Deferred Sales Charge (Load) (as a % of
the lower of the original offering price or redemption proceeds) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Management Fees | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Distribution and Service (Rule 12b-1) Fees
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Other Expenses | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Total Annual Fund Operating Expenses |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Expense Reimbursement | | |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
|
Total Annual Fund Operating Expenses after Expense
Reimbursement(2)
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class I | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R5 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Service Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Administrative Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R4 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class A | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R3 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class Y | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| Quarter: |
| |
, |
| | | | | | | Quarter: |
| |
,
|
| |
– |
|
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Class R5
|
| | |
Return Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
| Return After Taxes on Distributions | | | | | | % | | | | | | | - |
% | | | | | | | % | | | |||||
| Return After Taxes on Distributions and sales of Fund Shares | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
Class I | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Service Class | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Administrative
Class |
| | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R4 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class A | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R3 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class Y | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Bloomberg U.S. Aggregate Bond Index expenses, or taxes) |
| | | | | % | | | | | | | % | | | | | | | % | | |
Purchase Minimums* |
| ||||||||||||
| | |
Class A |
| |
Class Y |
| ||||||
Initial Investment |
| |
$1,000 |
| |
$100,000 |
| ||||||
Subsequent Investment |
| |
$250 |
| |
$250 |
|
| | |
Class I |
| |
Class R5 |
| |
Service Class |
| |
Administrative Class |
| |
Class R4 |
| |
Class A |
| |
Class R3 |
| |
Class Y |
|
Maximum Sales Charge (Load) Imposed on Purchases
(as a % of offering price) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Maximum Deferred Sales Charge (Load) (as a % of
the lower of the original offering price or redemption proceeds) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Admini- strative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Management Fees | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Distribution and Service (Rule 12b-1) Fees
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Other Expenses | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Total Annual Fund Operating Expenses |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class I | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R5 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Service Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Administrative Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R4 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class A | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R3 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class Y | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| Quarter: |
| |
, |
| | | | | | | Quarter: |
| |
,
|
| |
– |
|
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Class R5
|
| | |
Return Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
| Return After Taxes on Distributions | | | | | | % | | | | | | | - |
% | | | | | | | % | | | |||||
| Return After Taxes on Distributions and sales of Fund Shares | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
Class I | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Service Class | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Administrative
Class |
| | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R4 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class A | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R3 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class Y | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Bloomberg U.S. Aggregate Bond Index expenses, or taxes) |
| | | | | % | | | | | | | % | | | | | | | % | | |
Purchase Minimums* |
| ||||||||||||
| | |
Class A |
| |
Class Y |
| ||||||
Initial Investment |
| |
$1,000 |
| |
$100,000 |
| ||||||
Subsequent Investment |
| |
$250 |
| |
$250 |
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Maximum Sales Charge (Load) Imposed on Purchases
(as a % of offering price) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Maximum Deferred Sales Charge (Load) (as a %
of the lower of the original offering price or redemption proceeds) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Admini- strative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Management Fees | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Distribution and Service (Rule 12b-1) Fees
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Other Expenses | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Total Annual Fund Operating Expenses |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class I | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R5 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Service Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Administrative Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R4 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class A | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R3 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class Y | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| Quarter: |
| |
, |
| | | | | | | Quarter: |
| |
,
|
| |
– |
|
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Class R5
|
| | |
Return Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
| Return After Taxes on Distributions | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
| Return After Taxes on Distributions and sales of Fund Shares | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
Class I | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Service Class | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Administrative
Class |
| | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R4 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class A | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R3 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class Y | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
S&P 500 Index deduction for fees, expenses, or taxes) |
| | | | | % | | | | | | | % | | | | | | | % | | | |||||||
Bloomberg U.S. Aggregate Bond Index (reflects no deduction for fees, expenses, or taxes) |
| | | | | % | | | | | | | % | | | | | | | % | | | |||||||
Lipper Balanced Fund Index (reflects no deduction for taxes) |
| | | | | % | | | | | | | % | | | | | | | % | | | |||||||
Custom Balanced Index (reflects no deduction for fees, expenses, or taxes) |
| | | | | % | | | | | | | % | | | | | | | % | | |
Purchase Minimums* |
| ||||||||||||
| | |
Class A |
| |
Class Y |
| ||||||
Initial Investment |
| |
$1,000 |
| |
$100,000 |
| ||||||
Subsequent Investment |
| |
$250 |
| |
$250 |
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Maximum Sales Charge (Load) Imposed on Purchases
(as a % of offering price) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Maximum Deferred Sales Charge (Load) (as a %
of the lower of the original offering price or redemption proceeds) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Admini- strative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Management Fees | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Distribution and Service (Rule 12b-1) Fees
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Other Expenses | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Total Annual Fund Operating Expenses |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class I | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R5 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Service Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Administrative Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R4 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class A | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R3 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class Y | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| Quarter: |
| |
, |
| | | | | | | Quarter: |
| |
,
|
| |
– |
|
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Service Class
|
| | |
Return Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
| Return After Taxes on Distributions | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
| Return After Taxes on Distributions and sales of Fund Shares | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
Class I | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R5 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Administrative
Class |
| | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R4 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class A | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R3 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | |
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Class Y | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Russell 1000 Value Index no deduction for fees, expenses, or taxes) |
| | | | | % | | | | | | | % | | | | | | | % | | |
Purchase Minimums* |
| ||||||||||||
| | |
Class A |
| |
Class Y |
| ||||||
Initial Investment |
| |
$1,000 |
| |
$100,000 |
| ||||||
Subsequent Investment |
| |
$250 |
| |
$250 |
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Maximum Sales Charge (Load) Imposed on Purchases
(as a % of offering price) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Maximum Deferred Sales Charge (Load) (as a %
of the lower of the original offering price or redemption proceeds) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Management Fees | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Distribution and Service (Rule 12b-1) Fees
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Other Expenses | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Total Annual Fund Operating Expenses |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class I | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R5 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Service Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Administrative Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R4 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class A | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R3 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class Y | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| Quarter: |
| |
, |
| | | | | | | Quarter: |
| |
,
|
| |
– |
|
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Class R5
|
| | |
Return Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
| Return After Taxes on Distributions | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
| Return After Taxes on Distributions and sales of Fund Shares | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
Class I | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Service Class | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Administrative
Class |
| | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R4 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class A | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R3 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class Y | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
S&P
500®
Index deduction for fees, expenses, or taxes) |
| | | | | % | | | | | | | % | | | | | | | % | | |
Purchase Minimums* |
| ||||||||||||
| | |
Class A |
| |
Class Y |
| ||||||
Initial Investment |
| |
$1,000 |
| |
$100,000 |
| ||||||
Subsequent Investment |
| |
$250 |
| |
$250 |
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Maximum Sales Charge (Load) Imposed on Purchases
(as a % of offering price) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Maximum Deferred Sales Charge (Load) (as a %
of the lower of the original offering price or redemption proceeds) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Management Fees | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Distribution and Service (Rule 12b-1) Fees
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Other Expenses | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Total Annual Fund Operating Expenses |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class I | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R5 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Service Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Administrative Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R4 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class A | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R3 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class Y | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| Quarter: |
| |
, |
| | | | | | | Quarter: |
| |
,
|
| |
– |
|
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Service Class
|
| | |
Return Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
| Return After Taxes on Distributions | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
| Return After Taxes on Distributions and sales of Fund Shares | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
Class I | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R5 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Administrative
Class |
| | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R4 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class A | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R3 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class Y | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Russell
1000 Growth Index expenses, or taxes) |
| | | | | % | | | | | | | % | | | | | | | % | | |
Purchase Minimums* |
| ||||||||||||
| | |
Class A |
| |
Class Y |
| ||||||
Initial Investment |
| |
$1,000 |
| |
$100,000 |
| ||||||
Subsequent Investment |
| |
$250 |
| |
$250 |
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Maximum Sales Charge (Load) Imposed on Purchases
(as a % of offering price) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Maximum Deferred Sales Charge (Load) (as a %
of the lower of the original offering price or redemption proceeds) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Management Fees | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Distribution and Service (Rule 12b-1) Fees
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Other Expenses | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Total Annual Fund Operating Expenses |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Expense Reimbursement | | |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
|
Total Annual Fund Operating Expenses after Expense
Reimbursement(2)
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class I | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R5 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Service Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Administrative Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R4 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class A | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R3 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class Y | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| Quarter: |
| |
, |
| | | | | | | Quarter: |
| |
,
|
| |
– |
|
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Class A
|
| | |
Return Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
| Return After Taxes on Distributions | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
| Return After Taxes on Distributions and sales of Fund Shares | | | | | | % | | | | | | | % | | | | | | | % | | |
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Class I | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R5 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Service Class | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Administrative
Class |
| | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R4 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R3 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class Y | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Russell 2000 Index deduction for fees, expenses, or taxes) |
| | | | | % | | | | | | | % | | | | | | | % | | |
Purchase Minimums* |
| ||||||||||||
| | |
Class A |
| |
Class Y |
| ||||||
Initial Investment |
| |
$1,000 |
| |
$100,000 |
| ||||||
Subsequent Investment |
| |
$250 |
| |
$250 |
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Maximum Sales Charge (Load) Imposed on Purchases
(as a % of offering price) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Maximum Deferred Sales Charge (Load) (as a %
of the lower of the original offering price or redemption proceeds) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
Class I |
| |
Class R5 |
| |
Service Class |
| |
Administrative Class |
| |
Class R4 |
| |
Class A |
| |
Class R3 |
| |
Class Y |
|
Management Fees | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Distribution and Service (Rule 12b-1) Fees
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Other Expenses | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Total Annual Fund Operating Expenses |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class I | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R5 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Service Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Administrative Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R4 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class A | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R3 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class Y | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| Quarter: |
| |
, |
| | | | | | | Quarter: |
| |
,
|
| |
– |
|
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Class R5
|
| | |
Return Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
| Return After Taxes on Distributions | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
| Return After Taxes on Distributions and sales of Fund Shares | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
Class I | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Service Class | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Administrative
Class |
| | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R4 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class A | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R3 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class Y | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
MSCI ACWI (reflects no deduction for fees or expenses) |
| | | | | % | | | | | | | % | | | | | | | % | | |
Purchase Minimums* |
| ||||||||||||
| | |
Class A |
| |
Class Y |
| ||||||
Initial Investment |
| |
$1,000 |
| |
$100,000 |
| ||||||
Subsequent Investment |
| |
$250 |
| |
$250 |
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Maximum Sales Charge (Load) Imposed on Purchases
(as a % of offering price) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Maximum Deferred Sales Charge (Load) (as a %
of the lower of the original offering price or redemption proceeds) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Management Fees | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Distribution and Service (Rule 12b-1) Fees
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Other Expenses | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Total Annual Fund Operating Expenses |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Fee Waiver | | |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
|
Total Annual Fund Operating Expenses after Fee
Waiver(2) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class I | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R5 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Service Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Administrative Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R4 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class A | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R3 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class Y | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| Quarter: |
| |
, |
| | | | | | | Quarter: |
| |
,
|
| |
– |
|
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Class R5
|
| | |
Return Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
| Return After Taxes on Distributions | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
| Return After Taxes on Distributions and sales of Fund Shares | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
Class I | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Service Class | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | |
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Administrative
Class |
| | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R4 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class A | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R3 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class Y | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
MSCI ACWI ex USA (reflects no deduction for fees or expenses) |
| | | | | % | | | | | | | % | | | | | | | % | | |
Purchase Minimums* |
| ||||||||||||
| | |
Class A |
| |
Class Y |
| ||||||
Initial Investment |
| |
$1,000 |
| |
$100,000 |
| ||||||
Subsequent Investment |
| |
$250 |
| |
$250 |
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Maximum Sales Charge (Load) Imposed on Purchases
(as a % of offering price) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Maximum Deferred Sales Charge (Load) (as a %
of the lower of the original offering price or redemption proceeds) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
|
Management Fees | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Distribution and Service (Rule 12b-1) Fees
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Other Expenses | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Total Annual Fund Operating Expenses |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Expense Reimbursement | | |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
|
Total Annual Fund Operating Expenses after
Expense Reimbursement(3)
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class I | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R5 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Service Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Administrative Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R4 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class A | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R3 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class Y | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| Quarter: |
| |
, |
| | | | | | | Quarter: |
| |
,
|
| |
– |
|
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Class R5
|
| | |
Return Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
| Return After Taxes on Distributions | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
| Return
After Taxes on Distributions and sales of Fund Shares |
| | | | | % | | | | | | | % | | | | | | | % | | | ||||||
Class I | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Service Class | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Administrative
Class |
| | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R4 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class A | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R3 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class Y | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
MSCI Emerging Markets Index expenses) |
| | | | | % | | | | | | | % | | | | | | | % | | |
Purchase Minimums* |
| ||||||||||||
| | |
Class A |
| |
Class Y |
| ||||||
Initial Investment |
| |
$1,000 |
| |
$100,000 |
| ||||||
Subsequent Investment |
| |
$250 |
| |
$250 |
|
Yulia Alekseeva, CFA |
|
Adam Cash |
|
Stephen Ehrenberg, CFA |
|
Charles Sanford |
|
Scott Simler |
|
Douglas Trevallion, II, CFA |
|
Jeffrey Bennett, CFA |
|
Matt Brill, CFA |
|
Joy Budzinski |
|
John Delano, CFA |
|
Alessio de Longis, CFA |
|
Pratik Doshi, CFA |
|
Manind Govil, CFA |
|
Peter Hubbard |
|
Michael D. Hyman |
|
Michael Jeanette |
|
Magnus Krantz |
|
Justin Leverenz, CFA |
|
Benjamin Ram |
|
Todd Schomberg, CFA |
|
Tony Seisser |
|
Raman Vardharaj, CFA |
|
Adam Weiner |
|
Matthew P. Ziehl, CFA |
|
Brandon H. Harrell, CFA |
|
Peter C. Fisher |
|
Matt J. Kyller, CFA |
|
Tom S. Simon, CFA, FRM |
|
Price Breakpoints |
| |
General Equity |
| |
General Taxable Bond |
| |
Shorter- Term Bond |
| |
Municipal Bond |
| ||||||||||||||||
Less than $25,000 | | | | | 5.50 | %/ | | | | | | 4.25 | %/ | | | | | | 2.50 | %/ | | | | | | 2.50 | %/ | | |
| | | | | 5.82 | %/ | | | | | | 4.44 | %/ | | | | | | 2.56 | %/ | | | | | | 2.56 | %/ | | |
| | | | | 4.50 | % | | | | | | 3.50 | % | | | | | | 2.00 | % | | | | | | 2.00 | % | | |
$25,000 – $49,999 | | | | | 5.25 | %/ | | | | | | 4.25 | %/ | | | | | | 2.25 | %/ | | | | | | 2.25 | %/ | | |
| | | | | 5.54 | %/ | | | | | | 4.44 | %/ | | | | | | 2.30 | %/ | | | | | | 2.30 | %/ | | |
| | | | | 4.25 | % | | | | | | 3.50 | % | | | | | | 1.75 | % | | | | | | 1.75 | % | | |
$50,000 – $99,999 | | | | | 4.50 | %/ | | | | | | 4.00 | %/ | | | | | | 2.00 | %/ | | | | | | 2.00 | %/ | | |
| | | | | 4.71 | %/ | | | | | | 4.17 | %/ | | | | | | 2.04 | %/ | | | | | | 2.04 | %/ | | |
| | | | | 3.50 | % | | | | | | 3.25 | % | | | | | | 1.50 | % | | | | | | 1.50 | % | | |
$100,000 – $249,999 | | | | | 3.50 | %/ | | | | | | 3.00 | %/ | | | | | | 1.75 | %/ | | | | | | 1.75 | %/ | | |
| | | | | 3.63 | %/ | | | | | | 3.09 | %/ | | | | | | 1.78 | %/ | | | | | | 1.78 | %/ | | |
| | | | | 2.50 | % | | | | | | 2.25 | % | | | | | | 1.25 | % | | | | | | 1.25 | % | | |
$250,000 – $499,999 | | | | | 2.25 | %/ | | | | | | 1.75 | %/ | | | | | | 1.50 | %/ | | | | | | None | / | | |
| | | | | 2.30 | %/ | | | | | | 1.78 | %/ | | | | | | 1.52 | %/ | | | | | | None | / | | |
| | | | | 1.75 | % | | | | | | 1.50 | % | | | | | | 1.00 | % | | | | | | 1.00 | % | | |
$500,000 – $999,999 | | | | | 1.75 | %/ | | | | | | 1.25 | %/ | | | | | | 1.25 | %/ | | | | | | None | / | | |
| | | | | 1.78 | %/ | | | | | | 1.27 | %/ | | | | | | 1.27 | %/ | | | | | | None | / | | |
| | | | | 1.10 | % | | | | | | 1.00 | % | | | | | | 1.00 | % | | | | | | 1.00 | % | | |
Price Breakpoints |
| |
General Equity |
| |
General Taxable Bond |
| |
Shorter- Term Bond |
| |
Municipal Bond |
| ||||||||||||||||
$1,000,000 – $4,999,999 | | | | | None | / | | | | | | None | / | | | | | | None | / | | | | | | None | / | | |
| | | | | None | / | | | | | | None | / | | | | | | None | / | | | | | | None | / | | |
| | | | | 1.00 | % | | | | | | 1.00 | % | | | | | | 0.50 | % | | | | | | 1.00 | % | | |
$5,000,000 or more | | | | | None | / | | | | | | None | / | | | | | | None | / | | | | | | None | / | | |
| | | | | None | / | | | | | | None | / | | | | | | None | / | | | | | | None | / | | |
| | | | | 0.50 | % | | | | | | 0.50 | % | | | | | | 0.50 | % | | | | | | 0.50 | % | | |
Method |
| |
Instructions |
|
Through your financial intermediary | | | Your financial intermediary can help you establish your account and buy shares on your behalf. To receive the current trading day’s price, your financial intermediary must receive your request in good order prior to the close of regular trading on the New York Stock Exchange, usually 4:00 p.m., Eastern time. Your financial intermediary may charge you fees for executing the purchase for you. | |
By exchange | | | You or your financial intermediary may acquire shares of a Fund for your account by exchanging shares you own in certain other funds advised by MML Advisers for shares of the same class of a Fund, subject to the conditions described in “Exchanges” above. In addition, you or your financial intermediary may exchange shares of a class of a Fund you own for shares of a different class of the same Fund, subject to the conditions described in “Exchanges.” To exchange, send written instructions to the applicable Fund, at the address noted below(1) or call 1-800-860-2232. | |
By wire | | |
You may purchase shares of a Fund by wiring money from your bank account to your Fund account.
Prior to sending wire transfers, please contact Shareholder Services at 1-800-860-2232 for specific wiring instructions and to facilitate
prompt and accurate credit upon receipt of your wire.
To receive the current trading day’s price, your wire, along with
a valid account number, must be received in your Fund account prior to the close of regular trading on the New York Stock Exchange, usually
4:00 p.m., Eastern time.
If your initial purchase of shares is by wire, you must first complete
a new account application and promptly mail it to MassMutual Premier Funds – (Fund Name), at the address noted below.(1)
After completing a new account application, please call 1-800-860-2232 to obtain your account number. Please include your account number
on the wire. |
|
By check | | | To purchase shares of a Fund by check, make your check payable to ‘MassMutual Premier Funds’. Your checks should include the fund name which you would like to purchase along with your account number (if previously established). Your request should be mailed to the address listed below.(1) The Funds will accept purchases only in U.S. dollars drawn from U.S. financial institutions. Cashier’s checks, third party checks, money orders, credit card convenience checks, cash or equivalents, or payments in foreign currencies are not acceptable forms of payment. | |
Financial Highlights
The financial highlights tables are intended to help you understand the Funds’ financial performance for the past 5 years (or shorter periods for newer Funds). Certain information reflects financial results for a single Fund share. The total returns in the tables represent the rate that an investor would have earned on an investment in the Fund (assuming reinvestment of all dividends and distributions). This information has been audited by Deloitte & Touche LLP, an independent registered public accounting firm, whose report, along with each Fund’s financial statements, are included in the Trust’s Annual Report, and are incorporated by reference into the SAI, and are available upon request.
MASSMUTUAL U.S. GOVERNMENT MONEY MARKET FUND
Income
(loss) from investment |
Less distributions to shareholders |
Ratios / Supplemental Data |
||||||||||||||||||||||||||||||||||||||||||||||||||
Net
|
Net
|
Net
|
Total
|
From
net |
From
net |
Total
|
Net
|
Total |
Net
|
Ratio
of |
Ratio
of |
Net
|
||||||||||||||||||||||||||||||||||||||||
Class R5 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 1.00 | $ | 0.04 | $ | 0.00 | d | $ | 0.04 | $ | (0.04 | ) | $ | — | $ | (0.04 | ) | $ | 1.00 | 4.08 | % | $ | 172,108 | 0.61 | % | N/A | 3.95 | % | ||||||||||||||||||||||||
9/30/22 |
1.00 | 0.00 | d | 0.00 | d | 0.00 | d | (0.00 | )d | — | (0.00 | )d | 1.00 | 0.44 | % | 205,328 | 0.54 | % | 0.27 | % | 0.39 | % | ||||||||||||||||||||||||||||||
9/30/21 |
1.00 | (0.00 | )d | 0.00 | d | 0.00 | d | — | — | — | 1.00 | 0.00 | %e | 235,578 | 0.51 | % | 0.07 | % | 0.00 | %e | ||||||||||||||||||||||||||||||||
9/30/20 |
1.00 | 0.01 | 0.00 | d | 0.01 | (0.01 | ) | — | (0.01 | ) | 1.00 | 0.56 | % | 277,991 | 0.51 | % | 0.40 | % | 0.59 | % | ||||||||||||||||||||||||||||||||
9/30/19 |
1.00 | 0.02 | 0.00 | d | 0.02 | (0.02 | ) | (0.00 | )d | (0.02 | ) | 1.00 | 1.85 | % | 333,574 | 0.52 | % | N/A | 1.83 | % |
c |
Per share amount calculated on the average shares method. |
d |
Amount is less than $0.005 per share. |
e |
Amount is less than 0.005%. |
j |
Computed after giving effect to an agreement by MML Advisers to waive certain fees and expenses of the Fund. |
l |
Employee retirement benefit plans that invest plan assets in the Separate Investment Accounts (SIAs) may be subject to certain charges as set forth in their respective Plan Documents. Total return figures would be lower for the periods presented if they reflected these charges. |
– 129 – |
MASSMUTUAL INFLATION-PROTECTED AND INCOME FUND
Income
(loss) from investment |
Less distributions to shareholders |
Ratios / Supplemental Data |
||||||||||||||||||||||||||||||||||||||||||||||||||||||
Net
|
Net
|
Net
|
Total
|
From
net |
From
net |
Total
|
Net
|
Total
|
Net
|
Ratio
of |
Ratio
of |
Ratio
of |
Net
|
|||||||||||||||||||||||||||||||||||||||||||
Class I |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.35 | $ | 0.35 | $ | (0.19 | ) | $ | 0.16 | $ | (0.36 | ) | $ | — | $ | (0.36 | ) | $ | 9.15 | 1.67 | % | $ | 168,966 | 0.51 | % | N/A | N/A | 3.74 | % | |||||||||||||||||||||||||||
9/30/22 |
11.46 | 0.27 | (1.57 | ) | (1.30 | ) | (0.20 | ) | (0.61 | ) | (0.81 | ) | 9.35 | (12.28 | %) | 169,362 | 0.47 | % | N/A | N/A | 2.60 | % | ||||||||||||||||||||||||||||||||||
9/30/21 |
11.40 | 0.19 | 0.48 | 0.67 | (0.12 | ) | (0.49 | ) | (0.61 | ) | 11.46 | 6.12 | % | 187,579 | 0.47 | % | 0.47 | %n | 0.47 | %n | 1.73 | % | ||||||||||||||||||||||||||||||||||
9/30/20 |
10.59 | 0.20 | 0.83 | 1.03 | (0.22 | ) | — | (0.22 | ) | 11.40 | 9.93 | % | 176,809 | 0.47 | % | 0.47 | %n | 0.47 | %n | 1.86 | % | |||||||||||||||||||||||||||||||||||
9/30/19 |
10.24 | 0.25 | 0.42 | 0.67 | (0.32 | ) | — | (0.32 | ) | 10.59 | 6.80 | % | 154,260 | 0.50 | % | 0.49 | % | 0.46 | % | 2.40 | % | |||||||||||||||||||||||||||||||||||
Class R5 |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.35 | $ | 0.34 | $ | (0.19 | ) | $ | 0.15 | $ | (0.35 | ) | $ | — | $ | (0.35 | ) | $ | 9.15 | 1.56 | % | $ | 49,635 | 0.61 | % | N/A | N/A | 3.63 | % | |||||||||||||||||||||||||||
9/30/22 |
11.47 | 0.25 | (1.57 | ) | (1.32 | ) | (0.19 | ) | (0.61 | ) | (0.80 | ) | 9.35 | (12.44 | %) | 66,136 | 0.57 | % | N/A | N/A | 2.40 | % | ||||||||||||||||||||||||||||||||||
9/30/21 |
11.41 | 0.18 | 0.48 | 0.66 | (0.11 | ) | (0.49 | ) | (0.60 | ) | 11.47 | 6.01 | % | 93,318 | 0.57 | % | 0.57 | %n | 0.57 | %n | 1.63 | % | ||||||||||||||||||||||||||||||||||
9/30/20 |
10.59 | 0.19 | 0.84 | 1.03 | (0.21 | ) | — | (0.21 | ) | 11.41 | 9.92 | % | 86,369 | 0.57 | % | 0.57 | %n | 0.57 | %n | 1.75 | % | |||||||||||||||||||||||||||||||||||
9/30/19 |
10.24 | 0.24 | 0.42 | 0.66 | (0.31 | ) | — | (0.31 | ) | 10.59 | 6.68 | % | 73,365 | 0.60 | % | 0.59 | % | 0.56 | % | 2.30 | % | |||||||||||||||||||||||||||||||||||
Service Class |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.31 | $ | 0.32 | $ | (0.17 | ) | $ | 0.15 | $ | (0.34 | ) | $ | — | $ | (0.34 | ) | $ | 9.12 | 1.55 | % | $ | 21,436 | 0.71 | % | N/A | N/A | 3.48 | % | |||||||||||||||||||||||||||
9/30/22 |
11.42 | 0.23 | (1.55 | ) | (1.32 | ) | (0.18 | ) | (0.61 | ) | (0.79 | ) | 9.31 | (12.51 | %) | 31,069 | 0.67 | % | N/A | N/A | 2.19 | % | ||||||||||||||||||||||||||||||||||
9/30/21 |
11.37 | 0.17 | 0.47 | 0.64 | (0.10 | ) | (0.49 | ) | (0.59 | ) | 11.42 | 5.84 | % | 55,836 | 0.67 | % | 0.67 | %n | 0.67 | %n | 1.53 | % | ||||||||||||||||||||||||||||||||||
9/30/20 |
10.55 | 0.18 | 0.84 | 1.02 | (0.20 | ) | — | (0.20 | ) | 11.37 | 9.82 | % | 54,729 | 0.67 | % | 0.67 | %n | 0.67 | %n | 1.66 | % | |||||||||||||||||||||||||||||||||||
9/30/19 |
10.20 | 0.22 | 0.43 | 0.65 | (0.30 | ) | — | (0.30 | ) | 10.55 | 6.60 | % | 50,873 | 0.71 | % | 0.70 | % | 0.67 | % | 2.17 | % | |||||||||||||||||||||||||||||||||||
Administrative Class |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.43 | $ | 0.33 | $ | (0.19 | ) | $ | 0.14 | $ | (0.33 | ) | $ | — | $ | (0.33 | ) | $ | 9.24 | 1.40 | % | $ | 6,883 | 0.81 | % | N/A | N/A | 3.45 | % | |||||||||||||||||||||||||||
9/30/22 |
11.55 | 0.23 | (1.58 | ) | (1.35 | ) | (0.16 | ) | (0.61 | ) | (0.77 | ) | 9.43 | (12.59 | %) | 7,759 | 0.77 | % | N/A | N/A | 2.15 | % | ||||||||||||||||||||||||||||||||||
9/30/21 |
11.49 | 0.16 | 0.48 | 0.64 | (0.09 | ) | (0.49 | ) | (0.58 | ) | 11.55 | 5.74 | % | 14,073 | 0.77 | % | 0.77 | %n | 0.77 | %n | 1.42 | % | ||||||||||||||||||||||||||||||||||
9/30/20 |
10.66 | 0.17 | 0.85 | 1.02 | (0.19 | ) | — | (0.19 | ) | 11.49 | 9.70 | % | 15,288 | 0.77 | % | 0.77 | %n | 0.77 | %n | 1.56 | % | |||||||||||||||||||||||||||||||||||
9/30/19 |
10.30 | 0.21 | 0.44 | 0.65 | (0.29 | ) | — | (0.29 | ) | 10.66 | 6.53 | % | 16,168 | 0.80 | % | 0.79 | % | 0.76 | % | 2.03 | % | |||||||||||||||||||||||||||||||||||
Class R4 |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.08 | $ | 0.30 | $ | (0.18 | ) | $ | 0.12 | $ | (0.32 | ) | $ | — | $ | (0.32 | ) | $ | 8.88 | 1.24 | % | $ | 3,557 | 0.96 | % | N/A | N/A | 3.26 | % | |||||||||||||||||||||||||||
9/30/22 |
11.16 | 0.22 | (1.54 | ) | (1.32 | ) | (0.15 | ) | (0.61 | ) | (0.76 | ) | 9.08 | (12.75 | %) | 4,316 | 0.92 | % | N/A | N/A | 2.10 | % | ||||||||||||||||||||||||||||||||||
9/30/21 |
11.12 | 0.14 | 0.47 | 0.61 | (0.08 | ) | (0.49 | ) | (0.57 | ) | 11.16 | 5.65 | % | 5,234 | 0.92 | % | 0.92 | %n | 0.92 | %n | 1.31 | % | ||||||||||||||||||||||||||||||||||
9/30/20 |
10.33 | 0.15 | 0.82 | 0.97 | (0.18 | ) | — | (0.18 | ) | 11.12 | 9.51 | % | 4,358 | 0.92 | % | 0.92 | %n | 0.92 | %n | 1.40 | % | |||||||||||||||||||||||||||||||||||
9/30/19 |
10.00 | 0.19 | 0.42 | 0.61 | (0.28 | ) | — | (0.28 | ) | 10.33 | 6.27 | % | 6,949 | 0.96 | % | 0.95 | % | 0.92 | % | 1.95 | % | |||||||||||||||||||||||||||||||||||
Class A |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.17 | $ | 0.29 | $ | (0.18 | ) | $ | 0.11 | $ | (0.30 | ) | $ | — | $ | (0.30 | ) | $ | 8.98 | 1.15 | % | $ | 7,905 | 1.06 | % | N/A | N/A | 3.17 | % | |||||||||||||||||||||||||||
9/30/22 |
11.23 | 0.20 | (1.54 | ) | (1.34 | ) | (0.11 | ) | (0.61 | ) | (0.72 | ) | 9.17 | (12.81 | %) | 8,860 | 1.02 | % | N/A | N/A | 1.94 | % | ||||||||||||||||||||||||||||||||||
9/30/21 |
11.19 | 0.12 | 0.48 | 0.60 | (0.07 | ) | (0.49 | ) | (0.56 | ) | 11.23 | 5.54 | % | 13,244 | 1.02 | % | 1.02 | %n | 1.02 | %n | 1.12 | % | ||||||||||||||||||||||||||||||||||
9/30/20 |
10.39 | 0.14 | 0.82 | 0.96 | (0.16 | ) | — | (0.16 | ) | 11.19 | 9.42 | % | 22,018 | 1.02 | % | 1.02 | %n | 1.02 | %n | 1.30 | % | |||||||||||||||||||||||||||||||||||
9/30/19 |
10.05 | 0.18 | 0.42 | 0.60 | (0.26 | ) | — | (0.26 | ) | 10.39 | 6.16 | % | 16,136 | 1.06 | % | 1.05 | % | 1.02 | % | 1.78 | % | |||||||||||||||||||||||||||||||||||
Class R3 |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.09 | $ | 0.27 | $ | (0.17 | ) | $ | 0.10 | $ | (0.28 | ) | $ | — | $ | (0.28 | ) | $ | 8.91 | 1.07 | % | $ | 2,103 | 1.21 | % | N/A | N/A | 3.01 | % | |||||||||||||||||||||||||||
9/30/22 |
11.17 | 0.19 | (1.54 | ) | (1.35 | ) | (0.12 | ) | (0.61 | ) | (0.73 | ) | 9.09 | (12.98 | %) | 2,414 | 1.17 | % | N/A | N/A | 1.89 | % | ||||||||||||||||||||||||||||||||||
9/30/21 |
11.12 | 0.11 | 0.47 | 0.58 | (0.04 | ) | (0.49 | ) | (0.53 | ) | 11.17 | 5.40 | % | 2,940 | 1.17 | % | 1.17 | %n | 1.17 | %n | 1.02 | % | ||||||||||||||||||||||||||||||||||
9/30/20 |
10.33 | 0.12 | 0.82 | 0.94 | (0.15 | ) | — | (0.15 | ) | 11.12 | 9.20 | % | 3,256 | 1.17 | % | 1.17 | %n | 1.17 | %n | 1.16 | % | |||||||||||||||||||||||||||||||||||
9/30/19 |
9.99 | 0.17 | 0.41 | 0.58 | (0.24 | ) | — | (0.24 | ) | 10.33 | 6.03 | % | 4,297 | 1.21 | % | 1.20 | % | 1.17 | % | 1.68 | % | |||||||||||||||||||||||||||||||||||
Class Y |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23g |
$ | 9.33 | $ | 0.26 | $ | (0.43 | ) | $ | (0.17 | ) | $ | — | $ | — | $ | — | $ | 9.16 | (1.82 | %)b | $ | 98 | 0.61 | %a | N/A | N/A | 4.16 | %a |
Year Ended September 30 | |||||
2023 |
2022 |
2021 |
2020 |
2019 |
|
Portfolio turnover rate |
80% |
77% |
100% |
110% |
42% |
a |
Annualized. |
b |
Percentage represents the results for the period and is not annualized. |
c |
Per share amount calculated on the average shares method. |
g |
For the period February 1, 2023 (commencement of operations) through September 30, 2023. |
j |
Computed after giving effect to an agreement by MML Advisers to waive certain fees and expenses of the Fund. |
l |
Employee retirement benefit plans that invest plan assets in the Separate Investment Accounts (SIAs) may be subject to certain charges as set forth in their respective Plan Documents. Total return figures would be lower for the periods presented if they reflected these charges. |
m |
Total return excludes sales charges, if any, and would be lower for the period presented if it reflected these charges. |
n |
Expenses incurred during the period fell under the expense cap. |
p |
Interest expense incurred as a result of entering into reverse repurchase agreements and Treasury roll transactions is included in the Fund’s net expenses in the Statements of Operations. Income earned on investing proceeds from reverse repurchase agreements and Treasury roll transactions is included in interest income in the Statements of Operations. |
– 130 – |
MASSMUTUAL CORE BOND FUND
Income
(loss) from investment |
Less distributions to shareholders |
Ratios / Supplemental Data |
||||||||||||||||||||||||||||||||||||||||||||||
Net
|
Net
|
Net
|
Total
|
From
net |
From
net |
Total
|
Net
|
Total
|
Net
|
Ratio
of |
Net
|
|||||||||||||||||||||||||||||||||||||
Class I |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.10 | $ | 0.41 | $ | (0.32 | ) | $ | 0.09 | $ | (0.35 | ) | $ | — | $ | (0.35 | ) | $ | 8.84 | 0.92 | % | $ | 492,575 | 0.45 | % | 4.53 | % | |||||||||||||||||||||
9/30/22 |
11.33 | 0.27 | (2.07 | ) | (1.80 | ) | (0.26 | ) | (0.17 | ) | (0.43 | ) | 9.10 | (16.47 | %) | 485,216 | 0.42 | % | 2.62 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.64 | 0.27 | 0.11 | 0.38 | (0.43 | ) | (0.26 | ) | (0.69 | ) | 11.33 | 3.31 | % | 679,036 | 0.42 | % | 2.39 | % | ||||||||||||||||||||||||||||||
9/30/20 |
11.33 | 0.37 | 0.32 | 0.69 | (0.38 | ) | — | (0.38 | ) | 11.64 | 6.28 | % | 786,360 | 0.42 | % | 3.27 | % | |||||||||||||||||||||||||||||||
9/30/19 |
10.66 | 0.37 | 0.66 | 1.03 | (0.36 | ) | — | (0.36 | ) | 11.33 | 9.98 | % | 847,736 | 0.43 | % | 3.42 | % | |||||||||||||||||||||||||||||||
Class R5 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.13 | $ | 0.40 | $ | (0.31 | ) | $ | 0.09 | $ | (0.34 | ) | $ | — | $ | (0.34 | ) | $ | 8.88 | 0.91 | % | $ | 92,389 | 0.55 | % | 4.41 | % | |||||||||||||||||||||
9/30/22 |
11.37 | 0.25 | (2.07 | ) | (1.82 | ) | (0.25 | ) | (0.17 | ) | (0.42 | ) | 9.13 | (16.60 | %) | 135,050 | 0.52 | % | 2.43 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.68 | 0.26 | 0.11 | 0.37 | (0.42 | ) | (0.26 | ) | (0.68 | ) | 11.37 | 3.19 | % | 306,648 | 0.52 | % | 2.29 | % | ||||||||||||||||||||||||||||||
9/30/20 |
11.37 | 0.36 | 0.32 | 0.68 | (0.37 | ) | — | (0.37 | ) | 11.68 | 6.16 | % | 316,359 | 0.52 | % | 3.17 | % | |||||||||||||||||||||||||||||||
9/30/19 |
10.69 | 0.36 | 0.67 | 1.03 | (0.35 | ) | — | (0.35 | ) | 11.37 | 9.92 | % | 317,805 | 0.53 | % | 3.32 | % | |||||||||||||||||||||||||||||||
Service Class |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.07 | $ | 0.39 | $ | (0.31 | ) | $ | 0.08 | $ | (0.33 | ) | $ | — | $ | (0.33 | ) | $ | 8.82 | 0.81 | % | $ | 29,605 | 0.65 | % | 4.31 | % | |||||||||||||||||||||
9/30/22 |
11.30 | 0.25 | (2.07 | ) | (1.82 | ) | (0.24 | ) | (0.17 | ) | (0.41 | ) | 9.07 | (16.72 | %) | 36,797 | 0.62 | % | 2.40 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.60 | 0.25 | 0.10 | 0.35 | (0.39 | ) | (0.26 | ) | (0.65 | ) | 11.30 | 3.11 | % | 58,047 | 0.62 | % | 2.19 | % | ||||||||||||||||||||||||||||||
9/30/20 |
11.29 | 0.35 | 0.31 | 0.66 | (0.35 | ) | — | (0.35 | ) | 11.60 | 6.06 | % | 83,876 | 0.62 | % | 3.08 | % | |||||||||||||||||||||||||||||||
9/30/19 |
10.63 | 0.35 | 0.64 | 0.99 | (0.33 | ) | — | (0.33 | ) | 11.29 | 9.67 | % | 86,988 | 0.63 | % | 3.22 | % | |||||||||||||||||||||||||||||||
Administrative Class |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.99 | $ | 0.38 | $ | (0.31 | ) | $ | 0.07 | $ | (0.32 | ) | $ | — | $ | (0.32 | ) | $ | 8.74 | 0.70 | % | $ | 30,750 | 0.75 | % | 4.22 | % | |||||||||||||||||||||
9/30/22 |
11.19 | 0.24 | (2.05 | ) | (1.81 | ) | (0.22 | ) | (0.17 | ) | (0.39 | ) | 8.99 | (16.75 | %) | 35,207 | 0.72 | % | 2.30 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.51 | 0.24 | 0.10 | 0.34 | (0.40 | ) | (0.26 | ) | (0.66 | ) | 11.19 | 2.97 | % | 55,178 | 0.72 | % | 2.11 | % | ||||||||||||||||||||||||||||||
9/30/20 |
11.21 | 0.33 | 0.32 | 0.65 | (0.35 | ) | — | (0.35 | ) | 11.51 | 5.94 | % | 76,597 | 0.72 | % | 2.97 | % | |||||||||||||||||||||||||||||||
9/30/19 |
10.55 | 0.33 | 0.66 | 0.99 | (0.33 | ) | — | (0.33 | ) | 11.21 | 9.65 | % | 67,239 | 0.73 | % | 3.13 | % | |||||||||||||||||||||||||||||||
Class R4 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.84 | $ | 0.36 | $ | (0.30 | ) | $ | 0.06 | $ | (0.28 | ) | $ | — | $ | (0.28 | ) | $ | 8.62 | 0.57 | % | $ | 1,420 | 0.90 | % | 4.05 | % | |||||||||||||||||||||
9/30/22 |
11.01 | 0.20 | (2.00 | ) | (1.80 | ) | (0.20 | ) | (0.17 | ) | (0.37 | ) | 8.84 | (16.92 | %) | 2,295 | 0.87 | % | 1.99 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.33 | 0.21 | 0.10 | 0.31 | (0.37 | ) | (0.26 | ) | (0.63 | ) | 11.01 | 2.82 | % | 8,557 | 0.87 | % | 1.95 | % | ||||||||||||||||||||||||||||||
9/30/20 |
11.04 | 0.31 | 0.31 | 0.62 | (0.33 | ) | — | (0.33 | ) | 11.33 | 5.80 | % | 10,444 | 0.87 | % | 2.80 | % | |||||||||||||||||||||||||||||||
9/30/19 |
10.39 | 0.31 | 0.64 | 0.95 | (0.30 | ) | — | (0.30 | ) | 11.04 | 9.47 | % | 14,011 | 0.88 | % | 2.98 | % | |||||||||||||||||||||||||||||||
Class A |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.91 | $ | 0.35 | $ | (0.31 | ) | $ | 0.04 | $ | (0.29 | ) | $ | — | $ | (0.29 | ) | $ | 8.66 | 0.34 | % | $ | 21,761 | 1.00 | % | 3.97 | % | |||||||||||||||||||||
9/30/22 |
11.09 | 0.20 | (2.01 | ) | (1.81 | ) | (0.20 | ) | (0.17 | ) | (0.37 | ) | 8.91 | (16.91 | %) | 23,746 | 0.97 | % | 1.97 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.40 | 0.21 | 0.09 | 0.30 | (0.35 | ) | (0.26 | ) | (0.61 | ) | 11.09 | 2.70 | % | 57,351 | 0.97 | % | 1.83 | % | ||||||||||||||||||||||||||||||
9/30/20 |
11.10 | 0.30 | 0.32 | 0.62 | (0.32 | ) | — | (0.32 | ) | 11.40 | 5.70 | % | 58,572 | 0.97 | % | 2.72 | % | |||||||||||||||||||||||||||||||
9/30/19 |
10.45 | 0.30 | 0.65 | 0.95 | (0.30 | ) | — | (0.30 | ) | 11.10 | 9.32 | % | 97,070 | 0.98 | % | 2.87 | % | |||||||||||||||||||||||||||||||
Class R3 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.18 | $ | 0.35 | $ | (0.32 | ) | $ | 0.03 | $ | (0.27 | ) | $ | — | $ | (0.27 | ) | $ | 8.94 | 0.23 | % | $ | 169 | 1.15 | % | 3.81 | % | |||||||||||||||||||||
9/30/22 |
11.34 | 0.20 | (2.09 | ) | (1.89 | ) | (0.10 | ) | (0.17 | ) | (0.27 | ) | 9.18 | (17.05 | %) | 177 | 1.12 | % | 1.88 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.63 | 0.19 | 0.10 | 0.29 | (0.32 | ) | (0.26 | ) | (0.58 | ) | 11.34 | 2.54 | % | 352 | 1.12 | % | 1.70 | % | ||||||||||||||||||||||||||||||
9/30/20 |
11.34 | 0.29 | 0.32 | 0.61 | (0.32 | ) | — | (0.32 | ) | 11.63 | 5.54 | % | 867 | 1.12 | % | 2.57 | % | |||||||||||||||||||||||||||||||
9/30/19 |
10.67 | 0.29 | 0.67 | 0.96 | (0.29 | ) | — | (0.29 | ) | 11.34 | 9.24 | % | 1,225 | 1.13 | % | 2.72 | % | |||||||||||||||||||||||||||||||
Class Y |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23g |
$ | 9.33 | $ | 0.28 | $ | (0.74 | ) | $ | (0.46 | ) | $ | — | $ | — | $ | — | $ | 8.87 | (4.93 | %)b | $ | 95 | 0.55 | %a | 4.59 | %a |
Year Ended September 30 | |||||
2023 |
2022 |
2021 |
2020 |
2019 |
|
Portfolio turnover rate |
206% |
239% |
256% |
231% |
261% |
a |
Annualized. |
b |
Percentage represents the results for the period and is not annualized. |
c |
Per share amount calculated on the average shares method. |
g |
For the period February 1, 2023 (commencement of operations) through September 30, 2023. |
l |
Employee retirement benefit plans that invest plan assets in the Separate Investment Accounts (SIAs) may be subject to certain charges as set forth in their respective Plan Documents. Total return figures would be lower for the periods presented if they reflected these charges. |
m |
Total return excludes sales charges, if any, and would be lower for the period presented if it reflected these charges. |
– 131 – |
MASSMUTUAL DIVERSIFIED BOND FUND
Income
(loss) from investment |
Less distributions to shareholders |
Ratios / Supplemental Data |
||||||||||||||||||||||||||||||||||||||||||||||||||
Net
|
Net
|
Net
|
Total
|
From
net |
From
net |
Total
|
Net
|
Total
|
Net
|
Ratio
of |
Ratio
of |
Net
|
||||||||||||||||||||||||||||||||||||||||
Class I |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.93 | $ | 0.41 | $ | (0.30 | ) | $ | 0.11 | $ | (0.36 | ) | $ | — | $ | (0.36 | ) | $ | 8.68 | 1.13 | % | $ | 76,296 | 0.61 | % | N/A | 4.65 | % | ||||||||||||||||||||||||
9/30/22 |
11.33 | 0.31 | (2.27 | ) | (1.96 | ) | (0.30 | ) | (0.14 | ) | (0.44 | ) | 8.93 | (18.00 | %) | 75,455 | 0.54 | % | N/A | 3.07 | % | |||||||||||||||||||||||||||||||
9/30/21 |
11.51 | 0.32 | 0.33 | 0.65 | (0.46 | ) | (0.37 | ) | (0.83 | ) | 11.33 | 5.89 | % | 111,411 | 0.52 | % | N/A | 2.85 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
11.28 | 0.39 | 0.20 | 0.59 | (0.36 | ) | (0.00 | )d | (0.36 | ) | 11.51 | 5.43 | % | 97,183 | 0.51 | % | N/A | 3.54 | % | |||||||||||||||||||||||||||||||||
9/30/19 |
10.59 | 0.38 | 0.64 | 1.02 | (0.33 | ) | — | (0.33 | ) | 11.28 | 9.98 | % | 60,965 | 0.55 | % | 0.55 | %n | 3.54 | % | |||||||||||||||||||||||||||||||||
Class R5 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.13 | $ | 0.37 | $ | (0.28 | ) | $ | 0.09 | $ | (0.35 | ) | $ | — | $ | (0.35 | ) | $ | 7.87 | 1.00 | % | $ | 61,990 | 0.71 | % | N/A | 4.55 | % | ||||||||||||||||||||||||
9/30/22 |
10.35 | 0.28 | (2.07 | ) | (1.79 | ) | (0.29 | ) | (0.14 | ) | (0.43 | ) | 8.13 | (18.05 | %) | 57,774 | 0.64 | % | N/A | 2.99 | % | |||||||||||||||||||||||||||||||
9/30/21 |
10.58 | 0.28 | 0.31 | 0.59 | (0.45 | ) | (0.37 | ) | (0.82 | ) | 10.35 | 5.79 | % | 80,079 | 0.62 | % | N/A | 2.75 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
10.40 | 0.35 | 0.18 | 0.53 | (0.35 | ) | (0.00 | )d | (0.35 | ) | 10.58 | 5.30 | % | 78,289 | 0.61 | % | N/A | 3.46 | % | |||||||||||||||||||||||||||||||||
9/30/19 |
9.78 | 0.34 | 0.60 | 0.94 | (0.32 | ) | — | (0.32 | ) | 10.40 | 9.99 | % | 109,659 | 0.65 | % | 0.65 | %n | 3.46 | % | |||||||||||||||||||||||||||||||||
Service Class |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.27 | $ | 0.37 | $ | (0.30 | ) | $ | 0.07 | $ | (0.34 | ) | $ | — | $ | (0.34 | ) | $ | 8.00 | 0.73 | % | $ | 3,836 | 0.81 | % | N/A | 4.44 | % | ||||||||||||||||||||||||
9/30/22 |
10.51 | 0.27 | (2.10 | ) | (1.83 | ) | (0.27 | ) | (0.14 | ) | (0.41 | ) | 8.27 | (18.11 | %) | 4,963 | 0.74 | % | N/A | 2.81 | % | |||||||||||||||||||||||||||||||
9/30/21 |
10.73 | 0.28 | 0.31 | 0.59 | (0.44 | ) | (0.37 | ) | (0.81 | ) | 10.51 | 5.71 | % | 11,853 | 0.72 | % | N/A | 2.66 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
10.54 | 0.35 | 0.18 | 0.53 | (0.34 | ) | (0.00 | )d | (0.34 | ) | 10.73 | 5.20 | % | 12,067 | 0.71 | % | N/A | 3.36 | % | |||||||||||||||||||||||||||||||||
9/30/19 |
9.91 | 0.33 | 0.61 | 0.94 | (0.31 | ) | — | (0.31 | ) | 10.54 | 9.80 | % | 12,976 | 0.75 | % | 0.75 | %n | 3.35 | % | |||||||||||||||||||||||||||||||||
Administrative Class |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.25 | $ | 0.35 | $ | (0.28 | ) | $ | 0.07 | $ | (0.33 | ) | $ | — | $ | (0.33 | ) | $ | 7.99 | 0.76 | % | $ | 4,797 | 0.91 | % | N/A | 4.31 | % | ||||||||||||||||||||||||
9/30/22 |
10.49 | 0.26 | (2.10 | ) | (1.84 | ) | (0.26 | ) | (0.14 | ) | (0.40 | ) | 8.25 | (18.21 | %) | 8,149 | 0.84 | % | N/A | 2.76 | % | |||||||||||||||||||||||||||||||
9/30/21 |
10.71 | 0.27 | 0.30 | 0.57 | (0.42 | ) | (0.37 | ) | (0.79 | ) | 10.49 | 5.52 | % | 12,621 | 0.82 | % | N/A | 2.57 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
10.52 | 0.34 | 0.18 | 0.52 | (0.33 | ) | (0.00 | )d | (0.33 | ) | 10.71 | 5.10 | % | 17,108 | 0.81 | % | N/A | 3.25 | % | |||||||||||||||||||||||||||||||||
9/30/19 |
9.88 | 0.32 | 0.62 | 0.94 | (0.30 | ) | — | (0.30 | ) | 10.52 | 9.79 | % | 21,870 | 0.85 | % | 0.85 | %n | 3.25 | % | |||||||||||||||||||||||||||||||||
Class R4 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.12 | $ | 0.34 | $ | (0.28 | ) | $ | 0.06 | $ | (0.32 | ) | $ | — | $ | (0.32 | ) | $ | 7.86 | 0.64 | % | $ | 4,395 | 1.06 | % | N/A | 4.20 | % | ||||||||||||||||||||||||
9/30/22 |
10.33 | 0.25 | (2.08 | ) | (1.83 | ) | (0.24 | ) | (0.14 | ) | (0.38 | ) | 8.12 | (18.37 | %) | 3,754 | 0.99 | % | N/A | 2.63 | % | |||||||||||||||||||||||||||||||
9/30/21 |
10.57 | 0.25 | 0.29 | 0.54 | (0.41 | ) | (0.37 | ) | (0.78 | ) | 10.33 | 5.35 | % | 5,253 | 0.97 | % | N/A | 2.42 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
10.38 | 0.32 | 0.19 | 0.51 | (0.32 | ) | (0.00 | )d | (0.32 | ) | 10.57 | 5.05 | % | 6,233 | 0.96 | % | N/A | 3.10 | % | |||||||||||||||||||||||||||||||||
9/30/19 |
9.78 | 0.31 | 0.59 | 0.90 | (0.30 | ) | — | (0.30 | ) | 10.38 | 9.49 | % | 6,925 | 1.00 | % | 1.00 | %n | 3.12 | % | |||||||||||||||||||||||||||||||||
Class A |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.26 | $ | 0.34 | $ | (0.29 | ) | $ | 0.05 | $ | (0.30 | ) | $ | — | $ | (0.30 | ) | $ | 8.01 | 0.54 | % | $ | 4,468 | 1.16 | % | N/A | 4.09 | % | ||||||||||||||||||||||||
9/30/22 |
10.49 | 0.24 | (2.10 | ) | (1.86 | ) | (0.23 | ) | (0.14 | ) | (0.37 | ) | 8.26 | (18.40 | %) | 5,106 | 1.09 | % | N/A | 2.46 | % | |||||||||||||||||||||||||||||||
9/30/21 |
10.69 | 0.24 | 0.30 | 0.54 | (0.37 | ) | (0.37 | ) | (0.74 | ) | 10.49 | 5.23 | % | 9,381 | 1.07 | % | N/A | 2.33 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
10.48 | 0.31 | 0.20 | 0.51 | (0.30 | ) | (0.00 | )d | (0.30 | ) | 10.69 | 4.96 | % | 14,756 | 1.06 | % | N/A | 2.99 | % | |||||||||||||||||||||||||||||||||
9/30/19 |
9.85 | 0.30 | 0.60 | 0.90 | (0.27 | ) | — | (0.27 | ) | 10.48 | 9.45 | % | 28,973 | 1.10 | % | 1.10 | %n | 3.01 | % | |||||||||||||||||||||||||||||||||
Class R3 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.20 | $ | 0.32 | $ | (0.29 | ) | $ | 0.03 | $ | (0.30 | ) | $ | — | $ | (0.30 | ) | $ | 7.93 | 0.29 | % | $ | 1,106 | 1.31 | % | N/A | 3.94 | % | ||||||||||||||||||||||||
9/30/22 |
10.30 | 0.22 | (2.08 | ) | (1.86 | ) | (0.10 | ) | (0.14 | ) | (0.24 | ) | 8.20 | (18.45 | %) | 1,347 | 1.24 | % | N/A | 2.35 | % | |||||||||||||||||||||||||||||||
9/30/21 |
10.53 | 0.22 | 0.30 | 0.52 | (0.38 | ) | (0.37 | ) | (0.75 | ) | 10.30 | 5.14 | % | 3,255 | 1.22 | % | N/A | 2.16 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
10.34 | 0.29 | 0.17 | 0.46 | (0.27 | ) | (0.00 | )d | (0.27 | ) | 10.53 | 4.61 | % | 3,881 | 1.21 | % | N/A | 2.85 | % | |||||||||||||||||||||||||||||||||
9/30/19 |
9.72 | 0.28 | 0.60 | 0.88 | (0.26 | ) | — | (0.26 | ) | 10.34 | 9.35 | % | 3,553 | 1.25 | % | 1.25 | %n | 2.85 | % | |||||||||||||||||||||||||||||||||
Class Y |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23g |
$ | 8.30 | $ | 0.25 | $ | (0.68 | ) | $ | (0.43 | ) | $ | — | $ | — | $ | — | $ | 7.87 | (5.18 | %)b | $ | 95 | 0.71 | %a | N/A | 4.63 | %a |
Year Ended September 30 | |||||
2023 |
2022 |
2021 |
2020 |
2019 |
|
Portfolio turnover rate |
107% |
198% |
192% |
186% |
236% |
a |
Annualized. |
b |
Percentage represents the results for the period and is not annualized. |
c |
Per share amount calculated on the average shares method. |
d |
Amount is less than $0.005 per share. |
g |
For the period February 1, 2023 (commencement of operations) through September 30, 2023. |
j |
Computed after giving effect to an agreement by MML Advisers to waive certain fees and expenses of the Fund. |
l |
Employee retirement benefit plans that invest plan assets in the Separate Investment Accounts (SIAs) may be subject to certain charges as set forth in their respective Plan Documents. Total return figures would be lower for the periods presented if they reflected these charges. |
m |
Total return excludes sales charges, if any, and would be lower for the period presented if it reflected these charges. |
n |
Expenses incurred during the period fell under the expense cap. |
– 132 – |
MASSMUTUAL BALANCED FUND
Income
(loss) from investment |
Less distributions to shareholders |
Ratios / Supplemental Data |
||||||||||||||||||||||||||||||||||||||||||||||||||
Net
|
Net
|
Net
|
Total
|
From
net |
From
net |
Total
|
Net
|
Total
|
Net
|
Ratio
of |
Ratio
of |
Net
|
||||||||||||||||||||||||||||||||||||||||
Class I |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.57 | $ | 0.18 | $ | 0.86 | $ | 1.04 | $ | (0.18 | ) | $ | — | $ | (0.18 | ) | $ | 10.43 | 10.88 | % | $ | 38,571 | 0.77 | % | N/A | 1.73 | % | |||||||||||||||||||||||||
9/30/22 |
14.34 | 0.16 | (1.45 | ) | (1.29 | ) | (0.22 | ) | (3.26 | ) | (3.48 | ) | 9.57 | (13.65 | %) | 44,532 | 0.70 | % | N/A | 1.37 | % | |||||||||||||||||||||||||||||||
9/30/21 |
12.40 | 0.16 | 2.21 | 2.37 | (0.21 | ) | (0.22 | ) | (0.43 | ) | 14.34 | 19.60 | % | 54,692 | 0.69 | % | N/A | 1.21 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
12.07 | 0.21 | 0.90 | 1.11 | (0.27 | ) | (0.51 | ) | (0.78 | ) | 12.40 | 9.49 | % | 42,455 | 0.71 | % | N/A | 1.75 | % | |||||||||||||||||||||||||||||||||
9/30/19 |
12.86 | 0.24 | (0.09 | )aa | 0.15 | (0.22 | ) | (0.72 | ) | (0.94 | ) | 12.07 | 1.91 | % | 31,567 | 0.76 | % | 0.74 | % | 2.06 | % | |||||||||||||||||||||||||||||||
Class R5 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.57 | $ | 0.17 | $ | 0.86 | $ | 1.03 | $ | (0.17 | ) | $ | — | $ | (0.17 | ) | $ | 10.43 | 10.76 | % | $ | 26,032 | 0.87 | % | N/A | 1.62 | % | |||||||||||||||||||||||||
9/30/22 |
14.34 | 0.15 | (1.46 | ) | (1.31 | ) | (0.20 | ) | (3.26 | ) | (3.46 | ) | 9.57 | (13.74 | %) | 28,960 | 0.80 | % | N/A | 1.26 | % | |||||||||||||||||||||||||||||||
9/30/21 |
12.39 | 0.15 | 2.22 | 2.37 | (0.20 | ) | (0.22 | ) | (0.42 | ) | 14.34 | 19.58 | % | 39,742 | 0.79 | % | N/A | 1.10 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
12.07 | 0.20 | 0.89 | 1.09 | (0.26 | ) | (0.51 | ) | (0.77 | ) | 12.39 | 9.29 | % | 42,199 | 0.81 | % | N/A | 1.66 | % | |||||||||||||||||||||||||||||||||
9/30/19 |
12.85 | 0.23 | (0.09 | )aa | 0.14 | (0.20 | ) | (0.72 | ) | (0.92 | ) | 12.07 | 1.88 | % | 45,321 | 0.86 | % | 0.83 | % | 1.94 | % | |||||||||||||||||||||||||||||||
Service Class |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 10.31 | $ | 0.17 | $ | 0.94 | $ | 1.11 | $ | (0.16 | ) | $ | — | $ | (0.16 | ) | $ | 11.26 | 10.74 | % | $ | 8,093 | 0.97 | % | N/A | 1.52 | % | |||||||||||||||||||||||||
9/30/22 |
15.20 | 0.14 | (1.58 | ) | (1.44 | ) | (0.19 | ) | (3.26 | ) | (3.45 | ) | 10.31 | (13.87 | %) | 7,659 | 0.90 | % | N/A | 1.16 | % | |||||||||||||||||||||||||||||||
9/30/21 |
13.12 | 0.14 | 2.35 | 2.49 | (0.19 | ) | (0.22 | ) | (0.41 | ) | 15.20 | 19.40 | % | 10,330 | 0.89 | % | N/A | 1.00 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
12.73 | 0.19 | 0.95 | 1.14 | (0.24 | ) | (0.51 | ) | (0.75 | ) | 13.12 | 9.22 | % | 8,637 | 0.91 | % | N/A | 1.56 | % | |||||||||||||||||||||||||||||||||
9/30/19 |
13.50 | 0.23 | (0.09 | )aa | 0.14 | (0.19 | ) | (0.72 | ) | (0.91 | ) | 12.73 | 1.73 | % | 6,045 | 0.96 | % | 0.92 | % | 1.84 | % | |||||||||||||||||||||||||||||||
Administrative Class |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.61 | $ | 0.15 | $ | 0.87 | $ | 1.02 | $ | (0.15 | ) | $ | — | $ | (0.15 | ) | $ | 10.48 | 10.57 | % | $ | 3,247 | 1.07 | % | N/A | 1.44 | % | |||||||||||||||||||||||||
9/30/22 |
14.39 | 0.12 | (1.46 | ) | (1.34 | ) | (0.18 | ) | (3.26 | ) | (3.44 | ) | 9.61 | (13.95 | %) | 6,318 | 1.00 | % | N/A | 1.07 | % | |||||||||||||||||||||||||||||||
9/30/21 |
12.44 | 0.12 | 2.23 | 2.35 | (0.18 | ) | (0.22 | ) | (0.40 | ) | 14.39 | 19.30 | % | 7,411 | 0.99 | % | N/A | 0.90 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
12.11 | 0.17 | 0.90 | 1.07 | (0.23 | ) | (0.51 | ) | (0.74 | ) | 12.44 | 9.13 | % | 5,849 | 1.01 | % | N/A | 1.44 | % | |||||||||||||||||||||||||||||||||
9/30/19 |
12.89 | 0.20 | (0.09 | )aa | 0.11 | (0.17 | ) | (0.72 | ) | (0.89 | ) | 12.11 | 1.62 | % | 6,981 | 1.06 | % | 1.02 | % | 1.73 | % | |||||||||||||||||||||||||||||||
Class R4 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.09 | $ | 0.13 | $ | 0.81 | $ | 0.94 | $ | (0.13 | ) | $ | — | $ | (0.13 | ) | $ | 9.90 | 10.37 | % | $ | 4,937 | 1.22 | % | N/A | 1.27 | % | |||||||||||||||||||||||||
9/30/22 |
13.77 | 0.10 | (1.37 | ) | (1.27 | ) | (0.15 | ) | (3.26 | ) | (3.41 | ) | 9.09 | (14.06 | %) | 4,554 | 1.15 | % | N/A | 0.92 | % | |||||||||||||||||||||||||||||||
9/30/21 |
11.92 | 0.10 | 2.13 | 2.23 | (0.16 | ) | (0.22 | ) | (0.38 | ) | 13.77 | 19.12 | % | 5,984 | 1.14 | % | N/A | 0.76 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
11.64 | 0.15 | 0.86 | 1.01 | (0.22 | ) | (0.51 | ) | (0.73 | ) | 11.92 | 8.94 | % | 2,994 | 1.16 | % | N/A | 1.31 | % | |||||||||||||||||||||||||||||||||
9/30/19 |
12.42 | 0.18 | (0.08 | )aa | 0.10 | (0.16 | ) | (0.72 | ) | (0.88 | ) | 11.64 | 1.52 | % | 2,853 | 1.21 | % | 1.17 | % | 1.59 | % | |||||||||||||||||||||||||||||||
Class A |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.21 | $ | 0.12 | $ | 0.83 | $ | 0.95 | $ | (0.12 | ) | $ | — | $ | (0.12 | ) | $ | 10.04 | 10.32 | % | $ | 12,044 | 1.32 | % | N/A | 1.17 | % | |||||||||||||||||||||||||
9/30/22 |
13.91 | 0.09 | (1.41 | ) | (1.32 | ) | (0.12 | ) | (3.26 | ) | (3.38 | ) | 9.21 | (14.22 | %) | 13,123 | 1.25 | % | N/A | 0.80 | % | |||||||||||||||||||||||||||||||
9/30/21 |
12.03 | 0.09 | 2.16 | 2.25 | (0.15 | ) | (0.22 | ) | (0.37 | ) | 13.91 | 19.07 | % | 20,919 | 1.24 | % | N/A | 0.67 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
11.74 | 0.14 | 0.86 | 1.00 | (0.20 | ) | (0.51 | ) | (0.71 | ) | 12.03 | 8.80 | % | 26,626 | 1.26 | % | N/A | 1.21 | % | |||||||||||||||||||||||||||||||||
9/30/19 |
12.51 | 0.17 | (0.08 | )aa | 0.09 | (0.14 | ) | (0.72 | ) | (0.86 | ) | 11.74 | 1.44 | % | 26,981 | 1.31 | % | 1.27 | % | 1.49 | % | |||||||||||||||||||||||||||||||
Class R3 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.01 | $ | 0.10 | $ | 0.81 | $ | 0.91 | $ | (0.10 | ) | $ | — | $ | (0.10 | ) | $ | 9.82 | 10.14 | % | $ | 9,244 | 1.47 | % | N/A | 1.02 | % | |||||||||||||||||||||||||
9/30/22 |
13.69 | 0.07 | (1.36 | ) | (1.29 | ) | (0.13 | ) | (3.26 | ) | (3.39 | ) | 9.01 | (14.27 | %) | 9,643 | 1.40 | % | N/A | 0.66 | % | |||||||||||||||||||||||||||||||
9/30/21 |
11.85 | 0.07 | 2.11 | 2.18 | (0.12 | ) | (0.22 | ) | (0.34 | ) | 13.69 | 18.81 | % | 12,390 | 1.39 | % | N/A | 0.50 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
11.57 | 0.12 | 0.85 | 0.97 | (0.18 | ) | (0.51 | ) | (0.69 | ) | 11.85 | 8.66 | % | 7,503 | 1.41 | % | N/A | 1.06 | % | |||||||||||||||||||||||||||||||||
9/30/19 |
12.36 | 0.15 | (0.08 | )aa | 0.07 | (0.14 | ) | (0.72 | ) | (0.86 | ) | 11.57 | 1.27 | % | 7,236 | 1.46 | % | 1.42 | % | 1.35 | % | |||||||||||||||||||||||||||||||
Class Y |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23g |
$ | 10.54 | $ | 0.11 | $ | (0.22 | )aa | $ | (0.11 | ) | $ | — | $ | — | $ | — | $ | 10.43 | (1.04 | %)b | $ | 99 | 0.87 | %a | N/A | 1.61 | %a |
Year Ended September 30 | |||||
2023 |
2022 |
2021 |
2020 |
2019 |
|
Portfolio turnover rate |
155% |
215% |
343% |
113% |
161% |
a |
Annualized. |
b |
Percentage represents the results for the period and is not annualized. |
c |
Per share amount calculated on the average shares method. |
g |
For the period February 1, 2023 (commencement of operations) through September 30, 2023. |
j |
Computed after giving effect to an agreement by MML Advisers to waive certain fees and expenses of the Fund. |
l |
Employee retirement benefit plans that invest plan assets in the Separate Investment Accounts (SIAs) may be subject to certain charges as set forth in their respective Plan Documents. Total return figures would be lower for the periods presented if they reflected these charges. |
m |
Total return excludes sales charges, if any, and would be lower for the period presented if it reflected these charges. |
aa |
The amount shown for a share outstanding does not correspond with the aggregate net realized and unrealized gain (loss) for the period due to the timing of purchases and redemptions of Fund shares in relation to the fluctuating market values of the Fund. |
– 133 – |
MASSMUTUAL DISCIPLINED VALUE FUND
Income
(loss) from investment |
Less distributions to shareholders |
Ratios / Supplemental Data |
||||||||||||||||||||||||||||||||||||||||||||||
Net
|
Net
|
Net
|
Total
|
From
net |
From
net |
Total
|
Net
|
Total
|
Net
|
Ratio
of |
Net
|
|||||||||||||||||||||||||||||||||||||
Class I |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 12.29 | $ | 0.17 | $ | 1.70 | $ | 1.87 | $ | (0.17 | ) | $ | (1.18 | ) | $ | (1.35 | ) | $ | 12.81 | 15.25 | % | $ | 26,343 | 0.81 | % | 1.31 | % | |||||||||||||||||||||
9/30/22 |
16.30 | 0.20 | (1.43 | ) | (1.23 | ) | (0.22 | ) | (2.56 | ) | (2.78 | ) | 12.29 | (10.19 | %) | 24,938 | 0.76 | % | 1.40 | % | ||||||||||||||||||||||||||||
9/30/21 |
12.08 | 0.22 | 4.28 | 4.50 | (0.28 | ) | — | (0.28 | ) | 16.30 | 37.75 | % | 31,848 | 0.74 | % | 1.46 | % | |||||||||||||||||||||||||||||||
9/30/20 |
13.98 | 0.28 | (1.16 | ) | (0.88 | ) | (0.31 | ) | (0.71 | ) | (1.02 | ) | 12.08 | (7.26 | %) | 20,650 | 0.72 | % | 2.20 | % | ||||||||||||||||||||||||||||
9/30/19 |
17.06 | 0.28 | (0.76 | ) | (0.48 | ) | (0.40 | ) | (2.20 | ) | (2.60 | ) | 13.98 | (1.20 | %) | 16,781 | 0.64 | % | 2.03 | % | ||||||||||||||||||||||||||||
Class R5 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 12.33 | $ | 0.16 | $ | 1.70 | $ | 1.86 | $ | (0.16 | ) | $ | (1.18 | ) | $ | (1.34 | ) | $ | 12.85 | 15.06 | % | $ | 18,288 | 0.91 | % | 1.21 | % | |||||||||||||||||||||
9/30/22 |
16.34 | 0.19 | (1.44 | ) | (1.25 | ) | (0.20 | ) | (2.56 | ) | (2.76 | ) | 12.33 | (10.28 | %) | 19,907 | 0.85 | % | 1.27 | % | ||||||||||||||||||||||||||||
9/30/21 |
12.11 | 0.21 | 4.28 | 4.49 | (0.26 | ) | — | (0.26 | ) | 16.34 | 37.57 | % | 35,564 | 0.84 | % | 1.39 | % | |||||||||||||||||||||||||||||||
9/30/20 |
14.01 | 0.27 | (1.17 | ) | (0.90 | ) | (0.29 | ) | (0.71 | ) | (1.00 | ) | 12.11 | (7.34 | %) | 32,418 | 0.82 | % | 2.10 | % | ||||||||||||||||||||||||||||
9/30/19 |
17.09 | 0.27 | (0.76 | ) | (0.49 | ) | (0.39 | ) | (2.20 | ) | (2.59 | ) | 14.01 | (1.32 | %) | 53,709 | 0.74 | % | 1.92 | % | ||||||||||||||||||||||||||||
Service Class |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 12.19 | $ | 0.14 | $ | 1.68 | $ | 1.82 | $ | (0.14 | ) | $ | (1.18 | ) | $ | (1.32 | ) | $ | 12.69 | 14.95 | % | $ | 10,471 | 1.01 | % | 1.11 | % | |||||||||||||||||||||
9/30/22 |
16.19 | 0.17 | (1.43 | ) | (1.26 | ) | (0.18 | ) | (2.56 | ) | (2.74 | ) | 12.19 | (10.38 | %) | 11,925 | 0.96 | % | 1.20 | % | ||||||||||||||||||||||||||||
9/30/21 |
12.00 | 0.19 | 4.25 | 4.44 | (0.25 | ) | — | (0.25 | ) | 16.19 | 37.48 | % | 16,120 | 0.94 | % | 1.27 | % | |||||||||||||||||||||||||||||||
9/30/20 |
13.88 | 0.25 | (1.16 | ) | (0.91 | ) | (0.26 | ) | (0.71 | ) | (0.97 | ) | 12.00 | (7.46 | %) | 11,618 | 0.92 | % | 1.98 | % | ||||||||||||||||||||||||||||
9/30/19 |
16.95 | 0.25 | (0.76 | ) | (0.51 | ) | (0.36 | ) | (2.20 | ) | (2.56 | ) | 13.88 | (1.43 | %) | 20,401 | 0.84 | % | 1.82 | % | ||||||||||||||||||||||||||||
Administrative Class |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 12.55 | $ | 0.13 | $ | 1.74 | $ | 1.87 | $ | (0.12 | ) | $ | (1.18 | ) | $ | (1.30 | ) | $ | 13.12 | 14.90 | % | $ | 1,314 | 1.11 | % | 1.01 | % | |||||||||||||||||||||
9/30/22 |
16.57 | 0.16 | (1.47 | ) | (1.31 | ) | (0.15 | ) | (2.56 | ) | (2.71 | ) | 12.55 | (10.45 | %) | 1,154 | 1.06 | % | 1.10 | % | ||||||||||||||||||||||||||||
9/30/21 |
12.28 | 0.18 | 4.35 | 4.53 | (0.24 | ) | — | (0.24 | ) | 16.57 | 37.32 | % | 1,652 | 1.04 | % | 1.23 | % | |||||||||||||||||||||||||||||||
9/30/20 |
14.20 | 0.24 | (1.20 | ) | (0.96 | ) | (0.25 | ) | (0.71 | ) | (0.96 | ) | 12.28 | (7.62 | %) | 4,214 | 1.02 | % | 1.88 | % | ||||||||||||||||||||||||||||
9/30/19 |
17.27 | 0.25 | (0.76 | ) | (0.51 | ) | (0.36 | ) | (2.20 | ) | (2.56 | ) | 14.20 | (1.46 | %) | 5,731 | 0.94 | % | 1.72 | % | ||||||||||||||||||||||||||||
Class R4 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 11.89 | $ | 0.10 | $ | 1.65 | $ | 1.75 | $ | (0.11 | ) | $ | (1.18 | ) | $ | (1.29 | ) | $ | 12.35 | 14.67 | % | $ | 378 | 1.26 | % | 0.80 | % | |||||||||||||||||||||
9/30/22 |
15.85 | 0.13 | (1.39 | ) | (1.26 | ) | (0.14 | ) | (2.56 | ) | (2.70 | ) | 11.89 | (10.62 | %) | 1,293 | 1.20 | % | 0.87 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.76 | 0.15 | 4.16 | 4.31 | (0.22 | ) | — | (0.22 | ) | 15.85 | 37.08 | % | 2,731 | 1.19 | % | 1.06 | % | |||||||||||||||||||||||||||||||
9/30/20 |
13.63 | 0.21 | (1.13 | ) | (0.92 | ) | (0.24 | ) | (0.71 | ) | (0.95 | ) | 11.76 | (7.70 | %) | 2,707 | 1.17 | % | 1.73 | % | ||||||||||||||||||||||||||||
9/30/19 |
16.67 | 0.22 | (0.75 | ) | (0.53 | ) | (0.31 | ) | (2.20 | ) | (2.51 | ) | 13.63 | (1.65 | %) | 4,039 | 1.09 | % | 1.58 | % | ||||||||||||||||||||||||||||
Class A |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 12.01 | $ | 0.10 | $ | 1.66 | $ | 1.76 | $ | (0.09 | ) | $ | (1.18 | ) | $ | (1.27 | ) | $ | 12.50 | 14.59 | % | $ | 4,164 | 1.36 | % | 0.76 | % | |||||||||||||||||||||
9/30/22 |
15.98 | 0.12 | (1.41 | ) | (1.29 | ) | (0.12 | ) | (2.56 | ) | (2.68 | ) | 12.01 | (10.68 | %) | 4,245 | 1.30 | % | 0.83 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.85 | 0.14 | 4.20 | 4.34 | (0.21 | ) | — | (0.21 | ) | 15.98 | 37.00 | % | 6,784 | 1.29 | % | 0.93 | % | |||||||||||||||||||||||||||||||
9/30/20 |
13.73 | 0.21 | (1.15 | ) | (0.94 | ) | (0.23 | ) | (0.71 | ) | (0.94 | ) | 11.85 | (7.77 | %) | 5,569 | 1.27 | % | 1.66 | % | ||||||||||||||||||||||||||||
9/30/19 |
16.78 | 0.20 | (0.74 | ) | (0.54 | ) | (0.31 | ) | (2.20 | ) | (2.51 | ) | 13.73 | (1.75 | %) | 6,012 | 1.19 | % | 1.48 | % | ||||||||||||||||||||||||||||
Class R3 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 12.13 | $ | 0.07 | $ | 1.68 | $ | 1.75 | $ | (0.07 | ) | $ | (1.18 | ) | $ | (1.25 | ) | $ | 12.63 | 14.41 | % | $ | 1,833 | 1.51 | % | 0.57 | % | |||||||||||||||||||||
9/30/22 |
16.12 | 0.10 | (1.43 | ) | (1.33 | ) | (0.10 | ) | (2.56 | ) | (2.66 | ) | 12.13 | (10.86 | %) | 3,732 | 1.46 | % | 0.72 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.95 | 0.12 | 4.24 | 4.36 | (0.19 | ) | — | (0.19 | ) | 16.12 | 36.87 | % | 4,873 | 1.44 | % | 0.79 | % | |||||||||||||||||||||||||||||||
9/30/20 |
13.85 | 0.19 | (1.17 | ) | (0.98 | ) | (0.21 | ) | (0.71 | ) | (0.92 | ) | 11.95 | (7.98 | %) | 3,988 | 1.42 | % | 1.50 | % | ||||||||||||||||||||||||||||
9/30/19 |
16.90 | 0.18 | (0.74 | ) | (0.56 | ) | (0.29 | ) | (2.20 | ) | (2.49 | ) | 13.85 | (1.85 | %) | 4,346 | 1.34 | % | 1.33 | % | ||||||||||||||||||||||||||||
Class Y |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23g |
$ | 13.25 | $ | 0.11 | $ | (0.51 | )aa | $ | (0.40 | ) | $ | — | $ | — | $ | — | $ | 12.85 | (3.02 | %)b | $ | 97 | 0.91 | %a | 1.27 | %a |
Year Ended September 30 | |||||
2023 |
2022 |
2021 |
2020 |
2019 |
|
Portfolio turnover rate |
70% |
40% |
189% |
57% |
53% |
a |
Annualized. |
b |
Percentage represents the results for the period and is not annualized. |
c |
Per share amount calculated on the average shares method. |
g |
For the period February 1, 2023 (commencement of operations) through September 30, 2023. |
l |
Employee retirement benefit plans that invest plan assets in the Separate Investment Accounts (SIAs) may be subject to certain charges as set forth in their respective Plan Documents. Total return figures would be lower for the periods presented if they reflected these charges. |
m |
Total return excludes sales charges, if any, and would be lower for the period presented if it reflected these charges. |
aa |
The amount shown for a share outstanding does not correspond with the aggregate net realized and unrealized gain (loss) for the period due to the timing of purchases and redemptions of Fund shares in relation to the fluctuating market values of the Fund. |
– 134 – |
MASSMUTUAL MAIN STREET FUND
Income
(loss) from investment |
Less distributions to shareholders |
Ratios / Supplemental Data |
||||||||||||||||||||||||||||||||||||||||||||||
Net
|
Net
|
Net
|
Total
|
From
net |
From
net |
Total
|
Net
|
Total
|
Net
|
Ratio
of |
Net
|
|||||||||||||||||||||||||||||||||||||
Class I |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.12 | $ | 0.07 | $ | 1.62 | $ | 1.69 | $ | (0.10 | ) | $ | (1.13 | ) | $ | (1.23 | ) | $ | 9.58 | 19.52 | % | $ | 2,937 | 0.89 | % | 0.71 | % | |||||||||||||||||||||
9/30/22 |
14.00 | 0.09 | (1.98 | ) | (1.89 | ) | (0.11 | ) | (2.88 | ) | (2.99 | ) | 9.12 | (18.90 | %) | 3,154 | 0.78 | % | 0.75 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.28 | 0.11 | 3.00 | 3.11 | (0.12 | ) | (0.27 | ) | (0.39 | ) | 14.00 | 28.21 | % | 27,948 | 0.75 | % | 0.84 | % | ||||||||||||||||||||||||||||||
9/30/20 |
11.07 | 0.11 | 1.19 | 1.30 | (0.13 | ) | (0.96 | ) | (1.09 | ) | 11.28 | 12.22 | % | 30,273 | 0.74 | % | 1.03 | % | ||||||||||||||||||||||||||||||
9/30/19 |
12.04 | 0.14 | 0.30 | 0.44 | (0.13 | ) | (1.28 | ) | (1.41 | ) | 11.07 | 5.60 | % | 24,639 | 0.73 | % | 1.29 | % | ||||||||||||||||||||||||||||||
Class R5 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.12 | $ | 0.06 | $ | 1.62 | $ | 1.68 | $ | (0.09 | ) | $ | (1.13 | ) | $ | (1.22 | ) | $ | 9.58 | 19.37 | % | $ | 34,533 | 0.99 | % | 0.60 | % | |||||||||||||||||||||
9/30/22 |
13.99 | 0.08 | (1.97 | ) | (1.89 | ) | (0.10 | ) | (2.88 | ) | (2.98 | ) | 9.12 | (18.90 | %) | 31,307 | 0.88 | % | 0.66 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.27 | 0.10 | 2.99 | 3.09 | (0.10 | ) | (0.27 | ) | (0.37 | ) | 13.99 | 28.11 | % | 47,342 | 0.85 | % | 0.74 | % | ||||||||||||||||||||||||||||||
9/30/20 |
11.06 | 0.10 | 1.18 | 1.28 | (0.11 | ) | (0.96 | ) | (1.07 | ) | 11.27 | 12.10 | % | 45,358 | 0.84 | % | 0.93 | % | ||||||||||||||||||||||||||||||
9/30/19 |
12.03 | 0.13 | 0.29 | 0.42 | (0.11 | ) | (1.28 | ) | (1.39 | ) | 11.06 | 5.47 | % | 48,226 | 0.83 | % | 1.19 | % | ||||||||||||||||||||||||||||||
Service Class |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.63 | $ | 0.05 | $ | 1.73 | $ | 1.78 | $ | (0.08 | ) | $ | (1.13 | ) | $ | (1.21 | ) | $ | 10.20 | 19.37 | % | $ | 115 | 1.09 | % | 0.51 | % | |||||||||||||||||||||
9/30/22 |
14.62 | 0.07 | (2.09 | ) | (2.02 | ) | (0.09 | ) | (2.88 | ) | (2.97 | ) | 9.63 | (19.00 | %) | 107 | 0.98 | % | 0.57 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.75 | 0.08 | 3.14 | 3.22 | (0.08 | ) | (0.27 | ) | (0.35 | ) | 14.62 | 28.00 | % | 160 | 0.95 | % | 0.62 | % | ||||||||||||||||||||||||||||||
9/30/20 |
11.50 | 0.09 | 1.22 | 1.31 | (0.10 | ) | (0.96 | ) | (1.06 | ) | 11.75 | 11.88 | % | 182 | 0.94 | % | 0.82 | % | ||||||||||||||||||||||||||||||
9/30/19 |
12.44 | 0.12 | 0.32 | 0.44 | (0.10 | ) | (1.28 | ) | (1.38 | ) | 11.50 | 5.38 | % | 652 | 0.93 | % | 1.08 | % | ||||||||||||||||||||||||||||||
Administrative Class |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 9.10 | $ | 0.04 | $ | 1.63 | $ | 1.67 | $ | (0.07 | ) | $ | (1.13 | ) | $ | (1.20 | ) | $ | 9.57 | 19.25 | % | $ | 16,880 | 1.19 | % | 0.41 | % | |||||||||||||||||||||
9/30/22 |
13.97 | 0.05 | (1.97 | ) | (1.92 | ) | (0.07 | ) | (2.88 | ) | (2.95 | ) | 9.10 | (19.11 | %) | 17,867 | 1.08 | % | 0.45 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.25 | 0.07 | 3.00 | 3.07 | (0.08 | ) | (0.27 | ) | (0.35 | ) | 13.97 | 27.91 | % | 24,389 | 1.05 | % | 0.53 | % | ||||||||||||||||||||||||||||||
9/30/20 |
11.05 | 0.08 | 1.17 | 1.25 | (0.09 | ) | (0.96 | ) | (1.05 | ) | 11.25 | 11.79 | % | 21,264 | 1.04 | % | 0.73 | % | ||||||||||||||||||||||||||||||
9/30/19 |
12.01 | 0.10 | 0.31 | 0.41 | (0.09 | ) | (1.28 | ) | (1.37 | ) | 11.05 | 5.30 | % | 24,458 | 1.03 | % | 0.98 | % | ||||||||||||||||||||||||||||||
Class R4 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.78 | $ | 0.02 | $ | 1.56 | $ | 1.58 | $ | (0.05 | ) | $ | (1.13 | ) | $ | (1.18 | ) | $ | 9.18 | 18.95 | % | $ | 5,941 | 1.34 | % | 0.26 | % | |||||||||||||||||||||
9/30/22 |
13.56 | 0.03 | (1.88 | ) | (1.85 | ) | (0.05 | ) | (2.88 | ) | (2.93 | ) | 8.78 | (19.16 | %) | 5,889 | 1.23 | % | 0.31 | % | ||||||||||||||||||||||||||||
9/30/21 |
10.94 | 0.05 | 2.91 | 2.96 | (0.07 | ) | (0.27 | ) | (0.34 | ) | 13.56 | 27.64 | % | 8,266 | 1.20 | % | 0.38 | % | ||||||||||||||||||||||||||||||
9/30/20 |
10.77 | 0.06 | 1.15 | 1.21 | (0.08 | ) | (0.96 | ) | (1.04 | ) | 10.94 | 11.68 | % | 6,418 | 1.19 | % | 0.58 | % | ||||||||||||||||||||||||||||||
9/30/19 |
11.75 | 0.09 | 0.29 | 0.38 | (0.08 | ) | (1.28 | ) | (1.36 | ) | 10.77 | 5.08 | % | 6,379 | 1.18 | % | 0.83 | % | ||||||||||||||||||||||||||||||
Class A |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.90 | $ | 0.01 | $ | 1.59 | $ | 1.60 | $ | (0.05 | ) | $ | (1.13 | ) | $ | (1.18 | ) | $ | 9.32 | 18.79 | % | $ | 7,795 | 1.44 | % | 0.15 | % | |||||||||||||||||||||
9/30/22 |
13.70 | 0.02 | (1.91 | ) | (1.89 | ) | (0.03 | ) | (2.88 | ) | (2.91 | ) | 8.90 | (19.22 | %) | 7,887 | 1.33 | % | 0.21 | % | ||||||||||||||||||||||||||||
9/30/21 |
11.04 | 0.04 | 2.94 | 2.98 | (0.05 | ) | (0.27 | ) | (0.32 | ) | 13.70 | 27.56 | % | 10,628 | 1.30 | % | 0.31 | % | ||||||||||||||||||||||||||||||
9/30/20 |
10.86 | 0.05 | 1.15 | 1.20 | (0.06 | ) | (0.96 | ) | (1.02 | ) | 11.04 | 11.53 | % | 12,086 | 1.29 | % | 0.48 | % | ||||||||||||||||||||||||||||||
9/30/19 |
11.83 | 0.08 | 0.29 | 0.37 | (0.06 | ) | (1.28 | ) | (1.34 | ) | 10.86 | 5.01 | % | 12,843 | 1.28 | % | 0.74 | % | ||||||||||||||||||||||||||||||
Class R3 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.93 | $ | (0.00 | )d,bb | $ | 1.59 | $ | 1.59 | $ | (0.03 | ) | $ | (1.13 | ) | $ | (1.16 | ) | $ | 9.36 | 18.62 | % | $ | 485 | 1.59 | % | (0.00 | %)e | ||||||||||||||||||||
9/30/22 |
13.73 | 0.01 | (1.93 | ) | (1.92 | ) | — | (2.88 | ) | (2.88 | ) | 8.93 | (19.37 | %) | 752 | 1.48 | % | 0.06 | % | |||||||||||||||||||||||||||||
9/30/21 |
11.07 | 0.02 | 2.95 | 2.97 | (0.04 | ) | (0.27 | ) | (0.31 | ) | 13.73 | 27.36 | % | 1,277 | 1.45 | % | 0.14 | % | ||||||||||||||||||||||||||||||
9/30/20 |
10.88 | 0.03 | 1.16 | 1.19 | (0.04 | ) | (0.96 | ) | (1.00 | ) | 11.07 | 11.41 | % | 1,219 | 1.44 | % | 0.33 | % | ||||||||||||||||||||||||||||||
9/30/19 |
11.85 | 0.06 | 0.30 | 0.36 | (0.05 | ) | (1.28 | ) | (1.33 | ) | 10.88 | 4.87 | % | 1,239 | 1.43 | % | 0.61 | % |
Year Ended September 30 | |||||
2023 |
2022 |
2021 |
2020 |
2019 |
|
Portfolio turnover rate |
69% |
48% |
46% |
38% |
55% |
c |
Per share amount calculated on the average shares method. |
d |
Amount is less than $0.005 per share. |
e |
Amount is less than 0.005%. |
l |
Employee retirement benefit plans that invest plan assets in the Separate Investment Accounts (SIAs) may be subject to certain charges as set forth in their respective Plan Documents. Total return figures would be lower for the periods presented if they reflected these charges. |
m |
Total return excludes sales charges, if any, and would be lower for the period presented if it reflected these charges. |
bb |
The amount shown for a share outstanding does not correspond with the aggregate net investment income (loss) as shown on the Statement of Operations for the period due to the timing of class-specific expenses. |
– 135 – |
MASSMUTUAL DISCIPLINED GROWTH FUND
Income
(loss) from investment |
Less distributions to shareholders |
Ratios / Supplemental Data |
||||||||||||||||||||||||||||||||||||||||||||||
Net
|
Net
|
Net
|
Total
|
From
net |
From
net |
Total
|
Net
|
Total
|
Net
|
Ratio
of |
Net
|
|||||||||||||||||||||||||||||||||||||
Class I |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.49 | $ | 0.02 | $ | 1.71 | $ | 1.73 | $ | (0.02 | ) | $ | (0.37 | ) | $ | (0.39 | ) | $ | 8.83 | 23.88 | % | $ | 34,334 | 0.63 | % | 0.25 | % | |||||||||||||||||||||
9/30/22 |
15.56 | 0.02 | bb | (1.93 | ) | (1.91 | ) | — | (6.16 | ) | (6.16 | ) | 7.49 | (24.92 | %) | 18,483 | 0.58 | % | 0.18 | % | ||||||||||||||||||||||||||||
9/30/21 |
12.85 | 0.04 | 3.27 | 3.31 | (0.06 | ) | (0.54 | ) | (0.60 | ) | 15.56 | 26.75 | % | 31,388 | 0.57 | % | 0.26 | % | ||||||||||||||||||||||||||||||
9/30/20 |
11.00 | 0.09 | 3.18 | 3.27 | (0.11 | ) | (1.31 | ) | (1.42 | ) | 12.85 | 32.63 | % | 35,702 | 0.56 | % | 0.77 | % | ||||||||||||||||||||||||||||||
9/30/19 |
14.37 | 0.10 | (0.47 | ) | (0.37 | ) | (0.15 | ) | (2.85 | ) | (3.00 | ) | 11.00 | 0.99 | % | 28,367 | 0.55 | % | 0.89 | % | ||||||||||||||||||||||||||||
Class R5 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.49 | $ | 0.02 | $ | 1.69 | $ | 1.71 | $ | (0.01 | ) | $ | (0.37 | ) | $ | (0.38 | ) | $ | 8.82 | 23.60 | % | $ | 73,393 | 0.73 | % | 0.19 | % | |||||||||||||||||||||
9/30/22 |
15.57 | 0.01 | bb | (1.93 | ) | (1.92 | ) | — | (6.16 | ) | (6.16 | ) | 7.49 | (24.92 | %) | 73,291 | 0.68 | % | 0.09 | % | ||||||||||||||||||||||||||||
9/30/21 |
12.85 | 0.02 | 3.29 | 3.31 | (0.05 | ) | (0.54 | ) | (0.59 | ) | 15.57 | 26.72 | % | 108,948 | 0.67 | % | 0.15 | % | ||||||||||||||||||||||||||||||
9/30/20 |
11.00 | 0.07 | 3.19 | 3.26 | (0.10 | ) | (1.31 | ) | (1.41 | ) | 12.85 | 32.48 | % | 101,466 | 0.66 | % | 0.67 | % | ||||||||||||||||||||||||||||||
9/30/19 |
14.37 | 0.09 | (0.48 | ) | (0.39 | ) | (0.13 | ) | (2.85 | ) | (2.98 | ) | 11.00 | 0.85 | % | 100,651 | 0.65 | % | 0.79 | % | ||||||||||||||||||||||||||||
Service Class |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.54 | $ | 0.01 | $ | 1.70 | $ | 1.71 | $ | — | $ | (0.37 | ) | $ | (0.37 | ) | $ | 8.88 | 23.44 | % | $ | 12,529 | 0.83 | % | 0.12 | % | ||||||||||||||||||||||
9/30/22 |
15.65 | (0.00 | )d | (1.95 | ) | (1.95 | ) | — | (6.16 | ) | (6.16 | ) | 7.54 | (25.04 | %) | 14,309 | 0.78 | % | (0.02 | %) | ||||||||||||||||||||||||||||
9/30/21 |
12.92 | 0.01 | 3.30 | 3.31 | (0.04 | ) | (0.54 | ) | (0.58 | ) | 15.65 | 26.53 | % | 25,505 | 0.77 | % | 0.05 | % | ||||||||||||||||||||||||||||||
9/30/20 |
11.04 | 0.06 | 3.20 | 3.26 | (0.07 | ) | (1.31 | ) | (1.38 | ) | 12.92 | 32.33 | % | 25,668 | 0.76 | % | 0.57 | % | ||||||||||||||||||||||||||||||
9/30/19 |
14.40 | 0.08 | (0.47 | ) | (0.39 | ) | (0.12 | ) | (2.85 | ) | (2.97 | ) | 11.04 | 0.79 | % | 31,895 | 0.75 | % | 0.71 | % | ||||||||||||||||||||||||||||
Administrative Class |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.71 | $ | (0.00 | )d,bb | $ | 1.75 | $ | 1.75 | $ | — | $ | (0.37 | ) | $ | (0.37 | ) | $ | 9.09 | 23.44 | % | $ | 19,964 | 0.93 | % | (0.00 | %)e | |||||||||||||||||||||
9/30/22 |
15.89 | (0.01 | ) | (2.01 | ) | (2.02 | ) | — | (6.16 | ) | (6.16 | ) | 7.71 | (25.13 | %) | 24,021 | 0.88 | % | (0.11 | %) | ||||||||||||||||||||||||||||
9/30/21 |
13.10 | (0.01 | ) | 3.36 | 3.35 | (0.02 | ) | (0.54 | ) | (0.56 | ) | 15.89 | 26.46 | % | 36,207 | 0.87 | % | (0.05 | %) | |||||||||||||||||||||||||||||
9/30/20 |
11.19 | 0.05 | 3.25 | 3.30 | (0.08 | ) | (1.31 | ) | (1.39 | ) | 13.10 | 32.19 | % | 36,957 | 0.86 | % | 0.47 | % | ||||||||||||||||||||||||||||||
9/30/19 |
14.55 | 0.07 | (0.47 | ) | (0.40 | ) | (0.11 | ) | (2.85 | ) | (2.96 | ) | 11.19 | 0.66 | % | 37,316 | 0.85 | % | 0.60 | % | ||||||||||||||||||||||||||||
Class R4 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.08 | $ | (0.01 | )bb | $ | 1.60 | $ | 1.59 | $ | — | $ | (0.37 | ) | $ | (0.37 | ) | $ | 8.30 | 23.26 | % | $ | 6,373 | 1.08 | % | (0.16 | %) | |||||||||||||||||||||
9/30/22 |
15.06 | (0.03 | ) | (1.79 | ) | (1.82 | ) | — | (6.16 | ) | (6.16 | ) | 7.08 | (25.23 | %) | 6,348 | 1.03 | % | (0.28 | %) | ||||||||||||||||||||||||||||
9/30/21 |
12.45 | (0.03 | ) | 3.18 | 3.15 | — | (0.54 | ) | (0.54 | ) | 15.06 | 26.20 | % | 12,613 | 1.02 | % | (0.22 | %) | ||||||||||||||||||||||||||||||
9/30/20 |
10.70 | 0.03 | 3.09 | 3.12 | (0.06 | ) | (1.31 | ) | (1.37 | ) | 12.45 | 31.97 | % | 28,832 | 1.01 | % | 0.31 | % | ||||||||||||||||||||||||||||||
9/30/19 |
14.05 | 0.05 | (0.46 | ) | (0.41 | ) | (0.09 | ) | (2.85 | ) | (2.94 | ) | 10.70 | 0.59 | % | 24,049 | 1.00 | % | 0.45 | % | ||||||||||||||||||||||||||||
Class A |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.20 | $ | (0.02 | )bb | $ | 1.62 | $ | 1.60 | $ | — | $ | (0.37 | ) | $ | (0.37 | ) | $ | 8.43 | 23.00 | % | $ | 8,081 | 1.18 | % | (0.25 | %) | |||||||||||||||||||||
9/30/22 |
15.23 | (0.04 | ) | (1.83 | ) | (1.87 | ) | — | (6.16 | ) | (6.16 | ) | 7.20 | (25.29 | %) | 14,354 | 1.13 | % | (0.38 | %) | ||||||||||||||||||||||||||||
9/30/21 |
12.59 | (0.04 | ) | 3.22 | 3.18 | — | (0.54 | ) | (0.54 | ) | 15.23 | 26.12 | % | 26,591 | 1.12 | % | (0.30 | %) | ||||||||||||||||||||||||||||||
9/30/20 |
10.80 | 0.02 | 3.13 | 3.15 | (0.05 | ) | (1.31 | ) | (1.36 | ) | 12.59 | 31.87 | % | 27,988 | 1.11 | % | 0.22 | % | ||||||||||||||||||||||||||||||
9/30/19 |
14.15 | 0.04 | (0.47 | ) | (0.43 | ) | (0.07 | ) | (2.85 | ) | (2.92 | ) | 10.80 | 0.42 | % | 29,210 | 1.10 | % | 0.35 | % | ||||||||||||||||||||||||||||
Class R3 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.01 | $ | (0.03 | )bb | $ | 1.59 | $ | 1.56 | $ | — | $ | (0.37 | ) | $ | (0.37 | ) | $ | 8.20 | 23.06 | % | $ | 4,449 | 1.33 | % | (0.41 | %) | |||||||||||||||||||||
9/30/22 |
15.00 | (0.05 | ) | (1.78 | ) | (1.83 | ) | — | (6.16 | ) | (6.16 | ) | 7.01 | (25.46 | %) | 3,959 | 1.28 | % | (0.51 | %) | ||||||||||||||||||||||||||||
9/30/21 |
12.43 | (0.06 | ) | 3.17 | 3.11 | — | (0.54 | ) | (0.54 | ) | 15.00 | 25.88 | % | 5,002 | 1.27 | % | (0.46 | %) | ||||||||||||||||||||||||||||||
9/30/20 |
10.66 | 0.01 | 3.09 | 3.10 | (0.02 | ) | (1.31 | ) | (1.33 | ) | 12.43 | 31.78 | % | 5,875 | 1.26 | % | 0.05 | % | ||||||||||||||||||||||||||||||
9/30/19 |
14.02 | 0.02 | (0.47 | ) | (0.45 | ) | (0.06 | ) | (2.85 | ) | (2.91 | ) | 10.66 | 0.23 | % | 6,015 | 1.25 | % | 0.20 | % | ||||||||||||||||||||||||||||
Class Y |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23g |
$ | 7.89 | $ | 0.01 | $ | 0.92 | $ | 0.93 | $ | — | $ | — | $ | — | $ | 8.82 | 11.79 | %b | $ | 112 | 0.73 | %a | 0.15 | %a |
Year Ended September 30 | |||||
2023 |
2022 |
2021 |
2020 |
2019 |
|
Portfolio turnover rate |
64% |
60% |
110% |
50% |
49% |
a |
Annualized. |
b |
Percentage represents the results for the period and is not annualized. |
c |
Per share amount calculated on the average shares method. |
d |
Amount is less than $0.005 per share. |
g |
For the period February 1, 2023 (commencement of operations) through September 30, 2023. |
l |
Employee retirement benefit plans that invest plan assets in the Separate Investment Accounts (SIAs) may be subject to certain charges as set forth in their respective Plan Documents. Total return figures would be lower for the periods presented if they reflected these charges. |
m |
Total return excludes sales charges, if any, and would be lower for the period presented if it reflected these charges. |
bb |
The amount shown for a share outstanding does not correspond with the aggregate net investment income (loss) as shown on the Statement of Operations for the period due to the timing of class-specific expenses. |
– 136 – |
MASSMUTUAL SMALL CAP OPPORTUNITIES FUND
Income
(loss) from investment |
Less distributions to shareholders |
Ratios / Supplemental Data |
||||||||||||||||||||||||||||||||||||||||||||||
Net
|
Net
|
Net
|
Total
|
From
net |
From
net |
Total
|
Net
|
Total
|
Net
|
Ratio
of |
Net
|
|||||||||||||||||||||||||||||||||||||
Class I |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 14.20 | $ | 0.10 | $ | 1.76 | $ | 1.86 | $ | (0.14 | ) | $ | (0.07 | ) | $ | (0.21 | ) | $ | 15.85 | 13.14 | % | $ | 125,988 | 0.67 | % | 0.65 | % | |||||||||||||||||||||
9/30/22 |
19.21 | 0.08 | (3.28 | ) | (3.20 | ) | — | (1.81 | ) | (1.81 | ) | 14.20 | (18.57 | %) | 95,436 | 0.66 | % | 0.48 | % | |||||||||||||||||||||||||||||
9/30/21 |
13.96 | 0.06 | 6.51 | 6.57 | (0.11 | ) | (1.21 | ) | (1.32 | ) | 19.21 | 48.95 | % | 85,183 | 0.66 | % | 0.35 | % | ||||||||||||||||||||||||||||||
9/30/20 |
13.72 | 0.10 | 0.27 | 0.37 | (0.06 | ) | (0.07 | ) | (0.13 | ) | 13.96 | 2.62 | % | 39,988 | 0.69 | % | 0.77 | % | ||||||||||||||||||||||||||||||
9/30/19 |
16.47 | 0.11 | (1.43 | ) | (1.32 | ) | (0.07 | ) | (1.36 | ) | (1.43 | ) | 13.72 | (7.01 | %) | 35,326 | 0.70 | % | 0.82 | % | ||||||||||||||||||||||||||||
Class R5 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 14.14 | $ | 0.09 | $ | 1.76 | $ | 1.85 | $ | (0.13 | ) | $ | (0.07 | ) | $ | (0.20 | ) | $ | 15.79 | 13.08 | % | $ | 104,951 | 0.77 | % | 0.55 | % | |||||||||||||||||||||
9/30/22 |
19.16 | 0.06 | (3.27 | ) | (3.21 | ) | — | (1.81 | ) | (1.81 | ) | 14.14 | (18.68 | %) | 100,585 | 0.75 | % | 0.35 | % | |||||||||||||||||||||||||||||
9/30/21 |
13.93 | 0.05 | 6.48 | 6.53 | (0.09 | ) | (1.21 | ) | (1.30 | ) | 19.16 | 48.78 | % | 137,127 | 0.76 | % | 0.26 | % | ||||||||||||||||||||||||||||||
9/30/20 |
13.69 | 0.09 | 0.27 | 0.36 | (0.05 | ) | (0.07 | ) | (0.12 | ) | 13.93 | 2.56 | % | 92,440 | 0.79 | % | 0.68 | % | ||||||||||||||||||||||||||||||
9/30/19 |
16.44 | 0.10 | (1.43 | ) | (1.33 | ) | (0.06 | ) | (1.36 | ) | (1.42 | ) | 13.69 | (7.14 | %) | 61,826 | 0.80 | % | 0.71 | % | ||||||||||||||||||||||||||||
Service Class |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 14.08 | $ | 0.07 | $ | 1.75 | $ | 1.82 | $ | (0.11 | ) | $ | (0.07 | ) | $ | (0.18 | ) | $ | 15.72 | 12.95 | % | $ | 15,707 | 0.87 | % | 0.45 | % | |||||||||||||||||||||
9/30/22 |
19.11 | 0.04 | (3.26 | ) | (3.22 | ) | — | (1.81 | ) | (1.81 | ) | 14.08 | (18.78 | %) | 15,851 | 0.85 | % | 0.24 | % | |||||||||||||||||||||||||||||
9/30/21 |
13.89 | 0.03 | 6.48 | 6.51 | (0.08 | ) | (1.21 | ) | (1.29 | ) | 19.11 | 48.72 | % | 24,560 | 0.86 | % | 0.17 | % | ||||||||||||||||||||||||||||||
9/30/20 |
13.66 | 0.08 | 0.25 | 0.33 | (0.03 | ) | (0.07 | ) | (0.10 | ) | 13.89 | 2.37 | % | 17,146 | 0.89 | % | 0.58 | % | ||||||||||||||||||||||||||||||
9/30/19 |
16.39 | 0.08 | (1.41 | ) | (1.33 | ) | (0.04 | ) | (1.36 | ) | (1.40 | ) | 13.66 | (7.16 | %) | 17,073 | 0.90 | % | 0.61 | % | ||||||||||||||||||||||||||||
Administrative Class |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 13.95 | $ | 0.05 | $ | 1.75 | $ | 1.80 | $ | (0.10 | ) | $ | (0.07 | ) | $ | (0.17 | ) | $ | 15.58 | 12.88 | % | $ | 21,277 | 0.97 | % | 0.35 | % | |||||||||||||||||||||
9/30/22 |
18.97 | 0.02 | (3.23 | ) | (3.21 | ) | — | (1.81 | ) | (1.81 | ) | 13.95 | (18.88 | %) | 20,100 | 0.95 | % | 0.15 | % | |||||||||||||||||||||||||||||
9/30/21 |
13.80 | 0.01 | 6.44 | 6.45 | (0.07 | ) | (1.21 | ) | (1.28 | ) | 18.97 | 48.54 | % | 26,314 | 0.96 | % | 0.07 | % | ||||||||||||||||||||||||||||||
9/30/20 |
13.57 | 0.06 | 0.26 | 0.32 | (0.02 | ) | (0.07 | ) | (0.09 | ) | 13.80 | 2.27 | % | 18,422 | 0.99 | % | 0.48 | % | ||||||||||||||||||||||||||||||
9/30/19 |
16.29 | 0.07 | (1.41 | ) | (1.34 | ) | (0.02 | ) | (1.36 | ) | (1.38 | ) | 13.57 | (7.28 | %) | 20,377 | 1.00 | % | 0.51 | % | ||||||||||||||||||||||||||||
Class R4 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 13.37 | $ | 0.03 | $ | 1.67 | $ | 1.70 | $ | (0.08 | ) | $ | (0.07 | ) | $ | (0.15 | ) | $ | 14.92 | 12.69 | % | $ | 13,888 | 1.12 | % | 0.20 | % | |||||||||||||||||||||
9/30/22 |
18.28 | (0.00 | )d,bb | (3.10 | ) | (3.10 | ) | — | (1.81 | ) | (1.81 | ) | 13.37 | (18.99 | %) | 11,835 | 1.10 | % | (0.00 | %)e | ||||||||||||||||||||||||||||
9/30/21 |
13.34 | (0.02 | ) | 6.22 | 6.20 | (0.05 | ) | (1.21 | ) | (1.26 | ) | 18.28 | 48.31 | % | 15,682 | 1.11 | % | (0.09 | %) | |||||||||||||||||||||||||||||
9/30/20 |
13.12 | 0.04 | 0.25 | 0.29 | — | (0.07 | ) | (0.07 | ) | 13.34 | 2.16 | % | 9,413 | 1.14 | % | 0.32 | % | |||||||||||||||||||||||||||||||
9/30/19 |
15.81 | 0.05 | (1.38 | ) | (1.33 | ) | (0.00 | )d | (1.36 | ) | (1.36 | ) | 13.12 | (7.43 | %) | 10,591 | 1.15 | % | 0.36 | % | ||||||||||||||||||||||||||||
Class A |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 13.46 | $ | 0.02 | $ | 1.67 | $ | 1.69 | $ | (0.06 | ) | $ | (0.07 | ) | $ | (0.13 | ) | $ | 15.02 | 12.53 | % | $ | 36,525 | 1.22 | % | 0.10 | % | |||||||||||||||||||||
9/30/22 |
18.40 | (0.02 | )bb | (3.11 | ) | (3.13 | ) | — | (1.81 | ) | (1.81 | ) | 13.46 | (19.04 | %) | 38,730 | 1.20 | % | (0.11 | %) | ||||||||||||||||||||||||||||
9/30/21 |
13.42 | (0.03 | ) | 6.25 | 6.22 | (0.03 | ) | (1.21 | ) | (1.24 | ) | 18.40 | 48.15 | % | 55,207 | 1.21 | % | (0.18 | %) | |||||||||||||||||||||||||||||
9/30/20 |
13.21 | 0.03 | 0.25 | 0.28 | — | (0.07 | ) | (0.07 | ) | 13.42 | 2.07 | % | 42,491 | 1.24 | % | 0.22 | % | |||||||||||||||||||||||||||||||
9/30/19 |
15.92 | 0.03 | (1.38 | ) | (1.35 | ) | — | (1.36 | ) | (1.36 | ) | 13.21 | (7.54 | %) | 50,524 | 1.25 | % | 0.26 | % | |||||||||||||||||||||||||||||
Class R3 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 13.16 | $ | (0.01 | )bb | $ | 1.64 | $ | 1.63 | $ | (0.04 | ) | $ | (0.07 | ) | $ | (0.11 | ) | $ | 14.68 | 12.40 | % | $ | 7,672 | 1.37 | % | (0.05 | %) | ||||||||||||||||||||
9/30/22 |
18.06 | (0.04 | )bb | (3.05 | ) | (3.09 | ) | — | (1.81 | ) | (1.81 | ) | 13.16 | (19.19 | %) | 7,153 | 1.35 | % | (0.26 | %) | ||||||||||||||||||||||||||||
9/30/21 |
13.18 | (0.06 | ) | 6.15 | 6.09 | — | (1.21 | ) | (1.21 | ) | 18.06 | 48.00 | % | 9,695 | 1.36 | % | (0.34 | %) | ||||||||||||||||||||||||||||||
9/30/20 |
13.00 | 0.01 | 0.24 | 0.25 | — | (0.07 | ) | (0.07 | ) | 13.18 | 1.87 | % | 6,048 | 1.39 | % | 0.07 | % | |||||||||||||||||||||||||||||||
9/30/19 |
15.71 | 0.01 | (1.36 | ) | (1.35 | ) | — | (1.36 | ) | (1.36 | ) | 13.00 | (7.66 | %) | 8,551 | 1.40 | % | 0.11 | % | |||||||||||||||||||||||||||||
Class Y |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23g |
$ | 16.67 | $ | 0.06 | $ | (0.94 | )aa | $ | (0.88 | ) | $ | — | $ | — | $ | — | $ | 15.79 | (5.28 | %)b | $ | 95 | 0.77 | %a | 0.55 | %a |
Year Ended September 30 | |||||
2023 |
2022 |
2021 |
2020 |
2019 |
|
Portfolio turnover rate |
46% |
39% |
40% |
47% |
34% |
a |
Annualized. |
b |
Percentage represents the results for the period and is not annualized. |
c |
Per share amount calculated on the average shares method. |
d |
Amount is less than $0.005 per share. |
e |
Amount is less than 0.005%. |
g |
For the period February 1, 2023 (commencement of operations) through September 30, 2023. |
l |
Employee retirement benefit plans that invest plan assets in the Separate Investment Accounts (SIAs) may be subject to certain charges as set forth in their respective Plan Documents. Total return figures would be lower for the periods presented if they reflected these charges. |
m |
Total return excludes sales charges, if any, and would be lower for the period presented if it reflected these charges. |
aa |
The amount shown for a share outstanding does not correspond with the aggregate net realized and unrealized gain (loss) for the period due to the timing of purchases and redemptions of Fund shares in relation to the fluctuating market values of the Fund. |
bb |
The amount shown for a share outstanding does not correspond with the aggregate net investment income (loss) as shown on the Statement of Operations for the period due to the timing of class-specific expenses. |
– 137 – |
MASSMUTUAL GLOBAL FUND
Income
(loss) from investment |
Less distributions to shareholders |
Ratios / Supplemental Data |
||||||||||||||||||||||||||||||||||||||||||||||
Net
|
Net
|
Net
|
Total
|
From
net |
From
net |
Total
|
Net
|
Total
|
Net
|
Ratio
of |
Net
|
|||||||||||||||||||||||||||||||||||||
Class I |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 10.72 | $ | 0.00 | d,aa | $ | 2.84 | $ | 2.84 | $ | — | $ | (2.54 | ) | $ | (2.54 | ) | $ | 11.02 | 29.05 | % | $ | 48,335 | 0.91 | % | 0.02 | % | |||||||||||||||||||||
9/30/22 |
18.79 | (0.01 | ) | (6.02 | ) | (6.03 | ) | — | (2.04 | ) | (2.04 | ) | 10.72 | (36.28 | %) | 56,931 | 0.86 | % | (0.06 | %) | ||||||||||||||||||||||||||||
9/30/21 |
15.04 | (0.05 | ) | 4.64 | 4.59 | — | (0.84 | ) | (0.84 | ) | 18.79 | 31.36 | % | 99,959 | 0.84 | % | (0.29 | %) | ||||||||||||||||||||||||||||||
9/30/20 |
12.35 | 0.00 | d | 2.81 | 2.81 | (0.09 | ) | (0.03 | ) | (0.12 | ) | 15.04 | 22.90 | % | 75,893 | 0.85 | % | 0.00 | %e | |||||||||||||||||||||||||||||
9/30/19 |
16.08 | 0.10 | (0.83 | ) | (0.73 | ) | (0.11 | ) | (2.89 | ) | (3.00 | ) | 12.35 | (1.93 | %) | 70,159 | 0.84 | % | 0.79 | % | ||||||||||||||||||||||||||||
Class R5 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 10.70 | $ | (0.01 | ) | $ | 2.84 | $ | 2.83 | $ | — | $ | (2.54 | ) | $ | (2.54 | ) | $ | 10.99 | 28.99 | % | $ | 44,364 | 1.02 | % | (0.08 | %) | |||||||||||||||||||||
9/30/22 |
18.78 | (0.03 | ) | (6.01 | ) | (6.04 | ) | — | (2.04 | ) | (2.04 | ) | 10.70 | (36.36 | %) | 58,808 | 0.96 | % | (0.17 | %) | ||||||||||||||||||||||||||||
9/30/21 |
15.05 | (0.07 | ) | 4.64 | 4.57 | — | (0.84 | ) | (0.84 | ) | 18.78 | 31.20 | % | 126,049 | 0.94 | % | (0.39 | %) | ||||||||||||||||||||||||||||||
9/30/20 |
12.36 | (0.01 | ) | 2.81 | 2.80 | (0.08 | ) | (0.03 | ) | (0.11 | ) | 15.05 | 22.77 | % | 111,038 | 0.95 | % | (0.09 | %) | |||||||||||||||||||||||||||||
9/30/19 |
16.09 | 0.08 | (0.83 | ) | (0.75 | ) | (0.09 | ) | (2.89 | ) | (2.98 | ) | 12.36 | (2.07 | %) | 98,379 | 0.94 | % | 0.66 | % | ||||||||||||||||||||||||||||
Service Class |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 10.56 | $ | (0.02 | ) | $ | 2.80 | $ | 2.78 | $ | — | $ | (2.54 | ) | $ | (2.54 | ) | $ | 10.80 | 28.90 | % | $ | 3,655 | 1.12 | % | (0.20 | %) | |||||||||||||||||||||
9/30/22 |
18.58 | (0.04 | ) | (5.94 | ) | (5.98 | ) | — | (2.04 | ) | (2.04 | ) | 10.56 | (36.43 | %) | 5,579 | 1.06 | % | (0.24 | %) | ||||||||||||||||||||||||||||
9/30/21 |
14.91 | (0.08 | ) | 4.59 | 4.51 | — | (0.84 | ) | (0.84 | ) | 18.58 | 31.09 | % | 7,892 | 1.04 | % | (0.49 | %) | ||||||||||||||||||||||||||||||
9/30/20 |
12.23 | (0.03 | ) | 2.80 | 2.77 | (0.06 | ) | (0.03 | ) | (0.09 | ) | 14.91 | 22.75 | % | 6,166 | 1.05 | % | (0.19 | %) | |||||||||||||||||||||||||||||
9/30/19 |
15.94 | 0.06 | (0.82 | ) | (0.76 | ) | (0.06 | ) | (2.89 | ) | (2.95 | ) | 12.23 | (2.23 | %) | 6,361 | 1.04 | % | 0.43 | % | ||||||||||||||||||||||||||||
Administrative Class |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 10.64 | $ | (0.03 | ) | $ | 2.83 | $ | 2.80 | $ | — | $ | (2.54 | ) | $ | (2.54 | ) | $ | 10.90 | 28.84 | % | $ | 50,587 | 1.22 | % | (0.29 | %) | |||||||||||||||||||||
9/30/22 |
18.73 | (0.06 | ) | (5.99 | ) | (6.05 | ) | — | (2.04 | ) | (2.04 | ) | 10.64 | (36.52 | %) | 45,831 | 1.16 | % | (0.38 | %) | ||||||||||||||||||||||||||||
9/30/21 |
15.03 | (0.10 | ) | 4.64 | 4.54 | — | (0.84 | ) | (0.84 | ) | 18.73 | 31.03 | % | 88,387 | 1.14 | % | (0.59 | %) | ||||||||||||||||||||||||||||||
9/30/20 |
12.34 | (0.04 | ) | 2.81 | 2.77 | (0.05 | ) | (0.03 | ) | (0.08 | ) | 15.03 | 22.56 | % | 80,607 | 1.15 | % | (0.29 | %) | |||||||||||||||||||||||||||||
9/30/19 |
16.06 | 0.06 | (0.83 | ) | (0.77 | ) | (0.06 | ) | (2.89 | ) | (2.95 | ) | 12.34 | (2.30 | %) | 77,097 | 1.14 | % | 0.45 | % | ||||||||||||||||||||||||||||
Class R4 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 10.24 | $ | (0.04 | ) | $ | 2.71 | $ | 2.67 | $ | — | $ | (2.54 | ) | $ | (2.54 | ) | $ | 10.37 | 28.67 | % | $ | 8,921 | 1.37 | % | (0.43 | %) | |||||||||||||||||||||
9/30/22 |
18.12 | (0.07 | ) | (5.77 | ) | (5.84 | ) | — | (2.04 | ) | (2.04 | ) | 10.24 | (36.60 | %) | 8,676 | 1.31 | % | (0.52 | %) | ||||||||||||||||||||||||||||
9/30/21 |
14.59 | (0.12 | ) | 4.49 | 4.37 | — | (0.84 | ) | (0.84 | ) | 18.12 | 30.79 | % | 15,975 | 1.29 | % | (0.72 | %) | ||||||||||||||||||||||||||||||
9/30/20 |
11.98 | (0.06 | ) | 2.73 | 2.67 | (0.03 | ) | (0.03 | ) | (0.06 | ) | 14.59 | 22.36 | % | 8,878 | 1.30 | % | (0.45 | %) | |||||||||||||||||||||||||||||
9/30/19 |
15.71 | 0.04 | (0.82 | ) | (0.78 | ) | (0.06 | ) | (2.89 | ) | (2.95 | ) | 11.98 | (2.45 | %) | 7,531 | 1.29 | % | 0.32 | % | ||||||||||||||||||||||||||||
Class A |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 10.41 | $ | (0.06 | ) | $ | 2.76 | $ | 2.70 | $ | — | $ | (2.54 | ) | $ | (2.54 | ) | $ | 10.57 | 28.47 | % | $ | 10,559 | 1.47 | % | (0.54 | %) | |||||||||||||||||||||
9/30/22 |
18.40 | (0.09 | ) | (5.86 | ) | (5.95 | ) | — | (2.04 | ) | (2.04 | ) | 10.41 | (36.64 | %) | 9,014 | 1.41 | % | (0.63 | %) | ||||||||||||||||||||||||||||
9/30/21 |
14.82 | (0.14 | ) | 4.56 | 4.42 | — | (0.84 | ) | (0.84 | ) | 18.40 | 30.65 | % | 19,415 | 1.39 | % | (0.84 | %) | ||||||||||||||||||||||||||||||
9/30/20 |
12.17 | (0.07 | ) | 2.77 | 2.70 | (0.02 | ) | (0.03 | ) | (0.05 | ) | 14.82 | 22.22 | % | 22,903 | 1.40 | % | (0.55 | %) | |||||||||||||||||||||||||||||
9/30/19 |
15.87 | 0.03 | (0.82 | ) | (0.79 | ) | (0.02 | ) | (2.89 | ) | (2.91 | ) | 12.17 | (2.48 | %) | 24,676 | 1.39 | % | 0.20 | % | ||||||||||||||||||||||||||||
Class R3 |
||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 10.30 | $ | (0.07 | ) | $ | 2.72 | $ | 2.65 | $ | — | $ | (2.54 | ) | $ | (2.54 | ) | $ | 10.41 | 28.24 | % | $ | 7,378 | 1.62 | % | (0.69 | %) | |||||||||||||||||||||
9/30/22 |
18.25 | (0.11 | ) | (5.80 | ) | (5.91 | ) | — | (2.04 | ) | (2.04 | ) | 10.30 | (36.73 | %) | 7,920 | 1.56 | % | (0.77 | %) | ||||||||||||||||||||||||||||
9/30/21 |
14.72 | (0.17 | ) | 4.54 | 4.37 | — | (0.84 | ) | (0.84 | ) | 18.25 | 30.51 | % | 13,541 | 1.54 | % | (0.98 | %) | ||||||||||||||||||||||||||||||
9/30/20 |
12.10 | (0.09 | ) | 2.75 | 2.66 | (0.01 | ) | (0.03 | ) | (0.04 | ) | 14.72 | 21.99 | % | 9,792 | 1.55 | % | (0.69 | %) | |||||||||||||||||||||||||||||
9/30/19 |
15.80 | 0.01 | (0.82 | ) | (0.81 | ) | — | (2.89 | ) | (2.89 | ) | 12.10 | (2.69 | %) | 10,226 | 1.54 | % | 0.06 | % |
Year Ended September 30 | |||||
2023 |
2022 |
2021 |
2020 |
2019 |
|
Portfolio turnover rate |
10% |
10% |
10% |
12% |
32% |
c |
Per share amount calculated on the average shares method. |
d |
Amount is less than $0.005 per share. |
e |
Amount is less than 0.005%. |
l |
Employee retirement benefit plans that invest plan assets in the Separate Investment Accounts (SIAs) may be subject to certain charges as set forth in their respective Plan Documents. Total return figures would be lower for the periods presented if they reflected these charges. |
m |
Total return excludes sales charges, if any, and would be lower for the period presented if it reflected these charges. |
aa |
The amount shown for a share outstanding does not correspond with the aggregate net investment income (loss) as shown on the Statement of Operations for the period due to the timing of class-specific expenses. |
– 138 – |
MASSMUTUAL INTERNATIONAL EQUITY FUND
Income
(loss) from investment |
Less distributions to shareholders |
Ratios / Supplemental Data |
||||||||||||||||||||||||||||||||||||||||||||||||||
Net
|
Net
|
Net
|
Total
|
From
net |
From
net |
Total
|
Net
|
Total
|
Net
|
Ratio
of |
Ratio
of |
Net
|
||||||||||||||||||||||||||||||||||||||||
Class I |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.14 | $ | 0.14 | $ | 1.12 | $ | 1.26 | $ | (0.10 | ) | $ | (0.36 | ) | $ | (0.46 | ) | $ | 7.94 | 17.61 | % | $ | 70,386 | 1.10 | % | 1.05 | % | 1.75 | % | |||||||||||||||||||||||
9/30/22 |
10.08 | 0.12 | (1.83 | ) | (1.71 | ) | (0.21 | ) | (1.02 | ) | (1.23 | ) | 7.14 | (19.37 | %) | 66,355 | 1.09 | % | 1.04 | % | 1.41 | % | ||||||||||||||||||||||||||||||
9/30/21 |
13.08 | 0.14 | 1.84 | 1.98 | (0.04 | ) | (4.94 | ) | (4.98 | ) | 10.08 | 17.97 | % | 89,913 | 1.02 | % | 1.00 | % | 1.31 | % | ||||||||||||||||||||||||||||||||
9/30/20 |
12.01 | 0.03 | 1.54 | 1.57 | (0.13 | ) | (0.37 | ) | (0.50 | ) | 13.08 | 13.17 | % | 96,308 | 1.02 | % | 1.00 | % | 0.26 | % | ||||||||||||||||||||||||||||||||
9/30/19 |
12.99 | 0.09 | (0.49 | ) | (0.40 | ) | (0.12 | ) | (0.46 | ) | (0.58 | ) | 12.01 | (2.49 | %) | 149,979 | 0.93 | % | 0.92 | % | 0.81 | % | ||||||||||||||||||||||||||||||
Class R5 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.14 | $ | 0.13 | $ | 1.12 | $ | 1.25 | $ | (0.09 | ) | $ | (0.36 | ) | $ | (0.45 | ) | $ | 7.94 | 17.48 | % | $ | 30,262 | 1.20 | % | 1.15 | % | 1.62 | % | |||||||||||||||||||||||
9/30/22 |
10.08 | 0.12 | (1.85 | ) | (1.73 | ) | (0.19 | ) | (1.02 | ) | (1.21 | ) | 7.14 | (19.47 | %) | 30,827 | 1.19 | % | 1.14 | % | 1.38 | % | ||||||||||||||||||||||||||||||
9/30/21 |
13.08 | 0.14 | 1.83 | 1.97 | (0.03 | ) | (4.94 | ) | (4.97 | ) | 10.08 | 17.79 | % | 50,688 | 1.12 | % | 1.10 | % | 1.27 | % | ||||||||||||||||||||||||||||||||
9/30/20 |
12.00 | 0.02 | 1.55 | 1.57 | (0.12 | ) | (0.37 | ) | (0.49 | ) | 13.08 | 13.14 | % | 61,444 | 1.12 | % | 1.10 | % | 0.20 | % | ||||||||||||||||||||||||||||||||
9/30/19 |
12.98 | 0.10 | (0.51 | ) | (0.41 | ) | (0.11 | ) | (0.46 | ) | (0.57 | ) | 12.00 | (2.63 | %) | 94,827 | 1.03 | % | 1.02 | % | 0.89 | % | ||||||||||||||||||||||||||||||
Service Class |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.12 | $ | 0.13 | $ | 1.10 | $ | 1.23 | $ | (0.08 | ) | $ | (0.36 | ) | $ | (0.44 | ) | $ | 7.91 | 17.26 | % | $ | 3,485 | 1.30 | % | 1.25 | % | 1.60 | % | |||||||||||||||||||||||
9/30/22 |
10.05 | 0.12 | (1.85 | ) | (1.73 | ) | (0.18 | ) | (1.02 | ) | (1.20 | ) | 7.12 | (19.52 | %) | 2,624 | 1.29 | % | 1.24 | % | 1.35 | % | ||||||||||||||||||||||||||||||
9/30/21 |
13.04 | 0.12 | 1.84 | 1.96 | (0.01 | ) | (4.94 | ) | (4.95 | ) | 10.05 | 17.72 | % | 3,469 | 1.22 | % | 1.20 | % | 1.16 | % | ||||||||||||||||||||||||||||||||
9/30/20 |
11.97 | 0.00 | d | 1.54 | 1.54 | (0.10 | ) | (0.37 | ) | (0.47 | ) | 13.04 | 12.94 | % | 4,524 | 1.22 | % | 1.20 | % | 0.00 | %e | |||||||||||||||||||||||||||||||
9/30/19 |
12.94 | 0.07 | (0.49 | ) | (0.42 | ) | (0.09 | ) | (0.46 | ) | (0.55 | ) | 11.97 | (2.74 | %) | 9,393 | 1.13 | % | 1.12 | % | 0.60 | % | ||||||||||||||||||||||||||||||
Administrative Class |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.05 | $ | 0.11 | $ | 1.10 | $ | 1.21 | $ | (0.07 | ) | $ | (0.36 | ) | $ | (0.43 | ) | $ | 7.83 | 17.21 | % | $ | 1,890 | 1.40 | % | 1.35 | % | 1.38 | % | |||||||||||||||||||||||
9/30/22 |
9.96 | 0.11 | (1.83 | ) | (1.72 | ) | (0.17 | ) | (1.02 | ) | (1.19 | ) | 7.05 | (19.60 | %) | 2,273 | 1.39 | % | 1.34 | % | 1.26 | % | ||||||||||||||||||||||||||||||
9/30/21 |
12.97 | 0.11 | 1.82 | 1.93 | — | (4.94 | ) | (4.94 | ) | 9.96 | 17.59 | % | 2,436 | 1.32 | % | 1.30 | % | 1.03 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
11.91 | (0.00 | )d | 1.52 | 1.52 | (0.09 | ) | (0.37 | ) | (0.46 | ) | 12.97 | 12.81 | % | 3,565 | 1.32 | % | 1.30 | % | (0.02 | %) | |||||||||||||||||||||||||||||||
9/30/19 |
12.87 | 0.08 | (0.51 | ) | (0.43 | ) | (0.07 | ) | (0.46 | ) | (0.53 | ) | 11.91 | (2.77 | %) | 5,465 | 1.23 | % | 1.22 | % | 0.65 | % | ||||||||||||||||||||||||||||||
Class R4 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 6.55 | $ | 0.08 | $ | 1.03 | $ | 1.11 | $ | (0.05 | ) | $ | (0.36 | ) | $ | (0.41 | ) | $ | 7.25 | 16.89 | % | $ | 537 | 1.55 | % | 1.50 | % | 1.14 | % | |||||||||||||||||||||||
9/30/22 |
9.33 | 0.08 | (1.69 | ) | (1.61 | ) | (0.15 | ) | (1.02 | ) | (1.17 | ) | 6.55 | (19.69 | %) | 711 | 1.53 | % | 1.48 | % | 0.93 | % | ||||||||||||||||||||||||||||||
9/30/21 |
12.45 | 0.09 | 1.73 | 1.82 | — | (4.94 | ) | (4.94 | ) | 9.33 | 17.41 | % | 1,639 | 1.47 | % | 1.45 | % | 0.88 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
11.43 | (0.04 | ) | 1.48 | 1.44 | (0.05 | ) | (0.37 | ) | (0.42 | ) | 12.45 | 12.70 | % | 1,951 | 1.47 | % | 1.45 | % | (0.31 | %) | |||||||||||||||||||||||||||||||
9/30/19 |
12.38 | 0.05 | (0.48 | ) | (0.43 | ) | (0.06 | ) | (0.46 | ) | (0.52 | ) | 11.43 | (2.95 | %) | 4,895 | 1.38 | % | 1.37 | % | 0.48 | % | ||||||||||||||||||||||||||||||
Class A |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 6.65 | $ | 0.09 | $ | 1.03 | $ | 1.12 | $ | (0.05 | ) | $ | (0.36 | ) | $ | (0.41 | ) | $ | 7.36 | 16.87 | % | $ | 9,847 | 1.65 | % | 1.60 | % | 1.14 | % | |||||||||||||||||||||||
9/30/22 |
9.45 | 0.08 | (1.72 | ) | (1.64 | ) | (0.14 | ) | (1.02 | ) | (1.16 | ) | 6.65 | (19.79 | %) | 9,014 | 1.64 | % | 1.59 | % | 0.95 | % | ||||||||||||||||||||||||||||||
9/30/21 |
12.56 | 0.08 | 1.75 | 1.83 | — | (4.94 | ) | (4.94 | ) | 9.45 | 17.30 | % | 13,793 | 1.57 | % | 1.55 | % | 0.82 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
11.54 | (0.03 | ) | 1.48 | 1.45 | (0.06 | ) | (0.37 | ) | (0.43 | ) | 12.56 | 12.61 | % | 18,670 | 1.57 | % | 1.55 | % | (0.22 | %) | |||||||||||||||||||||||||||||||
9/30/19 |
12.49 | 0.05 | (0.50 | ) | (0.45 | ) | (0.04 | ) | (0.46 | ) | (0.50 | ) | 11.54 | (3.09 | %) | 22,004 | 1.48 | % | 1.47 | % | 0.46 | % | ||||||||||||||||||||||||||||||
Class R3 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 6.46 | $ | 0.08 | $ | 1.00 | $ | 1.08 | $ | (0.05 | ) | (0.36 | ) | $ | (0.41 | ) | $ | 7.13 | 16.65 | % | $ | 2,231 | 1.80 | % | 1.75 | % | 1.03 | % | ||||||||||||||||||||||||
9/30/22 |
9.22 | 0.07 | (1.67 | ) | (1.60 | ) | (0.14 | ) | (1.02 | ) | (1.16 | ) | 6.46 | (19.87 | %) | 2,060 | 1.79 | % | 1.74 | % | 0.89 | % | ||||||||||||||||||||||||||||||
9/30/21 |
12.38 | 0.07 | 1.71 | 1.78 | — | (4.94 | ) | (4.94 | ) | 9.22 | 17.07 | % | 2,294 | 1.72 | % | 1.70 | % | 0.74 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
11.38 | (0.06 | ) | 1.47 | 1.41 | (0.04 | ) | (0.37 | ) | (0.41 | ) | 12.38 | 12.42 | % | 2,427 | 1.72 | % | 1.70 | % | (0.49 | %) | |||||||||||||||||||||||||||||||
9/30/19 |
12.34 | 0.02 | (0.48 | ) | (0.46 | ) | (0.04 | ) | (0.46 | ) | (0.50 | ) | 11.38 | (3.24 | %) | 5,415 | 1.63 | % | 1.62 | % | 0.21 | % | ||||||||||||||||||||||||||||||
Class Y |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23g |
$ | 8.27 | $ | 0.12 | $ | (0.45 | )aa | $ | (0.33 | ) | $ | — | $ | — | $ | — | $ | 7.94 | (3.99 | %)b | $ | 96 | 1.20 | %a | 1.15 | %a | 2.27 | %a |
Year Ended September 30 | |||||
2023 |
2022 |
2021 |
2020 |
2019 |
|
Portfolio turnover rate |
20% |
22% |
30% |
106% |
52% |
a |
Annualized. |
b |
Percentage represents the results for the period and is not annualized. |
c |
Per share amount calculated on the average shares method. |
d |
Amount is less than $0.005 per share. |
e |
Amount is less than 0.005%. |
g |
For the period February 1, 2023 (commencement of operations) through September 30, 2023. |
j |
Computed after giving effect to an agreement by MML Advisers to waive certain fees and expenses of the Fund. |
l |
Employee retirement benefit plans that invest plan assets in the Separate Investment Accounts (SIAs) may be subject to certain charges as set forth in their respective Plan Documents. Total return figures would be lower for the periods presented if they reflected these charges. |
m |
Total return excludes sales charges, if any, and would be lower for the period presented if it reflected these charges. |
aa |
The amount shown for a share outstanding does not correspond with the aggregate net realized and unrealized gain (loss) for the period due to the timing of purchases and redemptions of Fund shares in relation to the fluctuating market values of the Fund. |
– 139 – |
MASSMUTUAL STRATEGIC EMERGING MARKETS FUND
Income
(loss) from investment |
Less distributions to shareholders |
Ratios / Supplemental Data |
||||||||||||||||||||||||||||||||||||||||||||||||||
Net
|
Net
|
Net
|
Total
|
From
net |
From
net |
Total
|
Net
|
Total
|
Net
|
Ratio
of |
Ratio
of |
Net
|
||||||||||||||||||||||||||||||||||||||||
Class I |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.22 | $ | 0.07 | $ | 1.11 | $ | 1.18 | $ | (0.04 | ) | $ | — | $ | (0.04 | ) | $ | 9.36 | 14.31 | % | $ | 98,677 | 1.38 | % | 1.15 | % | 0.70 | % | ||||||||||||||||||||||||
9/30/22 |
14.93 | 0.05 | (4.73 | ) | (4.68 | ) | (0.20 | ) | (1.83 | ) | (2.03 | ) | 8.22 | (35.67 | %) | 105,253 | 1.35 | % | 1.15 | % | 0.43 | % | ||||||||||||||||||||||||||||||
9/30/21 |
13.23 | 0.04 | 1.88 | 1.92 | — | (0.22 | ) | (0.22 | ) | 14.93 | 14.53 | % | 156,998 | 1.22 | % | 1.15 | % | 0.25 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
13.02 | 0.02 | 1.33 | 1.35 | (0.08 | ) | (1.06 | ) | (1.14 | ) | 13.23 | 10.33 | % | 169,366 | 1.27 | % | 1.15 | % | 0.12 | % | ||||||||||||||||||||||||||||||||
9/30/19 |
12.75 | 0.07 | 0.28 | 0.35 | (0.08 | ) | — | (0.08 | ) | 13.02 | 2.85 | % | 141,988 | 1.21 | % | 1.10 | % | 0.55 | % | |||||||||||||||||||||||||||||||||
Class R5 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.36 | $ | 0.06 | $ | 1.13 | $ | 1.19 | $ | — | $ | — | $ | — | $ | 9.55 | 14.23 | % | $ | 267 | 1.48 | % | 1.25 | % | 0.60 | % | ||||||||||||||||||||||||||
9/30/22 |
15.14 | 0.03 | (4.80 | ) | (4.77 | ) | (0.18 | ) | (1.83 | ) | (2.01 | ) | 8.36 | (35.72 | %) | 225 | 1.45 | % | 1.23 | % | 0.25 | % | ||||||||||||||||||||||||||||||
9/30/21 |
13.43 | 0.03 | 1.90 | 1.93 | — | (0.22 | ) | (0.22 | ) | 15.14 | 14.38 | % | 2,703 | 1.32 | % | 1.25 | % | 0.16 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
13.20 | 0.00 | d | 1.35 | 1.35 | (0.06 | ) | (1.06 | ) | (1.12 | ) | 13.43 | 10.23 | % | 3,165 | 1.37 | % | 1.25 | % | 0.02 | % | |||||||||||||||||||||||||||||||
9/30/19 |
12.92 | 0.06 | 0.29 | 0.35 | (0.07 | ) | — | (0.07 | ) | 13.20 | 2.78 | % | 4,295 | 1.31 | % | 1.22 | % | 0.45 | % | |||||||||||||||||||||||||||||||||
Service Class |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.22 | $ | 0.05 | $ | 1.10 | $ | 1.15 | $ | (0.01 | ) | $ | — | $ | (0.01 | ) | $ | 9.36 | 14.04 | % | $ | 1,364 | 1.58 | % | 1.35 | % | 0.49 | % | ||||||||||||||||||||||||
9/30/22 |
14.93 | 0.02 | (4.73 | ) | (4.71 | ) | (0.17 | ) | (1.83 | ) | (2.00 | ) | 8.22 | (35.83 | %) | 1,346 | 1.55 | % | 1.35 | % | 0.22 | % | ||||||||||||||||||||||||||||||
9/30/21 |
13.25 | 0.01 | 1.89 | 1.90 | — | (0.22 | ) | (0.22 | ) | 14.93 | 14.35 | % | 2,216 | 1.42 | % | 1.35 | % | 0.05 | % | |||||||||||||||||||||||||||||||||
9/30/20 |
13.05 | (0.01 | ) | 1.33 | 1.32 | (0.06 | ) | (1.06 | ) | (1.12 | ) | 13.25 | 10.12 | % | 2,473 | 1.47 | % | 1.35 | % | (0.05 | %) | |||||||||||||||||||||||||||||||
9/30/19 |
12.73 | 0.05 | 0.29 | 0.34 | (0.02 | ) | — | (0.02 | ) | 13.05 | 2.71 | % | 419 | 1.41 | % | 1.31 | % | 0.42 | % | |||||||||||||||||||||||||||||||||
Administrative Class |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.24 | $ | 0.04 | $ | 1.11 | $ | 1.15 | $ | (0.00 | )d | $ | — | $ | (0.00 | )d | $ | 9.39 | 13.99 | % | $ | 287 | 1.68 | % | 1.45 | % | 0.41 | % | ||||||||||||||||||||||||
9/30/22 |
14.96 | (0.01 | )bb | (4.72 | ) | (4.73 | ) | (0.16 | ) | (1.83 | ) | (1.99 | ) | 8.24 | (35.90 | %) | 233 | 1.65 | % | 1.45 | % | (0.06 | %) | |||||||||||||||||||||||||||||
9/30/21 |
13.29 | (0.01 | ) | 1.90 | 1.89 | — | (0.22 | ) | (0.22 | ) | 14.96 | 14.23 | % | 1,017 | 1.52 | % | 1.45 | % | (0.03 | %) | ||||||||||||||||||||||||||||||||
9/30/20 |
13.08 | (0.02 | ) | 1.33 | 1.31 | (0.04 | ) | (1.06 | ) | (1.10 | ) | 13.29 | 9.96 | % | 989 | 1.57 | % | 1.45 | % | (0.16 | %) | |||||||||||||||||||||||||||||||
9/30/19 |
12.78 | 0.03 | 0.30 | 0.33 | (0.03 | ) | — | (0.03 | ) | 13.08 | 2.61 | % | 927 | 1.51 | % | 1.41 | % | 0.24 | % | |||||||||||||||||||||||||||||||||
Class R4 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.13 | $ | 0.02 | $ | 1.11 | $ | 1.13 | $ | — | $ | — | $ | — | $ | 9.26 | 13.90 | % | $ | 379 | 1.83 | % | 1.60 | % | 0.25 | % | ||||||||||||||||||||||||||
9/30/22 |
14.71 | (0.00 | )d,bb | (4.69 | ) | (4.69 | ) | (0.06 | ) | (1.83 | ) | (1.89 | ) | 8.13 | (35.99 | %) | 307 | 1.80 | % | 1.60 | % | (0.02 | %) | |||||||||||||||||||||||||||||
9/30/21 |
13.10 | (0.05 | ) | 1.88 | 1.83 | — | (0.22 | ) | (0.22 | ) | 14.71 | 13.98 | % | 443 | 1.67 | % | 1.60 | % | (0.32 | %) | ||||||||||||||||||||||||||||||||
9/30/20 |
12.90 | (0.04 | ) | 1.32 | 1.28 | (0.02 | ) | (1.06 | ) | (1.08 | ) | 13.10 | 9.84 | % | 1,237 | 1.72 | % | 1.60 | % | (0.30 | %) | |||||||||||||||||||||||||||||||
9/30/19 |
12.63 | 0.01 | 0.29 | 0.30 | (0.03 | ) | — | (0.03 | ) | 12.90 | 2.38 | % | 1,337 | 1.66 | % | 1.57 | % | 0.05 | % | |||||||||||||||||||||||||||||||||
Class A |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.21 | $ | 0.01 | $ | 1.11 | $ | 1.12 | $ | — | $ | — | $ | — | $ | 9.33 | 13.64 | % | $ | 153 | 1.93 | % | 1.70 | % | 0.15 | % | ||||||||||||||||||||||||||
9/30/22 |
14.77 | (0.02 | )bb | (4.71 | ) | (4.73 | ) | — | (1.83 | ) | (1.83 | ) | 8.21 | (35.99 | %) | 140 | 1.90 | % | 1.68 | % | (0.15 | %) | ||||||||||||||||||||||||||||||
9/30/21 |
13.17 | (0.06 | ) | 1.88 | 1.82 | — | (0.22 | ) | (0.22 | ) | 14.77 | 13.83 | % | 635 | 1.77 | % | 1.70 | % | (0.36 | %) | ||||||||||||||||||||||||||||||||
9/30/20 |
12.98 | (0.05 | ) | 1.32 | 1.27 | (0.02 | ) | (1.06 | ) | (1.08 | ) | 13.17 | 9.75 | % | 2,029 | 1.82 | % | 1.70 | % | (0.42 | %) | |||||||||||||||||||||||||||||||
9/30/19 |
12.73 | 0.01 | 0.28 | 0.29 | (0.04 | ) | — | (0.04 | ) | 12.98 | 2.32 | % | 885 | 1.76 | % | 1.68 | % | 0.09 | % | |||||||||||||||||||||||||||||||||
Class R3 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.03 | $ | 0.00 | d | $ | 1.08 | $ | 1.08 | $ | — | $ | — | $ | — | $ | 9.11 | 13.45 | % | $ | 493 | 2.08 | % | 1.85 | % | 0.01 | % | |||||||||||||||||||||||||
9/30/22 |
14.62 | (0.03 | )bb | (4.64 | ) | (4.67 | ) | (0.09 | ) | (1.83 | ) | (1.92 | ) | 8.03 | (36.15 | %) | 546 | 2.05 | % | 1.85 | % | (0.29 | %) | |||||||||||||||||||||||||||||
9/30/21 |
13.05 | (0.06 | ) | 1.85 | 1.79 | — | (0.22 | ) | (0.22 | ) | 14.62 | 13.72 | % | 1,120 | 1.92 | % | 1.85 | % | (0.42 | %) | ||||||||||||||||||||||||||||||||
9/30/20 |
12.87 | (0.07 | ) | 1.31 | 1.24 | (0.00 | )d | (1.06 | ) | (1.06 | ) | 13.05 | 9.57 | % | 992 | 1.97 | % | 1.85 | % | (0.58 | %) | |||||||||||||||||||||||||||||||
9/30/19 |
12.60 | (0.02 | ) | 0.29 | 0.27 | — | — | — | 12.87 | 2.14 | % | 750 | 1.91 | % | 1.81 | % | (0.15 | %) |
Year Ended September 30 | |||||
2023 |
2022 |
2021 |
2020 |
2019 |
|
Portfolio turnover rate |
38% |
55% |
48% |
71% |
32% |
c |
Per share amount calculated on the average shares method. |
d |
Amount is less than $0.005 per share. |
j |
Computed after giving effect to an agreement by MML Advisers to waive certain fees and expenses of the Fund. |
l |
Employee retirement benefit plans that invest plan assets in the Separate Investment Accounts (SIAs) may be subject to certain charges as set forth in their respective Plan Documents. Total return figures would be lower for the periods presented if they reflected these charges. |
m |
Total return excludes sales charges, if any, and would be lower for the period presented if it reflected these charges. |
bb |
The amount shown for a share outstanding does not correspond with the aggregate net investment income (loss) as shown on the Statement of Operations for the period due to the timing of class-specific expenses. |
– 140 – |
Fund Name
|
| |
Class I
|
| |
Class R5
|
| |
Service
Class |
| |
Administrative
Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class
Y |
| |
Class
L |
| |
Class
C |
|
MassMutual Short-Duration Bond Fund
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
MassMutual High Yield Fund | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| | | | |
|
|
| | |
Page |
| |||
About the Funds | | ||||||
| | | | 3 | | | |
| | | | 12 | | | |
| | |
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| | |
|
| | ||
| | |
|
| | ||
| | |
|
| | ||
| | | | 40 | | | |
| | | | 40 | | | |
| | |
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| | |
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| | |
|
| | ||
| | |
|
| | ||
| | |
|
| |
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Admini-
strative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
| |
Class L(1)
|
| |
Class C |
|
Maximum Sales Charge (Load) Imposed on Purchases
(as a % of offering price) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Maximum Deferred Sales Charge (Load) (as a % of
the lower of the original offering price or redemption proceeds) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Admini-
strative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y |
| |
Class L |
| |
Class C |
|
Management Fees | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Distribution and Service (Rule 12b-1) Fees
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Other Expenses(1) | | |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Total Annual Fund Operating Expenses |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
Expense Reimbursement | | |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
| |
( |
|
Total Annual Fund Operating Expenses after Expense
Reimbursement(2) |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class I | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R5 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Service Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Administrative Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R4 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class A | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R3 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class Y | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class L | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class C | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| | |
1 Year |
| |
3 Years |
| |
5 Years |
| |
10 Years |
|
Class C | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
| Quarter: |
| |
, |
| | | | | | | Quarter: |
| |
,
|
| |
– |
|
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Class R5
|
| | |
Return Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
| Return After Taxes on Distributions | | | | | | % | | | | | | | - |
% | | | | | | | % | | | |||||
| Return After Taxes on Distributions and Sales of Fund Shares | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
Class I | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Service
Class |
| | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Admini‑
strative Class |
| | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R4 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class A | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R3 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class Y | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class L | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class C | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Bloomberg U.S. Aggregate 1-3 Year Bond Index fees, expenses, or taxes) |
| | | | | % | | | | | | | % | | | | | | | % | | |
Purchase Minimums* |
| |||||||||||||||
| | | | | |
Class A |
| |
Class Y |
| |
Class L |
| |
Class C |
|
Initial Investment |
| |
$1,000 |
| |
$100,000 |
| |
$1,000 |
| |
$1,000 |
| |||
Subsequent Investment |
| |
$250 |
| |
$250 |
| |
$250 |
| |
$250 |
|
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Class I
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Class R5
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Service Class |
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Admini-
strative Class |
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Class R4
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Class A
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Class R3
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Class Y |
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Class C |
|
Maximum Sales Charge (Load) Imposed on Purchases
(as a % of offering price) |
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Maximum Deferred Sales Charge (Load) (as a % of
the lower of the original offering price or redemption proceeds) |
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Class I
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Class R5
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Service Class |
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Adminis- trative Class |
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Class R4
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Class A
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Class R3
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Class Y |
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Class C |
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Management Fees | | |
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Distribution and Service (Rule 12b-1) Fees
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Other Expenses(1) | | |
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Total Annual Fund Operating Expenses |
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Expense Reimbursement | | |
( |
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( |
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( |
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( |
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( |
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( |
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( |
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( |
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( |
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Total Annual Fund Operating Expenses after Expense
Reimbursement(2) |
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1 Year |
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3 Years |
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5 Years |
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10 Years |
|
Class I | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R5 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Service Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Administrative Class | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R4 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class A | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class R3 | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class Y | | |
$ |
| |
$ |
| |
$ |
| |
$ |
|
Class C | | |
$ |
| |
$ |
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$ |
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$ |
|
| | |
1 Year |
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3 Years |
| |
5 Years |
| |
10 Years |
|
Class C | | |
$ |
| |
$ |
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$ |
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$ |
|
| Quarter: |
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, |
| | | | | | | Quarter: |
| |
,
|
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– |
|
| | | | | | | |
One Year |
| | |
Five Years |
| | |
Ten Years |
| ||||||||||||
Service Class |
| | |
Return Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
| Return After Taxes on Distributions | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
| Return After Taxes on Distributions and Sales of Fund Shares | | | | | | % | | | | | | | % | | | | | | | % | | | ||||||
Class I | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R5 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Admini‑
strative Class |
| | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R4 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class A | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class R3 | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class Y | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Class C | | | | Return
Before Taxes |
| | | | | % | | | | | | | % | | | | | | | % | | | |||
Bloomberg U.S. Corporate High-Yield Bond Index deduction for fees, expenses, or taxes) |
| | | | | % | | | | | | | % | | | | | | | % | | |
Purchase Minimums* |
| |||||||||||||||
| | | | | | | | |
Class A |
| |
Class Y |
| |
Class C |
|
Initial Investment |
| |
$1,000 |
| |
$100,000 |
| |
$1,000 |
| ||||||
Subsequent Investment |
| |
$250 |
| |
$250 |
| |
$250 |
|
Yulia Alekseeva, CFA |
|
Stephen Ehrenberg, CFA |
|
Sean Feeley, CFA |
|
Natalia Krol |
|
Omotunde Lawal, CFA |
|
Scott Roth, CFA |
|
Charles Sanford |
|
Douglas Trevallion, II, CFA |
|
Price Breakpoints |
| |
General Equity |
| |
General Taxable Bond |
| |
Shorter- Term Bond |
| |
Municipal Bond |
| ||||||||||||||||
Less than $25,000 | | | | | 5.50 | %/ | | | | | | 4.25 | %/ | | | | | | 2.50 | %/ | | | | | | 2.50 | %/ | | |
| | | | | 5.82 | %/ | | | | | | 4.44 | %/ | | | | | | 2.56 | %/ | | | | | | 2.56 | %/ | | |
| | | | | 4.50 | % | | | | | | 3.50 | % | | | | | | 2.00 | % | | | | | | 2.00 | % | | |
$25,000 – $49,999 | | | | | 5.25 | %/ | | | | | | 4.25 | %/ | | | | | | 2.25 | %/ | | | | | | 2.25 | %/ | | |
| | | | | 5.54 | %/ | | | | | | 4.44 | %/ | | | | | | 2.30 | %/ | | | | | | 2.30 | %/ | | |
| | | | | 4.25 | % | | | | | | 3.50 | % | | | | | | 1.75 | % | | | | | | 1.75 | % | | |
$50,000 – $99,999 | | | | | 4.50 | %/ | | | | | | 4.00 | %/ | | | | | | 2.00 | %/ | | | | | | 2.00 | %/ | | |
| | | | | 4.71 | %/ | | | | | | 4.17 | %/ | | | | | | 2.04 | %/ | | | | | | 2.04 | %/ | | |
| | | | | 3.50 | % | | | | | | 3.25 | % | | | | | | 1.50 | % | | | | | | 1.50 | % | | |
$100,000 – $249,999 | | | | | 3.50 | %/ | | | | | | 3.00 | %/ | | | | | | 1.75 | %/ | | | | | | 1.75 | %/ | | |
| | | | | 3.63 | %/ | | | | | | 3.09 | %/ | | | | | | 1.78 | %/ | | | | | | 1.78 | %/ | | |
| | | | | 2.50 | % | | | | | | 2.25 | % | | | | | | 1.25 | % | | | | | | 1.25 | % | | |
$250,000 – $499,999 | | | | | 2.25 | %/ | | | | | | 1.75 | %/ | | | | | | 1.50 | %/ | | | | | | None | / | | |
Price Breakpoints |
| |
General Equity |
| |
General Taxable Bond |
| |
Shorter- Term Bond |
| |
Municipal Bond |
| ||||||||||||||||
| | | | | 2.30 | %/ | | | | | | 1.78 | %/ | | | | | | 1.52 | %/ | | | | | | None | / | | |
| | | | | 1.75 | % | | | | | | 1.50 | % | | | | | | 1.00 | % | | | | | | 1.00 | % | | |
$500,000 – $999,999 | | | | | 1.75 | %/ | | | | | | 1.25 | %/ | | | | | | 1.25 | %/ | | | | | | None | / | | |
| | | | | 1.78 | %/ | | | | | | 1.27 | %/ | | | | | | 1.27 | %/ | | | | | | None | / | | |
| | | | | 1.10 | % | | | | | | 1.00 | % | | | | | | 1.00 | % | | | | | | 1.00 | % | | |
$1,000,000 – $4,999,999 | | | | | None | / | | | | | | None | / | | | | | | None | / | | | | | | None | / | | |
| | | | | None | / | | | | | | None | / | | | | | | None | / | | | | | | None | / | | |
| | | | | 1.00 | % | | | | | | 1.00 | % | | | | | | 0.50 | % | | | | | | 1.00 | % | | |
$5,000,000 or more | | | | | None | / | | | | | | None | / | | | | | | None | / | | | | | | None | / | | |
| | | | | None | / | | | | | | None | / | | | | | | None | / | | | | | | None | / | | |
| | | | | 0.50 | % | | | | | | 0.50 | % | | | | | | 0.50 | % | | | | | | 0.50 | % | | |
Method |
| |
Instructions |
|
Through your financial intermediary | | | Your financial intermediary can help you establish your account and buy shares on your behalf. To receive the current trading day’s price, your financial intermediary must receive your request in good order prior to the close of regular trading on the New York Stock Exchange, usually 4:00 p.m., Eastern time. Your financial intermediary may charge you fees for executing the purchase for you. | |
Method |
| |
Instructions |
|
By exchange | | | You or your financial intermediary may acquire shares of a Fund for your account by exchanging shares you own in certain other funds advised by MML Advisers for shares of the same class of a Fund, subject to the conditions described in “Exchanges” above. In addition, you or your financial intermediary may exchange shares of a class of a Fund you own for shares of a different class of the same Fund, subject to the conditions described in “Exchanges.” To exchange, send written instructions to the applicable Fund, at the address noted below(1) or call 1-855-439-5459. | |
By wire | | |
You may purchase shares of a Fund by wiring money from your bank account to your Fund account.
Prior to sending wire transfers, please contact Shareholder Services at 1-855-439-5459 for specific wiring instructions and to facilitate
prompt and accurate credit upon receipt of your wire.
To receive the current trading day’s price, your wire, along with
a valid account number, must be received in your Fund account prior to the close of regular trading on the New York Stock Exchange, usually
4:00 p.m., Eastern time.
If your initial purchase of shares is by wire, you must first complete
a new account application and promptly mail it to MassMutual Premier Funds – (Fund Name), at the address noted below.(1)
After completing a new account application, please call 1-855-439-5459 to obtain your account number. Please include your account number
on the wire. |
|
By electronic funds transfer via an automated clearing house (“ACH”) transaction(2) | | | You may purchase shares of a Fund by electronically transferring money from your bank account to your Fund account by calling 1-855-439-5459. An electronic funds transfer may take up to two business days to settle and be considered in good order. You must set up this feature prior to your telephone request. Be sure to complete the appropriate section of the application. | |
By check | | | To purchase shares of a Fund by check, make your check payable to ‘MassMutual Premier Funds’. Your checks should include the fund name which you would like to purchase along with your account number (if previously established). Your request should be mailed to the address listed below.(1) The Funds will accept purchases only in U.S. dollars drawn from U.S. financial institutions. Cashier’s checks, third party checks, money orders, credit card convenience checks, cash or equivalents, or payments in foreign currencies are not acceptable forms of payment. | |
Financial Highlights
The financial highlights tables are intended to help you understand the Funds’ financial performance for the past 5 years (or shorter periods for newer Funds). Certain information reflects financial results for a single Fund share. The total returns in the tables represent the rate that an investor would have earned on an investment in the Fund (assuming reinvestment of all dividends and distributions). This information has been audited by Deloitte & Touche LLP, an independent registered public accounting firm, whose report, along with each Fund’s financial statements, are included in the Trust’s Annual Report, and are incorporated by reference into the SAI, and are available upon request.
MASSMUTUAL SHORT-DURATION BOND FUND
Income
(loss) from investment |
Less distributions to shareholders |
Ratios / Supplemental Data |
||||||||||||||||||||||||||||||||||||||||||||||||||||||
Net
|
Net
|
Net
|
Total
|
From
net |
From
net |
Tax
|
Total
|
Net
|
Total
|
Net
|
Ratio
of |
Ratio
of |
Net
|
|||||||||||||||||||||||||||||||||||||||||||
Class I |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.67 | $ | 0.30 | $ | 0.04 | aa | $ | 0.34 | $ | (0.33 | ) | $ | — | $ | (0.00 | )d | $ | (0.33 | ) | $ | 8.68 | 3.96 | % | $ | 77,614 | 0.70 | % | 0.46 | % | 3.47 | % | ||||||||||||||||||||||||
9/30/22 |
10.10 | 0.20 | (1.19 | ) | (0.99 | ) | (0.44 | ) | — | — | (0.44 | ) | 8.67 | (10.11 | %) | 131,484 | 0.40 | % | 0.39 | % | 2.08 | % | ||||||||||||||||||||||||||||||||||
9/30/21 |
10.09 | 0.24 | 0.22 | 0.46 | (0.45 | ) | — | — | (0.45 | ) | 10.10 | 4.69 | % | 211,826 | 0.44 | % | N/A | 2.41 | % | |||||||||||||||||||||||||||||||||||||
9/30/20 |
10.31 | 0.34 | (0.21 | ) | 0.13 | (0.35 | ) | — | — | (0.35 | ) | 10.09 | 1.26 | % | 189,805 | 0.42 | % | N/A | 3.41 | % | ||||||||||||||||||||||||||||||||||||
9/30/19 |
10.30 | 0.32 | 0.08 | 0.40 | (0.39 | ) | — | — | (0.39 | ) | 10.31 | 4.05 | % | 204,282 | 0.43 | % | N/A | 3.13 | % | |||||||||||||||||||||||||||||||||||||
Class R5 |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.70 | $ | 0.27 | $ | 0.05 | aa | $ | 0.32 | $ | (0.30 | ) | $ | — | $ | (0.00 | )d | $ | (0.30 | ) | $ | 8.72 | 3.71 | % | $ | 11,359 | 0.82 | % | N/A | 3.09 | % | |||||||||||||||||||||||||
9/30/22 |
10.13 | 0.19 | (1.20 | ) | (1.01 | ) | (0.42 | ) | — | — | (0.42 | ) | 8.70 | (10.26 | %) | 30,546 | 0.50 | % | N/A | 1.95 | % | |||||||||||||||||||||||||||||||||||
9/30/21 |
10.12 | 0.24 | 0.21 | 0.45 | (0.44 | ) | — | — | (0.44 | ) | 10.13 | 4.56 | % | 66,938 | 0.54 | % | N/A | 2.34 | % | |||||||||||||||||||||||||||||||||||||
9/30/20 |
10.34 | 0.33 | (0.21 | ) | 0.12 | (0.34 | ) | — | — | (0.34 | ) | 10.12 | 1.15 | % | 110,813 | 0.52 | % | N/A | 3.31 | % | ||||||||||||||||||||||||||||||||||||
9/30/19 |
10.33 | 0.31 | 0.08 | 0.39 | (0.38 | ) | — | — | (0.38 | ) | 10.34 | 3.92 | % | 158,895 | 0.53 | % | N/A | 3.03 | % | |||||||||||||||||||||||||||||||||||||
Service Class |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.65 | $ | 0.26 | $ | 0.03 | aa | $ | 0.29 | $ | (0.29 | ) | $ | — | $ | (0.00 | )d | $ | (0.29 | ) | $ | 8.65 | 3.37 | % | $ | 3,437 | 0.91 | % | N/A | 3.02 | % | |||||||||||||||||||||||||
9/30/22 |
10.06 | 0.17 | (1.18 | ) | (1.01 | ) | (0.40 | ) | — | — | (0.40 | ) | 8.65 | (10.30 | %) | 2,981 | 0.62 | % | N/A | 1.82 | % | |||||||||||||||||||||||||||||||||||
9/30/21 |
10.04 | 0.23 | 0.21 | 0.44 | (0.42 | ) | — | — | (0.42 | ) | 10.06 | 4.51 | % | 16,282 | 0.64 | % | N/A | 2.25 | % | |||||||||||||||||||||||||||||||||||||
9/30/20 |
10.26 | 0.32 | (0.22 | ) | 0.10 | (0.32 | ) | — | — | (0.32 | ) | 10.04 | 1.00 | % | 38,559 | 0.62 | % | N/A | 3.19 | % | ||||||||||||||||||||||||||||||||||||
9/30/19 |
10.25 | 0.30 | 0.08 | 0.38 | (0.37 | ) | — | — | (0.37 | ) | 10.26 | 3.82 | % | 51,201 | 0.63 | % | N/A | 2.92 | % | |||||||||||||||||||||||||||||||||||||
Administrative Class |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.62 | $ | 0.25 | $ | 0.04 | aa | $ | 0.29 | $ | (0.28 | ) | $ | — | $ | (0.00 | )d | $ | (0.28 | ) | $ | 8.63 | 3.39 | % | $ | 11,719 | 1.01 | % | N/A | 2.96 | % | |||||||||||||||||||||||||
9/30/22 |
10.01 | 0.17 | (1.18 | ) | (1.01 | ) | (0.38 | ) | — | — | (0.38 | ) | 8.62 | (10.38 | %) | 10,582 | 0.70 | % | N/A | 1.78 | % | |||||||||||||||||||||||||||||||||||
9/30/21 |
10.00 | 0.21 | 0.22 | 0.43 | (0.42 | ) | — | — | (0.42 | ) | 10.01 | 4.40 | % | 16,920 | 0.74 | % | N/A | 2.16 | % | |||||||||||||||||||||||||||||||||||||
9/30/20 |
10.22 | 0.31 | (0.21 | ) | 0.10 | (0.32 | ) | — | — | (0.32 | ) | 10.00 | 0.94 | % | 27,628 | 0.72 | % | N/A | 3.12 | % | ||||||||||||||||||||||||||||||||||||
9/30/19 |
10.21 | 0.29 | 0.08 | 0.37 | (0.36 | ) | — | — | (0.36 | ) | 10.22 | 3.76 | % | 31,270 | 0.73 | % | N/A | 2.83 | % | |||||||||||||||||||||||||||||||||||||
Class R4 |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.69 | $ | 0.23 | $ | 0.04 | aa | $ | 0.27 | $ | (0.27 | ) | $ | — | $ | (0.00 | )d | $ | (0.27 | ) | $ | 8.69 | 3.11 | % | $ | 3,225 | 1.16 | % | N/A | 2.63 | % | |||||||||||||||||||||||||
9/30/22 |
10.07 | 0.15 | (1.18 | ) | (1.03 | ) | (0.35 | ) | — | — | (0.35 | ) | 8.69 | (10.46 | %) | 8,688 | 0.85 | % | N/A | 1.63 | % | |||||||||||||||||||||||||||||||||||
9/30/21 |
10.05 | 0.20 | 0.22 | 0.42 | (0.40 | ) | — | — | (0.40 | ) | 10.07 | 4.30 | % | 11,743 | 0.89 | % | N/A | 1.97 | % | |||||||||||||||||||||||||||||||||||||
9/30/20 |
10.27 | 0.29 | (0.21 | ) | 0.08 | (0.30 | ) | — | — | (0.30 | ) | 10.05 | 0.79 | % | 11,525 | 0.87 | % | N/A | 2.96 | % | ||||||||||||||||||||||||||||||||||||
9/30/19 |
10.26 | 0.27 | 0.08 | 0.35 | (0.34 | ) | — | — | (0.34 | ) | 10.27 | 3.57 | % | 12,494 | 0.88 | % | N/A | 2.67 | % | |||||||||||||||||||||||||||||||||||||
Class A |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.58 | $ | 0.23 | $ | 0.03 | aa | $ | 0.26 | $ | (0.25 | ) | $ | — | $ | (0.00 | )d | $ | (0.25 | ) | $ | 8.59 | 3.13 | % | $ | 6,055 | 1.26 | % | N/A | 2.65 | % | |||||||||||||||||||||||||
9/30/22 |
9.93 | 0.14 | (1.18 | ) | (1.04 | ) | (0.31 | ) | — | — | (0.31 | ) | 8.58 | (10.63 | %) | 7,588 | 0.95 | % | N/A | 1.44 | % | |||||||||||||||||||||||||||||||||||
9/30/21 |
9.92 | 0.19 | 0.21 | 0.40 | (0.39 | ) | — | — | (0.39 | ) | 9.93 | 4.15 | % | 36,186 | 0.99 | % | N/A | 1.90 | % | |||||||||||||||||||||||||||||||||||||
9/30/20 |
10.14 | 0.28 | (0.21 | ) | 0.07 | (0.29 | ) | — | — | (0.29 | ) | 9.92 | 0.71 | % | 41,913 | 0.97 | % | N/A | 2.87 | % | ||||||||||||||||||||||||||||||||||||
9/30/19 |
10.14 | 0.26 | 0.08 | 0.34 | (0.34 | ) | — | — | (0.34 | ) | 10.14 | 3.44 | % | 55,315 | 0.98 | % | N/A | 2.58 | % | |||||||||||||||||||||||||||||||||||||
Class R3 |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.61 | $ | 0.21 | $ | 0.04 | aa | $ | 0.25 | $ | (0.24 | ) | $ | — | $ | (0.00 | )d | $ | (0.24 | ) | $ | 8.62 | 2.98 | % | $ | 6,742 | 1.41 | % | N/A | 2.49 | % | |||||||||||||||||||||||||
9/30/22 |
9.99 | 0.13 | (1.19 | ) | (1.06 | ) | (0.32 | ) | — | — | (0.32 | ) | 8.61 | (10.80 | %) | 7,665 | 1.10 | % | N/A | 1.37 | % | |||||||||||||||||||||||||||||||||||
9/30/21 |
9.98 | 0.17 | 0.22 | 0.39 | (0.38 | ) | — | — | (0.38 | ) | 9.99 | 4.04 | % | 11,652 | 1.14 | % | N/A | 1.70 | % | |||||||||||||||||||||||||||||||||||||
9/30/20 |
10.20 | 0.27 | (0.22 | ) | 0.05 | (0.27 | ) | — | — | (0.27 | ) | 9.98 | 0.53 | % | 7,737 | 1.12 | % | N/A | 2.72 | % | ||||||||||||||||||||||||||||||||||||
9/30/19 |
10.20 | 0.24 | 0.09 | 0.33 | (0.33 | ) | — | — | (0.33 | ) | 10.20 | 3.29 | % | 7,040 | 1.13 | % | N/A | 2.43 | % | |||||||||||||||||||||||||||||||||||||
Class Y |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.68 | $ | 0.30 | $ | 0.04 | aa | $ | 0.34 | $ | (0.33 | ) | $ | — | $ | (0.00 | )d | $ | (0.33 | ) | $ | 8.69 | 3.96 | % | $ | 46,025 | 0.81 | % | 0.46 | % | 3.43 | % | ||||||||||||||||||||||||
9/30/22g |
9.86 | 0.15 | (1.09 | ) | (0.94 | ) | (0.24 | ) | — | — | (0.24 | ) | 8.68 | (9.66 | %)b | 222,385 | 0.48 | %a | 0.40 | %a | 2.05 | %a | ||||||||||||||||||||||||||||||||||
Class L |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.64 | $ | 0.28 | $ | 0.03 | aa | $ | 0.31 | $ | (0.30 | ) | $ | — | $ | (0.00 | )d | $ | (0.30 | ) | $ | 8.65 | 3.70 | % | $ | 45,936 | 1.00 | % | 0.71 | % | 3.22 | % | ||||||||||||||||||||||||
9/30/22g |
9.82 | 0.14 | (1.10 | ) | (0.96 | ) | (0.22 | ) | — | — | (0.22 | ) | 8.64 | (9.87 | %)b | 76,609 | 0.69 | %a | 0.65 | %a | 1.86 | %a | ||||||||||||||||||||||||||||||||||
Class C |
||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 8.71 | $ | 0.26 | $ | 0.04 | aa | $ | 0.30 | $ | (0.29 | ) | $ | — | $ | (0.00 | )d | $ | (0.29 | ) | $ | 8.72 | 3.44 | % | $ | 871 | 1.26 | % | 0.96 | % | 2.95 | % | ||||||||||||||||||||||||
9/30/22g |
9.90 | 0.12 | (1.11 | ) | (0.99 | ) | (0.20 | ) | — | — | (0.20 | ) | 8.71 | (10.07 | %)b | 1,097 | 0.94 | %a | 0.90 | %a | 1.64 | %a |
Year Ended September 30 | |||||
2023 |
2022 |
2021 |
2020 |
2019 |
|
Portfolio turnover rate |
16% |
20% |
72% |
37% |
55% |
a |
Annualized. |
b |
Percentage represents the results for the period and is not annualized. |
c |
Per share amount calculated on the average shares method. |
d |
Amount is less than $0.005 per share. |
g |
For the period December 13, 2021 (commencement of operations) through September 30, 2022. |
j |
Computed after giving effect to an agreement by MML Advisers to waive certain fees and expenses of the Fund. |
l |
Employee retirement benefit plans that invest plan assets in the Separate Investment Accounts (SIAs) may be subject to certain charges as set forth in their respective Plan Documents. Total return figures would be lower for the periods presented if they reflected these charges. |
m |
Total return excludes sales charges, if any, and would be lower for the period presented if it reflected these charges. |
aa |
The amount shown for a share outstanding does not correspond with the aggregate net realized and unrealized gain (loss) for the period due to the timing of purchases and redemptions of Fund shares in relation to the fluctuating market values of the Fund. |
– 60 – |
MASSMUTUAL HIGH YIELD FUND
Income
(loss) from investment |
Less distributions to shareholders |
Ratios / Supplemental Data |
||||||||||||||||||||||||||||||||||||||||||||||||||
Net
|
Net
|
Net
|
Total
|
From
net |
From
net |
Total
|
Net
|
Total
|
Net |
Ratio
of |
Ratio
of |
Net
|
||||||||||||||||||||||||||||||||||||||||
Class I |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.28 | $ | 0.49 | $ | 0.25 | $ | 0.74 | $ | (0.49 | ) | $ | — | (0.49 | ) | $ | 7.53 | 10.39 | % | $ | 259,513 | 0.68 | % | N/A | 6.47 | % | ||||||||||||||||||||||||||
9/30/22 |
9.34 | 0.47 | (1.64 | ) | (1.17 | ) | (0.89 | ) | — | (0.89 | ) | 7.28 | (13.59 | %) | 228,970 | 0.55 | % | N/A | 5.61 | % | ||||||||||||||||||||||||||||||||
9/30/21 |
8.63 | 0.49 | 0.70 | 1.19 | (0.48 | ) | — | (0.48 | ) | 9.34 | 14.20 | % | 351,942 | 0.54 | % | N/A | 5.50 | % | ||||||||||||||||||||||||||||||||||
9/30/20 |
9.21 | 0.50 | (0.52 | ) | (0.02 | ) | (0.56 | ) | — | (0.56 | ) | 8.63 | (0.28 | %) | 375,807 | 0.53 | % | N/A | 5.79 | % | ||||||||||||||||||||||||||||||||
9/30/19 |
9.27 | 0.56 | (0.10 | ) | 0.46 | (0.52 | ) | — | (0.52 | ) | 9.21 | 5.45 | % | 326,836 | 0.54 | % | 0.54 | %n | 6.31 | % | ||||||||||||||||||||||||||||||||
Class R5 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.33 | $ | 0.49 | $ | 0.25 | $ | 0.74 | $ | (0.49 | ) | $ | — | $ | (0.49 | ) | $ | 7.58 | 10.26 | % | $ | 32,778 | 0.78 | % | N/A | 6.37 | % | |||||||||||||||||||||||||
9/30/22 |
9.40 | 0.47 | (1.66 | ) | (1.19 | ) | (0.88 | ) | — | (0.88 | ) | 7.33 | (13.74 | %) | 34,164 | 0.65 | % | N/A | 5.52 | % | ||||||||||||||||||||||||||||||||
9/30/21 |
8.68 | 0.49 | 0.70 | 1.19 | (0.47 | ) | — | (0.47 | ) | 9.40 | 14.13 | % | 46,518 | 0.64 | % | N/A | 5.39 | % | ||||||||||||||||||||||||||||||||||
9/30/20 |
9.25 | 0.49 | (0.51 | ) | (0.02 | ) | (0.55 | ) | — | (0.55 | ) | 8.68 | (0.28 | %) | 49,116 | 0.63 | % | N/A | 5.69 | % | ||||||||||||||||||||||||||||||||
9/30/19 |
9.31 | 0.56 | (0.11 | ) | 0.45 | (0.51 | ) | — | (0.51 | ) | 9.25 | 5.29 | % | 41,369 | 0.64 | % | 0.64 | %n | 6.23 | % | ||||||||||||||||||||||||||||||||
Service Class |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.33 | $ | 0.48 | $ | 0.25 | $ | 0.73 | $ | (0.48 | ) | $ | — | $ | (0.48 | ) | $ | 7.58 | 10.15 | % | $ | 20,937 | 0.88 | % | N/A | 6.26 | % | |||||||||||||||||||||||||
9/30/22 |
9.39 | 0.46 | (1.66 | ) | (1.20 | ) | (0.86 | ) | — | (0.86 | ) | 7.33 | (13.81 | %) | 22,158 | 0.75 | % | N/A | 5.44 | % | ||||||||||||||||||||||||||||||||
9/30/21 |
8.67 | 0.48 | 0.70 | 1.18 | (0.46 | ) | — | (0.46 | ) | 9.39 | 14.00 | % | 29,097 | 0.74 | % | N/A | 5.31 | % | ||||||||||||||||||||||||||||||||||
9/30/20 |
9.25 | 0.48 | (0.52 | ) | (0.04 | ) | (0.54 | ) | — | (0.54 | ) | 8.67 | (0.48 | %) | 33,897 | 0.73 | % | N/A | 5.58 | % | ||||||||||||||||||||||||||||||||
9/30/19 |
9.31 | 0.55 | (0.11 | ) | 0.44 | (0.50 | ) | — | (0.50 | ) | 9.25 | 5.20 | % | 49,174 | 0.74 | % | 0.74 | %n | 6.13 | % | ||||||||||||||||||||||||||||||||
Administrative Class |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.20 | $ | 0.46 | $ | 0.26 | $ | 0.72 | $ | (0.47 | ) | $ | — | $ | (0.47 | ) | $ | 7.45 | 10.10 | % | $ | 12,382 | 0.98 | % | N/A | 6.17 | % | |||||||||||||||||||||||||
9/30/22 |
9.22 | 0.44 | (1.62 | ) | (1.18 | ) | (0.84 | ) | — | (0.84 | ) | 7.20 | (13.85 | %) | 12,693 | 0.85 | % | N/A | 5.28 | % | ||||||||||||||||||||||||||||||||
9/30/21 |
8.53 | 0.46 | 0.68 | 1.14 | (0.45 | ) | — | (0.45 | ) | 9.22 | 13.79 | % | 23,211 | 0.84 | % | N/A | 5.20 | % | ||||||||||||||||||||||||||||||||||
9/30/20 |
9.10 | 0.47 | (0.51 | ) | (0.04 | ) | (0.53 | ) | — | (0.53 | ) | 8.53 | (0.55 | %) | 23,549 | 0.83 | % | N/A | 5.49 | % | ||||||||||||||||||||||||||||||||
9/30/19 |
9.16 | 0.53 | (0.10 | ) | 0.43 | (0.49 | ) | — | (0.49 | ) | 9.10 | 5.13 | % | 25,980 | 0.84 | % | 0.84 | %n | 6.03 | % | ||||||||||||||||||||||||||||||||
Class R4 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.07 | $ | 0.44 | $ | 0.26 | $ | 0.70 | $ | (0.45 | ) | $ | — | $ | (0.45 | ) | $ | 7.32 | 10.01 | % | $ | 16,984 | 1.13 | % | N/A | 6.00 | % | |||||||||||||||||||||||||
9/30/22 |
9.06 | 0.42 | (1.60 | ) | (1.18 | ) | (0.81 | ) | — | (0.81 | ) | 7.07 | (14.05 | %) | 30,615 | 1.00 | % | N/A | 5.19 | % | ||||||||||||||||||||||||||||||||
9/30/21 |
8.38 | 0.44 | 0.68 | 1.12 | (0.44 | ) | — | (0.44 | ) | 9.06 | 13.73 | % | 39,125 | 0.99 | % | N/A | 5.05 | % | ||||||||||||||||||||||||||||||||||
9/30/20 |
8.97 | 0.45 | (0.51 | ) | (0.06 | ) | (0.53 | ) | — | (0.53 | ) | 8.38 | (0.75 | %) | 40,160 | 0.98 | % | N/A | 5.34 | % | ||||||||||||||||||||||||||||||||
9/30/19 |
9.04 | 0.51 | (0.10 | ) | 0.41 | (0.48 | ) | — | (0.48 | ) | 8.97 | 4.97 | % | 47,055 | 0.99 | % | 0.99 | %n | 5.88 | % | ||||||||||||||||||||||||||||||||
Class A |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.20 | $ | 0.44 | $ | 0.25 | $ | 0.69 | $ | (0.45 | ) | $ | — | $ | (0.45 | ) | $ | 7.44 | 9.68 | % | $ | 7,116 | 1.23 | % | N/A | 5.91 | % | |||||||||||||||||||||||||
9/30/22 |
9.19 | 0.42 | (1.63 | ) | (1.21 | ) | (0.78 | ) | — | (0.78 | ) | 7.20 | (14.10 | %) | 8,335 | 1.10 | % | N/A | 5.06 | % | ||||||||||||||||||||||||||||||||
9/30/21 |
8.49 | 0.44 | 0.69 | 1.13 | (0.43 | ) | — | (0.43 | ) | 9.19 | 13.65 | % | 13,444 | 1.09 | % | N/A | 4.97 | % | ||||||||||||||||||||||||||||||||||
9/30/20 |
9.07 | 0.44 | (0.50 | ) | (0.06 | ) | (0.52 | ) | — | (0.52 | ) | 8.49 | (0.81 | %) | 24,556 | 1.08 | % | N/A | 5.24 | % | ||||||||||||||||||||||||||||||||
9/30/19 |
9.13 | 0.51 | (0.10 | ) | 0.41 | (0.47 | ) | — | (0.47 | ) | 9.07 | 4.89 | % | 31,392 | 1.09 | % | 1.09 | %n | 5.77 | % | ||||||||||||||||||||||||||||||||
Class R3 |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.29 | $ | 0.44 | $ | 0.25 | $ | 0.69 | $ | (0.44 | ) | $ | — | $ | (0.44 | ) | $ | 7.54 | 9.62 | % | $ | 23,159 | 1.38 | % | N/A | 5.76 | % | |||||||||||||||||||||||||
9/30/22 |
9.31 | 0.41 | (1.65 | ) | (1.24 | ) | (0.78 | ) | — | (0.78 | ) | 7.29 | (14.27 | %) | 24,740 | 1.25 | % | N/A | 4.93 | % | ||||||||||||||||||||||||||||||||
9/30/21 |
8.60 | 0.43 | 0.69 | 1.12 | (0.41 | ) | — | (0.41 | ) | 9.31 | 13.41 | % | 33,334 | 1.24 | % | N/A | 4.79 | % | ||||||||||||||||||||||||||||||||||
9/30/20 |
9.17 | 0.44 | (0.52 | ) | (0.08 | ) | (0.49 | ) | — | (0.49 | ) | 8.60 | (0.96 | %) | 35,047 | 1.23 | % | N/A | 5.09 | % | ||||||||||||||||||||||||||||||||
9/30/19 |
9.23 | 0.50 | (0.10 | ) | 0.40 | (0.46 | ) | — | (0.46 | ) | 9.17 | 4.71 | % | 42,509 | 1.24 | % | 1.24 | %n | 5.63 | % | ||||||||||||||||||||||||||||||||
Class Y |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.30 | $ | 0.49 | $ | 0.25 | $ | 0.74 | $ | (0.49 | ) | $ | — | $ | (0.49 | ) | $ | 7.55 | 10.33 | % | $ | 29,201 | 0.73 | % | N/A | 6.43 | % | |||||||||||||||||||||||||
9/30/22g |
8.86 | 0.38 | (1.56 | ) | (1.18 | ) | (0.38 | ) | — | (0.38 | ) | 7.30 | (13.66 | %)b | 23,397 | 0.60 | %a | N/A | 5.81 | %a | ||||||||||||||||||||||||||||||||
Class C |
||||||||||||||||||||||||||||||||||||||||||||||||||||
9/30/23 |
$ | 7.33 | $ | 0.42 | $ | 0.25 | $ | 0.67 | $ | (0.42 | ) | $ | — | $ | (0.42 | ) | $ | 7.58 | 9.27 | % | $ | 96 | 1.69 | % | N/A | 5.47 | % | |||||||||||||||||||||||||
9/30/22g |
8.89 | 0.32 | (1.56 | ) | (1.24 | ) | (0.32 | ) | — | (0.32 | ) | 7.33 | (14.28 | %)b | 81 | 1.55 | %a | N/A | 4.78 | %a |
Year Ended September 30 | |||||
2023 |
2022 |
2021 |
2020 |
2019 |
|
Portfolio turnover rate |
38% |
53% |
68% |
79% |
54% |
a |
Annualized. |
b |
Percentage represents the results for the period and is not annualized. |
c |
Per share amount calculated on the average shares method. |
g |
For the period December 13, 2021 (commencement of operations) through September 30, 2022. |
j |
Computed after giving effect to an agreement by MML Advisers to waive certain fees and expenses of the Fund. |
l |
Employee retirement benefit plans that invest plan assets in the Separate Investment Accounts (SIAs) may be subject to certain charges as set forth in their respective Plan Documents. Total return figures would be lower for the periods presented if they reflected these charges. |
m |
Total return excludes sales charges, if any, and would be lower for the period presented if it reflected these charges. |
n |
Expenses incurred during the period fell under the expense cap. |
– 61 – |
|
Fund Name
|
| |
Class I
|
| |
Class R5
|
| |
Service
Class |
| |
Administrative
Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y
|
| ||||||||||||||||||||||||
|
MassMutual U.S.
Government Money Market Fund
|
| | | | | | | | | | MKSXX | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
|
MassMutual Inflation-
Protected and Income Fund
|
| | | | MIPZX | | | | | | MIPSX | | | | | | MIPYX | | | | | | MIPLX | | | | | | MIPRX | | | | | | MPSAX | | | | | | MIPNX | | | | | | MMODX | | |
|
MassMutual Core Bond
Fund
|
| | | | MCZZX | | | | | | MCBDX | | | | | | MCBYX | | | | | | MCBLX | | | | | | MCZRX | | | | | | MMCBX | | | | | | MCBNX | | | | | | MMNWX | | |
|
MassMutual Diversified
Bond Fund
|
| | | | MDBZX | | | | | | MDBSX | | | | | | MDBYX | | | | | | MDBLX | | | | | | MDBFX | | | | | | MDVAX | | | | | | MDBNX | | | | | | MMOBX | | |
|
MassMutual Balanced Fund
|
| | | | MBBIX | | | | | | MBLDX | | | | | | MBAYX | | | | | | MMBLX | | | | | | MBBRX | | | | | | MMBDX | | | | | | MMBRX | | | | | | MMNVX | | |
|
MassMutual Disciplined
Value Fund
|
| | | | MPIVX | | | | | | MEPSX | | | | | | DENVX | | | | | | MPILX | | | | | | MPIRX | | | | | | MEPAX | | | | | | MPINX | | | | | | MMOAX | | |
|
MassMutual Main Street
Fund
|
| | | | MSZIX | | | | | | MMSSX | | | | | | MMSYX | | | | | | MMSLX | | | | | | MSSRX | | | | | | MSSAX | | | | | | MMSNX | | | | | | MMOFX | | |
|
MassMutual Disciplined
Growth Fund
|
| | | | MPDIX | | | | | | MPGSX | | | | | | DEIGX | | | | | | MPGLX | | | | | | MPDGX | | | | | | MPGAX | | | | | | MPDRX | | | | | | MMNYX | | |
|
MassMutual Small Cap
Opportunities Fund
|
| | | | MSOOX | | | | | | MSCDX | | | | | | MSVYX | | | | | | MSCLX | | | | | | MOORX | | | | | | DLBMX | | | | | | MCCRX | | | | | | MMOGX | | |
| MassMutual Global Fund | | | | | MGFZX | | | | | | MGFSX | | | | | | MGFYX | | | | | | MGFLX | | | | | | MGFRX | | | | | | MGFAX | | | | | | MGFNX | | | | | | MMOCX | | |
|
MassMutual International
Equity Fund
|
| | | | MIZIX | | | | | | MIEDX | | | | | | MYIEX | | | | | | MIELX | | | | | | MEIRX | | | | | | MMIAX | | | | | | MEERX | | | | | | MMOEX | | |
|
MassMutual Strategic
Emerging Markets Fund
|
| | | | MPZSX | | | | | | MPSMX | | | | | | MPEYX | | | | | | MPLSX | | | | | | MPRSX | | | | | | MPASX | | | | | | MPZRX | | | | | | MMOHX | | |
| | |
Page
|
| |||
| | | | B-3 | | | |
| | | | B-3 | | | |
| | | | B-48 | | | |
| | | | B-50 | | | |
| | | | B-51 | | | |
| | | | B-60 | | | |
| | | | B-76 | | | |
| | | | B-83 | | | |
| | | | B-85 | | | |
| | | | B-86 | | | |
| | | | B-87 | | | |
| | | | B-87 | | | |
| | | | B-87 | | | |
| | | | B-87 | | | |
| | | | B-91 | | | |
| | | | B-92 | | | |
| | | | B-94 | | | |
| | | | B-95 | | | |
| | | | B-96 | | | |
| | | | B-98 | | | |
| | | | B-108 | | | |
| | | | B-109 | | | |
| | | | B-113 | | | |
| | | | B-150 | | |
|
Nabil N. El‑Hage
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1958 Trustee of the Trust since 2003 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
|
Maria D. Furman
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1954 Trustee of the Trust since 2004 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
|
R. Bradford Malt
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1954 Trustee of the Trust since 2022 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
|
C. Ann Merrifield
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1951 Trustee of the Trust since 2004 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
|
Cynthia R. Plouché
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1957 Trustee of the Trust since 2022 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
|
Jason J. Price
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1973 Trustee of the Trust since 2022 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
|
Susan B. Sweeney
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1952 Chairperson of the Trust since 2022 Trustee of the Trust since 2012 Trustee of 115 portfolios in fund complex1 |
| | Chairperson and Trustee of the Trust | |
|
Paul LaPiana2
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1969 Trustee of the Trust since 2023 Officer of the Trust 2021‑2023; since 2023 Trustee and Officer of 113 portfolios in fund complex |
| | Trustee and President of the Trust | |
|
Clifford M. Noreen3
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1957 Trustee of the Trust since 2021 Trustee of 115 portfolios in fund complex4 |
| | Trustee of the Trust | |
|
Andrew M. Goldberg
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1966 Officer of the Trust since 2004 Officer of 113 portfolios in fund complex |
| | Vice President, Secretary, and Chief Legal Officer of the Trust | |
|
Renee Hitchcock
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1970 Officer of the Trust since 2007 Officer of 113 portfolios in fund complex |
| | Chief Financial Officer and Treasurer of the Trust | |
|
Jill Nareau Robert
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1972 Officer of the Trust since 2008 Officer of 113 portfolios in fund complex |
| | Vice President and Assistant Secretary of the Trust | |
|
Douglas Steele
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1975 Officer of the Trust since 2016 Officer of 113 portfolios in fund complex |
| | Vice President of the Trust | |
|
Philip S. Wellman
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1964 Officer of the Trust since 2007 Officer of 113 portfolios in fund complex |
| | Vice President and Chief Compliance Officer of the Trust | |
Name of Trustee
|
| |
The Dollar Range of Equity
Securities Beneficially Owned in the Trust |
| |
Aggregate Dollar Range of Equity
Securities in All Registered Investment Companies Overseen by Trustee in Family of Investment Companies |
|
Independent Trustees | | | | | | | |
Nabil N. El-Hage
|
| |
None
|
| |
None
|
|
Maria D. Furman
|
| |
None
|
| |
None
|
|
R. Bradford Malt
|
| |
None
|
| |
None
|
|
C. Ann Merrifield
|
| |
None
|
| |
None
|
|
Cynthia R. Plouché
|
| |
None
|
| |
None
|
|
Jason J. Price
|
| |
None
|
| |
None
|
|
Susan B. Sweeney
|
| |
None
|
| |
None
|
|
Interested Trustees | | | | | | | |
Paul LaPiana
|
| |
None
|
| |
None
|
|
Clifford M. Noreen
|
| |
None
|
| |
$10,001-$50,000
|
|
Name of Trustee
|
| |
Aggregate Compensation from
the Trust |
| |
Total Compensation from the
Trust and Fund Complex Paid to Trustees |
| ||||||
Allan W. Blair 1
|
| | | $ | 20,342 | | | | | $ | 288,600 | | |
Nabil N. El-Hage
|
| | | $ | 20,892 2 | | | | | $ | 296,400 | | |
Michael R. Fanning 3
|
| | | $ | 0 | | | | | $ | 0 | | |
Maria D. Furman
|
| | | $ | 19,059 | | | | | $ | 270,400 | | |
Paul LaPiana 4
|
| | | $ | 0 | | | | | $ | 0 | | |
R. Bradford Malt
|
| | | $ | 19,059 | | | | | $ | 270,400 | | |
C. Ann Merrifield
|
| | | $ | 20,341 | | | | | $ | 288,600 | | |
Clifford M. Noreen
|
| | | $ | 0 | | | | | $ | 0 | | |
Cynthia R. Plouché
|
| | | $ | 19,059 | | | | | $ | 270,400 | | |
Jason J. Price
|
| | | $ | 19,059 | | | | | $ | 270,400 | | |
Susan B. Sweeney
|
| | | $ | 25,658 | | | | | $ | 490,150 | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class R5 | | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 31.81% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 28.45% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
| | |
Reliance Trust Company
P.O. Box 28004
Atlanta, GA 30358
|
| | | | 21.23% | | |
| | |
Principal Trust Company
FBO The Buckle Inc. DC Plan
1013 Centre Road
Wilmington, DE 19805
|
| | | | 5.48% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class I
|
| |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 26.82% | | |
| |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 25.98% | | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 15.02% | | |
| | |
Matrix Trust Company
FBO GoalPath 2020 Conservative Enhanced Index
P.O. Box 52129
Phoenix, AZ 85072
|
| | | | 5.40% | | |
Class R5
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 82.00% | | |
| | |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 7.08% | | |
Service Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 64.77% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 26.98% | | |
| | |
TIAA, FSB
211 North Broadway, Suite 1000
Saint Louis, MO 63102
|
| | | | 5.03% | | |
Administrative Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 65.30% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 32.57% | | |
Class R4
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 40.10% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.72% | | |
| | |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 12.79% | | |
| | |
VRSCO FBO AIG FSB
FBO Compass Behavioral Health 401K
2727-A Allen Parkway, 4-D1
Houston, TX 77019
|
| | | | 9.91% | | |
| | |
State Street Bank
FBO ADP Access Product
1 Lincoln Street
Boston, MA 02111
|
| | | | 8.23% | | |
Class A
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 45.46% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 31.08% | | |
| | |
Pershing LLC
P.O. Box 2052
Jersey City, NJ 07303
|
| | | | 18.33% | | |
Class R3
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 60.74% | | |
| | |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 32.90% | | |
| | |
State Street Bank
FBO ADP Access Product
1 Lincoln Street
Boston, MA 02111
|
| | | | 5.63% | | |
Class Y
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 100.00% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class I
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 23.90% | | |
| | |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 18.33% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 15.54% | | |
| | |
MassMutual RetireSMART by JPMorgan 2030 Fund
1295 State Street
Springfield, MA 01111
|
| | | | 8.74% | | |
| | |
MassMutual 20/80 Allocation Fund
1295 State Street
Springfield, MA 01111
|
| | | | 5.52% | | |
| | |
MassMutual RetireSMART by JPMorgan 2025 Fund
1295 State Street
Springfield, MA 01111
|
| | | | 5.41% | | |
| | |
MassMutual RetireSMART by JPMorgan 2020 Fund
1295 State Street
Springfield, MA 01111
|
| | | | 5.18% | | |
Class R5
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 89.45% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 8.92% | | |
Service Class
|
| |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 61.20% | | |
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 38.36% | | | |
Administrative Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 72.83% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 27.17% | | |
Class R4
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 73.89% | | |
| | |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 10.68% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 8.07% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
| | |
Matrix Trust Company
FBO Advisor Trust, Inc.
Rhinebeck CSD (NY) 403(B) Plan
717 17th Street, Suite 1300
Denver, CO 80202
|
| | | | 5.41% | | |
Class A
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 65.81% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 15.97% | | |
| | |
Matrix Trust Company
FBO Kayser-Roth Corporation Supplemental Retirement Plan
P.O. Box 52129
Phoenix, AZ 85072
|
| | | | 10.42% | | |
| | |
Pershing LLC
P.O. Box 2052
Jersey City, NJ 07303
|
| | | | 5.87% | | |
Class R3
|
| |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 49.84% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 45.82% | | |
Class Y
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 100.00% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class I
|
| |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 63.68% | | |
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 29.89% | | | |
| | |
The Hartford
One Hartford Plaza
Hartford, CT 06155
|
| | | | 6.23% | | |
Class R5
|
| |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 74.78% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 12.96% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
| | |
Capinco c/o U.S. Bank N.A.
1555 North Rivercenter Drive, Suite 302
Milwaukee, WI 53212
|
| | | | 10.53% | | |
Service Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 39.92% | | |
| | |
John Hancock Trust Company LLC
690 Canton Street, Suite 100
Westwood, MA 02091
|
| | | | 31.86% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 28.22% | | |
Administrative Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 70.23% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 29.77% | | |
Class R4
|
| |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 57.68% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 22.27% | | |
| | |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 20.06% | | |
Class A
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 45.49% | | |
| | |
Reliance Trust Company
P.O. Box 28004
Atlanta, GA 30358
|
| | | | 30.39% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 19.59% | | |
Class R3
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 97.83% | | |
Class Y
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 100.00% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class I
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 51.83% | | |
| | |
The Hartford
One Hartford Plaza
Hartford, CT 06155
|
| | | | 25.40% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.66% | | |
Class R5
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 96.04% | | |
Service Class
|
| |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 60.29% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 38.65% | | |
Administrative Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 90.06% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.94% | | |
Class R4
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 55.72% | | |
| | |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 36.39% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 7.90% | | |
Class A
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 49.61% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 37.06% | | |
| | |
Pershing LLC
P.O. Box 2052
Jersey City, NJ 07303
|
| | | | 7.86% | | |
Class R3
|
| |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 52.34% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 40.30% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 6.98% | | |
Class Y
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 100.00% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class I
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 50.29% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 48.87% | | |
Class R5
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 100.00% | | |
Service Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 97.69% | | |
Administrative Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 100.00% | | |
Class R4
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 95.34% | | |
Class A
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 86.33% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 10.10% | | |
Class R3
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 94.23% | | |
| | |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 5.63% | | |
Class Y
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 100.00% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class I
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 71.73% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 25.58% | | |
Class R5
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 96.88% | | |
Service Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 100.00% | | |
Administrative Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 90.76% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.24% | | |
Class R4
|
| |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 77.26% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 21.57% | | |
Class A
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 54.58% | | |
| | |
Pershing LLC
P.O. Box 2052
Jersey City, NJ 07303
|
| | | | 28.69% | | |
| | |
Reliance Trust Company
P.O. Box 28004
Atlanta, GA 30358
|
| | | | 9.28% | | |
Class R3
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 57.35% | | |
| | |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 42.65% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class I
|
| |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 78.02% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 20.30% | | |
Class R5
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 82.99% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 17.01% | | |
Service Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 59.28% | | |
| | |
FIIOC
FBO Stavig Industries LLC 401(K) Plan
100 Magellan Way
Covington, KY 41015
|
| | | | 20.63% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 18.65% | | |
Administrative Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 64.33% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 35.31% | | |
Class R4
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 94.62% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 5.38% | | |
Class A
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 63.44% | | |
| |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 23.59% | | | |
Class R3
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 92.76% | | |
Class Y
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 100.00% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class I
|
| |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 15.04% | | |
| | |
Reliance Trust Company
FBO Salem Trust EB
P.O. Box 78446
Atlanta, GA 30357
|
| | | | 15.00% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 14.56% | | |
| | |
TIAA, FSB
211 North Broadway, Suite 1000
Saint Louis, MO 63102
|
| | | | 13.35% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 8.41% | | |
| | |
SEI Private Trust Company
One Freedom Valley Drive
Oaks, PA 19456
|
| | | | 7.98% | | |
| | |
Mid Atlantic Trust Company
1251 Waterfront Place, Suite 525
Pittsburgh, PA 15222
|
| | | | 6.61% | | |
Class R5
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 57.57% | | |
| | |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 18.55% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 8.02% | | |
| | |
T. Rowe Price Retirement Plan Services, Inc.
4515 Painters Mill Road
Owings Mills, MD 21117
|
| | | | 6.81% | | |
Service Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 62.23% | | |
| | |
John Hancock Trust Company LLC
690 Canton Street, Suite 100
Westwood, MA 02095
|
| | | | 19.73% | | |
| | |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 5.47% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Administrative Class
|
| |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 42.59% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 34.17% | | |
| | |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 12.21% | | |
| | |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 10.96% | | |
Class R4
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 38.86% | | |
| |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 35.62% | | | |
| | |
FIIOC
FBO Scheurer Hospital Employees Retirement Plan
100 Magellan Way
Covington, KY 41015
|
| | | | 10.12% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 7.63% | | |
Class A
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 76.59% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.14% | | |
| | |
Investors Bank & Trust Company
Supplemental Pension Plan
1 Iron Street
Boston, MA 02210
|
| | | | 5.89% | | |
Class R3
|
| |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 46.61% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 31.32% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.64% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
| | |
State Street Bank
FBO ADP Access Product
1 Lincoln Street
Boston, MA 02111
|
| | | | 9.17% | | |
Class Y
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 100.00% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class I
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 50.29% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 26.74% | | |
| | |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 14.74% | | |
| | |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 8.21% | | |
Class R5
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 98.51% | | |
Service Class
|
| |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 53.07% | | |
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 45.71% | | | |
Administrative Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 97.38% | | |
Class R4
|
| |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 41.30% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 35.28% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.30% | | |
Class A
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 65.37% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
| | |
Pershing LLC
P.O. Box 2052
Jersey City, NJ 07303
|
| | | | 25.13% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 5.47% | | |
Class R3
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 53.20% | | |
| | |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 41.60% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 5.20% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class I
|
| |
MassMutual RetireSMART by JPMorgan 2040 Fund
1295 State Street
Springfield, MA 01111
|
| | | | 14.46% | | |
| | |
MassMutual RetireSMART by JPMorgan 2050 Fund
1295 State Street
Springfield, MA 01111
|
| | | | 11.97% | | |
| | |
MassMutual RetireSMART by JPMorgan 2030 Fund
1295 State Street
Springfield, MA 01111
|
| | | | 11.02% | | |
| | |
MassMutual RetireSMART by JPMorgan 2035 Fund
1295 State Street
Springfield, MA 01111
|
| | | | 9.93% | | |
| | |
MassMutual RetireSMART by JPMorgan 2045 Fund
1295 State Street
Springfield, MA 01111
|
| | | | 9.56% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 6.33% | | |
| | |
MassMutual RetireSMART by JPMorgan 2055 Fund
1295 State Street
Springfield, MA 01111
|
| | | | 5.51% | | |
| | |
MassMutual 80/20 Allocation Fund
1295 State Street
Springfield, MA 01111
|
| | | | 5.03% | | |
Class R5
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 98.05% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Service Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 68.28% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 31.72% | | |
Administrative Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 84.81% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 15.19% | | |
Class R4
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 84.72% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 14.65% | | |
Class A
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 45.03% | | |
| | |
Pershing LLC
P.O. Box 2052
Jersey City, NJ 07303
|
| | | | 42.95% | | |
Class R3
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 85.38% | | |
| | |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 10.82% | | |
Class Y
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 100.00% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class I
|
| |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 33.46% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 26.20% | | |
| | |
MassMutual RetireSMART by JPMorgan 2030 Fund
1295 State Street
Springfield, MA 01111
|
| | | | 8.86% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class R5
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 100.00% | | |
Service Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 75.92% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 24.00% | | |
Administrative Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 50.23% | | |
| | |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 27.05% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.73% | | |
Class R4
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 91.61% | | |
| | |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 6.87% | | |
Class A
|
| |
Reliance Trust Company
P.O. Box 28004
Atlanta, GA 30358
|
| | | | 51.30% | | |
| | |
Millennium Trust Company, LLC
2001 Spring Road, Suite 700
Oak Brook, IL 60523
|
| | | | 48.70% | | |
Class R3
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 99.13% | | |
Fund
|
| | | |
U.S. Government Money Market Fund
|
| |
0.35% on the first $1 billion; and
0.33% on assets over $1 billion
|
|
Inflation-Protected and Income Fund
|
| |
0.38% on the first $350 million; and
0.33% on assets over $350 million
|
|
Fund
|
| | | |
Core Bond Fund
|
| |
0.38% on the first $1.5 billion;
0.33% on the next $500 million; and
0.28% on assets over $2 billion
|
|
Diversified Bond Fund
|
| |
0.40% on the first $150 million; and
0.30% on assets over $150 million
|
|
Balanced Fund
|
| |
0.48% on the first $300 million; and
0.43% on assets over $300 million
|
|
Disciplined Value Fund
|
| |
0.45% on the first $400 million; and
0.40% on assets over $400 million
|
|
Main Street Fund
|
| |
0.55% on the first $300 million; and
0.50% on assets over $300 million
|
|
Disciplined Growth Fund
|
| |
0.45% on the first $400 million; and
0.40% on assets over $400 million
|
|
Small Cap Opportunities Fund
|
| |
0.58% on the first $300 million; and
0.53% on assets over $300 million
|
|
Global Fund
|
| |
0.75% on the first $400 million; and
0.70% on assets over $400 million
|
|
International Equity Fund
|
| |
0.83% on the first $500 million;
0.78% on the next $500 million; and
0.73% on assets over $1 billion
|
|
Strategic Emerging Markets Fund
|
| |
1.00% on the first $350 million; and
0.95% on assets over $350 million
|
|
|
U.S. Government Money Market Fund
|
| | 0.05% | |
|
Inflation-Protected and Income Fund
|
| | 0.08% | |
|
Core Bond Fund
|
| | 0.10% | |
|
Diversified Bond Fund
|
| | 0.10% | |
| | | |
Class I
|
| |
Class R5
|
| |
Service
Class |
| |
Administrative
Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y
|
| ||||||||||||||||||||||||
|
U.S. Government Money
Market Fund
|
| | | | N/A | | | | | | 0.10% | | | |
N/A
|
| |
N/A
|
| |
N/A
|
| |
N/A
|
| |
N/A
|
| |
N/A
|
| ||||||||||||||||||
|
Inflation-Protected and
Income Fund
|
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Core Bond Fund
|
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Diversified Bond Fund
|
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Balanced Fund
|
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Disciplined Value Fund
|
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Main Street Fund
|
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Disciplined Growth Fund
|
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
| Small Cap Opportunities Fund | | | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Global Fund
|
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
International Equity Fund
|
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Strategic Emerging Markets
Fund
|
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
| | |
Fiscal Year Ended September 30, 2023
|
| |||||||||||||||||||||||||||
| | |
Advisory Fees
Paid |
| |
Subadvisory
Fees Paid |
| |
Advisory Fees
Waived |
| |
Administrative
Fees Paid |
| |
Other Expenses
Reimbursed |
| |||||||||||||||
U.S. Government Money Market Fund
|
| | | $ | 681,356 | | | | | $ | 97,001 | | | | | $ | — | | | | | $ | 194,667 | | | | | $ | — | | |
Inflation-Protected and Income Fund
|
| | | | 1,100,110 | | | | | | 229,966 | | | | | | — | | | | | | 188,925 | | | | | | — | | |
Core Bond Fund
|
| | | | 2,791,091 | | | | | | 732,180 | | | | | | — | | | | | | 382,220 | | | | | | — | | |
Diversified Bond Fund
|
| | | | 629,767 | | | | | | 157,269 | | | | | | — | | | | | | 114,819 | | | | | | — | | |
Balanced Fund
|
| | | | 557,495 | | | | | | 139,336 | | | | | | — | | | | | | 130,545 | | | | | | — | | |
Disciplined Value Fund
|
| | | | 324,670 | | | | | | 115,421 | | | | | | — | | | | | | 73,713 | | | | | | — | | |
Main Street Fund
|
| | | | 396,603 | | | | | | 180,287 | | | | | | — | | | | | | 130,033 | | | | | | — | | |
Disciplined Growth Fund
|
| | | | 724,758 | | | | | | 257,720 | | | | | | — | | | | | | 231,030 | | | | | | — | | |
Small Cap Opportunities Fund
|
| | | | 1,881,887 | | | | | | 1,307,539 | | | | | | — | | | | | | 375,919 | | | | | | — | | |
Global Fund
|
| | | | 1,578,840 | | | | | | 786,743 | | | | | | — | | | | | | 302,299 | | | | | | — | | |
International Equity Fund 1
|
| | | | 1,093,166 | | | | | | 464,876 | | | | | | (65,857) | | | | | | 85,389 | | | | | | — | | |
Strategic Emerging Markets Fund 2
|
| | | | 1,167,328 | | | | | | 816,796 | | | | | | — | | | | | | 6,475 | | | | | | (266,815) | | |
| | |
Fiscal Year Ended September 30, 2022
|
| |||||||||||||||||||||||||||
| | |
Advisory Fees
Paid |
| |
Subadvisory
Fees Paid |
| |
Advisory Fees
Waived |
| |
Administrative
Fees Paid |
| |
Other Expenses
Reimbursed |
| |||||||||||||||
U.S. Government Money Market Fund 1
|
| | | $ | 749,721 | | | | | $ | 106,136 | | | | | $ | (579,463) | | | | | $ | 214,206 | | | | | $ | — | | |
Inflation-Protected and Income Fund
|
| | | | 1,306,626 | | | | | | 273,960 | | | | | | — | | | | | | 250,070 | | | | | | — | | |
Core Bond Fund
|
| | | | 3,605,606 | | | | | | 944,744 | | | | | | — | | | | | | 554,959 | | | | | | — | | |
Diversified Bond Fund
|
| | | | 743,083 | | | | | | 194,666 | | | | | | — | | | | | | 147,206 | | | | | | — | | |
Balanced Fund
|
| | | | 676,064 | | | | | | 168,892 | | | | | | — | | | | | | 163,789 | | | | | | — | | |
Disciplined Value Fund
|
| | | | 391,217 | | | | | | 137,806 | | | | | | — | | | | | | 92,006 | | | | | | — | | |
Main Street Fund
|
| | | | 578,977 | | | | | | 262,809 | | | | | | — | | | | | | 158,201 | | | | | | — | | |
Disciplined Growth Fund
|
| | | | 963,176 | | | | | | 339,059 | | | | | | — | | | | | | 327,262 | | | | | | — | | |
Small Cap Opportunities Fund
|
| | | | 1,923,907 | | | | | | 1,338,280 | | | | | | — | | | | | | 431,368 | | | | | | — | | |
Global Fund
|
| | | | 2,142,324 | | | | | | 1,044,977 | | | | | | — | | | | | | 398,854 | | | | | | — | | |
International Equity Fund 2
|
| | | | 1,165,318 | | | | | | 491,959 | | | | | | (70,200) | | | | | | 96,422 | | | | | | — | | |
Strategic Emerging Markets Fund 3
|
| | | | 1,409,379 | | | | | | 985,692 | | | | | | — | | | | | | 11,539 | | | | | | (288,468) | | |
| | | |
Fiscal Year Ended September 30, 2021
|
| |||||||||||||||||||||||||||||||||
| | | |
Advisory Fees
Paid |
| |
Subadvisory
Fees Paid |
| |
Advisory Fees
Waived |
| |
Administrative
Fees Paid |
| |
Supplemental
Shareholder Services Fees Paid |
| |
Other
Expenses Reimbursed |
| ||||||||||||||||||
|
U.S. Government Money
Market Fund1
|
| | | $ | 1,094,819 | | | | | $ | 155,911 | | | | | $ | — | | | | | $ | 312,805 | | | | | $ | — | | | | | $ | (1,404,777) | | |
|
Inflation-Protected and
Income Fund
|
| | | | 1,415,825 | | | | | | 297,836 | | | | | | — | | | | | | 300,407 | | | | | | 21,150 | | | | | | — | | |
|
Core Bond Fund
|
| | | | 4,857,081 | | | | | | 1,272,101 | | | | | | — | | | | | | 816,098 | | | | | | 60,700 | | | | | | — | | |
|
Diversified Bond Fund
|
| | | | 831,304 | | | | | | 224,424 | | | | | | — | | | | | | 180,354 | | | | | | 12,826 | | | | | | — | | |
|
Balanced Fund
|
| | | | 740,458 | | | | | | 193,464 | | | | | | — | | | | | | 177,778 | | | | | | 13,745 | | | | | | — | | |
|
Disciplined Value Fund
|
| | | | 433,001 | | | | | | 154,218 | | | | | | — | | | | | | 103,021 | | | | | | 5,519 | | | | | | — | | |
|
Main Street Fund
|
| | | | 665,817 | | | | | | 302,457 | | | | | | — | | | | | | 158,147 | | | | | | 12,793 | | | | | | — | | |
|
Disciplined Growth Fund
|
| | | | 1,161,514 | | | | | | 415,021 | | | | | | — | | | | | | 379,870 | | | | | | 28,139 | | | | | | — | | |
|
Small Cap Opportunities Fund
|
| | | | 1,876,820 | | | | | | 1,308,490 | | | | | | — | | | | | | 433,945 | | | | | | 28,556 | | | | | | — | | |
|
Global Fund
|
| | | | 2,715,742 | | | | | | 1,309,024 | | | | | | — | | | | | | 482,317 | | | | | | 41,886 | | | | | | — | | |
|
International Equity Fund 2
|
| | | | 1,457,862 | | | | | | 608,191 | | | | | | (47,899) | | | | | | 126,065 | | | | | | 9,066 | | | | | | — | | |
|
Strategic Emerging Markets Fund 3
|
| | | | 1,888,082 | | | | | | 1,320,436 | | | | | | — | | | | | | 20,674 | | | | | | 1,561 | | | | | | (136,442) | | |
| | | | | | | | | |
Sales Charge Revenue
|
| | | | |
CDSC Revenue
|
| ||||||||||||||||||||||||||||||
| | | |
Fiscal
Year Ended |
| |
Amount
Paid to Distributor |
| |
Amount
Reallowed to Dealers |
| |
Amount
Retained by Distributor |
| | | | |
Amount
Paid to Distributor |
| |
Amount
Reallowed to Dealers |
| |
Amount
Retained by Distributor |
| |||||||||||||||||||||
|
Inflation-Protected and
Income Fund – Class A
|
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 138 | | | | | $ | 113 | | | | | $ | 25 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Core Bond Fund –
Class A
|
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 1,053 | | | | | $ | 875 | | | | | $ | 178 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Main Street Fund –
Class A
|
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 268 | | | | | $ | 209 | | | | | $ | 59 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 58 | | | | | $ | 47 | | | | | $ | 10 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Disciplined Growth
Fund – Class A
|
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 7 | | | | | $ | 6 | | | | | $ | 1 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Small Cap Opportunities
Fund – Class A
|
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 122 | | | | | $ | 100 | | | | | $ | 22 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 169 | | | | | $ | 138 | | | | | $ | 31 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Global Fund – Class A
|
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 223 | | | | | $ | 174 | | | | | $ | 49 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 58 | | | | | $ | 47 | | | | | $ | 10 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
International Equity
Fund – Class A
|
| | | | 2023 | | | | | $ | 464 | | | | | $ | 368 | | | | | $ | 96 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
Amount of Purchase
|
| |
Front-End Sales
Charge as a Percentage of Offering Price |
| |
Front-End
Sales Charge as a Percentage of Net Amount Invested |
| |
Commission as a
Percentage of Offering Price |
| |||
Less than $25,000
|
| |
4.25%
|
| |
4.44%
|
| | | | 3.50% | | |
$25,000-$49,999 | | |
4.25%
|
| |
4.44%
|
| | | | 3.50% | | |
$50,000-$99,999 | | |
4.00%
|
| |
4.17%
|
| | | | 3.25% | | |
$100,000-$249,999 | | |
3.00%
|
| |
3.09%
|
| | | | 2.25% | | |
$250,000-$499,999
|
| |
1.75%
|
| |
1.78%
|
| | | | 1.50% | | |
$500,000-$999,999
|
| |
1.25%
|
| |
1.27%
|
| | | | 1.00% | | |
$1,000,000-$4,999,999 1 | | |
None
|
| |
None
|
| | | | 1.00% | | |
$5,000,000 or more 1
|
| |
None
|
| |
None
|
| | | | 0.50% | | |
Amount of Purchase
|
| |
Front-End Sales
Charge as a Percentage of Offering Price |
| |
Front-End
Sales Charge as a Percentage of Net Amount Invested |
| |
Commission as a
Percentage of Offering Price |
| |||
Less than $25,000
|
| |
5.50%
|
| |
5.82%
|
| | | | 4.50% | | |
$25,000-$49,999
|
| |
5.25%
|
| |
5.54%
|
| | | | 4.25% | | |
$50,000-$99,999
|
| |
4.50%
|
| |
4.71%
|
| | | | 3.50% | | |
$100,000-$249,999
|
| |
3.50%
|
| |
3.63%
|
| | | | 2.50% | | |
$250,000-$499,999
|
| |
2.25%
|
| |
2.30%
|
| | | | 1.75% | | |
$500,000-$999,999
|
| |
1.75%
|
| |
1.78%
|
| | | | 1.10% | | |
$1,000,000-$4,999,999 1 | | |
None
|
| |
None
|
| | | | 1.00% | | |
$5,000,000 or more 1
|
| |
None
|
| |
None
|
| | | | 0.50% | | |
| | | Class R4 12b-1 Fees |
| | Class A 12b-1 Fees |
| | Class R3 12b-1 Fees |
| |||||||||
Inflation-Protected and Income Fund
|
| | | $ | 10,582 | | | | | $ | 21,848 | | | | | $ | 10,936 | | |
Core Bond Fund
|
| | | | 4,916 | | | | | | 60,997 | | | | | | 868 | | |
Diversified Bond Fund
|
| | | | 10,136 | | | | | | 12,516 | | | | | | 6,894 | | |
Balanced Fund
|
| | | | 12,343 | | | | | | 33,471 | | | | | | 49,682 | | |
Disciplined Value Fund
|
| | | | 3,156 | | | | | | 11,044 | | | | | | 19,256 | | |
Main Street Fund
|
| | | | 15,417 | | | | | | 21,248 | | | | | | 3,920 | | |
Disciplined Growth Fund
|
| | | | 15,820 | | | | | | 32,725 | | | | | | 21,498 | | |
Small Cap Opportunities Fund
|
| | | | 33,381 | | | | | | 101,435 | | | | | | 39,868 | | |
Global Fund
|
| | | | 24,333 | | | | | | 26,029 | | | | | | 42,288 | | |
International Equity Fund
|
| | | | 1,566 | | | | | | 25,742 | | | | | | 11,922 | | |
| | | Class R4 12b-1 Fees |
| | Class A 12b-1 Fees |
| | Class R3 12b-1 Fees |
| |||||||||
Strategic Emerging Markets Fund
|
| | | | 940 | | | | | | 396 | | | | | | 2,822 | | |
| | | | $ | 132,590 | | | | | $ | 347,451 | | | | | $ | 209,954 | | |
|
| | |
Fiscal Year ended
September 30, 2023 |
| |
Fiscal Year ended
September 30, 2022 |
| |
Fiscal Year ended
September 30, 2021 |
| |||||||||
Inflation-Protected and Income Fund
|
| | | $ | 14,897 | | | | | $ | 12,038 | | | | | $ | 9,089 | | |
| | |
Fiscal Year ended
September 30, 2023 |
| |
Fiscal Year ended
September 30, 2022 |
| |
Fiscal Year ended
September 30, 2021 |
| |||||||||
Core Bond Fund
|
| | | $ | 39,924 | | | | | $ | 44,041 | | | | | $ | 57,254 | | |
Diversified Bond Fund
|
| | | $ | 9,634 | | | | | $ | 10,950 | | | | | $ | 10,340 | | |
Balanced Fund
|
| | | $ | 6,098 | | | | | $ | 8,872 | | | | | $ | 49,757 | | |
Disciplined Value Fund
|
| | | $ | 16,389 | | | | | $ | 8,738 | | | | | $ | 46,898 | | |
Main Street Fund
|
| | | $ | 28,896 | | | | | $ | 28,310 | | | | | $ | 35,511 | | |
Disciplined Growth Fund
|
| | | $ | 18,692 | | | | | $ | 20,220 | | | | | $ | 38,403 | | |
Small Cap Opportunities Fund
|
| | | $ | 252,184 | | | | | $ | 207,614 | | | | | $ | 180,932 | | |
Global Fund
|
| | | $ | 64,803 | | | | | $ | 48,490 | | | | | $ | 42,261 | | |
International Equity Fund
|
| | | $ | 22,878 | | | | | $ | 28,751 | | | | | $ | 54,015 | | |
Strategic Emerging Markets Fund
|
| | | $ | 131,533 | | | | | $ | 168,689 | | | | | $ | 197,941 | | |
| | |
Fiscal Year ended September 30, 2023
|
| |
Fiscal Year
ended September 30, 2022 |
| |
Fiscal Year
ended September 30, 2021 |
| |||||||||||||||||||||||
Affiliated Broker/Dealer
|
| |
Aggregate
Commissions Paid |
| |
Percentage
Paid to Affiliates |
| |
Percentage of
Dollar Amount of Transactions Involving Payment of Commissions to Affiliates |
| |
Aggregate
Commissions Paid |
| |
Aggregate
Commissions Paid |
| |||||||||||||||||
Jefferies LLC | | ||||||||||||||||||||||||||||||||
Disciplined Value Fund 1
|
| | | $ | — | | | | | | | —% | | | | | | | —% | | | | | $ | — | | | | | $ | 6,067 | | |
Main Street Fund 1
|
| | | $ | 138 | | | | | | 0.48% | | | | | | | 0.79% | | | | | | $ | 73 | | | | | $ | 925 | | |
Small Cap Opportunities Fund 1
|
| | | $ | 531 | | | | | | 0.21% | | | | | | | 0.21% | | | | | | $ | 4,291 | | | | | $ | 3,908 | | |
Global Fund 1
|
| | | $ | 7,077 | | | | | | 10.92% | | | | | | | 13.71% | | | | | | $ | 2,967 | | | | | $ | 2,301 | | |
International Equity Fund 1
|
| | | $ | — | | | | | | | —% | | | | | | | —% | | | | | $ | 31 | | | | | $ | — | | |
Strategic Emerging Markets Fund 1
|
| | | $ | 12,939 | | | | | | 9.84% | | | | | | | 10.08% | | | | | | $ | 9,198 | | | | | $ | 7,131 | | |
| | |
Dollar Value of
Those Transactions |
| |
Amount of
Commissions |
| ||||||
Disciplined Value Fund
|
| | | $ | 107,876,204 | | | | | $ | 3,133 | | |
Main Street Fund
|
| | | $ | 125,644,856 | | | | | $ | 34,175 | | |
Disciplined Growth Fund
|
| | | $ | 91,298,297 | | | | | $ | 2,737 | | |
Small Cap Opportunities Fund
|
| | | $ | 248,297,055 | | | | | $ | 226,700 | | |
Global Fund
|
| | | $ | 91,654,615 | | | | | $ | 61,194 | | |
International Equity Fund
|
| | | $ | 42,941,858 | | | | | $ | 7,838 | | |
Strategic Emerging Markets Fund
|
| | | $ | 88,963,896 | | | | | $ | 116,227 | | |
Fund
|
| |
Regular Broker or Dealer
|
| |
Aggregate Value of
Securities Held |
| |||
U.S. Government Money
Market Fund
|
| | HSBC Securities, Inc. | | | | $ | 25,000,000 | | |
| | | | | | | $ | 25,000,000 | | |
Core Bond Fund
|
| | Bank of America Corp. | | | | $ | 7,109,940 | | |
| | | UBS AG | | | | | 4,000,762 | | |
| | | Morgan Stanley | | | | | 3,394,308 | | |
| | | HSBC Securities, Inc. | | | | | 2,943,278 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 2,824,339 | | |
| | | JPMorgan Chase & Co. | | | | | 2,274,800 | | |
| | | Barclays plc | | | | | 1,929,422 | | |
| | | Citigroup, Inc. | | | | | 863,349 | | |
| | | | | | | $ | 25,340,198 | | |
Diversified Bond Fund
|
| | Bank of America Corp. | | | | $ | 1,381,602 | | |
| | | Morgan Stanley | | | | | 976,475 | | |
| | | UBS AG | | | | | 861,330 | | |
| | | JPMorgan Chase & Co. | | | | | 732,474 | | |
| | | HSBC Securities, Inc. | | | | | 522,817 | | |
| | | Barclays plc | | | | | 520,524 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 415,593 | | |
| | Citigroup, Inc. | | | | | 184,647 | | | |
| | | | | | | $ | 5,595,462 | | |
Balanced Fund
|
| | Bank of America Corp | | | | $ | 486,027 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 438,287 | | |
| | | JPMorgan Chase & Co. | | | | | 374,673 | | |
| | | Morgan Stanley | | | | | 318,637 | | |
| | | Citigroup, Inc. | | | | | 258,639 | | |
| | | Wells Fargo | | | | | 144,016 | | |
| | | State Street Corp. | | | | | 151,650 | | |
| | | Truist Financial Corp. | | | | | 145,042 | | |
| | | | | | | $ | 2,316,971 | | |
Disciplined Value Fund
|
| | JPMorgan Chase & Co. | | | | $ | 1,929,346 | | |
| | | State Street Corp. | | | | | 456,801 | | |
| | | Citigroup, Inc. | | | | | 179,861 | | |
| | | | | | | $ | 2,566,008 | | |
Fund
|
| |
Regular Broker or Dealer
|
| |
Aggregate Value of
Securities Held |
| |||
Main Street Fund
|
| | JPMorgan Chase & Co. | | | | $ | 2,285,660 | | |
| | | | | | | $ | 2,285,660 | | |
Strategic Emerging Markets Fund
|
| | Kotak Securities Limited | | | | $ | 5,671,255 | | |
| | | | | | | $ | 5,671,255 | | |
|
|
FUND
|
| |
Gross
income earned by the Fund from securities lending activities |
| |
Fees
paid to securities lending agent from a revenue split |
| |
Fees paid for
any cash collateral management service (including fees deducted from a pooled cash collateral reinvestment vehicle) that are not included in a revenue split |
| |
Administrative
fees not included in a revenue split |
| |
Indemnification
fees not included in a revenue split |
| |
Rebate
(paid to borrower) |
| |
Other fees
not included in a revenue split, if applicable, including a description of those other fees |
| |
Aggregate fees/
compensation paid by the Fund for securities lending activities |
| |
Net
income from securities lending activities |
| |||||||||||||||||||||||||||
|
Inflation-Protected
and Income
Fund |
| | | $ | 28,367 | | | | | $ | 1,230 | | | | | $ | 215 | | | | | $ | — | | | | | $ | — | | | | | $ | 19,951 | | | | | $ | — | | | | | $ | 21,396 | | | | | $ | 6,971 | | |
|
Core Bond Fund
|
| | | $ | 216,582 | | | | | $ | 3,496 | | | | | $ | 1,449 | | | | | $ | — | | | | | $ | — | | | | | $ | 191,826 | | | | | $ | — | | | | | $ | 196,772 | | | | | $ | 19,810 | | |
|
Diversified Bond
Fund
|
| | | $ | 115,744 | | | | | $ | 2,635 | | | | | $ | 758 | | | | | $ | — | | | | | $ | — | | | | | $ | 97,418 | | | | | $ | — | | | | | $ | 100,811 | | | | | $ | 14,933 | | |
|
Balanced Fund
|
| | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
|
Disciplined Value
Fund
|
| | | $ | 4,397 | | | | | $ | 156 | | | | | $ | 29 | | | | | $ | — | | | | | $ | — | | | | | $ | 3,330 | | | | | $ | — | | | | | $ | 3,515 | | | | | $ | 882 | | |
|
Main Street Fund
|
| | | $ | 16,463 | | | | | $ | 1,861 | | | | | $ | 50 | | | | | $ | — | | | | | $ | — | | | | | $ | 4,004 | | | | | $ | — | | | | | $ | 5,915 | | | | | $ | 10,548 | | |
|
Disciplined
Growth Fund
|
| | | $ | 20,160 | | | | | $ | 1,588 | | | | | $ | 89 | | | | | $ | — | | | | | $ | — | | | | | $ | 9,486 | | | | | $ | — | | | | | $ | 11,163 | | | | | $ | 8,997 | | |
|
Small Cap
Opportunities Fund
|
| | | $ | 55,771 | | | | | $ | 2,836 | | | | | $ | 343 | | | | | $ | — | | | | | $ | — | | | | | $ | 36,519 | | | | | $ | — | | | | | $ | 39,698 | | | | | $ | 16,073 | | |
|
Global Fund
|
| | | $ | 89,163 | | | | | $ | 1,812 | | | | | $ | 582 | | | | | $ | — | | | | | $ | — | | | | | $ | 76,500 | | | | | $ | — | | | | | $ | 78,894 | | | | | $ | 10,269 | | |
|
International
Equity Fund
|
| | | $ | 140,007 | | | | | $ | 5,743 | | | | | $ | 760 | | | | | $ | — | | | | | $ | — | | | | | $ | 100,963 | | | | | $ | — | | | | | $ | 107,465 | | | | | $ | 32,542 | | |
|
Strategic
Emerging Markets Fund
|
| | | $ | 25,659 | | | | | $ | 1,134 | | | | | $ | 170 | | | | | $ | — | | | | | $ | — | | | | | $ | 17,930 | | | | | $ | — | | | | | $ | 19,234 | | | | | $ | 6,425 | | |
|
Description/Requirement
|
| |
Barings Record
|
| |
Creator
|
| |
Owner
|
| |
Retention
Period |
| |
Source
|
|
| The Compliance review and any approvals needed by GCC of Policy, proxy activity, and approval of Proxy Voting Forms | | | Compliance and GCC meeting materials | | | Proxy Voting Team and Compliance | | | GCC Representative | | |
7 Years
|
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Proxy statements, research, recommendations, and records of votes cast | | | Proxy Records | | | Service Provider or Proxy Voting Team | | | Service Provider or Proxy Voting Team | | |
7 Years
|
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Proxy Voting Forms (including supporting documentation used in deciding how to vote) | | | Proxy Voting Forms | | | Proxy Voting Team and/or Proxy Analyst | | |
Proxy Voting Team
|
| |
7 Years
|
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
|
Description/Requirement
|
| |
Barings Record
|
| |
Creator
|
| |
Owner
|
| |
Retention
Period |
| |
Source
|
|
| Client written requests for proxy voting information and responses thereto | | | Client Proxy Requests | | | Proxy Voting Team | | |
Proxy Voting Team
|
| |
7 Years
|
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Form N-PX, for proxies voted on behalf of an investment company for which Barings serves as investment adviser and is responsible for making such filing on behalf of its Clients | | | Form N-PX | | | Proxy Voting Team | | |
Legal Department
|
| |
7 Years
|
| |
Barings Policy requirement and Investment Advisers Act of 1940, Rule 206(4)‑6 for Barings US regulated Advisers
Rule 30b1‑4 |
|
| The Proxy Voting Policy, associated procedures and any amendments thereto | | |
Proxy Voting Policy
|
| | Compliance Department | | | Compliance Department | | |
7 Years
|
| |
Barings Policy requirement
|
|
| A copy of the Research Provider’s proxy voting guidelines | | | Research Provider’s Proxy Voting Guidelines | | | Research Provider | | |
Proxy Voting Team
|
| |
7 Years
|
| |
Barings Policy requirement
|
|
| | | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
| ||||||
| Adam Cash | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$1,123 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 0 | | | |
$0
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 13 | | | |
$8,349 million
|
| | | | 0 | | | |
$0
|
|
| Scott Simler | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$1,123 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 0 | | | |
$0
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 15 | | | |
$14,419 million
|
| | | | 0 | | | |
$0
|
|
| | | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
| ||||||
| Yulia Alekseeva | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$1,999 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 2 | | | |
$171 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 30 | | | |
$21,342 million
|
| | | | 0 | | | |
$0
|
|
| Douglas Trevallion, II | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$1,999 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 1 | | | |
$0.093 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 36 | | | |
$20,962 million
|
| | | | 0 | | | |
$0
|
|
| | | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
| ||||||
| Yulia Alekseeva | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$1,585 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 2 | | | |
$171 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 30 | | | |
$21,342 million
|
| | | | 0 | | | |
$0
|
|
| Stephen Ehrenberg | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$1,136 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 2 | | | |
$372 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 37 | | | |
$38,312 million
|
| | | | 0 | | | |
$0
|
|
| Charles Sanford | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$1,136 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 1 | | | |
$171 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 90 | | | |
$58,505 million
|
| | | | 0 | | | |
$0
|
|
| Douglas Trevallion, II | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$1,585 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 1 | | | |
$0.093 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 36 | | | |
$20,962 million
|
| | | | 0 | | | |
$0
|
|
| | | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
| ||||||
| Yulia Alekseeva | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$2,108 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 2 | | | |
$171 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 30 | | | |
$21,342 million
|
| | | | 0 | | | |
$0
|
|
| Stephen Ehrenberg | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$1,659 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 2 | | | |
$372 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 37 | | | |
$38,312 million
|
| | | | 0 | | | |
$0
|
|
| Charles Sanford | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$1,659 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 1 | | | |
$171 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 90 | | | |
$58,505 million
|
| | | | 0 | | | |
$0
|
|
| Douglas Trevallion, II | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$2,108 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 1 | | | |
$0.093 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 36 | | | |
$20,962 million
|
| | | | 0 | | | |
$0
|
|
| | | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
| ||||||
|
Jeffrey Bennett
|
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 8 | | | |
$7,114.9 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 28 | | | |
$2,042.9 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 742*** | | | |
$58.5 million
|
| | | | 0 | | | |
$0
|
|
| Matt Brill | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 8 | | | |
$12,558.7 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 19 | | | |
$5,112.7 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 1 | | | |
$256.6 million
|
| | | | 0 | | | |
$0
|
|
| Alessio de Longis | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 8 | | | |
$7,114.9 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 26 | | | |
$1,749.8 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 744*** | | | |
$774.4 million
|
| | | | 0 | | | |
$0
|
|
| Pratik Doshi | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 153 | | | |
$159,084.9 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 115 | | | |
$218,183.4 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 42 | | | |
$57,176.4 million
|
| | | | 0 | | | |
$0
|
|
| Peter Hubbard | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 209 | | | |
$204,072.2 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 115 | | | |
$218,183.4 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 42 | | | |
$57,176.4 million
|
| | | | 0 | | | |
$0
|
|
| Michael D. Hyman | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 10 | | | |
$12,815.2 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 21 | | | |
$4,967.0 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 1*** | | | |
$0.2 million
|
| | | | 0 | | | |
$0
|
|
| Michael Jeanette | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 154 | | | |
$159,178.8 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 115 | | | |
$218,183.4 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 42 | | | |
$57,176.4 million
|
| | | | 0 | | | |
$0
|
|
| Todd Schomberg | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 7 | | | |
$11,585.2 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 21 | | | |
$5,193.1 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 0 | | | |
$0
|
| | | | 0 | | | |
$0
|
|
| Tony Seisser | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 154 | | | |
$159,178.8 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 115 | | | |
$218,183.4 million
|
| | | | 0 | | | |
$0
|
|
| | | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
| ||||||
|
Other accounts
|
| | | | 42 | | | |
$57,176.4 million
|
| | | | 0 | | | |
$0
|
|
| | | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
| ||||||
| Manind Govil | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 3 | | | |
$9,690.1 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 1 | | | |
$239.8 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 0 | | | |
$0
|
| | | | 0 | | | |
$0
|
|
| Benjamin Ram | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$13,075.8 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 1 | | | |
$239.8 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 0 | | | |
$0
|
| | | | 0 | | | |
$0
|
|
| | | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
| ||||||
| Joy Budzinski | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$5,931.3 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 1 | | | |
$84.1 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 47*** | | | |
$11.4 million
|
| | | | 0 | | | |
$0
|
|
| Magnus Krantz | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 9 | | | |
$9,625.6 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 1 | | | |
$84.1 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 47*** | | | |
$11.4 million
|
| | | | 0 | | | |
$0
|
|
| Raman Vardharaj | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$7,504.3 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 1 | | | |
$84.1 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 47*** | | | |
$11.4 million
|
| | | | 0 | | | |
$0
|
|
| Adam Weiner | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$4,791.1 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 1 | | | |
$84.1 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 199*** | | | |
$113.8 million
|
| | | | 0 | | | |
$0
|
|
| Matthew P. Ziehl | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$4,791.1 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 1 | | | |
$84.1 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 199*** | | | |
$113.8 million
|
| | | | 0 | | | |
$0
|
|
| | | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
| ||||||
| John Delano | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 9 | | | |
$14,904.8 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 7 | | | |
$1,706.5 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 3 | | | |
$4.8 million
|
| | | | 0 | | | |
$0
|
|
| | | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
| ||||||
| Justin Leverenz | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 3 | | | |
$23,550.6 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 6 | | | |
$1,894.0 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 0 | | | |
$0
|
| | | | 0 | | | |
$0
|
|
|
Sub-Adviser
|
| |
Performance time period 1
|
|
|
Invesco Advisers 2
|
| | One-, Three- and Five-year performance against fund peer group. | |
| ICM 2, 3 | | | Not applicable | |
| | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
|
Brandon H. Harrell | | ||||||||||||
Registered investment companies**
|
| |
6
|
| |
$7,123.6 million
|
| |
0
|
| |
$0
|
|
Other pooled investment vehicles
|
| |
5
|
| |
$1,759.9 million
|
| |
0
|
| |
$0
|
|
Other accounts
|
| |
13
|
| |
$3,418.0 million
|
| |
0
|
| |
$0
|
|
| | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
|
Matt J. Kyller | | | | | | | | | | | | | |
Registered investment companies**
|
| |
7
|
| |
$1,062,886,365
|
| |
0
|
| |
$0
|
|
Other pooled investment vehicles
|
| |
9
|
| |
$72,489,200
|
| |
0
|
| |
$0
|
|
Other accounts
|
| |
1
|
| |
$93,503,845
|
| |
0
|
| |
$0
|
|
Tom S. Simon | | | | | | | | | | | | | |
Registered investment companies**
|
| |
10
|
| |
$10,701,062,123
|
| |
0
|
| |
$0
|
|
Other pooled investment vehicles
|
| |
7
|
| |
$91,262,475
|
| |
0
|
| |
$0
|
|
Other accounts
|
| |
3
|
| |
$1,439,429,117
|
| |
0
|
| |
$0
|
|
| | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
|
Matt J. Kyller | | | | | | | | | | | | | |
Registered investment companies**
|
| |
7
|
| |
$985,796,329
|
| |
0
|
| |
$0
|
|
Other pooled investment vehicles
|
| |
9
|
| |
$72,489,200
|
| |
0
|
| |
$0
|
|
Other accounts
|
| |
1
|
| |
$93,503,845
|
| |
0
|
| |
$0
|
|
Tom S. Simon | | | | | | | | | | | | | |
Registered investment companies**
|
| |
10
|
| |
$10,561,571,017
|
| |
0
|
| |
$0
|
|
Other pooled investment vehicles
|
| |
7
|
| |
$91,262,475
|
| |
0
|
| |
$0
|
|
Other accounts
|
| |
3
|
| |
$1,439,429,117
|
| |
0
|
| |
$0
|
|
| | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
|
Peter C. Fisher | | ||||||||||||
Registered investment companies**
|
| |
6
|
| |
$53,145,478,818
|
| |
1
|
| |
$49,273,992,747
|
|
Other pooled investment vehicles
|
| |
5
|
| |
$512,494,028
|
| |
1
|
| |
$72,659,726
|
|
Other accounts
|
| |
5
|
| |
$395,679,113
|
| |
1
|
| |
$42,093,778
|
|
Fund
|
| |
Benchmark and/or Peer Group
|
|
Disciplined Value Fund
|
| | Russell 1000 Value Index | |
Disciplined Growth Fund
|
| | Russell 1000 Growth Index | |
International Equity Fund
|
| | MSCI EAFE Index | |
Fund Name
|
| |
Class I
|
| |
Class R5
|
| |
Service
Class |
| |
Administrative
Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y
|
| |
Class L
|
| |
Class C
|
| ||||||||||||||||||||||||||||||
MassMutual Short-
Duration Bond Fund
|
| | | | MSTZX | | | | | | MSTDX | | | | | | MSBYX | | | | | | MSTLX | | | | | | MPSDX | | | | | | MSHAX | | | | | | MSDNX | | | | | | BXDYX | | | | | | BXDLX | | | | | | BXDCX | | |
MassMutual High
Yield Fund
|
| | | | MPHZX | | | | | | MPHSX | | | | | | DLHYX | | | | | | MPHLX | | | | | | MPHRX | | | | | | MPHAX | | | | | | MPHNX | | | | | | BXHYX | | | | | | | | | | | | BXHCX | | |
| | |
Page
|
| |||
| | | | B-3 | | | |
| | | | B-3 | | | |
| | | | B-47 | | | |
| | | | B-49 | | | |
| | | | B-50 | | | |
| | | | B-59 | | | |
| | | | B-64 | | | |
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| | | | B-69 | | | |
| | | | B-70 | | | |
| | | | B-71 | | | |
| | | | B-71 | | | |
| | | | B-71 | | | |
| | | | B-72 | | | |
| | | | B-73 | | | |
| | | | B-75 | | | |
| | | | B-77 | | | |
| | | | B-77 | | | |
| | | | B-78 | | | |
| | | | B-79 | | | |
| | | | B-89 | | | |
| | | | B-90 | | | |
| | | | B-94 | | | |
| | | | B-103 | | |
|
Nabil N. El‑Hage
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1958 Trustee of the Trust since 2003 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
|
Maria D. Furman
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1954 Trustee of the Trust since 2004 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
|
R. Bradford Malt
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1954 Trustee of the Trust since 2022 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
|
C. Ann Merrifield
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1951 Trustee of the Trust since 2004 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
|
Cynthia R. Plouché
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1957 Trustee of the Trust since 2022 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
|
Jason J. Price
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1973 Trustee of the Trust since 2022 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
|
Susan B. Sweeney
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1952 Chairperson of the Trust since 2022 Trustee of the Trust since 2012 Trustee of 115 portfolios in fund complex1 |
| | Chairperson and Trustee of the Trust | |
|
Paul LaPiana2
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1969 Trustee of the Trust since 2023 Officer of the Trust 2021‑2023; since 2023 Trustee and Officer of 113 portfolios in fund complex |
| | Trustee and President of the Trust | |
|
Clifford M. Noreen3
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1957 Trustee of the Trust since 2021 Trustee of 115 portfolios in fund complex4 |
| | Trustee of the Trust | |
|
Andrew M. Goldberg
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1966 Officer of the Trust since 2004 Officer of 113 portfolios in fund complex |
| | Vice President, Secretary, and Chief Legal Officer of the Trust | |
|
Renee Hitchcock
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1970 Officer of the Trust since 2007 Officer of 113 portfolios in fund complex |
| | Chief Financial Officer and Treasurer of the Trust | |
|
Jill Nareau Robert
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1972 Officer of the Trust since 2008 Officer of 113 portfolios in fund complex |
| | Vice President and Assistant Secretary of the Trust | |
|
Douglas Steele
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1975 Officer of the Trust since 2016 Officer of 113 portfolios in fund complex |
| | Vice President of the Trust | |
|
Philip S. Wellman
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1964 Officer of the Trust since 2007 Officer of 113 portfolios in fund complex |
| | Vice President and Chief Compliance Officer of the Trust | |
Name of Trustee
|
| |
The Dollar Range of Equity
Securities Beneficially Owned in the Trust |
| |
Aggregate Dollar Range of Equity
Securities in All Registered Investment Companies Overseen by Trustee in Family of Investment Companies |
|
Independent Trustees | | | | | | | |
Nabil N. El-Hage
|
| |
None
|
| |
None
|
|
Maria D. Furman
|
| |
None
|
| |
None
|
|
R. Bradford Malt
|
| |
None
|
| |
None
|
|
C. Ann Merrifield
|
| |
None
|
| |
None
|
|
Cynthia R. Plouché
|
| |
None
|
| |
None
|
|
Jason J. Price
|
| |
None
|
| |
None
|
|
Susan B. Sweeney
|
| |
None
|
| |
None
|
|
Interested Trustees | | | | | | | |
Paul LaPiana
|
| |
None
|
| |
None
|
|
Clifford M. Noreen
|
| |
None
|
| |
$10,001-$50,000
|
|
Name of Trustee
|
| |
Aggregate Compensation from
the Trust |
| |
Total Compensation from the
Trust and Fund Complex Paid to Trustees |
| ||||||
Allan W. Blair 1
|
| | | $ | 20,342 | | | | | $ | 288,600 | | |
Nabil N. El-Hage
|
| | | $ | 20,892 2 | | | | | $ | 296,400 | | |
Michael R. Fanning 3
|
| | | $ | 0 | | | | | $ | 0 | | |
Maria D. Furman
|
| | | $ | 19,059 | | | | | $ | 270,400 | | |
Paul LaPiana 4
|
| | | $ | 0 | | | | | $ | 0 | | |
R. Bradford Malt
|
| | | $ | 19,059 | | | | | $ | 270,400 | | |
C. Ann Merrifield
|
| | | $ | 20,341 | | | | | $ | 288,600 | | |
Clifford M. Noreen
|
| | | $ | 0 | | | | | $ | 0 | | |
Cynthia R. Plouché
|
| | | $ | 19,059 | | | | | $ | 270,400 | | |
Jason J. Price
|
| | | $ | 19,059 | | | | | $ | 270,400 | | |
Susan B. Sweeney
|
| | | $ | 25,658 | | | | | $ | 490,150 | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class I
|
| |
MassMutual 20/80 Allocation Fund
1295 State Street
Springfield, MA 01111
|
| | | | 20.23% | | |
| | |
Voya Institutional Trust Company
P.O. Box 3015
New York, NY 10116
|
| | | | 19.36% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 16.97% | | | |
| | |
MassMutual 40/60 Allocation Fund
1295 State Street
Springfield, MA 01111
|
| | | | 15.37% | | |
| | |
MassMutual 60/40 Allocation Fund
1295 State Street
Springfield, MA 01111
|
| | | | 9.45% | | |
| | |
Benefit Trust Company
FBO CSA Government DB Plan
5901 College Boulevard
Overland Park, KS 66211
|
| | | | 6.00% | | |
Class R5
|
| |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 51.84% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 40.03% | | |
| | |
State Street Bank and Trust Company
1 Lincoln Street
Boston, MA 02111
|
| | | | 5.49% | | |
Service Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 87.85% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.81% | | |
Administrative Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 94.14% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 5.18% | | |
Class R4
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 51.51% | | |
| | |
Matrix Trust Company
FBO Kayser-Roth Corporation
717 17th Street, Suite 1300
Denver, CO 80202
|
| | | | 20.10% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 14.85% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
| | |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 10.91% | | |
Class A
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 53.00% | | |
| | |
Pershing LLC
P.O. Box 2052
Jersey City, NJ 07303
|
| | | | 24.57% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 14.99% | | |
Class R3
|
| |
Sammons Financial Network, LLC
4546 Corporate Drive, Suite 100
West Des Moines, IA 50266
|
| | | | 47.47% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 42.34% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 8.86% | | |
Class Y
|
| |
Morgan Stanley Smith Barney LLC
1 New York Plaza, Floor 12
New York, NY 10004
|
| | | | 30.45% | | |
| | |
Charles Schwab & Co., Inc.
211 Main Street
San Francisco, CA 94105
|
| | | | 22.91% | | |
| | |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 16.90% | | |
| | |
UBS Financial Services, Inc.
1000 Harbor Boulevard, Floor 8
Weehawken, NJ 07086
|
| | | | 9.04% | | |
| | |
RBC Capital Markets, LLC
250 Nicollet Mall, Suite 1800
Minneapolis, MN 55401
|
| | | | 8.08% | | |
| | |
Raymond James & Associates
880 Carillon Parkway
St. Petersburg, FL 33716
|
| | | | 7.85% | | |
Class L
|
| |
Morgan Stanley Smith Barney LLC
1 New York Plaza, Floor 12
New York, NY 10004
|
| | | | 67.96% | | |
| | |
RBC Capital Markets, LLC
250 Nicollet Mall, Suite 1800
Minneapolis, MN 55401
|
| | | | 15.66% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
| | |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 6.21% | | |
Class C
|
| |
Morgan Stanley Smith Barney LLC
1 New York Plaza, Floor 12
New York, NY 10004
|
| | | | 55.82% | | |
| | |
RBC Capital Markets, LLC
250 Nicollet Mall, Suite 1800
Minneapolis, MN 55401
|
| | | | 25.75% | | |
| | |
Pershing LLC
P.O. Box 2052
Jersey City, NJ 07303
|
| | | | 11.24% | | |
| | |
Raymond James & Associates
880 Carillon Parkway
St. Petersburg, FL 33716
|
| | | | 7.20% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Class I
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 31.50% | | |
| | |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 21.43% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 13.86% | | |
| | |
MassMutual RetireSMART by JPMorgan 2030 Fund
1295 State Street
Springfield, MA 01111
|
| | | | 5.25% | | |
Class R5
|
| |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 34.78% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 29.77% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 12.68% | | |
| | |
DCGT
FBO PLIC Various Retirement Plans Omnibus
711 High Street
Des Moines, IA 50392
|
| | | | 8.04% | | |
| | |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 7.93% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
Service Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 45.56% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 34.48% | | |
| | |
The Hartford
One Hartford Plaza
Hartford, CT 06155
|
| | | | 8.44% | | |
Administrative Class
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 53.30% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 36.09% | | |
| | |
The Hartford
One Hartford Plaza
Hartford, CT 06155
|
| | | | 6.85% | | |
Class R4
|
| |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 48.23% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 31.85% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 10.93% | | |
Class A
|
| |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 61.49% | | |
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 17.64% | | |
| | |
Millennium Trust Company, LLC
2001 Spring Road, Suite 700
Oak Brook, IL 60523
|
| | | | 8.93% | | |
| | |
National Financial Services LLC
499 Washington Boulevard
Jersey City, NJ 07310
|
| | | | 5.64% | | |
Class R3
|
| |
Talcott Resolution Life Insurance Company
1 Griffin Road North
Windsor, CT 06095
|
| | | | 52.23% | | |
| | |
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
|
| | | | 38.73% | | |
Class
|
| |
Name and Address of Owner
|
| |
Percent of Class
|
| |||
| | |
Empower Trust Company, LLC
8515 East Orchard Road
Greenwood Village, CO 80111
|
| | | | 7.94% | | |
Class Y
|
| |
Jewish Communal Fund
130 East 59th Street, Suite 1204
New York, NY 10022
|
| | | | 90.51% | | |
| | |
Charles Schwab & Co., Inc.
211 Main Street
San Francisco, CA 94105
|
| | | | 23.37% | | |
Class C
|
| |
Barings LLC
300 South Tryon Street, Suite 2500
Charlotte, NC 28202
|
| | | | 85.44% | | |
| | |
LPL Financial
4707 Executive Drive
San Diego, CA 92121
|
| | | | 14.56% | | |
Fund
|
| | | |
Short-Duration Bond Fund
|
| |
0.35% on the first $500 million; and
0.30% on assets over $500 million
|
|
High Yield Fund
|
| |
0.48% on the first $250 million; and
0.455% on assets over $250 million
|
|
|
Short-Duration Bond Fund
|
| | 0.08% | |
|
High Yield Fund
|
| | 0.20% | |
| | | |
Class I
|
| |
Class R5
|
| |
Service
Class |
| |
Administrative
Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y
|
| |
Class L
|
| |
Class C
|
| |||||||||||||||||||||||||||
|
Short-Duration
Bond Fund
|
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | | | | | 0.05% | | | |
0.05%
|
|
|
High Yield Fund
|
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.05% | | | |
N/A
|
| |
None
|
|
| | |
Fiscal Year Ended September 30, 2023
|
| |||||||||||||||||||||||||||
| | |
Advisory Fees
Paid |
| |
Subadvisory
Fees Paid |
| |
Advisory Fees
Waived |
| |
Administrative
Fees Paid |
| |
Other Expenses
Reimbursed |
| |||||||||||||||
Short-Duration Bond Fund 1
|
| | | $ | 1,062,581 | | | | | $ | 239,670 | | | | | $ | — | | | | | $ | 237,179 | | | | | $ | (730,936) | | |
High Yield Fund
|
| | | | 1,860,725 | | | | | | 787,516 | | | | | | — | | | | | | 248,614 | | | | | | — | | |
| | |
Fiscal Year Ended September 30, 2022
|
| |||||||||||||||||||||||||||
| | |
Advisory Fees
Paid |
| |
Subadvisory
Fees Paid |
| |
Advisory Fees
Waived |
| |
Administrative
Fees Paid |
| |
Other Expenses
Reimbursed |
| |||||||||||||||
Short-Duration Bond Fund 1
|
| | | $ | 2,767,030 | | | | | $ | 672,427 | | | | | $ | — | | | | | $ | 720,029 | | | | | $ | (426,071) | | |
High Yield Fund
|
| | | | 2,330,607 | | | | | | 989,512 | | | | | | — | | | | | | 325,502 | | | | | | — | | |
| | | |
Fiscal Year Ended September 30, 2021
|
| |||||||||||||||||||||||||||||||||
| | | |
Advisory Fees
Paid |
| |
Subadvisory
Fees Paid |
| |
Advisory Fees
Waived |
| |
Administrative
Fees Paid |
| |
Supplemental
Shareholder Services Fees Paid |
| |
Other
Expenses Reimbursed |
| ||||||||||||||||||
|
Short-Duration Bond Fund
|
| | | $ | 1,393,181 | | | | | $ | 315,802 | | | | | $ | — | | | | | $ | 342,861 | | | | | $ | 31,547 | | | | | $ | — | | |
|
High Yield Fund
|
| | | | 2,686,755 | | | | | | 1,141,390 | | | | | | — | | | | | | 378,655 | | | | | | 23,028 | | | | | | — | | |
| | | | | | | | | |
Sales Charge Revenue
|
| | | | |
CDSC Revenue
|
| ||||||||||||||||||||||||||||||
| | | |
Fiscal
Year Ended |
| |
Amount
Paid to Distributor |
| |
Amount
Reallowed to Dealers |
| |
Amount
Retained by Distributor |
| | | | |
Amount
Paid to Distributor |
| |
Amount
Reallowed to Dealers |
| |
Amount
Retained by Distributor |
| |||||||||||||||||||||
|
High Yield Fund –
Class A
|
| | | | 2023 | | | | | $ | 1,155 | | | | | $ | 945 | | | | | $ | 210 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 1,650 | | | | | $ | 1,050 | | | | | $ | 600 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
Amount of Purchase
|
| |
Front-End Sales
Charge as a Percentage of Offering Price |
| |
Front-End
Sales Charge as a Percentage of Net Amount Invested |
| |
Commission as a
Percentage of Offering Price |
| |||
Less than $25,000
|
| |
2.50%
|
| |
2.56%
|
| | | | 2.00% | | |
$25,000-$49,999
|
| |
2.25%
|
| |
2.30%
|
| | | | 1.75% | | |
$50,000-$99,999
|
| |
2.00%
|
| |
2.04%
|
| | | | 1.50% | | |
$100,000-$249,999
|
| |
1.75%
|
| |
1.78%
|
| | | | 1.25% | | |
$250,000-$499,999
|
| |
1.50%
|
| |
1.52%
|
| | | | 1.00% | | |
$500,000-$999,999
|
| |
1.25%
|
| |
1.27%
|
| | | | 1.00% | | |
$1,000,000-$4,999,999 1 | | |
None
|
| |
None
|
| | | | 0.50% | | |
$5,000,000 or more 1
|
| |
None
|
| |
None
|
| | | | 0.50% | | |
Amount of Purchase
|
| |
Front-End Sales
Charge as a Percentage of Offering Price |
| |
Front-End
Sales Charge as a Percentage of Net Amount Invested |
| |
Commission as a
Percentage of Offering Price |
| |||
Less than $25,000
|
| |
4.25%
|
| |
4.44%
|
| | | | 3.50% | | |
$25,000-$49,999
|
| |
4.25%
|
| |
4.44%
|
| | | | 3.50% | | |
$50,000-$99,999
|
| |
4.00%
|
| |
4.17%
|
| | | | 3.25% | | |
$100,000-$249,999
|
| |
3.00%
|
| |
3.09%
|
| | | | 2.25% | | |
$250,000-$499,999
|
| |
1.75%
|
| |
1.78%
|
| | | | 1.50% | | |
$500,000-$999,999
|
| |
1.25%
|
| |
1.27%
|
| | | | 1.00% | | |
$1,000,000-$4,999,999 1 | | |
None
|
| |
None
|
| | | | 1.00% | | |
$5,000,000 or more 1
|
| |
None
|
| |
None
|
| | | | 0.50% | | |
| | |
Class R4
12b-1 Fees |
| |
Class A
12b-1 Fees |
| |
Class R3
12b-1 Fees |
| |
Class L
12b-1 Fees |
| |
Class C
12b-1 Fees |
| |||||||||||||||
Short-Duration Bond Fund
|
| | | $ | 14,970 | | | | | $ | 17,170 | | | | | $ | 35,315 | | | | | $ | 138,993 | | | | | $ | 5,056 | | |
High Yield Fund
|
| | | | 58,243 | | | | | | 20,638 | | | | | | 119,566 | | | | | | N/A | | | | | | 907 | | |
| | | | $ | 73,213 | | | | | $ | 37,808 | | | | | $ | 154,881 | | | | | $ | 138,993 | | | | | $ | 5,963 | | |
| | |
Fiscal Year ended
September 30, 2023 |
| |
Fiscal Year ended
September 30, 2022 |
| |
Fiscal Year ended
September 30, 2021 |
| |||||||||
Short-Duration Bond Fund
|
| | | $ | 47,783 | | | | | $ | 148,280 | | | | | $ | 51,367 | | |
High Yield Fund
|
| | | $ | — | | | | | $ | 1,993 | | | | | $ | — | | |
Regular Broker or Dealer
|
| |
Aggregate Value of
Securities Held |
| |||
Morgan Stanley
|
| | | $ | 2,187,345 | | |
Barclays plc
|
| | | | 1,628,129 | | |
UBS AG
|
| | | | 1,451,410 | | |
Bank of America Corp.
|
| | | | 1,129,853 | | |
HSBC Securities, Inc.
|
| | | | 1,014,015 | | |
Wells Fargo & Company
|
| | | | 556,087 | | |
JPMorgan Chase & Co.
|
| | | | 556,055 | | |
| | | | $ | 8,522,894 | | |
|
FUND
|
| |
Gross
income earned by the Fund from securities lending activities |
| |
Fees
paid to securities lending agent from a revenue split |
| |
Fees paid for
any cash collateral management service (including fees deducted from a pooled cash collateral reinvestment vehicle) that are not included in a revenue split |
| |
Administrative
fees not included in a revenue split |
| |
Indemnification
fees not included in a revenue split |
| |
Rebate
(paid to borrower) |
| |
Other fees
not included in a revenue split, if applicable, including a description of those other fees |
| |
Aggregate fees/
compensation paid by the Fund for securities lending activities |
| |
Net
income from securities lending activities |
| |||||||||||||||||||||||||||
|
Short-Duration
Bond Fund
|
| | | $ | 200,186 | | | | | $ | 5,430 | | | | | $ | 1,478 | | | | | $ | — | | | | | $ | — | | | | | $ | 162,506 | | | | | $ | — | | | | | $ | 169,414 | | | | | $ | 30,772 | | |
|
High Yield Fund
|
| | | $ | 788,597 | | | | | $ | 24,251 | | | | | $ | 5,150 | | | | | $ | — | | | | | $ | — | | | | | $ | 621,775 | | | | | $ | — | | | | | $ | 651,176 | | | | | $ | 137,421 | | |
|
Description/Requirement
|
| |
Barings Record
|
| |
Creator
|
| |
Owner
|
| |
Retention
Period |
| |
Source
|
|
| The Compliance review and any approvals needed by GCC of Policy, proxy activity, and approval of Proxy Voting Forms | | | Compliance and GCC meeting materials | | | Proxy Voting Team and Compliance | | | GCC Representative | | |
7 Years
|
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Proxy statements, research, recommendations, and records of votes cast | | | Proxy Records | | | Service Provider or Proxy Voting Team | | | Service Provider or Proxy Voting Team | | |
7 Years
|
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Proxy Voting Forms (including supporting documentation used in deciding how to vote) | | | Proxy Voting Forms | | | Proxy Voting Team and/or Proxy Analyst | | |
Proxy Voting Team
|
| |
7 Years
|
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
|
Description/Requirement
|
| |
Barings Record
|
| |
Creator
|
| |
Owner
|
| |
Retention
Period |
| |
Source
|
|
| Client written requests for proxy voting information and responses thereto | | | Client Proxy Requests | | | Proxy Voting Team | | |
Proxy Voting Team
|
| |
7 Years
|
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Form N-PX, for proxies voted on behalf of an investment company for which Barings serves as investment adviser and is responsible for making such filing on behalf of its Clients | | | Form N-PX | | | Proxy Voting Team | | |
Legal Department
|
| |
7 Years
|
| |
Barings Policy requirement and Investment Advisers Act of 1940, Rule 206(4)‑6 for Barings US regulated Advisers
Rule 30b1‑4 |
|
| The Proxy Voting Policy, associated procedures and any amendments thereto | | |
Proxy Voting Policy
|
| | Compliance Department | | | Compliance Department | | |
7 Years
|
| |
Barings Policy requirement
|
|
| A copy of the Research Provider’s proxy voting guidelines | | | Research Provider’s Proxy Voting Guidelines | | | Research Provider | | |
Proxy Voting Team
|
| |
7 Years
|
| |
Barings Policy requirement
|
|
| | | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
| ||||||
| Yulia Alekseeva | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$2,045 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 2 | | | |
$171 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 30 | | | |
$21,342 million
|
| | | | 0 | | | |
$0
|
|
| Stephen Ehrenberg | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$1,596 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 2 | | | |
$372 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 37 | | | |
$38,312 million
|
| | | | 0 | | | |
$0
|
|
| Natalia Krol | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 3 | | | |
$323 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 0 | | | |
$0
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 12 | | | |
$161 million
|
| | | | 0 | | | |
$0
|
|
| Omotunde Lawal | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$253 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 2 | | | |
$204 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 17 | | | |
$2,897 million
|
| | | | 0 | | | |
$0
|
|
| Charles Sanford | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$1,596 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 1 | | | |
$171 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 90 | | | |
$58,505 million
|
| | | | 0 | | | |
$0
|
|
| Douglas Trevallion, II | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$2,045 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 1 | | | |
$0.093 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 36 | | | |
$20,962 million
|
| | | | 0 | | | |
$0
|
|
| | | |
Number of
Accounts Managed* |
| |
Total Assets*
|
| |
Number of
Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets*
|
| ||||||
| Sean Feeley | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 10 | | | |
$1,331 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 7 | | | |
$3,382 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 23 | | | |
$4,006 million
|
| | | | 0 | | | |
$0
|
|
| Scott Roth | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$573 million
|
| | | | 0 | | | |
$0
|
|
|
Other pooled investment vehicles
|
| | | | 12 | | | |
$5,076 million
|
| | | | 0 | | | |
$0
|
|
|
Other accounts
|
| | | | 26 | | | |
$4,749 million
|
| | | | 0 | | | |
$0
|
|
MassMutual Premier Funds
PART C. OTHER INFORMATION
ITEM 28. | EXHIBITS |
(1) | Intentionally left blank. |
(2) | Intentionally left blank. |
(3) | Intentionally left blank. |
(4) | Intentionally left blank. |
(5) | Intentionally left blank. |
(6) | Intentionally left blank. |
(7) | Intentionally left blank. |
(8) | Intentionally left blank. |
(9) | Intentionally left blank. |
(10) | Intentionally left blank. |
(11) | Intentionally left blank. |
(12) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 21 filed on October 24, 2000. |
(13) | Intentionally left blank. |
(14) | Intentionally left blank. |
(15) | Intentionally left blank. |
(16) | Intentionally left blank. |
(17) | Intentionally left blank. |
(18) | Intentionally left blank. |
(19) | Incorporated by reference to Registrant’s Registration Statement on Form N-14, File No. 333-118009, filed on August 6, 2004. |
(20) | Intentionally left blank. |
(21) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 31 filed on November 1, 2004. |
(22) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 32 filed on December 29, 2004. |
(23) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 33 filed on February 25, 2005. |
(24) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 35 filed on November 30, 2005. |
(25) | Intentionally left blank. |
(26) | Intentionally left blank. |
(27) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 39 filed on September 26, 2006. |
(28) | Intentionally left blank. |
(29) | Intentionally left blank. |
(30) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 43 filed on December 20, 2007. |
(31) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 44 filed on February 29, 2008. |
(32) | Intentionally left blank. |
(33) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 46 filed on October 31, 2008. |
(34) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 47 filed on February 27, 2009. |
(35) | Intentionally left blank. |
(36) | Intentionally left blank. |
(37) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 50 filed on October 4, 2010. |
(38) | Intentionally left blank. |
(39) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 52 filed on March 1, 2011. |
(40) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 54 filed on August 30, 2011. |
(41) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 55 filed on November 14, 2011. |
(42) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 57 filed on December 30, 2011. |
(43) | Intentionally left blank. |
(44) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 60 filed on February 1, 2013. |
(45) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 62 filed on December 5, 2013. |
(46) | Intentionally left blank. |
(47) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 65 filed on February 2, 2015. |
(48) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 67 filed on February 1, 2016. |
(49) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 69 filed on December 2, 2016. |
(50) | Intentionally left blank. |
(51) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 72 filed on January 31, 2018. |
(52) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 74 filed on January 31, 2019. |
(53) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 76 filed on December 3, 2019. |
(54) | Intentionally left blank. |
(55) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 79 filed on December 3, 2020. |
(56) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 80 filed on January 29, 2021. |
(57) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 81 filed on September 21, 2021. |
(58) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 82 filed on December 10, 2021. |
(59) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 83 filed on January 31, 2022. |
(60) |
Incorporated by reference to Registrant’s Post-Effective Amendment No. 84 filed on December 2, 2022. |
(61) | Incorporated by reference to Registrant’s Post-Effective Amendment No. 85 filed on January 31, 2023. |
ITEM 29. | PERSONS CONTROLLED BY OR UNDER COMMON CONTROL WITH THE FUND |
At the date of this Post-Effective Amendment to the Registration Statement, except as noted below, Registrant did not, directly or indirectly, control any person. Currently, the Registrant provides a vehicle for the investment of assets of various separate investment accounts established by MassMutual. The assets in such separate accounts are, under state law, assets of the life insurance companies which have established such accounts. Thus, at any time MassMutual and its life insurance company subsidiaries will own such outstanding shares of Registrant’s series as are purchased with separate account assets. As a result, MassMutual will own a substantial number of the shares of Registrant, probably for a number of years. MassMutual owned more than 25% of the outstanding shares of each series of the Trust, other than the MassMutual Short-Duration Bond Fund and MassMutual Diversified Bond Fund, and therefore is deemed to “control” each such series of the Trust within the meaning of the Investment Company Act of 1940, as amended (the “1940 Act”).
The following entities are, or may be deemed to be, controlled by MassMutual through the direct or indirect ownership of such entities’ stock or other ownership interests. In addition, MassMutual may be deemed to control one or more investment pools not listed below and managed or sponsored by MassMutual or its affiliates, through direct or indirect ownership of shares or other interests in such investment pools.
A. | C.M. Life Insurance Company (May 11, 1981), a Connecticut corporation which operates as a life and health insurance company. |
1. | MML Bay State Life Insurance Company (April 1, 1935), a Connecticut corporation which operates as a life and health insurance company. |
2. | CML Mezzanine Investor III, LLC (May 17, 2010), a Delaware limited liability company that acts as a blocker entity for C.M. Life Insurance Company. |
3. | CML Special Situations Investor LLC (November 17, 2014), a Delaware limited liability company that holds a portion of the limited partner interest in a European investment fund. |
4. | CM Life Mortgage Lending LLC (March 16, 2023), a Delaware limited liability company formed to hold investments. |
B. | MML Distributors, LLC (November 10, 1994), a Connecticut limited liability company which operates as a securities broker-dealer. (MassMutual – 99% and MassMutual Holding LLC – 1%.) |
C. | MassMutual Holding LLC (November 30, 1984), a Delaware limited liability company which operates as a holding company for certain MassMutual entities. |
MassMutual Holding LLC is the sole owner of each subsidiary or affiliate unless otherwise indicated.
1. | MML Investors Services, LLC (December 31, 1981), a Massachusetts limited liability company which operates as a securities broker-dealer and federally covered investment advisor. |
a. | MML Insurance Agency, LLC (November 16, 1990), a Massachusetts limited liability company which operates as an insurance broker. |
b. | MMLISI Financial Alliances, LLC, (June 27, 2001) a Delaware limited liability company. |
2. | MassMutual Assignment Company (October 4, 2000), a North Carolina corporation which operated a structured settlement business. |
3. | MassMutual Capital Partners LLC (September 20, 2006), a Delaware single-member limited liability company. MassMutual Holding LLC is the sole member. |
4. | LifeScore Labs, LLC (previously, Society of Grownups, LLC) (April 15, 2014), a Massachusetts limited liability company. |
5. | MassMutual Ventures Holding LLC (March 26, 2018), a Delaware limited liability company formed to hold mandate investment vehicles. |
a. | MassMutual Ventures US I LLC (formerly, MassMutual Ventures LLC) (June 10, 2014), a Delaware limited liability company that will hold investments. |
b. | MassMutual Ventures US II LLC (April 17, 2018), a Delaware limited liability company that will hold investments. |
c. | MassMutual Ventures US III LLC (May 21, 2020), a Delaware limited liability company that will hold investments. |
d. | MassMutual Ventures UK LLC (July 12, 2018), a Delaware limited liability company formed to hold investment mandates in the United Kingdom. |
e. | MassMutual Ventures Southeast Asia I LLC (September 25, 2018), a Delaware company that holds investments. |
f. | MassMutual Ventures Southeast Asia II LLC (December 12, 2019), a Delaware limited liability company that holds investments. |
g. | MassMutual Ventures Southeast Asia III LLC (January 3, 2022), a Delaware limited liability company that holds investments. |
1.) | MMV Digital I LLC (May 18, 2022)), a Cayman Islands company that holds cryptocurrency and crypto-token investments. |
h. | MassMutual Ventures Management LLC (April 4, 2018), a Delaware limited liability company that will serve as the investment manager for US-based mandate investment vehicles. |
2 |
1.) | MassMutual Ventures SEA Management Private Limited (June 20, 2018), a Singapore company formed to provide investment advisory services to its affiliated company in the U.S. |
a.) | MMV UK/SEA Limited (May 23, 2023), a company established in England and Wales to perform activities related to venture capital work. |
6. | Haven Life Insurance Agency, LLC (March 17, 2014), a Delaware limited liability company that engages in insurance agency activities. |
7. | MM Rothesay Holdco US LLC (September 24, 2013), a Delaware limited liability company that holds shares in Rothesay Limited. |
8. | Fern Street LLC (April 11, 2013), a Delaware limited liability company. |
9. | Sleeper Street LLC (October 4, 2019), a Delaware limited liability company that will hold certain investments and invest in a portfolio of private equity assets. |
10. | MM Catalyst Fund LLC (November 25 2020), a Delaware limited liability company that holds investments. |
11. | MM Catalyst Fund II LLC (February 6, 2023), a Delaware limited liability company that holds investments. |
12. | MM Asset Management Holding LLC, a Delaware limited liability company that acts as a holding company for certain asset managers. |
a. | Barings LLC (July 5, 1940), a Delaware limited liability company which operates as an investment adviser. |
1.) | Barings Securities LLC (July 1, 1994), a Delaware limited liability company which operates as a securities broker-dealer. |
3 |
2.) | Barings Guernsey Limited (February 20, 2001), an investment management company organized under the laws of Guernsey. |
a.) | Barings Europe Limited (June 5, 2017), a company organized under the laws of England and Wales. |
i. | Baring Asset Management Limited (April 6, 1994), a company incorporated under the laws of England and Wales that acts an investment manager/adviser. |
aa. Baring Fund Managers Limited (October 29, 1968), a company incorporated under the laws of England and Wales that acts as a manager of BAM UK Collective Investment Schemes.
bb. Baring International Investment Limited (June 7, 1979), a company incorporated under the laws of England and Wales that acts as an investment manager/adviser.
cc. Baring Investment Services Limited (May 18, 1988), a company incorporated under the laws of England and Wales that acts as a service company which supports all the BAM Group operating companies within the UK.
dd. Barings European Core Property Fund GP Sàrl (October 29, 2015), a special-purpose company organized in Luxembourg that serves as a general partner of a European real estate equity fund.
4 |
ee. Barings BME GP Sàrl (July 31, 2020), a company organized under the laws of England and Wales that serves as a general partner.
ff. Barings GPLF4(S) GP Sàrl (March 18, 2021), a company incorporated under the laws of Luxembourg that serves as a General Partner.
ii. | Barings Italy S.r.l. (July 23, 2019 ), an operating company incorporated under the laws of Italy. |
iii. | Barings Sweden AB (July 16, 2019 ), an operating company incorporated under the laws of Sweden. |
iv. | Barings Asset Management Spain SL (October 13, 2019), an operating company incorporated under the laws of Spain. |
v. | Barings Netherlands B.V. (December 5, 2019), an operating company incorporated under the laws of the Netherlands. |
vi. | Barings GmbH (formerly Barings Real Estate GmbH)(January 8, 2014), a German limited liability company that provides transaction and asset management services for all types of real estate and retail property, in addition to development and refurbishment services for office, retail, industrial and residential assets. |
vii. | Barings (U.K.) Limited (January 4, 1995), an institutional debt-fund manager organized under the laws of England and Wales. |
5 |
iix. | Baring France SAS (July 24, 1997), a company incorporated under the laws of France that handles distribution and client services for qualified investors. |
ix. | Baring International Fund Managers (Ireland) Limited (July 16, 1990), a company incorporated under the laws of Ireland that acts as a manager of BAM Irish Collective Investment Schemes and Funds. |
x. | Barings Switzerland Sàrl (December 18, 2013), an operating company established under the laws of Switzerland. |
3.) | Barings Real Estate Advisers, Inc. (May 11, 2004), a Delaware corporation that holds a “corporation” real estate license. |
4.) | Barings Real Estate Acquisitions LLC (January 10, 2022), a Delaware limited liability company. |
5.) | BMC Holdings DE LLC (March 29, 2013), a Delaware limited liability company. |
6.) | Barings Finance LLC (December 12, 2012), a Delaware limited liability company formed to invest in securities of U.S. middle market companies. |
a.) | BCF Europe Funding Limited (August 27, 2013), a company formed in the Republic of Ireland to invest in securities. |
b.) | BCF Senior Funding I LLC (August 28, 2013), a limited liability company formed under the laws of the State of Delaware to invest in securities. |
c.) | BCF Senior Funding I Designated Activity Company (January 20, 2016), a company formed in the Republic of Ireland to invest in securities. |
6 |
7.) | Baring Asset Management (Asia) Holdings Limited (June 7, 1985), an intermediate holding company organized in Hong Kong. |
a.) | Barings Japan Limited (January 13, 1986), a company organized in Japan that is registered as a Financial Business Operator (Registration No. 396-KLFB) for Type II Financial Instruments Business, Investment Advisory and Agency Business, and Investment Management Business with the Financial Services Agency in Japan under the Financial Instruments and Exchange Act (Act No. 25 of 1948). |
b.) | Baring International Fund Managers (Bermuda) Limited (September 13, 1988), a company incorporated under the laws of Bermuda under that acts as a trustee of Baring Korea Trust Fund Ltd.’s undistributed funds. |
c.) | Baring SICE (Taiwan) Limited (March 15, 1990), a regulated company organized in Taiwan. |
d.) | Baring Asset Management (Asia) Limited (March 15, 1985), a company organized in Hong Kong that acts as an investment adviser. |
i. | Baring Asset Management Korea Limited, a regulated Korean company that engages in the business of asset management, business administration and investment advisory services. |
ii. | Barings Investment Management (Shanghai) Limited (August 3, 2018) is an operating company established under Chinese law. |
aa. Barings Overseas Investment Fund Management (Shanghai) Limited (August 22, 2018) serves as the distributor in China.
7 |
e.) | Barings Singapore Pte. Ltd. (November 16, 2020), an operating company established under the laws of Singapore. |
f.) | Barings Australia Holding Company Pty Ltd (October 12, 2009), an operating company that employs five or more mezzanine debt portfolio managers. |
i. | Barings Australia Pty Ltd (October 16, 2009), an asset manager for Australian institutional investors. |
8.) | Barings Australia Real Estate Holdings Pty Ltd (May 4, 2022), a private limited company established under the laws of Australia that act as a holding company. |
a.) | Barings Australia Real Estate Pty Ltd (May 4, 2022), a private limited company established under the laws of Australia. |
i. | Barings Australia Property Partners Holdings Pty Ltd (May 5, 2010), an operating company established under the laws of Australia. |
aa.) Barings Australia Asset Management Pty Ltd (May 17, 2010), a proprietary limited company established under the laws of Australia. (Not shown on organizational chart.)
bb.) Barings Australia Property Partners Pty Ltd (August 8, 2008), a proprietary limited company established under the laws of Australia. (Not shown on organizational chart.)
9.) | Barings Australia Structured Finance Holdings Pty Ltd (January 11, 2023), a private limited company established under the laws of Australia that acts as a holding company. |
8 |
a.) | Barings Australia Structured Finance Pty Ltd (January 11, 2023), a private limited company established under the laws of Australia. |
i. | Gryphon Capital Partners Pty Ltd (January 2, 2014), a proprietary limited company established under the laws of Australia. |
aa.) Gryphon Capital Management Pty Ltd (February 28, 2014), a proprietary limited company established under the laws of Australia.
bb.) Gryphon Capital Investments Pty Ltd (February 28, 2014), a proprietary limited company established under the laws of Australia.
D. | The MassMutual Trust Company (January 12, 2000), a federally chartered stock savings bank which performs trust services. |
E. | MML Private Placement Investment Company I, LLC (May 15, 2007), a Delaware limited liability. |
F. | MML Private Equity Fund Investor LLC (December 6, 2006), a Delaware limited liability company that acts as a blocker entity for MassMutual and holds private equity fund investments. |
G. | MM Private Equity Intercontinental LLC (September 24, 2013), a Delaware limited liability company that invests in certain private equity funds. |
H. | MSP-SC, LLC (August 4, 2009), a Delaware limited liability company formed to take title to a property that was acquired by foreclosure. |
I. | MassMutual External Benefits Group LLC (September 23, 2010), a Delaware limited liability company created to satisfy a professional employer organization’s tax reporting needs. |
9 |
J. | JFIN Parent LLC (July 15, 2021), a Delaware limited liability company created as the parent organization of Jefferies Finance LLC. (MassMutual holds 50% voting ownership interest and Jefferies Financial Group Inc. LLC holds 50% voting ownership interest.) |
1. | Apex Credit Holdings LLC (formerly known as Apex Credit Partners LLC, October 20, 2014), a Delaware limited liability company which holds legacy CLO investments. |
2. | Jefferies Finance LLC (July 26, 2004), a Delaware limited liability company and commercial finance company registered with the SEC as an investment adviser that structures, underwrites and arranges senior secured loans to corporate borrowers and financial sponsors. |
a. | JFIN Co-Issuer Corporation (March 13, 2013), a Delaware corporation formed for the purpose of acting as a co-issuer of senior unsecured notes and secured term loans of Jefferies Finance LLC. |
b. | JFIN Fund III LLC (October 14, 2011), a Delaware limited liability company formed for the purpose of investing in senior secured loans and entering into a warehouse financing through a credit facility with Wells Fargo Bank, N.A. |
c. | JFIN LC Fund LLC (February 1, 2016), a Delaware limited liability company formed for the purposes of holding cash collateral and entering into a standby letter of credit fronting facility with Wells Fargo Bank, N.A. |
d. | JFIN Revolver Holdings LLC (January 23, 2018), a Delaware limited liability company formed to hold revolving loan commitments. |
e. | JFIN Revolver Holdings II LLC (May 11, 2018), a Delaware limited liability company formed to hold revolving loan commitments. |
f. | JFIN GP Adviser LLC (May 11, 2018), a Delaware limited liability company formed to be an investment adviser and general partner. |
10 |
g. | JFIN Europe GP, S.à.r.l. (December 18, 2015), a Luxembourg private limited liability company formed as the general partner of Jefferies Finance Europe, SCSp. |
1.) | Jefferies Finance Europe, S.L.P. (July 20, 2020), an alternative investment fund formed as a professional specialized fund incorporated as a limited partnership governed by articles L.214-162-1 et seq. of the French Monetary and Financial Code, which was established to arrange and invest in European senior secured loans. |
2.) | Jefferies Finance Europe, SCSp (March 10, 2016), an alternative investment fund formed as a Luxembourg special limited partnership which was established to arrange and invest in European senior secured loans. |
h. | Jefferies Finance Business Credit LLC (August 7, 2013), a Delaware limited liability company that acts as a holding company for JFIN Business Credit Fund I LLC. |
1.) | JFIN Business Credit Fund I LLC (August 7, 2013), a Delaware limited liability company formed for the purpose of investing in asset based revolving loans and entering into warehouse financing through a credit facility with Wells Fargo Capital Finance. |
i. | JFIN Funding 2021 LLC (November 5, 2021), a Delaware limited liability company which holds certain loan assets in connection with a master participation. |
j. | Jefferies Private Credit BDC Inc. (January 14, 2020), a Maryland corporation that was formed for the purpose of investing in senior secured loans. |
k. | Jefferies Credit Partners BDC Inc. (August 10, 2022), a Maryland corporation that was formed for the purpose of investing in senior secured loans. |
l. | Jefferies Credit Partners LLC (formerly known as JFIN Asset Management LLC) (June 8, 2020), a Delaware limited which is a private credit lending platform and investment adviser registered with the SEC as a relying adviser. |
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1.) | Apex Credit Partners LLC (formerly known as Apex Newco LLC) (July 15, 2021), a Delaware limited liability company which is an investment adviser to CLOs and is registered with the SEC as a relying adviser. |
2.) | JDLF GP (Europe) S.à.r.l. (November 4, 2022), incorporated and existing under the laws of Luxembourg and was formed as a general partner of a newly formed Luxembourg RAIF. Jefferies Credit Partners LLC is the sole shareholder. |
3.) | Jefferies Credit Management Holdings LLC (December 8, 2022), a Delaware limited liability company that will be the holding company for a registered investment adviser to business development companies. |
4.) | Jefferies Direct Lending Europe SCSp SICAV-RAIF (December 9, 2022), incorporated and existing under the laws of Luxembourg and formed for the purpose of investing in senior secured loans. Jefferies Credit Partners LLC is the sole limited partner, but it is intended that limited partner interests will be acquired by third party investors. |
5.) | Jefferies Credit Management LLC (December 8, 2022), a Delaware limited liability company that will be a registered investment adviser to business development companies. |
a.) | JCM GP I LLC (October 6, 2023), a Delaware limited liability company formed for the purpose of acting as the general partner for Saguaro Large Cap Select Fund LP. This entity is 100% owned by Jefferies Credit Management LLC. |
6.) | Senior Credit Investments, LLC (December 8, 2022), a Delaware limited liability company that will be a business development company. |
7.) | JCP GP I LLC (October 12, 2023), a Delaware limited liability company formed for the purpose of acting as the general partner for Cardinal Credit Fund. This entity is 100% owned by Jefferies Credit Partners LLC. |
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8.) | JCP Direct Lending CLO 2022 LLC (November 1, 2021), a Delaware limited liability company formed for the purpose of securitizing senior secured middle market loans, and to be managed by Jefferies Credit Partners LLC. MassMutual and MassMutual Ascend Life Insurance Company are investors in the CLO notes, and collectively own 37.47% of the subordinated notes (equity). Jefferies Credit Partners LLC owns 9.9% of the subordinated notes. |
9.) | JDLF II GP LLC (January 7, 2022), a Delaware limited liability company formed as the holding company for Jefferies Direct Lending Fund II LP. Jefferies Credit Partners LLC is the managing member. |
a.) | JDLF II GP LP (January 7, 2022), a Delaware partnership formed as the general partner of Jefferies Direct Lending Fund LP. JFAM GP LLC is the general partner and Jefferies Credit Partners LLC is the limited partner. |
i. | Jefferies Direct Lending Fund II C LP (January 7, 2022), a Delaware partnership formed for the purpose of investing alongside Jefferies Direct Lending Fund II LP in senior secured middle market loans, and to be managed by Jefferies Credit Partners LLC. JDLF II GP LP is the general partner and Jefferies Finance LLC is the limited partner. |
aa. | Jefferies DLF2 C Holdings LLC (March 28, 2022), a Delaware limited liability company created in connection with a fund leverage facility. | |
a. | Jefferies Direct Lending Fund II C SPE LLC (March 28, 2022), a Delaware limited liability company created in connection with a fund leverage facility to be provided by MassMutual. |
10.) | JFAM GP LLC (April 13, 2017), a Delaware limited liability company formed as the holding company for Jefferies Direct Lending Fund, LP. Jefferies Credit Partners LLC is the managing member. |
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a.) | JFAM GP LP (April 13, 2017), a Delaware partnership formed as the general partner of Jefferies Direct Lending Fund, LP. JFAM GP LLC is the general partner, and Jefferies Credit Partners LLC is the limited partner. |
i. | Jefferies Direct Lending Fund C LP (November 25, 2019), a Delaware partnership formed for the purpose of investing alongside Jefferies Direct Lending Fund LP in senior secured middle market loans, and to be managed by Jefferies Credit Partners LLC. JFAM GP LP is the general partner, and Jefferies Finance LLC is the limited partner. |
aa. | Jefferies DLF C Holdings LLC (February 11, 2020), a Delaware limited liability company created in connection with a fund leverage facility. | |
a. | Jefferies Direct Lending Fund C SPE LLC (February 11, 2020), a Delaware limited liability company created in connection with a fund leverage facility. |
11.) | JCP Direct Lending CLO 2023-1 LLC (May 11, 2023), a Delaware limited liability company formed for the purpose of securitizing senior secured middle market loans, and to be managed by Jefferies Credit Partners LLC. |
a.) | JCP Direct Lending CLO 2023 Ltd. (May 23, 2023), a Jersey Channel Islands private limited company formed for the purpose of securitizing middle market loan assets. |
n. | Jefferies Senior Lending LLC (April 26, 2021), a Delaware limited liability company formed as a warehouse special purpose vehicle to invest in Large Cap loan assets. |
o. | JFIN Revolver SPE1 2022 LLC (March 9, 2022), a Delaware limited liability company formed to hold revolving loan commitments. |
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p. | JFIN Revolver SPE3 2022 LLC (August 31, 2022), a Delaware limited liability company formed to hold revolving loan commitments. |
q. | JFIN Revolver SPE4 2022 LLC (August 31, 2022), a Delaware limited liability company formed to hold revolving loan investments. |
r. | JFIN Revolver SPE4 2022 Ltd., a Delaware company formed to hold revolving loan investments |
s. | SFL Parkway Funding 2022 LLC (August 9, 2022), a Delaware limited liability company formed to hold certain contract rights under a loan agreement in connection with a back leverage facility. |
t. | JCP Private Loan Management GP LLC (March 16, 2023), a Delaware limited liability company formed for the purpose of acting as general partner for a fund established to hold the subordinated tranche of direct lending CLOs. |
1.) | JCP Private Loan Management LP (March 16, 2023), a Delaware limited partnership formed for the purpose of holding the subordinated tranche of direct lending CLOs. |
u. | Beauty Brands Acquisition Holdings LLC (January 9, 2023), a Delaware limited liability company holding company of a special purpose vehicle formed for the purpose of acquiring certain assets and assuming certain liabilities of Morphe LLC. |
1.) | Beauty Brands Acquisition LLC (December 2, 2022), a Delaware limited liability company holding company of a special purpose vehicle formed for the purpose of acquiring certain assets and assuming certain liabilities of Morphe LLC. |
a.) | Beauty Brands Acquisition Intermediate LLC (December 2, 2022), a Delaware limited liability company holding company of a special purpose vehicle formed for the purpose of acquiring certain assets and assuming certain liabilities of Morphe LLC. |
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i. | Forma Brands, LLC (formerly known as FB Acquisition LLC) (December 2, 2022), a Delaware limited liability company formed for the purpose of acquiring certain assets and assuming certain liabilities of Morphe LLC. The name change from “FB Acquisition LLC” to “Forma Brands, LLC” occurred on April 10. 2023. |
K. | Berkshire Way LLC (June 14 2012), a Delaware limited liability company that was formed to invest in emerging market securities on behalf of MassMutual. |
L. | MML Strategic Distributors, LLC (June 7, 2013), a Delaware limited liability company that is licensed to act as a broker-dealer. |
M. | MML Investment Advisers, LLC (September 24, 2013), a Delaware limited liability company which operates as a federally covered investment adviser. |
N. | Pioneers Gate LLC (October 27, 2014), a Delaware limited liability company that was formed to invest in asset-backed securities on behalf of MassMutual. |
O. | MML Special Situations Investor LLC (November 17, 2014), a Delaware limited liability company that holds a portion of the limited partner interest in a European investment fund. |
P. | Timberland Forest Holding LLC (October 12, 2015), a Delaware limited liability company that acts as a holding company. MassMutual’s ownership is 37% and 63% is held by MassMutual Trad Private Equity LLC. |
1. | Lyme Adirondack Forest Company, LLC (April 4, 2006), a Delaware limited liability company that acts as a holding company. |
a. | Lyme Adirondack Timber Sales, LLC (December 16, 2016), a Delaware company. (Note: Lyme Adirondack Timber Sales, Inc. merged with and into this company effective December 31, 2016.) |
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b. | Lyme Adirondack Timberlands I, LLC (August 16, 2006), a Delaware limited liability company that is a property owner. | |
c. | Lyme Adirondack Timberlands II, LLC (August 16, 2006), a Delaware limited liability company that is a property owner. |
Q. | MassMutual International LLC (February 19, 1996), a Delaware limited liability company which operates as a holding company for certain international investments. |
1. | MassMutual Solutions LLC (June 20, 2019), a Delaware limited liability company that acts as a holding company for Haven Technologies Asia Limited. |
a. | Haven Technologies Asia Limited (July 9, 2019), a Hong Kong technology company (formerly, HarborTech (Asia) Limited). |
R. | Insurance Road LLC (May 3, 2017), a Delaware limited liability company that acts as a holding company for companies that hold intellectual property assets and invest in a portfolio of private equity assets. |
1. | MassMutual Intellectual Property LLC (May 3, 2017), a Delaware limited liability company that will hold certain intellectual property. |
2. | MassMutual Trad Private Equity LLC (May 3, 2017), a Delaware limited liability company that will hold and invest in a portfolio of private equity assets. |
3. | Trad Investments I LLC (September 11, 2018), a Delaware limited liability company that will hold and invest in a portfolio of private equity assets. |
S. | MassMutual Mortgage Lending LLC (October 30, 2017), a Delaware limited liability company that will invest in commercial mortgage loans. |
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T. | MM Copper Hill Road LLC (October 5, 2017), a Delaware limited liability company that has been established to hold certain receivables and to engage in related financing activities. |
U. | EM Opportunities LLC (January 16, 2018), a Delaware limited liability company formed to hold a portfolio of high yield, emerging market debt investments. |
V. | MassMutual MCAM Insurance Company, Inc. (March 18, 2018), a Vermont captive insurance company that will sell insurance to MassMutual and its subsidiary companies. |
W. | CML Global Capabilities (December 2, 2019), a Delaware limited liability company. |
X. | MM Global Capabilities I LLC (December 2, 2019), a Delaware limited liability company that serves as a limited partner and holds ownership shares in MassMutual Global Business Services India LLP. |
1. | MassMutual Global Business Services India LLP (December 23, 2019), a limited partnership domiciled in the Republic of India that will provide information technology and information technology enabled services to MassMutual. (Owned 99.8% by MM Global Capabilities I LLC, 0.1% by MM Global Capabilities II LLC and 0.1% by MM Global Capabilities III LLC.) |
Y. | MM Global Capabilities II LLC (December 2, 2019), a Delaware limited liability company that serves as a limited partner and holds ownership shares in MassMutual Global Business Services India LLP. |
1. | MM Global Capabilities (Netherlands) B.V. (February 28, 2020), a company domiciled in the Netherlands that will hold ownership interests of MassMutual in India and Romania (MM Global Capabilities I LLC and MM Global Capabilities II LLC are the partners of this company). |
a. | MassMutual Global Business Services Romania S.R.L. (March 31, 2020), a company domiciled in Romania that will provide computer programming, consultancy and related activities to MassMutual. |
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Z. | MM Global Capabilities III LLC (December 3, 2019), a Delaware limited liability company that serves as a limited partner and holds ownership shares in MassMutual Global Business Services India LLP. |
AA. | MM Investment Holding (September 21, 2020), a Cayman Islands company organized to provide holding company services and financial services for its affiliates. |
1. | MML Management Corporation (October 14, 1968), a Massachusetts corporation which formerly operated as a manager of properties owned by MassMutual. |
a. | MassMutual International Holding MSC, Inc. (January 31, 2001), a Massachusetts corporation. |
b. | MassMutual Holding MSC, Inc. (December 26, 1996), a Massachusetts corporation which operates as a holding company for MassMutual positions in investment entities organized outside of the United States. This subsidiary qualifies as a “Massachusetts Security Corporation” under Chapter 63 of the Massachusetts General Laws. |
2. | MassMutual Asset Finance LLC (formerly known as Winmark Equipment Finance, LLC) is an equipment financing company which provides collateralized lending, financing and leasing services nationwide (owned 99.61% by MM Investment Holding and .39% by C.M. Life Insurance Company. |
a. | MMAF Equipment Finance LLC 2017-B (October 30, 2017), a Delaware limited liability company that holds a portfolio of rights in equipment loans, equipment leases, related equipment and related rights. |
b. | MMAF Equipment Finance LLC 2019-A (February 20, 2019), a Delaware limited liability company that holds a portfolio of rights in equipment loans, equipment leases, related equipment and related rights. |
c. | MMAF Equipment Finance LLC 2019-B (August 23, 2019), a Delaware limited liability company that holds a portfolio of rights in equipment loans, equipment leases, related equipment and related rights. |
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d. | MMAF Equipment Finance LLC 2020-A (May 27, 2020), a Delaware limited liability company that holds a portfolio of rights in equipment loans, equipment leases, related equipment and related rights. |
e. | MMAF Equipment Finance LLC 2020-B (August 24, 2020), a Delaware limited liability company that holds a portfolio of rights in equipment loans, equipment leases, related equipment and related rights. |
f. | MMAF Equipment Finance LLC 2021-A (April 12 2021), a Delaware limited liability company that holds a portfolio of rights in equipment loans, equipment leases, related equipment and related rights. |
g. | MMAF Equipment Finance LLC 2022-A (February 24, 2022), a Delaware limited liability company that holds a portfolio of rights in equipment loans, equipment leases, related equipment and related rights. |
h. | MMAF Equipment Finance LLC 2022-B (September 26, 2022), a Delaware limited liability company that holds a portfolio of rights in equipment loans, equipment leases, related equipment and related rights. |
i. | MMAF Equipment Finance LLC 2023-A (June 14, 2023), a Delaware limited liability company that holds a portfolio of rights in equipment loans, equipment leases, related equipment and related rights. |
3. | MMIH Bond Holdings LLC (November 28, 2022), a Delaware limited liability company. |
BB. | MML CM LLC (November 10, 2020), a Delaware limited liability company that holds certain investments for MassMutual. |
1. | Blueprint Income LLC (May 4, 2016), a New York limited liability company that is an online annuity marketplace. |
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2. | Flourish Holding Company LLC (February 14, 2022), a Delaware limited liability company. |
a. | Flourish Insurance Agency LLC (February 18, 2022), a Delaware limited liability company. |
b. | Flourish Financial LLC (November 3, 2017), a Delaware limited liability company that is a fintech platform for registered investment advisers. |
c. | Flourish Technologies LLC (May 11, 2021), a Delaware limited liability company. |
d. | Flourish Digital Assets LLC (May 11, 2021), a Delaware limited liability company. |
CC. | Glidepath Holdings Inc. (February 4, 2021), a Delaware corporation that acts act as a holding company. |
1. | MassMutual Ascend Life Insurance Company (December 29, 1961), an Ohio corporation that acts as a life and health insurance company. |
a. | Annuity Investors Life Insurance Company (November 13, 1981), an Ohio corporation that acts as a life and health insurance company. |
b. | AAG Insurance Agency, LLC (December 6, 1994), a Kentucky corporation that acts as an insurance agency. |
c. | MM Ascend Life Investor Services, LLC (formerly, Great American Advisors, LLC) (December 10, 1993), an Ohio corporation that acts as a broker-dealer. |
d. | MM Ascend Mortgage Lending LLC (March 17, 2023), a Delaware limited liability company formed to hold investments. |
e. | Manhattan National Holding Corporation (August 27, 2008), an Ohio Corporation that acts as a holding company. |
1.) | Manhattan National Life Insurance Company (May 21, 2014), an Ohio corporation that acts as a life and health insurance company. |
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DD. | ITPS Holding LLC (May 18, 2021, a Delaware limited liability company that acts act as a holding company. |
1. | HITPS LLC (May 24, 2021), a Delaware limited liability company that acts as a provider of cloud based insurance technology solutions. |
EE. | MM/Barings Multifamily TEBS 2020 LLC (April 2, 2020) a Delaware limited liability company that engages in bond and mortgage loan securitization transactions. |
FF. | MassMutual Ventures Europe/APAC I GP, LLC (September 28, 2022), a Delaware limited liability company formed to serve as a general partner. |
1. | MassMutual Ventures Europe/APAC I GP, L.P. (October 21, 2022), a Cayman Islands exempted limited partnership formed to serve as a general partner. |
a. | MassMutual Ventures Europe/APAC I, L.P. (October 21, 2022), a Cayman Islands exempted limited partnership which will hold investments. |
GG. | MassMutual Ventures US IV GP, LLC (September 28, 2022), a Delaware limited liability company formed to serve as a general partner. |
1. | MassMutual Ventures US IV, L.P. (September 28, 2022), a Delaware limited partnership which will hold investments. MassMutual Ventures US IV GP, LLC I is the General Partner and MassMutual is the Limited Partner. |
a. | MassMutual Ventures US IV LLC (December 8, 2021), a Delaware limited liability company that will hold investments. |
HH. | MM Direct Private Investments Holding LLC (September 16, 2021), a Delaware limited liability company that acts act as a holding company. |
1. | MM Direct Private Investments UK Limited (September 27, 2021), a UK private limited company that holds investments. |
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II. | DPI-ACRES Capital LLC (September 16, 2022), a Delaware limited liability company that will hold commercial mortgage loans. |
JJ. | MMV CTF I GP, LLC (January 30, 2023) a Delaware limited liability company that was formed to act as the general partner of MassMutual Ventures Climate Technology Fund I LP. |
1. | MassMutual Ventures Climate Technology Fund I LP (January 30, 2023) a Delaware fund that was formed to hold investments. |
KK. | DPI-ARES Mortgage Lending LLC (July 5, 2023) a Delaware limited liability company that will hold commercial loans. |
LL. | Counterpointe Sustainable Advisors LLC (April 4, 2023) a Delaware limited liability company that that will engage, directly or indirectly, through one or more subsidiaries, in the origination, acquisition and management of “green” financing products, including commercial property-assessed clean energy (C-PACE) financing, green mortgages, energy service agreements, power purchase agreements and other green financing approved products, and to provide services in connection therewith. |
1. | CSA Intermediate Holdco LLC (April 4, 2023), a Delaware limited liability company that will engage, directly or indirectly, through one or more subsidiaries, in the origination, acquisition and management of “green” financing products, including commercial property-assessed clean energy (C-PACE) financing, green mortgages, energy service agreements, power purchase agreements and other green financing approved products, and to provide services in connection therewith. |
a. | Counterpointe Trust Services LLC (October 14, 2020)), a Delaware limited liability company that provides various services to one or more titling trusts. |
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b. | CP PACE LLC (October 14, 2020), Delaware limited liability company that provides various services to one or more titling trusts. |
c. | Counterpointe Energy Solutions II LLC (April 6, 2023), a Delaware limited liability company that will engage, directly or indirectly, through one or more subsidiaries, in the origination, acquisition and management of “green” financing products, including commercial property-assessed clean energy (C-PACE) financing, green mortgages, energy service agreements, power purchase agreements and other green financing approved products, and to provide services in connection therewith. |
1.) | Counterpointe Energy Solutions (CA) II LLC (April 6, 2023), a Delaware limited liability company that will engage, directly or indirectly, through one or more subsidiaries, in the origination, acquisition and management of “green” financing products, including commercial property-assessed clean energy (C-PACE) financing, green mortgages, energy service agreements, power purchase agreements and other green financing approved products, and to provide services in connection therewith. |
2.) | Counterpointe Energy Solutions (IL) LLC (July 16, 2018), a Delaware limited liability company whose primary purpose is the holding of 50% of the equity interests in Loop-Counterpointe PACE LLC. |
a. Loop-Counterpointe PACE LLC (July 16, 2018), a Delaware limited liability company whose primary purpose is to serve as the program administrator for the City of Chicago’s PACE (property assessed clean energy) program.
3.) | Counterpointe Energy Solutions (FL) II LLC (October 2, 2023), a Delaware limited liability company whose primary purpose is to serve as a program administrator for the State of Florida’s PACE (property assessed clean energy) program. |
d. | CSA Employee Services Company LLC (April 6, 2023), a Delaware limited liability company that employs various individuals in connection with its parent company’s (and such parent company’s subsidiaries) operations. |
e. | Counterpointe Sustainable Real Estate II LLC (April 6, 2023), a Delaware limited liability company that will engage, directly or indirectly, through one or more subsidiaries, in the origination, acquisition and management of “green” financing products, including commercial property-assessed clean energy (C-PACE) financing, green mortgages, energy service agreements, power purchase agreements and other green financing approved products, and to provide services in connection therewith. |
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f. | Counterpointe Energy Services LLC (March 17, 2015), a Delaware limited liability company that will engage, directly or indirectly, through one or more subsidiaries, in the origination, acquisition and management of “green” financing products, including commercial property-assessed clean energy (C-PACE) financing, green mortgages, energy service agreements, power purchase agreements and other green financing approved products, and to provide services in connection therewith. |
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ITEM 30. | INDEMNIFICATION |
Article VIII, Sections 1, 2, 3, 4, and 5 of the Trust’s Amended and Restated Agreement and Declaration of Trust, which is incorporated by reference to Exhibit (a)(1) of the Trust’s Post-Effective Amendment No. 57 to the Registration Statement filed via EDGAR on December 30, 2011, provide as follows with respect to indemnification of the Trustees and officers of the Trust against liabilities which may be incurred by them in such capacities:
Amended and Restated Declaration of Trust
Section 1. Trustees, Officers, Etc. The Trust shall indemnify every person who is or has been a Trustee or officer (including persons who serve at the Trust’s request as directors, officers or trustees of another organization in which the Trust has any interest as a shareholder, creditor or otherwise) (hereinafter referred to as a “Covered Person”) against all liabilities and expenses, including but not limited to amounts paid in satisfaction of judgments, in compromise or as fines and penalties, and counsel fees, reasonably incurred or paid by any Covered Person in connection with the defense or disposition of any claim, action, suit or other proceeding, whether civil, criminal, or other, including appeals, before any court or administrative or legislative body, in which such Covered Person may be or may have been involved as a party or otherwise or with which such Covered Person may be or may have been threatened, while in office or thereafter, by reason of being or having been such a Covered Person except with respect to any matter as to which such Covered Person shall have been finally adjudicated in a decision on the merits in any such action, suit or other proceeding to be liable to the Trust or its Shareholders by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of such Covered Person’s office. Expenses, including counsel fees so incurred by any such Covered Person (but excluding amounts paid in satisfaction of judgments, in compromise or as fines or penalties), shall be paid from time to time by the Trust in advance of the final disposition of any such action, suit or proceeding upon receipt of an undertaking by or on behalf of such Covered Person to repay amounts so paid to the Trust if it is ultimately determined that indemnification of such expenses is not authorized under this Article, provided, however, that either (a) such Covered Person shall have provided appropriate security for such undertaking, (b) the Trust shall be insured against losses arising from any such advance payments, or (c) either a majority of the disinterested Trustees acting on the matter (provided that a majority of the disinterested Trustees then in office act on the matter), or independent legal counsel, in a written opinion, shall have determined, based upon a review of readily available facts (as opposed to a full trial type inquiry) that there is reason to believe that such Covered Person will be found entitled to indemnification under this Article.
Section 2. Compromise Payment. As to any matter disposed of (whether by a compromise payment, pursuant to a consent decree or otherwise) without an adjudication on the merits by a court, or by any other body before which the proceeding was brought, that such Covered Person is liable to the Trust or its Shareholders by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of his or her office, indemnification shall be provided if (a) approved, after notice that it involves such indemnification, by at least a majority of the disinterested Trustees acting on the matter (provided that a majority of the disinterested Trustees then in office act on the matter) upon a determination, based upon a review of readily available facts (as opposed to a full trial type inquiry) that such Covered Person is not liable to the Trust or its Shareholders by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of his or her office (the disinterested Trustees to take final action on the consideration of such approval within 60 days of a request thereof by a Covered Person), or (b) there has been obtained an opinion in writing of independent legal counsel, based upon a review of readily available facts (as opposed to a full trial type inquiry), to the effect that such indemnification would not protect such Covered Person against any liability to the Trust to which he or she would otherwise be subject by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of his or her office (which opinion the Trustees shall use reasonable diligence to obtain within 60 days of a request therefor by a Covered Person). Any approval pursuant to this Section shall not prevent the recovery from any Covered Person of any amount paid to such Covered Person in accordance with this Section as indemnification if such Covered Person is subsequently adjudicated by a court of competent jurisdiction to have been liable to the Trust or its Shareholders by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of such Covered Person’s office.
Section 3. Rebuttable Presumption. For purposes of the determination or opinion referred to in clause (c) of Section 1 of this Article VIII or clauses (a) or (b) of Section 2 of this Article VIII, the majority of disinterested Trustees acting on the matter or independent legal counsel, as the case may be, shall be entitled to rely upon a rebuttable presumption that the Covered Person has not engaged in willful misfeasance, bad faith, gross negligence, or reckless disregard of the duties involved in the conduct of such Covered Person’s office.
Section 4. Indemnification Not Exclusive. The right of indemnification hereby provided shall not be exclusive of or affect any other rights to which such Covered Person may be entitled. As used in this Article VIII, the term “Covered Person” shall include such person’s heirs, executors and administrators and a “disinterested Trustee” is a Trustee who is not an “interested person” of the Trust as defined in Section 2(a)(19) of the 1940 Act (or who has been exempted from being an “interested person” by any rule, regulation or order of the Commission), and against whom none of such actions, suits or other proceedings or another action, suit or other proceeding on the same or similar grounds is then or has been pending. Nothing contained in this Article shall affect any rights to indemnification to which personnel of the Trust, other than Trustees or officers, and other persons may be entitled by contract or otherwise under law, nor the power of the Trust to purchase and maintain liability insurance on behalf of any such person.
Section 5. No Presumption. The termination of any proceeding by judgment, order, settlement, conviction or upon a plea of nolo contendere or its equivalent shall not of itself create a presumption that a Covered Person did not act in good faith and in a manner which the person reasonably believed to be in the best interests of the Trust or that the person had reasonable cause to believe that the person’s conduct was lawful.
Trustees and officers of the Trust are also indemnified by MassMutual pursuant to its by-laws. No indemnification is provided with respect to any liability to any entity which is registered as an investment company under the Investment Company Act of 1940, as amended (the “1940 Act”) or to the security holders thereof, where the basis for such liability is willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of office.
MassMutual’s directors’ and officers’ liability insurance program, which covers the Trust’s Trustees and officers, consists of two distinct coverages. The first coverage reimburses MassMutual, subject to specified limitations, for amounts which MassMutual is legally obligated to pay out under its indemnification by-law, discussed above. The second coverage directly protects a Trustee or officer of the Trust against liability from shareholder derivative and similar lawsuits which are not indemnifiable under the law. There are, however, specific acts giving rise to liability which are excluded from this coverage. For example, no Trustee or officer is insured against personal liability for libel or slander, acts of deliberate dishonesty, fines or penalties, illegal personal profit or advantage at the expense of the Trust or its shareholders, violation of employee benefit plans, regulatory statutes, and similar acts which would traditionally run contrary to public policy and hence reimbursement by insurance.
Insofar as indemnification for liabilities arising under the Securities Act of 1933, as amended (the “1933 Act”) may be permitted to trustees, officers and controlling persons of the Trust pursuant to the foregoing provisions, or otherwise, the Trust has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the 1933 Act, and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Trust of expenses incurred or paid by a Trustee, officer or controlling person of the Trust in the successful defense of any action, suit or proceeding) is asserted by such Trustee, officer or controlling person in connection with the securities being registered, the Trust will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the 1933 Act and will be governed by the final adjudication of such issue.
ITEM 31. | BUSINESS AND OTHER CONNECTIONS OF THE INVESTMENT ADVISER |
a. The Investment Adviser
MML Advisers is the investment adviser for the Trust. MML Advisers is responsible for providing all necessary investment management and administrative services to the Trust. MML Advisers, a Delaware limited liability company, was formed in 2013 and is a wholly-owned subsidiary of MassMutual. Founded in 1851, MassMutual is a mutual life insurance company that provides a broad range of insurance, money management, retirement, and asset accumulation products and services for individuals and businesses.
The directors and officers of MML Advisers, which is located at 1295 State Street, Springfield, Massachusetts 01111-0001, their positions with MML Advisers, and their other principal business affiliations and business experience for the past two years are as follows:
PABLO CABRERA, Assistant Treasurer (since 2021)
Head of Cash Operations (since 2020), MassMutual; Assistant Treasurer (since 2021), MML Distributors, LLC; Assistant Treasurer (since 2021), C.M. Life Insurance Company; Assistant Treasurer (since 2021), MML Bay State Life Insurance Company; Assistant Treasurer (since 2021), Athens Fund Management LLC; Assistant Treasurer (since 2021), Berkshire Way LLC; Assistant Treasurer (since 2021), Blueprint Income LLC; Assistant Treasurer (since 2021), EM Opportunities LLC; Assistant Treasurer (since 2021), Fern Street LLC; Assistant Treasurer (since 2021), Glidepath Holdings Inc.; Assistant Treasurer (since 2021), HITPS LLC; Assistant Treasurer (since 2021), Insurance Road LLC; Assistant Treasurer (since 2021), ITPS Holding LLC; Assistant Treasurer (since 2021), MassMutual Capital Partners LLC; Assistant Treasurer (since 2021), MassMutual External Benefits Group LLC; Assistant Treasurer (since 2021), MassMutual Global Business Services India LLP; Assistant Treasurer (since 2021), MassMutual Global Business Services Romania S.R.L.; Assistant Treasurer (since 2021), MassMutual Holding LLC; Assistant Treasurer (since 2021), MassMutual Holding MSC, Inc.; Assistant Treasurer (since 2021), MassMutual Intellectual Property LLC; Assistant Treasurer (since 2021), MassMutual International Holding MSC, Inc.; Assistant Treasurer (since 2021), MassMutual International LLC; Assistant Treasurer (since 2021), MassMutual Mortgage Lending LLC; Assistant Treasurer (since 2021), MassMutual Private Equity Funds LLC; Assistant Treasurer (since 2021), MassMutual Private Equity Funds Subsidiary LLC; Assistant Treasurer (since 2021), MassMutual Ventures Holding LLC; Assistant Treasurer (since 2021), MassMutual Ventures Management LLC; Assistant Treasurer (since 2021), MassMutual Ventures SEA Management Private Limited; Assistant Treasurer (since 2021), MassMutual Ventures Southeast Asia I LLC; Assistant Treasurer (since 2021), MassMutual Ventures Southeast Asia II LLC; Assistant Treasurer (since 2021), MassMutual Ventures UK LLC; Assistant Treasurer (since 2021), MassMutual Ventures US I LLC; Assistant Treasurer (since 2021), MassMutual Ventures US II LLC; Assistant Treasurer (since 2021), MassMutual Ventures US III LLC; Assistant Treasurer (since 2021), MM Asset Management Holding LLC; Assistant Treasurer (since 2021), MM Catalyst Fund LLC; Assistant Treasurer (since 2021), MM Cooper Hill Road; Assistant Treasurer (since 2021), MM Global Capabilities I LLC; Assistant Treasurer (since 2021), MM Global Capabilities II LLC; Assistant Treasurer (since 2021), MM Global Capabilities III LLC; Assistant Treasurer (since 2021), MM Global Capabilities (Netherlands) BV; Assistant Treasurer (since 2021), MM Private Equity Intercontinental LLC; Assistant Treasurer (since 2021), MM Rothesay Holdco US LLC; Assistant Treasurer (since 2021), MML CM LLC; Assistant Treasurer (since 2021), MML Management Corporation; Assistant Treasurer (since 2021), Open Alternatives LLC; Assistant Treasurer (since 2021), Pioneers Gate LLC; Assistant Treasurer (since 2021), Sleeper Street LLC; Assistant Treasurer (since 2021), Trad Investments I LLC.
GEOFFREY CRADDOCK, Director (since 2017)
Chief Risk Officer, Enterprise Risk Management (since 2017), MassMutual; Director (since 2017), Barings LLC; Director (since 2017), Haven Life Insurance Agency, LLC; Director (since 2017), LifeScore Labs, LLC; Director (since 2018), MassMutual International LLC; Director (since 2017), MM Asset Management Holding LLC; Director (since 2017), MML Investors Services, LLC; Director (since 2018), MassMutual MCAM Insurance Company, Inc.; Director (since 2017), MML Strategic Distributors, LLC; Director (since 2022), Blueprint Income, LLC; Director (since 2021), Annuity Investors Life Insurance Company; Director (since 2021), Manhattan National Life Insurance Company; Director (since 2021), MM Ascend Life Insurance Company; Director (since 2023), Rothesay Life Plc; Director (since 2023), Rothesay Limited; Director (since 2023) Rothesay Holdco.
BRIAN FINUCANE, Assistant Treasurer (since 2021)
Head of Debt Financing and Liquidity (since 2021), MassMutual; Assistant Treasurer (since 2021), C.M. Life Insurance Company; Assistant Treasurer (since 2021), MML Bay State Life Insurance Company; Assistant Treasurer (since 2021), Athens Fund Management LLC; Assistant Treasurer (since 2021), Berkshire Way LLC; Assistant Treasurer (since 2021), Blueprint Income LLC; Assistant Treasurer (since 2021), EM Opportunities LLC; Assistant Treasurer (since 2021), Fern Street LLC; Assistant Treasurer (since 2021), Glidepath Holdings Inc.; Assistant Treasurer (since 2021), HITPS LLC; Assistant Treasurer (since 2021), Insurance Road LLC; Assistant Treasurer (since 2021), ITPS Holding LLC; Assistant Treasurer (since 2021), MassMutual Capital Partners LLC; Assistant Treasurer (since 2021), MassMutual External Benefits Group LLC; Assistant Treasurer (since 2021), MassMutual Global Business Services India LLP; Assistant Treasurer (since 2021), MassMutual Global Business Services Romania S.R.L.; Assistant Treasurer (since 2021), MassMutual Holding LLC; Assistant Treasurer (since 2021), MassMutual Holding MSC, Inc.; Assistant Treasurer (since 2021), MassMutual Intellectual Property LLC; Assistant Treasurer (since 2021), MassMutual International Holding MSC, Inc.; Assistant Treasurer (since 2021), MassMutual International LLC; Assistant Treasurer (since 2021), MassMutual Mortgage Lending LLC; Assistant Treasurer (since 2021), MassMutual Private Equity Funds LLC; Assistant Treasurer (since 2021), MassMutual Private Equity Funds Subsidiary LLC; Assistant Treasurer (since 2021), MassMutual Ventures Holding LLC; Assistant Treasurer (since 2021), MassMutual Ventures Management LLC; Assistant Treasurer (since 2021), MassMutual Ventures SEA Management Private Limited; Assistant Treasurer (since 2021), MassMutual Ventures Southeast Asia I LLC; Assistant Treasurer (since 2021), MassMutual Ventures Southeast Asia II LLC; Assistant Treasurer (since 2021), MassMutual Ventures UK LLC; Assistant Treasurer (since 2021), MassMutual Ventures US I LLC; Assistant Treasurer (since 2021), MassMutual Ventures US II LLC; Assistant Treasurer (since 2021), MassMutual Ventures US III LLC; Assistant Treasurer (since 2021), MM Asset Management Holding LLC; Assistant Treasurer (since 2021), MM Catalyst Fund LLC; Assistant Treasurer (since 2021), MM Cooper Hill Road; Assistant Treasurer (since 2021), MM Global Capabilities I LLC; Assistant Treasurer (since 2021), MM Global Capabilities II LLC; Assistant Treasurer (since 2021), MM Global Capabilities III LLC; Assistant Treasurer (since 2021), MM Global Capabilities (Netherlands) BV; Assistant Treasurer (since 2021), MM Private Equity Intercontinental LLC; Assistant Treasurer (since 2021), MM Rothesay Holdco US LLC; Assistant Treasurer (since 2021), MML CM LLC; Assistant Treasurer (since 2021), MML Management Corporation; Assistant Treasurer (since 2021), Open Alternatives LLC; Assistant Treasurer (since 2021), Pioneers Gate LLC; Assistant Treasurer (since 2021), Sleeper Street LLC; Assistant Treasurer (since 2021), Trad Investments I LLC.
ANDREW M. GOLDBERG, Secretary (since 2015)
Assistant Secretary (2013-2015), MML Advisers; Lead Counsel, Investment Adviser & Mutual Funds (since 2018), MassMutual; Vice President, Secretary, and Chief Legal Officer (since 2008), MassMutual Select Funds (open-end investment company); Vice President, Secretary (formerly known as “Clerk”), and Chief Legal Officer (since 2008), MassMutual Premier Funds (open-end investment company); Vice President, Secretary, and Chief Legal Officer (since 2021), MassMutual Advantage Funds (open-end investment company); Vice President, Secretary, and Chief Legal Officer (since 2008), MML Series Investment Fund (open-end investment company); Vice President, Secretary (formerly known as “Clerk”), and Chief Legal Officer (since 2008), MML Series Investment Fund II (open-end investment company); Vice President, Secretary, and Chief Legal Officer (2021-2022), MassMutual AccessSM Pine Point Fund (closed-end investment company).
PAUL LAPIANA, Director (since 2023) and President (2021-2023; since 2023)
Head of Brand, Product, and Affiliated Distribution (since 2023), Head of MassMutual U.S. Product (2019-2023), MassMutual; Trustee (since 2023), President (2021-2023; since 2023), MassMutual Select Funds (open-end investment company); Trustee (since 2023), President (2021-2023; since 2023), MassMutual Premier Funds (open-end investment company); Trustee (since 2023), President (2021-2023; since 2023), MassMutual Advantage Funds (open-end investment company); Trustee (since 2023), President (2021-2023; since 2023), MML Series Investment Fund (open-end investment company); Trustee (since 2023), President (2021-2023; since 2023), MML Series Investment Fund II (open-end investment company); CEO & President (since 2020), MML Distributors, LLC).
JILL NAREAU ROBERT, Assistant Secretary (since 2015)
Lead Counsel, Investment Adviser & Mutual Funds (since 2018), MassMutual; Vice President and Assistant Secretary (since 2017), MassMutual Select Funds (open-end investment company); Vice President and Assistant Secretary (since 2017), MassMutual Premier Funds (open-end investment company); Vice President and Assistant Secretary (since 2021), MassMutual Advantage Funds (open-end investment company); Vice President and Assistant Secretary (since 2017), MML Series Investment Fund (open-end investment company); Vice President and Assistant Secretary (since 2017), MML Series Investment Fund II (open-end investment company); Vice President and Assistant Secretary (2021-2022), MassMutual AccessSM Pine Point Fund (closed-end investment company).
SEAN NEWTH, Director (since 2021)
Corporate Controller (since 2017), MassMutual; Director (since 2021), MML Investor Services, LLC; Director (since 2021), MML Strategic Distributors, LLC; Director (since 2020), MassMutual Asset Finance, LLC; Senior Vice President (since 2019), MM Asset Management Holding LLC; Senior Vice President and Controller (since 2018), MassMutual Holding LLC; Senior Vice President and Controller (since 2018), MassMutual Holding MSC, Inc.; Senior Vice President and Controller (since 2018), MassMutual International Holding MSC, Inc.; Vice President and Controller (since 2019), MassMutual MCAM Insurance Company, Inc.; Director (since 2018), The MassMutual Trust Company; Senior Vice President and Controller (since 2017), C.M. Life Insurance Company; Senior Vice President and Controller (since 2017), MML Bay State Life Insurance Company; Member Representative (since 2023), MML Distributors, LLC.
FRANK RISPOLI, Chief Financial Officer and Treasurer (since 2022)
Head of Wealth Management Finance (since 2022), MassMutual; Chief Financial Officer and Treasurer (since 2022), MML Investors Services, LLC; Chief Financial Officer and Treasurer (since 2022), MML Distributors, LLC; Chief Financial Officer and Treasurer (since 2022), MML Strategic Distributors, LLC; Chief Financial Officer (since 2022), MML Insurance Agency, LLC; Chief Financial Officer (since 2022), Flourish Financial, LLC; Chief Financial Officer and Comptroller (since 2022), MassMutual Trust Company; Associate Partner (2022) and Director of Finance and Administration (2020-2021), Centinel Financial Group, LLC.
JULIETA SINISGALLI, Assistant Treasurer (since 2021)
Treasurer (since 2022), DPI-ACRES Capital LLC; Treasurer (since 2022), Flourish Holding Company LLC; Treasurer (since 2022), Flourish Insurance Agency LLC; Treasurer, Corporate-CFO Office (since 2021), MassMutual; Assistant Treasurer (since 2021), MML Distributors, LLC; VP and Treasurer (since 2021), C.M. Life Insurance Company; VP and Treasurer (since 2021), MML Bay State Life Insurance Company; Treasurer (since 2021), Athens Fund Management LLC; Treasurer (since 2021), Berkshire Way LLC; Treasurer (since 2021), Blueprint Income LLC; Treasurer (since 2021), EM Opportunities LLC; Treasurer (since 2021), Fern Street LLC; VP and Treasurer (since 2021), Glidepath Holdings Inc.; VP and Treasurer (since 2021), Haven Life Insurance Agency, LLC; Treasurer (since 2021), HITPS LLC; Treasurer (since 2021), Insurance Road LLC; Treasurer (since 2021), ITPS Holding LLC; Treasurer (since 2021), LifeScore Labs, LLC; VP (since 2021), MassMutual Ascend Life Insurance Company; Treasurer (since 2021), MassMutual Assignment Company; Treasurer (since 2021), MassMutual Capital Partners LLC; Treasurer (since 2021), MassMutual External Benefits Group LLC; Treasurer (since 2021), MassMutual Global Business Services India LLP; Treasurer (since 2021), MassMutual Global Business Services Romania S.R.L.; VP and Treasurer (since 2021), MassMutual Holding LLC; VP and Treasurer (since 2021), MassMutual Holding MSC, Inc.; VP and Treasurer (since 2021), MassMutual Intellectual Property LLC; VP and Treasurer (since 2021), MassMutual International Holding MSC, Inc.; Treasurer (since 2021), MassMutual International LLC; Treasurer (since 2021), MassMutual Mortgage Lending LLC; Treasurer (since 2021), MassMutual Trad Private Equity LLC; Treasurer (since 2021), MassMutual Ventures Holding LLC; Treasurer (since 2021), MassMutual Ventures Management LLC; Treasurer (since 2021), MassMutual Ventures SEA Management Private Limited; Treasurer (since 2021), MassMutual Ventures Southeast Asia I LLC; Treasurer (since 2021), MassMutual Ventures Southeast Asia II LLC; Treasurer (since 2022), MassMutual Ventures Southeast Asia III LLC; Treasurer (since 2021), MassMutual Ventures UK LLC; Treasurer (since 2021), MassMutual Ventures US I LLC; Treasurer (since 2021), MassMutual Ventures US II LLC; Treasurer (since 2021), MassMutual Ventures US III LLC; Treasurer (since 2021), MassMutual Ventures US IV LLC; Treasurer (since 2021), MM Asset Management Holding LLC; Treasurer (since 2021), MM Catalyst Fund LLC; Treasurer (since 2021), MM Copper Hill Road; Treasurer (since 2021), MM Direct Private Investments Holding LLC; Treasurer (since 2021), MM Direct Private Investments UK Limited; Treasurer (since 2021), MM Global Capabilities I LLC; Treasurer (since 2021), MM Global Capabilities II LLC; Treasurer (since 2021), MM Global Capabilities III LLC; Treasurer (since 2021), MM Global Capabilities (Netherlands) B.V.; VP and Treasurer (since 2021), MM Private Equity Intercontinental LLC; VP and Treasurer (since 2021), MM Rothesay Holdco US LLC; Treasurer (since 2021), MML CM LLC; Assistant Treasurer (since 2021), MML Management Corporation; Treasurer (since 2022), MMV Digital I LLC; VP and Treasurer (since 2021), Pioneers Gate LLC; VP and Treasurer (since 2021), Sleeper Street LLC; Treasurer (since 2021), Trad Investments I LLC.
DOUGLAS STEELE, Vice President (since 2017) and Head of Product Management (since 2021)
Interim Head of Investment Management Solutions (since 2023) and Head of Product Management (since 2021), MassMutual; Vice President (since 2016), MassMutual Select Funds (open-end investment company); Vice President (since 2016), MassMutual Premier Funds (open-end investment company); Vice President (since 2021), MassMutual Advantage Funds (open-end investment company); Vice President (since 2016), MML Series Investment Fund (open-end investment company); Vice President (since 2016), MML Series Investment Fund II (open-end investment company).
PHILIP S. WELLMAN, Vice President and Chief Compliance Officer (since 2013)
Head of Mutual Funds & RIA Compliance (since 2018), MassMutual; Vice President and Chief Compliance Officer (since 2007), MassMutual Select Funds (open-end investment company); Vice President and Chief Compliance Officer (since 2007), MassMutual Premier Funds (open-end investment company); Vice President and Chief Compliance Officer (since 2021), MassMutual Advantage Funds (open-end investment company); Vice President and Chief Compliance Officer (since 2007), MML Series Investment Fund (open-end investment company); Vice President and Chief Compliance Officer (since 2007), MML Series Investment Fund II (open-end investment company); Vice President and Chief Compliance Officer (2021-2022), MassMutual AccessSM Pine Point Fund (closed-end investment company).
b. The Investment Subadvisers
BARINGS LLC
(“BARINGS”)
Barings is the subadviser to certain series of the Trust. The members of the Board of Managers and the Senior Management team of Barings, their positions with Barings, and their other principal business affiliations and business experience for the past two years are listed below. The addresses of the offices of Barings, and unless otherwise stated, each Manager and member of the Senior Management Team, is 300 South Tryon Street, Suite 2500 Charlotte, North Carolina 28202.
Board of Managers
Susan M. Cicco, Member of the Board of Managers
Ms. Cicco is Head of Human Resources (since January 2017) & Employee Experience of MassMutual. As of July 2020, she is also the Chief of Staff to the CEO. Ms. Cicco previously held the position of Chief of Staff to the CEO from July 2012 to January 2017. Ms. Cicco joined the Company in 1993.
Eric Partlan, Member of the Board of Managers
Mr. Partlan is the Chief Investment Officer of MassMutual, a role he assumed on March 1, 2023. Previously, he served as Head of Portfolio Management from January 2013 through February 2023. Mr. Partlan joined MassMutual in January 2010, serving as the Head of Investment Risk from January 2010 through January 2013. Prior to MassMutual, Mr. Partlan was a Managing Director with Babson Capital Management, now Barings LLC, a MassMutual subsidiary, from May 2004 through January 2010.
Geoffrey Craddock, Member of the Board of Managers
Mr. Craddock joined MassMutual in October 2017 as the Chief Risk Officer. Previously, he was the leader of risk management and asset allocation at MassMutual’s subsidiary, OppenheimerFunds, Inc. (“OFI”), having joined OFI in 2008. Prior to OFI, he oversaw global market risk management at the Canadian Imperial Bank of Commerce.
Roger W. Crandall, Member of the Board of Managers
Mr. Crandall is Chairman (since December 2010), President (since December 2008) and Chief Executive Officer (since January 2010) of Massachusetts Mutual Life Insurance Company in Springfield, Massachusetts. He has been with MassMutual since 1988 and previously held the titles of Chief Operating Officer and Chief Investment Officer. Mr. Crandall joined the Board in 2008 and presently serves as a member of the Investment and Technology & Governance Committees and is the Chair of the Executive Committee. He is a member of the Board of Directors of the Business Roundtable, the Federal Reserve Bank of Boston and the Financial Services Roundtable, and also serves on the Smithsonian National Board, American Council of Life Insurers Executive Committee, the Massachusetts Competitive Partnership, the Wharton Board of Leadership Advisors, the University of Vermont Foundation Leadership Council and the Lahey Hospital & Medical Center Board of Trustees.
Michael Freno, Chairman, Member of the Board of Managers and Chief Executive Officer
Mr. Freno is Chairman and CEO of Barings LLC, a $347+ billion global financial services firm with offices across the U.S., Europe, Australia and Asia. He is also Chair of the Barings Board of Directors and a member of the MassMutual Executive Leadership Team. His experience canvasses two decades on the buy-side, focusing on both equity and debt investments. Previously, he was President overseeing Barings’ investments, sales, operations and technology and Chairman of the Board of Barings BDC, Inc., (NYSE: BBDC), an external business development company managed by Barings. Mr. Freno holds a B.A. from Furman University and an M.B.A. from Wake Forest University.
Sears Merritt, Member of the Board of Managers
Mr. Merritt is the Head of Enterprise Technology & Experience of MassMutual. Mr. Merritt is responsible for the oversight of MassMutual’s technology strategy, including Technology & Data, Digital Experience, Platform Transformation, and Enterprise Cyber Security, a global team focused on bringing digital capabilities, automation, data science, analytics, machine learning and artificial intelligence to bear throughout the firm and driving change in the industry. Mr. Merritt joined the Company in 2013.
Michael O’Connor, Member of the Board of Managers
Mr. O’Connor is the General Counsel of MassMutual, a role he assumed in February 2017. He joined the Company in 2005 as a member of the Law department and in 2008, assumed responsibility for the Corporate Law and Government Relations team. Following that role, he led the Company’s corporate development function, served as President of MassMutual International, LLC, and was the prior Chief of Staff to the CEO.
Elizabeth A. Ward, Member of the Board of Managers
Ms. Ward has been the Company’s Chief Financial Officer since June 2016. She also held the roles of Chief Actuary from May 2016 through October 20, 2019, and Chief Enterprise Risk Officer from 2007, when she joined the Company, through May 2016. Previously, Ms. Ward was a Managing Director in Babson Capital Management LLC’s Quantitative Management Group.
Senior Management
Michael Freno, Chairman, Member of the Board of Managers and Chief Executive Officer
See above.
Jawad Malik, Chief Information Officer
Mr. Malik is Barings’ Chief Information Officer, leading global technology, data and insights, strategic program delivery and information risk. He is responsible for the overall strategy and execution of the firm’s digital transformation that is aligned with and delivers on Barings’ mission. He serves as an expert on current and emerging technologies and seeks to capitalize on innovative approaches to business problems. As a proven leader in information technology with more than 20 years of experience, Jawad has extensive experience driving business innovation and building diverse, high-performance organizations. In addition, he has leadership experience at scale in digital transformation, client experience, enterprise architecture and M&A integrations. Prior to joining the firm in 2021, Jawad held senior technology leadership roles at The Hartford’s Investment Management, ING Financial Services and Merrill Lynch. Jawad holds a B.B.A. in Finance and an M.B.A. in Information Systems from Pace University, New York.
Chris Cary, Managing Director and Global Treasurer
Mr. Cary is a member of Barings’ Finance Team and the firm’s Global Treasurer responsible for Barings’ financial risk management strategies, including foreign exchange, interest rate, and credit risk and liability management. Mr. Cary has worked in the industry since 2001. Prior to joining the firm in 2018, Mr. Cary worked for Regions Bank | Regions Securities, where he sourced and underwrote nonbank credit facilities. Before that, Mr. Cary worked at S&P Global Ratings, NorOdin Investment Management LP, and at The Coca-Cola Company. He holds an Honorary Bachelor of Commerce degree in Accounting and Finance from the University of Johannesburg in South Africa and is a Chartered and Certified Public Accountant.
Melissa LaGrant, Chief Compliance Officer
Ms. LaGrant is the Global Head of Compliance and Chief Compliance Officer of Barings LLC and is responsible for the oversight of Barings’ Compliance and Regulatory Risk Management Programs. Ms. LaGrant has over 25 years of compliance experience encompassing all aspects of the investment management industry. Prior to joining the firm in 2005, she held positions at Loomis, Sayles and Company, Deutsche Asset Management, and Scudder Kemper Investments, where her responsibilities included oversight of numerous aspects of these entities’ compliance programs, including portfolio trading compliance, guideline monitoring, administration of codes of ethics, risk management and assessment, development and implementation of policies and procedures and employee training programs. She holds a B.A. in Political Science and International Relations from Simmons College and a J.D. from Suffolk University Law School.
Caroline Mandeville, Chief Human Resources & Communications Officer
Ms. Mandeville is Barings’ Chief Human Resources & Communications Officer and is responsible for developing and executing human resource strategies, processes and policies in support of the overall business plan and strategic direction of the firm. Previously, Ms. Mandeville spent seven years at Nuveen/TIAA, most recently as Senior Vice President Human Resources, TIAA Client Services and Technology. Prior to Nuveen, she spent eight years at The Hartford Financial Services in organizational effectiveness, talent management and acquisition roles and four years at MassMutual Financial Group. Ms. Mandeville holds a B.S. in Human Resource Management and M.S. in Management with a concentration in Human Resources from Wilmington University, and an M.B.A from Salve Regina University.
David Mihalick, Head of Private Assets
Mr. Mihalick is Head of Private Assets, managing Barings’ global private markets businesses, including direct middle-market lending, private placements, infrastructure debt, private structured finance, diversified alternative equity and real estate. Prior to his current role, he served as Head of U.S. Public Fixed Income and Head of U.S. High Yield, where he was responsible for the U.S. high yield and investment grade investment groups. Mr. Mihalick has worked in the financial services industry since 2004. Prior to joining the firm in 2008, he was a Vice President with Wachovia Securities Leveraged Finance Group. At Wachovia (now Wells Fargo) he was responsible for sell-side origination of leveraged loans and high yield bonds to support both corporate and private equity issuers. Prior to entering the financial services industry, he served as an officer in the United States Air Force and worked in the telecommunications industry for 7 years. Mr. Mihalick holds a B.S. from the United States Air Force Academy, an M.S. from the University of Washington and an M.B.A. from Wake Forest University.
Duncan Robertson, Head of Asia Pacific
Mr. Robertson is Barings’ Head of Asia Pacific (APAC). Mr. Robertson’s responsibilities include setting the firm’s strategic direction in APAC and enhancing connectivity across Barings’ global footprint to help deliver enterprise initiatives at the local level. Previously, he was Head of International and oversaw Asia and Europe. Prior to that, he oversaw global sales and marketing activities and was responsible for the firm’s business development, marketing and client service efforts. Throughout his time at the firm, he has been actively involved in all aspects of the institutional, retail and wealth distribution businesses. Mr. Robertson has worked in the finance industry since 1991. Prior to joining the firm in 2008, he oversaw all fixed income distribution activities for Merrill Lynch in Australia and New Zealand. Before joining Merrill Lynch, he worked for Westpac Banking Corporation in the areas of corporate and structured finance. Mr. Robertson holds a Bachelor of Business from RMIT University, is a Chartered Accountant and a member of the Financial Services Institute of Australasia.
Martin Horne, Global Head of Public Assets
Mr. Horne is Barings’ Global Head of Public Assets, which incorporates the global high yield, investment grade, structured credit, equities, emerging markets corporate debt and global sovereign investment teams. He is also an Executive Sponsor of the Barings Black Network employee resource group. Mr. Horne has worked in the industry since 1993 and his experience has encompassed the mid cap, structured credit, investment grade and leveraged finance markets. His roles at Barings also incorporated roles as senior portfolio manager in cornerstone strategies, and head of research for the European High Yield Group. Prior to joining the firm in 2002, he was a member of the European Leverage team at Dresdner Kleinwort Wasserstein where he focused on lead arranging and underwriting senior, mezzanine and high yield for financial sponsor-driven leverage buyouts throughout Europe. He has also held positions at KPMG Corporate Finance, where he advised on complex debt transactions, National Australia Bank, in their corporate and structured credit team, and National Westminster Bank’s corporate banking unit. Mr. Horne previously served on the board of directors of the Loan Market Association and holds a B.A. in Economics from Reading University.
Sheldon M. Francis, Chief Administration Officer
Mr. Francis is Barings’ Chief Administrative Officer and Chief Legal Officer and a member of Barings Senior Leadership Team. He is responsible for the general legal affairs, compliance, enterprise risk, internal audit, procurement and vendor management, and facilities. He is also the Chairman of Barings Europe. Prior to his current role, he served as a Co-General Counsel and lead in-house attorney for Babson Capital Management’s U.S. Bank Loan, High Yield and Distressed Investments groups. Mr. Francis has more than 22 years of legal experience, encompassing all aspects of the investment management industry, corporate finance and corporate restructurings. Prior to joining the firm in 2006, he was a member of Helms Mulliss and Wicker (n/k/a McGuire Woods), and began his legal career as an associate at Bass, Berry and Sims PLC. Mr. Francis is a member of the Charlotte Sports Foundation, a 501(c)(3) dedicated to providing leadership for sports-based initiatives that result in a positive impact on the economy and quality of life in the Charlotte region. He is also an Executive Sponsor of the Barings Black Alliance employee resource group. Mr. Francis holds a B.A. from Duke University and a J.D. from the University of North Carolina at Chapel Hill School of Law.
Patrick Hoefling, Chief Financial Officer
Mr. Hoefling is Barings’ Chief Financial Officer, providing oversight and direction for all corporate finance functions including, treasury, financial planning and analysis, corporate accounting/tax, public fund accounting, and corporate strategy. Mr. Hoefling is also a member of the Barings Senior Leadership Team. Prior to becoming CFO, Mr. Hoefling served as the client portfolio services liaison with MassMutual, covering their entire portfolio. He also held the title of Corporate Treasurer and Global Head of Financial Planning and Analysis. Those roles coordinated daily operational, cash and accounting needs for the firm’s investment teams, sales function, and other operational and support areas. He helped develop Barings Social Impact, which oversees our community involvement and charitable spend. He is a board member and the Treasurer of Barings’ Social Impact Fund. Prior to joining the firm in 2008, he worked in the Private Client Advisory Tax Group at Deloitte (then known as Deloitte & Touche) and a Charlotte-based hedge fund. Mr. Hoefling holds a B.S. in Accountancy from Villanova University and a Master of Accountancy from North Carolina State University.
Eric Lloyd, President
Mr. Lloyd is President of Barings. He leads a diverse set of organizations, spanning cross-asset investment, sales and marketing, business and product development, and research. He also works closely with all the investment teams. Prior to his current role, Mr. Lloyd served as Head of Private Assets. Mr. Lloyd serves as Chairman of the Board and Chief Executive Officer for Barings BDC, Inc. (NYSE: BBDC). Mr. Lloyd is an Executive Sponsor of the Out & Allies employee resource group. Mr. Lloyd has worked in the industry since 1990. Prior to joining Barings in 2013, he served as Head of Market and Institutional Risk for Wells Fargo, was on the company’s Management Committee and was a member of the Board of Directors of Wells Fargo Securities. Before the acquisition of Wachovia, Mr. Lloyd worked in Wachovia’s Global Markets Investment Banking division and served on the division’s Operating Committee, where he held various leadership positions, including Head of Wachovia’s Global Leveraged Finance Group. Mr. Lloyd holds a B.S. in Finance from the University of Virginia.
BARING INTERNATIONAL INVESTMENT LIMITED
(“BIIL”)
The following are the names, principal occupations and addresses of the principal executive officers and each director of BIIL. The business addresses of the principal officers are 300 South Tryon Street, Suite 2500 Charlotte, North Carolina 28202 and 20 Old Bailey London, EC4M 7BF, United Kingdom.
Name | Title | Address | ||
Jill Dinerman | Director and Chair | 300 South Tryon Street, Suite 2500 Charlotte, NC 28202 | ||
Martin Horne | Director | 20 Old Bailey London, EC4M 7BF, United Kingdom | ||
Katherine Kemp | Director | 20 Old Bailey London, EC4M 7BF, United Kingdom | ||
Alexander Campbell Sutherland | Director | 20 Old Bailey London, EC4M 7BF, United Kingdom | ||
Nicole Parker | Director | 20 Old Bailey London, EC4M 7BF, United Kingdom | ||
Rhian Williams | Secretary | 20 Old Bailey London, EC4M 7BF, United Kingdom |
INVESCO ADVISERS, INC.
(“INVESCO ADVISERS”)
The following table provides information with respect to the principal executive officers and the directors of Invesco Advisers. The business address of the principal executive officers and each director is 1331 Spring Street, NW, Suite 2500, Atlanta, Georgia 30309.
Name | Position | |
Tony Wong | Director, Chairman, President and Chief Executive Officer | |
Laura Allison Dukes | Director | |
Jeffrey H. Kupor | Director | |
Andrew Schlossberg | Senior Vice President | |
Terry Gibson Vacheron | Chief Financial Officer | |
Todd F. Kuehl | Chief Compliance Officer | |
Greg Ketron | Treasurer | |
Mark W. Gregson | Chief Accounting Officer and Controller | |
Crissie Wisdom | Anti-Money Laundering Compliance Officer |
INVESCO CAPITAL MANAGEMENT LLC
(“ICM”)
The following table provides information with respect to the principal executive officers and the directors of ICM. The business address of the principal executive officers and each director is 3500 Lacey Road, Suite 700, Downers Grove, Illinois 60515.
Board Positions | |
Name | Position |
Hartigan, Brian C. | Managing Director |
Krugman, Jordan | Managing Director |
Zerr, John M. | Managing Director |
Officers | |
Name | Position |
Castillo, Veronica | Assistant Secretary |
Gallegos, Kelli K. | Principal Financial and Accounting Officer, Investments Pool |
Gregson, Mark W. | Chief Accounting Officer |
Hartigan, Brian C. | Chief Executive Officer and Principal Executive Officer |
Henkel, Adam | Secretary and Head of Legal, US ETFs |
Hubbard, Peter | Vice President |
Muncey, Andrew | Vice President and Assistant Treasurer |
Nielsen, Paul | Assistant Treasurer and Assistant Vice President |
Payton, Jacqueline | Assistant Treasurer and Assistant Vice President |
Reitmann, Rudolf E. | Global Head of UIT & ETF Services |
Tanwar, Jai | Vice President |
Vacheron, Terry Gibson | Chief Financial Officer |
Vataj, Zoje | Limited Signer – Proxy Documents |
Zimdars, Melanie | Chief Compliance Officer |
THOMPSON, SIEGEL & WALMSLEY LLC
(“TSW”)
TSW is located at 6641 West Broad Street, Suite 600, Richmond, Virginia 23230.
Executive Officers of TSW
Brett P. Hawkins, CFA
Chief Investment Officer
Portfolio Manager- Mid Cap Value, SMID Cap Value
Brett Hawkins is TSW’s Chief Investment Officer. He is a Co-Portfolio Manager for the TSW Mid Cap Value and TSW Large Cap Value strategies, and Portfolio Manager for the TSW SMID Cap Value strategy.
Prior to joining TSW in 2001, he was an Assistant Vice President of Equity Research with First Union Securities having previously worked at Arthur Andersen LLP as an Audit and Business Advisory Senior Associate. Brett is a graduate of the University of Richmond and received his MBA from the University of Virginia, Darden School. In addition, he holds the Chartered Financial Analyst® designation.
W. Winborne Boyles
Chief Compliance Officer
Winborne Boyles is the Chief Compliance Officer and is responsible for overseeing the firm’s compliance program. He is a member of the TSW Executive Committee.
Winborne began his career in the investment industry in 2010. Prior to joining TSW in 2018, he was a Senior Compliance Manager at Touchstone Investments. Previously, Winborne served in the Compliance Department at Fort Washington Investment Advisors, Inc. and as an attorney in private practice.
Winborne earned his undergraduate and law degrees from the University of North Carolina at Chapel Hill, and his MBA from the McDonough School of Business at Georgetown University. Winborne is currently registered with FINRA and holds a Series 7 and 24.
Joseph M. VanCaster, CPA
Chief Financial Officer
Joseph VanCaster is the CFO responsible for the firm’s financial control, reporting, and planning functions. He is the Chair of the TSW Executive Committee and a member of the TSW Board.
Prior to joining TSW in 2018, he was the Director of Accounting and Director of Internal Audit at Owens & Minor. Joseph also worked as an Audit Manager for KPMG and as the Assistant Controller for Bowlmor AMF. He serves as a member for the Richmond Little League Board. Joseph is a graduate of James Madison University and holds the Certified Public Accountant designation in the Commonwealth of Virginia.
Pieter E. Van Saun, CFA, CIPM
Chief Operating Officer
Pieter Van Saun is the Chief Operating Officer and oversees the daily activities of TSW operations including performance, reconciliation, marketing and client service quantitative support, portfolio management, and other key business processes. His prior roles at TSW include Order Implementation Manager and Manager of Research Operations, Assistant Portfolio Manager, and Research Associate.
Pieter joined TSW in 2000 after beginning his career in the investment industry in 1999 as a Registered Representative with H&R Block. He is a graduate of the University of Richmond, earned his MBA from Virginia Commonwealth University, and holds the Chartered Financial Analyst® and the Certificate in Investment Performance Measurement™ designations.
J. Shelton Horsley, IV, CFA
Senior Client Portfolio Manager
Shelton Horsley is a Senior Client Portfolio Manager. He is responsible for the firm’s institutional client service functions, client relationship management, and oversees distribution. He is a member of the TSW Executive Committee and TSW Board.
Shelton began his career in the investment industry in 1986. Prior to joining TSW in 1994, he worked as a Consultant for Bolton, Offutt Donovan, Inc. and for Aetna Life & Casualty as an Employee Benefits Representative. At TSW, he has been a research analyst and portfolio manager. Shelton is on the board of the Anna Julia Cooper Episcopal School and Church Schools in the Diocese of Virginia. He is a former President of the Board of Governors at William Byrd Community House and is a former member of the Board of Governors at St. Christopher’s School. He attended the University of Virginia where he earned his BA and MBA, and he holds the Chartered Financial Analyst® designation.
Bryan F. Durand
Co-Portfolio Manager/Research Analyst
Bryan Durand is a Co-Portfolio Manager for the TSW Large Cap Value strategy, and a dedicated Research Analyst for the TSW Mid Cap Value strategy and TSW SMID Cap Value strategy. He is a member of the TSW Executive Committee and TSW Board.
Bryan began his career in the investment industry in 2005. Prior to rejoining TSW in 2017, he was a Partner at Private Advisors, LLC focused on sourcing, underwriting and monitoring long/short equity investments. Bryan previously worked for MFC Global Investment Management as a Senior Research Analyst. He began his career with TSW as an Equity Research Analyst. Bryan earned his undergraduate degree from the College of the Holy Cross and his MBA from The Fuqua School of Business at Duke University. He holds the Chartered Financial Analyst® designation.
WELLINGTON MANAGEMENT COMPANY LLP
(“WELLINGTON MANAGEMENT”)
The principal business address of Wellington Management is 280 Congress Street, Boston, Massachusetts 02210. Wellington Management is an investment adviser registered under the Investment Advisers Act of 1940. During the last two fiscal years, no partner of Wellington Management, the Fund’s investment subadviser, has engaged in any other business, profession, vocation or employment of a substantial nature other than that of the business of investment management.
The following persons are principal executive officers and control persons of Wellington Management:
PRINCIPAL EXECUTIVE OFFICERS
Name | Title | |
Jean M. Hynes | Chief Executive Officer, Wellington Management Company LLP | |
Stephen Klar | President, Wellington Management Company LLP | |
Gregory S. Konzal | Managing Director, Counsel and Head of Legal, Americas, Wellington Management Company LLP | |
Erin K. Murphy | Senior Managing Director and Chief Financial Officer, Wellington Management Company LLP | |
James S. Peterson | Managing Director and Chief Compliance Officer, Wellington Management Company LLP |
CONTROL PERSONS
Wellington Investment Advisors Holdings LLP, Managing Partner of Wellington Management Company LLP
Wellington Group Holdings LLP, Managing Partner of Wellington Investment Advisors Holdings LLP
Wellington Management Group LLP, Managing Partner of Wellington Group Holdings LLP
ITEM 32. | PRINCIPAL UNDERWRITERS |
(a) MML Distributors, LLC, whose principal office is 1295 State Street, Springfield, MA 01111-0001, serves as principal underwriter to MassMutual Premier Funds, MassMutual Select Funds, MassMutual Advantage Funds, MML Series Investment Fund, and MML Series Investment Fund II.
(b) The following are the names and positions of the officers and directors of MML Distributors, LLC:
Sean Newth, Member Representative
Paul LaPiana, Chief Executive Officer and President, MML Distributors, LLC. Mr. LaPiana serves as a Trustee and President of the Registrant.
Frank Rispoli, Chief Financial Officer and Treasurer, MML Distributors, LLC.
Edward K. Duch, III, Vice President, Chief Legal Officer, and Secretary, MML Distributors, LLC.
James P. Puhala, Chief Compliance Officer, MML Distributors, LLC.
Kelly Pirrotta, AML Compliance Officer, MML Distributors, LLC.
Vincent Baggetta, Chief Risk Officer, MML Distributors, LLC.
Alyssa O’Connor, Assistant Secretary, MML Distributors, LLC.
Pablo Cabrera, Assistant Treasurer, MML Distributors, LLC.
Kevin Lacomb, Assistant Treasurer, MML Distributors, LLC.
Jeffrey Sajdak, Assistant Treasurer, MML Distributors, LLC.
Julieta Sinisgalli, Assistant Treasurer, MML Distributors, LLC.
Stephen Alibozek, Entity Contracting Officer, MML Distributors, LLC.
Mario Morton, Registration Manager and Continuing Education Officer, MML Distributors, LLC.
The business address for the officers and directors of MML Distributors, LLC is 1295 State Street, Springfield, MA 01111-0001.
(c) Not Applicable.
ITEM 33. | LOCATION OF ACCOUNTS AND RECORDS |
Each account, book, or other document required to be maintained by Registrant pursuant to Section 31(a) of the Investment Company Act of 1940 and Rules 31a-1 to 31a-3 thereunder are maintained as follows:
(Declaration of Trust and Bylaws)
MassMutual Premier Funds
1295 State Street
Springfield, Massachusetts 01111-0001
(With respect to its services as Sub-Administrator)
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, Massachusetts 01111-0001
(With respect to its services as investment adviser and Administrator)
MML Investment Advisers, LLC
1295 State Street
Springfield, Massachusetts 01111-0001
(With respect to its services as subadviser)
Barings LLC
300 South Tryon Street, Suite 2500
Charlotte, North Carolina 28202
(With respect to its services as sub-subadviser)
Baring International Investment Limited
300 South Tryon Street, Suite 2500
Charlotte, North Carolina 28202; and
20 Old Bailey
London, EC4M 7BF, United Kingdom
(With respect to its services as subadviser)
Invesco Advisers, Inc.
1331 Spring Street, NW, Suite 2500
Atlanta, Georgia 30309
(With respect to its services as sub-subadviser)
Invesco Capital Management LLC
3500 Lacey Road, Suite 700
Downers Grove, Illinois 60515
(With respect to its services as subadviser)
Thompson, Siegel & Walmsley LLC
6641 West Broad Street, Suite 600
Richmond, Virginia 23230
(With respect to its services as subadviser)
Wellington Management Company LLP
280 Congress Street
Boston, Massachusetts 02210
(With respect to its services as Distributor)
MML Distributors, LLC
1295 State Street
Springfield, Massachusetts 01111-0001
(With respect to its services as Sub-Administrator, Transfer Agent, and Custodian)
State Street Bank and Trust Company
1 Iron Street
Boston, Massachusetts 02210
(With respect to its services as Transfer Agent)
ALPS Fund Services, Inc.
1290 Broadway, Suite 1000
Denver, Colorado 80203
(With respect to their services as counsel)
Ropes & Gray LLP
The Prudential Tower
800 Boylston Street
Boston, Massachusetts 02199-3600
ITEM 34. | MANAGEMENT SERVICES |
There are no management-related service contracts not discussed in Part A or Part B.
ITEM 35. | UNDERTAKINGS |
Not applicable.
NOTICE
A copy of the Agreement and Declaration of Trust of the Trust, as amended, is on file with the Secretary of the Commonwealth of Massachusetts, and notice is hereby given that this instrument is executed on behalf of the Trust by an officer of the Trust as an officer and not individually and the obligations of or arising out of this instrument are not binding upon any of the Trustees or shareholders individually but are binding only upon the assets and property of the relevant series of the Trust.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, and the Investment Company Act of 1940, as amended, the Registrant certifies that it meets all of the requirements for effectiveness of this Registration Statement pursuant to Rule 485(b) under the Securities Act of 1933, and the Registrant has duly caused this Post-Effective Amendment No. 86 to its Registration Statement to be signed on its behalf by the undersigned, thereto duly authorized, in the City of Springfield and the Commonwealth of Massachusetts as of the 1st day of February, 2024.
MASSMUTUAL PREMIER FUNDS | ||
By: | /s/ PAUL LAPIANA | |
Paul LaPiana | ||
President |
Pursuant to the requirements of the Securities Act of 1933, as amended, this Post-Effective Amendment No. 86 to the Registration Statement has been signed by the following persons in the capacities as indicated as of the 1st day of February, 2024.
Signature | Title | ||
/s/ PAUL LAPIANA | Trustee, President, and Chief Executive Officer | ||
Paul LaPiana | (Principal Executive Officer) | ||
/s/ RENEE HITCHCOCK | Chief Financial Officer and Treasurer | ||
Renee Hitchcock | (Principal Financial Officer) | ||
* | Chairperson and Trustee | ||
Susan B. Sweeney | |||
* | Trustee | ||
Nabil N. El-Hage | |||
* | Trustee | ||
Maria D. Furman | |||
* | Trustee | ||
R. Bradford Malt | |||
* | Trustee | ||
C. Ann Merrifield | |||
* | Trustee | ||
Clifford M. Noreen | |||
* | Trustee | ||
Cynthia R. Plouché | |||
* | Trustee | ||
Jason J. Price |
*By: | /s/ JILL NAREAU ROBERT | |
Jill Nareau Robert | ||
Attorney-in-Fact |
INDEX TO EXHIBITS