UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 14A INFORMATION
Proxy Statement Pursuant to Section 14(a) of the
Securities Exchange Act of 1934 (Amendment
(Amendment No. )
Filed by the Registrant ☒
Filed by a Partyparty other than the Registrant ☐
Check the appropriate box:
☐ | Preliminary Proxy Statement |
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Confidential, | ||
☒ | Definitive Proxy Statement | |
☐ | Definitive Additional Materials | |
☐ | Soliciting Material |
GOLDMAN SACHS ETF TRUST
GOLDMAN SACHS ETF TRUST II
GOLDMAN SACHS REAL ESTATE DIVERSIFIED INCOME FUND
GOLDMAN SACHS TRUST
GOLDMAN SACHS TRUST II
GOLDMAN SACHS VARIABLE INSURANCE TRUST
(Name of Registrant as Specified In Its Charter)
(none)
(Name of Person(s) Filing Proxy Statement, if Other Thanother than the Registrant)
Payment of Filing Fee (Check the appropriate box):
☒ | No fee required. | |||
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Fee paid previously with preliminary | ||||
☐ | Fee computed on table in exhibit required by Item 25(b) per Exchange Act | |||
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GOLDMAN SACHS ETF TRUST
GOLDMAN SACHS ETF TRUST II
GOLDMAN SACHS REAL ESTATE DIVERSIFIED INCOME FUND
GOLDMAN SACHS TRUST
GOLDMAN SACHS TRUST II
GOLDMAN SACHS VARIABLE INSURANCE TRUST
71 South Wacker Drive200 West Street
Chicago, Illinois 60606New York, New York 10282
November 14, 2019(212) 902-1000
September 5, 2023
Dear Shareholder or Variable Contract Owner:
I am writing to you on an important matter relating to the Goldman Sachs ETF Trust, Goldman Sachs ETF Trust II, Goldman Sachs Real Estate Diversified Income Fund, Goldman Sachs Trust, Goldman Sachs Trust II and Goldman Sachs Variable Insurance Trust (collectively, the “Funds”). In July 2023, the Boards of Trustees of the Funds (the “Boards” or “Trustees”) voted to align and consolidate the membership of the Boards (the “Proposal”). The Proposal, which is discussed in greater detail in the accompanying Joint Proxy Statement for Special Joint Meeting of Shareholders (the “Joint Proxy Statement”), is subject to shareholder approval. Accordingly, the Funds will hold a virtual special joint meeting of shareholders on November 16, 2023, at 10:30 a.m. Eastern Time (with any postponements or adjournments, the “Meeting”).
The following matters will be considered and acted upon at the Meeting:
i. | shareholders of the Funds within Goldman Sachs ETF Trust will be asked to elect seven Trustees to the Board of their Funds; |
ii. | shareholders of the Funds within Goldman Sachs ETF Trust II will be asked to elect seven Trustees to the Board of their Funds; |
iii. | shareholders of the Goldman Sachs Real Estate Diversified Income Fund will be asked to elect seven Trustees to the Board of their Fund; |
iv. | shareholders of the Funds within Goldman Sachs Trust will be asked to elect nine Trustees to the Board of their Funds; |
v. | shareholders of the Funds within Goldman Sachs Trust II will be asked to elect seven Trustees to the Board of their Funds; and |
vi. | shareholders of the Funds within Goldman Sachs Variable Insurance Trust will be asked to elect nine Trustees to the Board of their Funds. |
The Board of each of the Goldman Sachs ETF Trust, Goldman Sachs ETF Trust II, Goldman Sachs Real Estate Diversified Income Fund and Goldman Sachs Trust II currently consists of the same six Independent Trustees (i.e., Trustees who are not “interested persons” of the applicable Funds, as defined in the Investment Company Act of 1940) as well as James A. McNamara, an Interested Trustee. The Board of each of the Goldman Sachs Trust and Goldman Sachs Variable Insurance Trust also currently consists of the same seven Independent Trustees as well as Mr. McNamara, an Interested Trustee. In order to bring the memberships of the Boards into alignment, (i) the Independent Trustees of the Goldman Sachs Trust and Goldman Sachs Variable Insurance Trust have been nominated for election to the Board of each of the Goldman Sachs ETF Trust, Goldman Sachs ETF Trust II, Goldman Sachs Real Estate Diversified Income Fund and Goldman Sachs Trust II; and (ii) the Independent Trustees of the Goldman Sachs ETF Trust, Goldman Sachs ETF Trust II, Goldman Sachs Real Estate Diversified Income Fund and Goldman Sachs Trust II have been nominated for election to the Board of each of the Goldman Sachs Trust and Goldman Sachs Variable Insurance Trust. In addition, three current Independent Trustees of the Goldman Sachs Trust and Goldman Sachs Variable Insurance Trust, who were
previously appointed by other Independent Trustees to those Boards rather than elected by shareholders, have been nominated for election to continue to serve as Trustees on those Boards.
The alignment and consolidation of the Boards’ memberships would provide an opportunity to enhance the effectiveness of board oversight and result in other potential benefits as described in the accompanying Joint Proxy Statement. If elected by shareholders, the nominees would begin serving as Trustees of the applicable Board on January 1, 2024.
You are cordially invited to attend the Meeting. The Meeting will be conducted as a Special Meeting (the “Meeting”)virtual meeting hosted by means of the Goldman Sachs Trust (“GST”)a live webcast. Shareholders and the Goldman Sachs Variable Insurance Trust (“GSVIT”) (collectively, the “Trusts”)variable contract owners will be able to listen and vote from their home or any location with internet connectivity.
You or your proxyholder will be held on January 23, 2020, at 10:30 am (Eastern time), at the offices of Goldman Sachs Asset Management, L.P., located at 30 Hudson Street, 21st Floor—Room 21L, Jersey City, NJ, 07302. Please note that if you planable to attend the Meeting photographic identification as well as proof of ownership of fund shares, such asonline and vote by visiting www.proxyvote.com and using a copy of your proxy voting card, voting instruction form or brokerage statement showing your holdings of fund shares, will be required for admission.
At this importantcontrol number assigned by Broadridge Financial Solutions, Inc. (“Broadridge”). To register and receive access to the virtual meeting, you will be askedneed to consider and act upon one or more offollow the following proposals.
Proposal 1 is to be voted upon by all Shareholders of each series ofinstructions provided in the Trusts (each, a “Fund” and, collectively, the “Funds”):
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Proposal 2 is to be voted upon only by Shareholders of the Goldman Sachs Large Cap Growth Insights Fund, a series of GST:
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Proposal 3 is to be voted upon by all Shareholders of each Fund:
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A formal Notice of Special Meeting and Joint Proxy Statement setting forth in detail the matters to come before the Meeting are attached to this letter, and a proxy card and voting instruction form is enclosed for your use. You should read the Joint Proxy Statement carefully.that follow.
WHETHER OR NOT YOU PLAN TO BE PRESENT AT THE MEETING, YOUR VOTE IS VERY IMPORTANT. The Boards After careful consideration, the Board of Trustees of the Trusts recommend that you vote“FOR” each of the proposals with respect to your Fund(s).Funds unanimously recommends that you vote “FOR” the election of each applicable nominee. However, before you vote, please read the Joint Proxy Statement for a complete description of the proposals.Proposal. If you do not plan to be present at the Meeting, you can vote by signing, dating and returning the enclosed proxy card or voting instruction form promptly or by using the Internet or telephone
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voting options as described on your proxy card or voting instruction form. If you have any questions regarding the proxy materials, please contact the Trusts Broadridge at1-800-621-2550. 855-973-0097. Your Your prompt response will help reduce proxy costs—which are paid by the Funds and their Shareholders—costs and will also mean that you can avoid receivingfollow-up phone phone calls or mailings.
Sincerely,
James A. McNamara
President
PLEASE SIGN, DATE AND RETURN THE ENCLOSED PROXY CARD OR VOTING INSTRUCTION FORM IN THE ENCLOSED ENVELOPE OR USE THE INTERNET OR TELEPHONE VOTING OPTIONS TO CAST YOUR VOTE AS SOON AS POSSIBLE TO ENSURE A QUORUM FOR THE MEETING. YOUR VOTE IS IMPORTANT. THANK YOU IN ADVANCE FOR YOUR VOTE AND CONTINUED SUPPORT.
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Important Information to Help You Understand and Vote on the Proposals – Questions and Answers
The following questions and answers provide an overviewBy Order of the matters on which youBoards of Trustees of
Goldman Sachs ETF Trust
Goldman Sachs ETF Trust II
Goldman Sachs Real Estate Diversified Income Fund
Goldman Sachs Trust
Goldman Sachs Trust II
Goldman Sachs Variable Insurance Trust
Caroline L. Kraus
Secretary
SEPTEMBER 5, 2023
IMPORTANT INFORMATION
FOR SHAREHOLDERS
For your convenience, the following “Questions and Answers” are being askeda summary of, and are not intended to vote. Thebe as detailed as, the discussion found in the accompanying Joint Proxy Statement contains more detailedfor Special Joint Meeting of Shareholders (the “Joint Proxy Statement”). The information about each proposal,in this “Questions and weAnswers” section is qualified in its entirety by reference to the Joint Proxy Statement. We encourage you to read itcarefully review the information contained in its entirety before voting.the Joint Proxy Statement.
Your vote is important.General
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QUESTIONS SPECIFIC TO THE PROPOSALS
PROPOSAL 1—ELECTION OF TRUSTEES
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EachThe Boards of Ms. CassidyTrustees of the Funds (the “Boards,” and Mr. Weaver has served (and currently serves) as a Trusteethe members thereof, the “Trustees”) separately determined that it is in the best interests of each Trust since originally appointed in 2015. The twonon-incumbent Nominees – Ambassador Bushthe Fund(s) under their respective oversight to align and Dr. Delgado – were unanimously approvedconsolidate the membership of the Boards so that all of the Funds are overseen by the same Trustees. Accordingly, the Boards have proposed the election of nominees (the “Nominees”) to the Boards (the “Proposal”) as discussed below.
The Board to stand for election, upon a recommendation from each Trust’s Governance and Nominating Committee, as part of the Committee’s succession planning process.
Information about each of the Nominees, including age, principal occupations duringGSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II currently consists of the past five years and other information, suchsame six Independent Trustees (i.e., Trustees who are not “interested persons” of each of the applicable Funds, as the Nominee’s experience, qualifications, attributes or skills, is set forthdefined in the Joint Proxy Statement.
While the Board can ordinarily appoint new Trustees without a Shareholder vote, the Board cannot do so if, after such appointment, fewer thantwo-thirdsInvestment Company Act of 1940 (the “1940 Act”) (the “ETF/ETFII/RE/GSTII Independent Trustees”)) as well as James A. McNamara, an Interested Trustee of the applicable Funds. The Board of each of the GS Trust and GS VIT also currently consists of the same seven Independent Trustees would(the “GST/GS VIT Independent Trustees”) as well as Mr. McNamara, an Interested Trustee of the applicable Funds.
In order to bring the memberships of the Boards into alignment, (i) the GST/GS VIT Independent Trustees have been elected by Shareholders. If the twonon-incumbent Nominees were appointednominated for election to the Board the number of Trustees elected by Shareholders would represent fewer thantwo-thirdseach of the membersGSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II; and (ii) the ETF/ETFII/RE/GSTII Independent Trustees have been nominated for election to the Board of each of the Board. Accordingly, a Shareholder meeting to elect the twonon-incumbent Nominees is required. Additionally, the Board believes this is an appropriate time for the incumbentGS Trust and GS VIT. In addition, three current GST/GS VIT Independent Trustees, thatwho were previously appointed (ratherby other Independent Trustees to those Boards rather than elected)elected by shareholders, have been nominated for election to stand for election.continue to serve as Trustees on those Boards. Electing these four Nomineesthree current GST/GS VIT Independent Trustees would give the applicable Board additional flexibility in the future to appoint a limited number of additional new Trustees, if necessary, without incurring the costs of holding one or more expensive Shareholdershareholder meetings. Your vote is important
The Boards believe that this alignment and can make a difference inconsolidation through the governanceelection of all of the Funds.Nominees would be beneficial to the Funds and their shareholders. If elected by shareholders, the Nominees would begin serving as Trustees of the applicable Board on January 1, 2024.
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PROPOSAL 2—TO APPROVE A CHANGE TO THE GOLDMAN SACHS LARGE CAP GROWTH INSIGHTS FUND’SSUB-CLASSIFICATION UNDER THE 1940 ACT FROM “DIVERSIFIED” TO“NON-DIVERSIFIED.”
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The Board, subject to Shareholder approval, has approved a change to the Fund’ssub-classification under the 1940 Act to a“non-diversified” company
Owners, annuitants and to eliminate the Fund’s related fundamental investment restriction. Changing the Fund’s status tonon-diversified would provide Goldman Sachs Asset Management, the Fund’s investment adviser, with enhanced flexibility tobeneficiaries of variable life insurance and variable annuity contracts issued by life insurance companies having separate accounts that invest a greater portionin shares of the Fund’s assets in one or more issuers. Given the weightings of certain large capitalization stocks in the Fund’s benchmark, the portfolio managers of the Fund believeFunds within GS VIT who are entitled to give voting instructions in connection with their variable contracts with respect to the Proposal are referred to herein as “shareholders” with respect to such Fund(s).
After careful consideration, each Board unanimously recommends that it is important to have this additional flexibility, and that they will be better able to executeshareholders of the Fund’s investment strategy and other policies with this additional flexibility. If Proposal 2 is approved, as a non-diversified fund,Fund(s) under its oversight vote “FOR” the Fund may be more susceptible to adverse developments affecting any single issuer held in its portfolio, and may be more susceptible to greater losses becauseelection of these developments.
GENERAL QUESTIONSeach applicable Nominee.
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Each of the Nominees either currently serves as a GST/GS VIT Independent Trustee or an ETF/ETFII/RE/GSTII Independent Trustee. The |
the membership of the Board of each of the GS Trust and GS VIT will be expanded to include the six ETF/ETFII/RE/GSTII Independent Trustees; and
the membership of the Board of each of the GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II will be expanded to include the seven GST/GS VIT Independent Trustees.
Each Nominee would not be deemed to be an “interested person,” as that term is defined under the 1940 Act, of any of the Funds. Mr. McNamara would be considered an “interested person” of each Fund because he holds positions with Goldman Sachs and owns securities issued by The Goldman Sachs Group, Inc.
Election of all of the Nominees will bring the membership of the Boards into alignment. This alignment and consolidation would provide an opportunity to enhance the effectiveness of board oversight and result in other potential benefits as described in the accompanying Joint Proxy Statement.
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that each Fund would benefit from the additional experience, insights and oversight from the election of the Nominees that are not currently members of its Board;
that each of the Nominees has significant professional experience and skills, as well as experience overseeing investment companies;
that a single, consolidated Board would reduce GSAM’s administrative and operational efforts in supporting multiple Boards and enable GSAM to focus greater resources and time on providing services to the Funds;
that a single, consolidated Board with increased skill sets, backgrounds and depth of experience with all types of funds within the Goldman Sachs registered fund complex would be better positioned to respond to the increasing complexities of the registered fund business;
that GSAM has agreed to bear a portion of the costs associated with the board realignment and consolidation (up to $2,100,000). Each Fund will be allocated its respective share of the remaining costs associated with the board realignment and consolidation, with fixed costs allocated to the Funds equally and certain variable costs (e.g., costs of printing and mailing) allocated to the Funds on a pro rata basis based on the number of shareholders of each Fund. In addition, for Funds subject to an expense reimbursement arrangement, GSAM will reimburse the costs associated with the board
realignment and consolidation to the extent needed to ensure that no Fund’s allocated costs would increase such Fund’s total expense ratio by more than 0.004%. In no event will the allocated costs associated with the board realignment and consolidation increase a Fund’s total expense ratio by more than 0.004%; |
that a single, consolidated Board would facilitate succession planning efforts of the Boards and alleviate the costs of identifying and onboarding new Board members in the future, who may have potentially less experience overseeing funds, including those managed by GSAM; and
that a single governance platform would reduce the costs and complexity of potential Fund conversions and reorganizations within the Goldman Sachs registered fund complex overseen by the Boards.
Q. | As a shareholder of one or more of the |
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A. | While a Board can ordinarily appoint new Trustees without a shareholder vote, the Board cannot do so if, after such appointment, fewer than two-thirds of the Trustees would have been elected by shareholders. By electing the three incumbent Nominees of the GS Trust and GS VIT that were not previously elected by shareholders, the applicable Boards would have additional flexibility in the future to appoint a limited number of additional new Trustees, if necessary, without incurring the costs of holding one or more expensive shareholder meetings. Accordingly, the Boards of the GS Trust and GS VIT believe this is an appropriate time for the incumbent Trustees that were previously appointed (rather than elected) to stand for election. |
Voting
Q. | Who is asking for my vote? |
A. | Your vote is being solicited by and on behalf of the Board of your Fund with respect to the special joint meeting of shareholders of the Funds to be held on November 16, 2023 (with any postponements or adjournments, the “Meeting”). As a shareholder of record of any of the Funds as of the close of business on the Record Date, you are entitled to notice of, and to vote at, the Meeting, even if you no longer own Fund shares. |
Q. | How does the Board of my Fund recommend that I vote? |
A. | After careful consideration, the Board of your Fund unanimously recommends that shareholders vote “FOR” the Proposal (the election of each applicable Nominee). Please see the section entitled “Summary of the Reasons for the Board Alignment and Consolidation” with respect to the Proposal for a discussion of your Board’s considerations in making such recommendation. |
Q. | Why am I receiving information about Funds I do not own? |
A. | The Proposal is similar for each of the Funds, and the Boards have concluded that it is cost-effective to hold the Meeting concurrently for all of the Funds. |
Q. | What vote is required to approve the Proposal? |
A. | Each shareholder is entitled to one vote for each share held and a fractional vote proportionate to fractional shares held as of the Record Date. |
For each of the GSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and GS VIT, the presence in person or by proxy of shareholders owning shares representing one-third (1/3) or more of the total combined shares entitled to vote at the Meeting shall constitute a quorum at the Meeting.
For each of the GSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and GS VIT, when a quorum is present, an affirmative vote by a plurality of the shares voted shall elect a Nominee as Trustee.
For each of the GSETF Trust, GSETF Trust II, GS Trust, GS Trust II and GS VIT, the Proposal applies on a trust-wide basis, and all series (i.e., the respective Funds) and classes thereof will vote together on the Proposal. However, the vote on the Proposal or the election of a Nominee by the shareholders of each of the GSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and GS VIT will not affect the Proposal or the election of a Nominee with respect to the other Funds.
Q. | Will my vote make a difference? |
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You should vote because every vote is important. If numerous shareholders just like you do not vote, the Funds may not receive enough votes to go forward with the Meeting. If this happens, the Funds will need to solicit votes again. This may delay the Meeting and the approval of the Proposal and generate unnecessary costs. |
Q. | How do I place my vote? |
A. | Shareholders |
By mailing the enclosed proxy card or voting instruction form after signing and dating;
Over the Internet by going to the website indicated on your proxy card or voting instruction form;
By telephone, with a toll free call to the number on your proxy card or voting instruction form; or
In person atBy attending the Meeting.virtual Meeting and voting during the webcast.
We encourage you to vote over the Internet by going to the website provided on your enclosed proxy card or voting instruction form, or by telephone by calling the toll-free number on your enclosed proxy card or voting instruction form, in each case using the voting control number that appears on your proxy card or voting instruction form. These voting methods will save your Fund money. However, whichever method you choose, please take the time to read the Joint Proxy Statement before you vote.
I plan to vote by mail. How should I sign my proxy card or voting instruction form? |
Please see the instructions at the end of the Notice, |
I plan to vote over the Internet. How does Internet voting work? |
To vote over the Internet, please log on to the website indicated on your proxy card or voting instruction form and follow the instructions provided on the voting website. |
I plan to vote by telephone. How does telephone voting work? |
To vote by telephone, please call toll free the number on your proxy card or voting instruction form from within the United States and follow the instructions provided during your call. |
Whom should I call with questions? |
If you have any additional questions about the Joint Proxy Statement or the upcoming Meeting, please contact |
Q: | What is the relationship between the proxy solicitor, Broadridge, |
A: | The |
THE ATTACHED JOINT PROXY STATEMENT CONTAINS MORE DETAILED INFORMATION ABOUT THE PROPOSALS.PROPOSAL. PLEASE READ IT CAREFULLY. YOUR VOTE IS IMPORTANT.
GOLDMAN SACHS ETF TRUST
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GOLDMAN SACHS REAL ESTATE DIVERSIFIED INCOME FUND
GOLDMAN SACHS TRUST
GOLDMAN SACHS TRUST II
GOLDMAN SACHS VARIABLE INSURANCE TRUST
71 South Wacker Drive200 West Street
Chicago, Illinois 60606New York, New York 10282
(212) 902-1000
NOTICE OF SPECIAL JOINT MEETING OF SHAREHOLDERS
To Be Held On January 23, 2020TO BE HELD ON NOVEMBER 16, 2023
November 14, 2019
To the ShareholdersNOTICE IS HEREBY GIVENTHAT A SPECIAL JOINT MEETING OF SHAREHOLDERS of each of the Goldman Sachs ETF Trust (“GST”GSETF Trust”), Goldman Sachs ETF Trust II (“GSETF Trust II”), Goldman Sachs Real Estate Diversified Income Fund (“Real Estate Fund”), Goldman Sachs Trust (“GS Trust”), Goldman Sachs Trust II (“GS Trust II”) and owners,Goldman Sachs Variable Insurance Trust (“GS VIT”) (collectively, the “Funds”) will be held virtually on November 16, 2023, at 10:30 a.m. Eastern Time (with any postponements or adjournments, the “Meeting”).
At the Meeting, and as specified in greater detail in the Joint Proxy Statement for Special Joint Meeting of Shareholders (the “Joint Proxy Statement”) accompanying this Notice, shareholders of the Funds will be asked to consider and act upon the following proposals:
1. To elect nominees (the “Nominees”) to the Board of Trustees (the “Boards,” and the members thereof, the “Trustees”) of each of the GSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and GS VIT (the “Proposal”) as follows:
i. | Shareholders of the Funds within the GSETF Trust will be asked to elect the following Trustees to the Board of their Funds: |
Gregory G. Weaver
Dwight L. Bush
Kathryn A. Cassidy
John G. Chou
Joaquin Delgado
Eileen H. Dowling
Paul C. Wirth
ii. | Shareholders of the Funds within the GSETF Trust II will be asked to elect the following Trustees to the Board of their Funds: |
Gregory G. Weaver
Dwight L. Bush
Kathryn A. Cassidy
John G. Chou
Joaquin Delgado
Eileen H. Dowling
Paul C. Wirth
iii. | Shareholders of the Real Estate Fund will be asked to elect the following Trustees to the Board of their Fund: |
Gregory G. Weaver
Dwight L. Bush
Kathryn A. Cassidy
John G. Chou
Joaquin Delgado
Eileen H. Dowling
Paul C. Wirth
iv. | Shareholders of the Funds within the GS Trust will be asked to elect the following Trustees to the Board of their Funds: |
Cheryl K. Beebe
John G. Chou
Eileen H. Dowling
Lawrence Hughes
John F. Killian
Steven D. Krichmar
Michael Latham
Lawrence W. Stranghoener
Paul C. Wirth
v. | Shareholders of the Funds within the GS Trust II will be asked to elect the following Trustees to the Board of their Funds: |
Gregory G. Weaver
Dwight L. Bush
Kathryn A. Cassidy
John G. Chou
Joaquin Delgado
Eileen H. Dowling
Paul C. Wirth
vi. | Shareholders of the Funds within the GS VIT will be asked to elect the following Trustees to the Board of their Funds: |
Cheryl K. Beebe
John G. Chou
Eileen H. Dowling
Lawrence Hughes
John F. Killian
Steven D. Krichmar
Michael Latham
Lawrence W. Stranghoener
Paul C. Wirth
2. To transact such other business as may properly come before the Meeting or any adjournment(s) or postponement(s) thereof.
After careful consideration, the Board of each of the GSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and GS VIT unanimously recommends that shareholders vote “FOR” the Proposal (the election of each applicable Nominee).
The matters referred to above are discussed in the Joint Proxy Statement attached to this notice. The Board of your Fund believes that the Proposal is in the best interests of the Fund and its Shareholders.
Owners, annuitants orand beneficiaries of variable life insurance and variable annuity contracts (“variable contracts”) issued by life insurance companies (the “Life Companies”) having separate accounts (the “Accounts”) that invest in shares of a seriesone or more of the Goldman Sachs Variable Insurance Trust (“GSVIT,” and, together with GST, the “Trusts”)Funds within GS VIT who are entitled to give voting instructions in connection with their variable contracts:
A Special Meeting (the “Meeting”) ofcontracts with respect to the Trusts will be held on January 23, 2020, at 10:30 am (Eastern time), at the offices of Goldman Sachs Asset Management, L.P. (“GSAM”), located at 30 Hudson Street, 21st Floor—Room 21L, Jersey City, NJ, 07302 for the following purposes.
Proposal 1 is to be voted upon by all Shareholders of each series of the Trusts (each, a “Fund” and, collectively, the “Funds”):
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Proposal 2 is to be voted upon only by Shareholders of the Goldman Sachs Large Cap Growth Insights Fund, a series of GST:
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Proposal 3 is to be voted upon by all Shareholders of each Fund:
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The mattersare referred to above are discussed in the Joint Proxy Statement attachedherein as “shareholders” with respect to this Notice.such Fund(s). Goldman Sachs & Co. LLC, GSAM,Goldman Sachs Asset Management,
L.P. (“GSAM” or the “Investment Adviser”), the Life Companies and the Accounts are the only Shareholdersshareholders of GSVIT.GS VIT. Each Life Company hereby solicits and agrees to vote the shares of a GSVITGS VIT Fund at the Meeting, and, as applicable, in accordance with timely instructions received from owners of variable contracts issued by it and having contract values allocated to one of its Accounts invested in such shares.
You will be able to attend the Meeting online and vote your shares electronically. To participate in the Meeting, Shareholders must register in advance by visiting https://www.viewproxy.com/goldmansachs/broadridgevsm/ and submitting the required information to Broadridge Financial Solutions, Inc. (“Broadridge”), the Funds’ proxy solicitor.
Shareholders whose shares are registered directly with a Fund in the shareholder’s name will be asked to submit their name and control number found on the shareholder’s proxy card in order to register to participate in and vote at the Meeting. Shareholders whose shares are held by a broker, bank or other nominee must first obtain a “legal proxy” from the applicable nominee/record holder, who will then provide the shareholder with a newly-issued control number. We note that obtaining a legal proxy may take several days. Requests for registration should be received no later than 5:00 p.m., Eastern Time, on November 14, 2023, but in any event must be received by the scheduled time for commencement of the Meeting. Once a shareholder has obtained a new control number, he or she must visit https://www.viewproxy.com/goldmansachs/broadridgevsm/ and submit his or her name and newly issued control number in order to register to participate in and vote at the Meeting.
After shareholders have submitted their registration information, they will receive an email from Broadridge that confirms that their registration request has been received and is under review by Broadridge. Once a shareholder’s registration request has been accepted, the shareholder will receive (i) an email containing an event link and dial-in information to attend the Meeting, and (ii) an email with a password to enter at the event link in order to access the Meeting. Only shareholders of a Fund present virtually or by proxy will be able to vote, or otherwise exercise the powers of a shareholder, at the Meeting. Shareholders may vote before or during the Meeting at www.proxyvote.com.
The Meeting webcast will begin promptly at 10:30 a.m. Eastern Time. We encourage you to access the Meeting prior to the start time. For additional information on how you can attend and participate in the virtual Meeting, please see the instructions beginning on page 1 of the Joint Proxy Statement that follows. Because the Meeting will be a completely virtual meeting, there will be no physical location for shareholders to attend.
The matters referred to above are discussed in the Joint Proxy Statement attached to this Notice. Shareholders and variable contract owners of record at the close of business on November 4, 2019,August 21, 2023, the record date for the Meeting, are entitled to receive notice of and to vote, or instruct the Life Company that issued the contract as to the manner in which shares of a GSVITGS VIT Fund attributable to the contract should be voted, at the Meeting and at any postponements or adjournments thereof. Each Shareholder and variable contract owner is invited to attend the Meeting in person.
Please note that if you plan to attend the Meeting, photographic identification as well as proof of ownership of Fund shares, such as a copy of your proxy voting card, voting instruction form or brokerage statement showing your holdings of Fund shares, will be required for admission.If you will not be present at the Meeting, we urge you to sign, date and promptly return the enclosed proxy card or voting instruction form in the envelope provided, which is addressed for your convenience and needs no postage if mailed in the United States. You may also vote easily and quickly by Internet or by telephone. In order to avoid the additional expense to the Funds of further solicitation, we ask your cooperation in returning your proxy or voting instruction promptly.
By Order of the Boards of Trustees of
of Goldman Sachs ETF Trust
Goldman Sachs ETF Trust II
Goldman Sachs Real Estate Diversified Income Fund
Goldman Sachs Trust
Goldman Sachs Trust and II
Goldman Sachs
Variable Insurance Trust
Caroline L. Kraus
Secretary
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YOUR VOTE IS IMPORTANT
NO MATTER HOW MANY SHARES YOU OWN
To secure the largest possible representation at the Meeting, please mark your proxy card or voting instruction form, sign it, date it, and return it in the postage paid envelope provided (unless you are voting by Internet or by telephone).If you sign, date and return a proxy card or voting instruction form but give no voting instructions, your shares will be voted “FOR” all of the Proposalsproposal indicated on the card. If you prefer, you may instead vote via the Internet or by telephone. To vote in this manner, you should refer to the directions below.
To vote via the Internet, please access the website found on your proxy card or voting instruction form and follow theon-screen instructions on the website.
To vote by telephone from within the United States, please call the toll-free number found on your proxy card or voting instruction form, from within the United States, and follow the recorded instructions (Shareholdersinstructions. Shareholders outside the United States should vote via the Internet or by submitting a proxy card or voting instruction form instead).instead.
You may revoke your proxy or voting instruction form at any time at or before the Meeting, by submitting to the Secretary of the Trusts at the Trusts’ principal executive officesFunds, c/o Goldman Sachs Funds, Attention: Shareholder Services Media Support, 71 South Wacker Drive, Suite 1200 Chicago, IL 60606, a written notice of revocation or subsequently executed proxy or voting instruction form or by virtually attending and voting at the Meeting and electing to vote in person.Meeting.
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INSTRUCTIONS FOR SIGNING PROXY CARDS
The following general guidelines for signing proxy cards may be of assistance to you and will help avoid the time and expense to the Trustsa Fund involved in validating your vote if you fail to sign your proxy card properly.
1. Individual Accounts: Sign your name exactly as it appears in the registration on the proxy card or voting instruction form.
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2. Joint Accounts: Either party may sign, but the name of the party signing should conform exactly to the name shown in the registration on the proxy card or voting instruction form.
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3. All Other Accounts:The capacity of the individual signing the proxy card or voting instruction form should be indicated unless it is reflected in the form of registration. For example: |
Registration | Valid Signature | |
Corporate Accounts | ||
(1) ABC Corp. | ABC Corp. | |
John Doe, Treasurer | ||
(2) ABC Corp. | John Doe, Treasurer | |
(3) ABC Corp. c/o John Doe, Treasurer | John Doe | |
(4) ABC Corp. Profit Sharing Plan | John Doe, Trustee | |
Partnership Accounts | ||
(1) The XYZ Partnership | Jane B. Smith, Partner | |
(2) Smith and Jones, Limited Partnership | Jane B. Smith, General Partner | |
Trust Accounts | ||
(1) ABC Trust Account | Jane B. Doe, Trustee | |
(2) Jane B. Doe, Trustee u/t/d 12/18/98 | Jane B. Doe | |
Custodial or Estate Accounts | ||
(1) John B. Smith, Cust. f/b/o | ||
John B. Smith Jr. UGMA/UTMA | John B. Smith | |
(2) Estate of John B. Smith | John B. Smith, Jr., Executor |
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(continued)
GOLDMAN SACHS ETF TRUST
5
OFGOLDMAN SACHS REAL ESTATE DIVERSIFIED INCOME FUND
GOLDMAN SACHS TRUST
ANDGOLDMAN SACHS TRUST II
GOLDMAN SACHS VARIABLE INSURANCE TRUST
71 South Wacker Drive200 West Street
Chicago, Illinois 60606New York, New York 10282
(212) 902-1000
JOINT PROXY STATEMENT FOR SPECIAL JOINT MEETING OF SHAREHOLDERS
November 14, 2019TO BE HELD ON NOVEMBER 16, 2023
This Joint Proxy Statement isand enclosed Notice of Special Joint Meeting of Shareholders (“Notice”) and proxy card are being furnished in connection with the solicitation of proxies by and on behalf of the Boards of Trustees (the “Boards,” and the members thereof, the “Trustees”) of the Goldman Sachs ETF Trust (“GST”GSETF Trust”), Goldman Sachs ETF Trust II (“GSETF Trust II”), Goldman Sachs Real Estate Diversified Income Fund (“Real Estate Fund”), Goldman Sachs Trust (“GS Trust”), Goldman Sachs Trust II (“GS Trust II”) and the Goldman Sachs Variable Insurance Trust (“GSVIT”GS VIT”) (collectively, the “Trusts”“Funds”). The proxies are being solicited for use at the Trusts’ Special Meetinga virtual special joint meeting of shareholders of each Fund to be held at the offices of Goldman Sachs Asset Management, L.P. (“GSAM” or “Investment Adviser”), located at 30 Hudson Street, 21st Floor—Room 21L, Jersey City, NJ, 07302, on January 23, 2020,November 16, 2023, at 10:30 am (Eastern time),a.m. Eastern Time (with any postponements or any postponement or adjournment thereof, foradjournments, the purposes set forth in the accompanying Notice of Special Meeting. Such meeting and any postponement or adjournment thereof is referred to as the “Meeting.” Please note that if you plan to attend the Meeting, photographic identification as well as proof of ownership of fund shares, such as a copy of your proxy voting card, voting instruction form or brokerage statement showing your holdings of fund shares, will be required for admission. This Joint Proxy Statement, the accompanying Notice of Special Meeting, and the accompanying proxy card and voting instruction form (or, if applicable, the appropriate notice of where to access these materials) are being mailed to Shareholders on or about November 14, 2019.“Meeting”).
This Joint Proxy Statement is also being furnished by certain life insurance companies (the “Life Companies”) to owners, annuitants orand beneficiaries (“variable contract owners”) of variable life insurance and variable annuity contracts (“variable contracts”) issued by a Life Company and having contract assets on the record date allocated to a separate account of a Life Company that has invested in shares of a seriesone or more of GSVITthe Funds within GS VIT (an “Account”). Shareholders and variable contract owners are referred to herein collectively as “shareholders,” unless otherwise specified.
This Joint Proxy Statement and the accompanying Notice, proxy card and voting instruction form (or, if applicable, the appropriate notice of where to access these materials) are anticipated to be first mailed to shareholders on or about September 7, 2023.
At the Meeting, and as described in this Joint Proxy Statement, shareholders of the Funds will be asked to consider and act upon the following proposals:
1. To elect nominees (the “Nominees”) to the Board of each of the GSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and GS VIT (the “Proposal”) as follows:
i. | Shareholders of the Funds within the GSETF Trust will be asked to elect the following Trustees to the Board of their Funds: |
Gregory G. Weaver
Dwight L. Bush
Kathryn A. Cassidy
John G. Chou
Joaquin Delgado
Eileen H. Dowling
Paul C. Wirth
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ii. | Shareholders of the Funds within the GSETF Trust II will be asked to elect the following Trustees to the Board of their Funds: |
Gregory G. Weaver
Dwight L. Bush
Kathryn A. Cassidy
John G. Chou
Joaquin Delgado
Eileen H. Dowling
Paul C. Wirth
iii. | Shareholders of the Real Estate Fund will be asked to elect the following Trustees to the Board of their Fund: |
Gregory G. Weaver
Dwight L. Bush
Kathryn A. Cassidy
John G. Chou
Joaquin Delgado
Eileen H. Dowling
Paul C. Wirth
iv. | Shareholders of the Funds within the GS Trust will be asked to elect the following Trustees to the Board of their Funds: |
Cheryl K. Beebe
John G. Chou
Eileen H. Dowling
Lawrence Hughes
John F. Killian
Steven D. Krichmar
Michael Latham
Lawrence W. Stranghoener
Paul C. Wirth
v. | Shareholders of the Funds within the GS Trust II will be asked to elect the following Trustees to the Board of their Funds: |
Gregory G. Weaver
Dwight L. Bush
Kathryn A. Cassidy
John G. Chou
Joaquin Delgado
Eileen H. Dowling
Paul C. Wirth
vi. | Variable contract owners of the Funds within the GS VIT will be asked to elect the following Trustees to the Board of their Funds: |
Cheryl K. Beebe
John G. Chou
Eileen H. Dowling
Lawrence Hughes
John F. Killian
Steven D. Krichmar
Michael Latham
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Lawrence W. Stranghoener
Paul C. Wirth
2. To transact such other business as may properly come before the Meeting or any adjournment(s) or postponement(s) thereof.
After careful consideration, the Board of each of the GSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and GS VIT unanimously recommends that shareholders vote “FOR” the Proposal (the election of each applicable Nominee). The Proposal will be voted upon separately by each of the GSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and GS VIT. For each of the GSETF Trust, GSETF Trust II, GS Trust, GS Trust II and GS VIT, the Proposal applies on a Trust-wide basis, and all series (i.e., the respective Funds) and classes thereof will vote together on the Proposal.
As further explained below, election of all of the Nominees will bring the membership of the Boards into alignment. This alignment and consolidation would provide the opportunity to enhance the effectiveness of board oversight, and result in other potential benefits, as described below. If elected by shareholders, the Nominees would begin serving as Trustees of the applicable Board on January 1, 2024. The Boards have determined that the use of this Joint Proxy Statement for the Meeting is in the best interests of each Fund and its shareholders because similar matters are being considered and voted on by the shareholders of the other Funds.
The TrusteesMeeting will be a virtual meeting conducted exclusively via live webcast starting at 10:30 a.m. Eastern Time on November 16, 2023. You will be able to attend the Meeting online and vote your shares electronically. To participate in the Meeting, shareholders must register in advance by visiting https://www.viewproxy.com/goldmansachs/broadridgevsm/and submitting the required information to Broadridge Financial Solutions, Inc. (“Broadridge”), the Funds’ proxy solicitor.
Shareholders whose shares are registered directly with a Fund in the Shareholder’s name will be asked to submit their name and control number found on the Shareholder’s proxy card in order to register to participate in and vote at the Meeting. Shareholders whose shares are held by a broker, bank or other nominee must first obtain a “legal proxy” from the applicable nominee/record holder, who will then provide the shareholder with a newly-issued control number. We note that obtaining a legal proxy may take several days. Requests for registration should be received no later than 5:00 p.m., Eastern Time, on November 14. 2023, but in any event must be received by the scheduled time for commencement of the Meeting. Once shareholders have obtained a new control number, they must visit https://www.viewproxy.com/goldmansachs/broadridgevsm/ and submit their name and newly issued control number in order to register to participate in and vote at the Meeting.
After Shareholders have submitted their registration information, they will receive an email from Broadridge that confirms that their registration request has been received and is under review by Broadridge. Once a Shareholder’s registration request has been accepted, the Shareholder will receive (i) an email containing an event link and dial-in information to attend the Meeting, and (ii) an email with a password to enter at the event link in order to access the Meeting. Shareholders may vote before or during the Meeting at www.proxyvote.com. Only Shareholders of a Fund present virtually or by proxy will be able to vote, or otherwise exercise the powers of a Shareholder, at the Meeting.
The Boards have fixed the close of business on November 4, 2019August 21, 2023 as the record date for the determination of Shareholdersshareholders entitled to notice of, and to vote at, the Meeting (the “Record Date”). Shareholders of record of the respective TrustsFunds on the Record Date are entitled to one vote per share at the Meeting.Exhibit AAppendix C to this Joint Proxy Statement sets forth the number of shares of beneficial interest of each investment portfolio (“Fund”) of the TrustsFund outstanding as of the Record Date.Exhibit B Appendix D to this Joint Proxy Statement sets forth the persons who owned beneficially more than 5% of any class of a Fund as of September 30, 2019.July 31, 2023.
Goldman Sachs & Co. LLC, GSAM,Goldman Sachs Asset Management, L.P. (“GSAM” or the “Investment Adviser”), the Life Companies and the Accounts are the only Shareholdersshareholders of GSVIT.EachGS VIT. Each Life Company
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hereby solicits and agrees to vote the shares of a series of GSVITone or more Funds within GS VIT at the Meeting, and, as applicable, in accordance with timely instructions received from persons entitled to give voting instructions under variable contracts issued by it and having contract values allocated to one of its Accounts invested in shares of a series of GSVIT.one or more Funds within GS VIT. As a variable contract owner of record at the close of business on the Record Date, you have the right to instruct the Life Company that issued your contract as to the manner in which shares of a series of GSVITone or more Funds within GS VIT attributable to your contract should be voted. The Life Companies will vote shares attributable to variable contracts as to which proxy cards or voting instruction forms are neither executed nor
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returned in proportion (“for” or “withhold authority”) to those shares for which instructions are received. As a result, a small number of variable contract owners could determine the outcome of the vote for the GS VIT if other owners fail to vote. GSAM will vote shares of GSVITGS VIT that it owns, if any, in proportion to the votes cast by the Life Companies on behalf of variable contract owners.
It is expected that the solicitation of proxies will be primarily by mail. However, some Shareholders will not automatically receive a copy of this Joint Proxy Statement in the mail, but will instead receive a notice that informs them how to access all of the proxy materials on a publicly available website (commonly referred to as “notice and access”). Shareholders who receive such a notice will not be able to return the notice to have their vote recorded. Instead, these Shareholders can access the proxy materials at www.proxyvote.com to vote eligible shares or may use the instructions on the notice to request a paper or email copy of the proxy materials at no charge. The Trusts’Funds’ officers, and personnel of the Funds’ investment advisersadviser and transfer agentagents and any authorized proxy solicitation agent, may also solicit proxies by telephone, facsimile, Internet or in person. If a Trust recordsthe Funds record votes through the Internet or by telephone, it will use procedures designed to authenticate Shareholders’shareholders’ identities, to allow Shareholdersshareholders to authorize the voting of their shares in accordance with their instructions, and to confirm that their identities have been properly recorded.
The FundsGSAM has agreed to bear a portion of the costs associated with the board realignment and consolidation (up to $2,100,000). Each Fund will pay theirbe allocated its respective share of the expensesremaining costs associated with this Joint Proxy Statementthe board realignment and solicitation, inconsolidation, with fixed costs allocated to the Funds equally and certain variable costs (e.g., costs of printing and mailing) allocated to the Funds on a manner agreed upon bypro rata basis based on the Boardsnumber of Trustees. However,shareholders of each Fund. In addition, for Funds subject to an expense reimbursement arrangement, GSAM has agreed towill reimburse a Fundthe costs associated with the board realignment and consolidation to the extent needed to ensure that no Fund’s allocated costs would increase such expenses exceedFund’s total expense ratio by more than 0.004%. In no event will the allocated costs associated with the board realignment and consolidation increase a specified percentage of the Fund’s net assets.total expense ratio by more than 0.004%. The TrustsFunds and GSAM have engagedretained Broadridge Financial Solutions Inc. (“Broadridge”), an independenta proxy solicitation firm, to assist in the distribution of the proxy materials and the solicitation and tabulation of proxies.proxies, and Donnelley Financial Solutions (“DFIN”), to assist with the printing of proxy materials. The cost of DFIN’s and Broadridge’s services in connection with respect to the Trustsproxy solicitation is estimated to be approximately $4.1 million, plus reasonableout-of-pocket expenses.$6.6 million.
To vote by mail, sign, date and promptly return the enclosed proxy card or voting instruction form in the accompanying postagepre-paid envelope. To vote by Internet or telephone, please use the control number on your proxy card or voting instruction form and follow the instructions as described on your proxy card or voting instruction form. If you have any questions regarding the proxy materials, please contact the TrustsBroadridge at1-800-621-2550.855-973-0097.If the enclosed proxy card or voting instruction form is properly executed and received prior to the Meeting and has not been revoked, the shares represented thereby will be voted in accordance with the instructions marked on the returned proxy card or voting instruction form or, if no instructions are marked on the returned proxy card or voting instruction form, the proxy card or voting instruction form will be voted “FOR”“FOR” the election of the Trustee Nominees described in this Joint Proxy Statement; “FOR” Proposal 2;Statement, and in the discretion of the persons named as proxies in connection with any other matter that may properly come before the Meeting or any adjournment(s) or postponement(s) thereof.
Any person giving a proxy may revoke it at any time before it is exercised by submitting to the Secretary of the Trusts at the Trusts’ principal executive officesFunds, c/o Goldman Sachs Funds, Attention: Shareholder Services Media Support, 71 South Wacker Drive, Suite 1200 Chicago, IL 60606, a written notice of revocation or subsequently executed proxy or voting instruction form or by virtually attending and voting at the Meeting and electing to vote in person.Meeting.
If (i) you are a member of a household in which multiple Shareholdersshareholders of either Trusta Fund share the same address, (ii) your shares are held in “street name” and (iii) your broker or bank has received consent to household material, then your broker or bank may have sent to your household only one copy of this Joint Proxy Statement or the Notice of Internet Availability of Proxy Materials, unless your broker or bank previously received contrary
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instructions from a Shareholdershareholder in your household. If you are part of a household that has received only one copy of this Joint Proxy Statement or the Notice of Internet Availability of Proxy Materials, your respective TrustFund will deliver promptly a separate copy of this Joint Proxy Statement or the Notice of Internet Availability of Proxy Materials to you upon written or oral request. To receive a separate copy of this Joint Proxy Statement or the Notice of Internet Availability of Proxy Materials, please contact the Trustsyour Fund by calling toll free1-800-621-2550 (for institutional shareholders) or1-800-526-7384 (for retail shareholders), or by mail at such Fund, c/o Goldman Sachs Funds,
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P.O. Box 06050, Attention: Shareholder Services Media Support, 71 South Wacker Drive, Suite 1200 Chicago, Illinois 60606-6306.IL 60606. If your shares are held with certain banks, trust companies, brokers, registereddealers, investment advisers and other financial intermediaries (each, an “Authorized Institution”) and you would like to receive a separate copy of future proxy statements, notices of internet availability of proxy materials, prospectuses or annual reports or you are now receiving multiple copies of these documents and would like to receive a single copy in the future, please contact your Authorized Institution.
IMPORTANT NOTICE REGARDING THE AVAILABILITY OF PROXY MATERIALS FOR THE SPECIAL MEETING TO BE HELD ON January 23, 2020NOVEMBER 16, 2023
This Joint Proxy Statement is available online at www.proxyvote.com (please have the control number found on your proxy card or voting instruction form ready when you visit this website).
IN ADDITION, COPIESIn addition, copies of the Funds’ most recent annual and semi-annual report, including financial statements, have previously been mailed to Shareholders. The Funds will furnish to any shareholder upon request, without charge, an additional copy of the Funds’ most recent annual report and semi-annual report to shareholders. Annual reports and semi-annual reports to Shareholders may be obtained by writing to: the Funds, c/o Goldman Sachs Funds, Attention: Shareholder Services Media Support, 71 South Wacker Drive, Suite 1200 Chicago, IL 60606; or by telephone toll-free at: 1-800-621-2550 (for institutional shareholders) and 1-800-526-7384 (for retail shareholders).
The date of this Joint Proxy Statement is September 5, 2023.
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ELECTION OF NOMINEES TO THE BOARD OF TRUSTEES OF EACH FUND’S MOST RECENT ANNUAL AND SEMI-ANNUAL REPORT, INCLUDING FINANCIAL STATEMENTS, HAVE PREVIOUSLY BEEN MAILED TO SHAREHOLDERS. COPIES OF EACH FUND’S MOST RECENT ANNUAL AND SEMI-ANNUAL REPORT, INCLUDING FINANCIAL STATEMENTS, ARE ALSO AVAILABLE AT WWW.GSAMFUNDS.COM/MUTUALFUNDS, WWW.GSAMFUNDS.COM/MONEYMARKETFUNDS, AND WWW.GSAMFUNDS.COM/VITFUNDS, AS APPLICABLE. EACHGOLDMAN SACHS ETF TRUST, WILL FURNISH TO ANY SHAREHOLDER UPON REQUEST, WITHOUT CHARGE, AN ADDITIONAL COPY OF ANY FUND’S MOST RECENT ANNUAL REPORT AND SUBSEQUENT SEMI-ANNUAL REPORT TO SHAREHOLDERS. ANNUAL REPORTS AND SEMI-ANNUAL REPORTS TO SHAREHOLDERS MAY BE OBTAINED BY WRITING TO:GOLDMAN SACHS ETF TRUST II, GOLDMAN SACHS REAL ESTATE DIVERSIFIED INCOME FUND, GOLDMAN SACHS TRUST, ORGOLDMAN SACHS TRUST II AND GOLDMAN SACHS VARIABLE INSURANCE TRUST P.O. BOX 06050, CHICAGO, ILLINOIS 60606-6306; OR BY TELEPHONE TOLL-FREE AT:1-800-621-2550 (FOR INSTITUTIONAL SHAREHOLDERS) AND1-800-526-7384 (FOR RETAIL SHAREHOLDERS).
ALL FUNDS LISTED IN EXHIBIT C
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ELECTION OF TRUSTEES
All Funds listed inExhibit A
The Proposal 1 relates to the election of members of the Boards of Trustees of the Trusts (the “Board”). You are being asked to elect the following four nomineesNominees to serve as Trusteesthe Board of each of GSTthe GSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and GSVIT:GS VIT:
Nominees to the Board of the GSETF Trust
Nominees to the Board of the GSETF Trust II
Nominees to the Board of the Real Estate Fund
Nominees to the Board of the GS Trust
Nominees to the Board of the GS Trust II
Nominees to the Board of the GS Variable Insurance Trust
The Board of each of the GS Trust and GS VIT is currently composed of eight Trustees: Gregory G. Weaver, Dwight L. Bush, Kathryn A. Cassidy, John G. Chou, Joaquin Delgado, Eileen H. Dowling, Paul C. Wirth and Gregory G. Weaver (each, a “Nominee” and, collectively, the “Nominees”). These four individuals have not previously been elected by Shareholders of those Trusts.
Each of Ms. Cassidy and Mr. Weaver has served (and currently serves) as a TrusteeJames A. McNamara. The Board of each of the GSETF Trust, since originally appointed in 2015. The other two Nominees—Ambassador BushGSETF Trust II, Real Estate Fund and Dr. Delgado—doGS Trust II is currently composed of seven Trustees: Cheryl K. Beebe, Lawrence Hughes, John F. Killian, Steven D. Krichmar, Michael Latham, Lawrence W. Stranghoener and James A. McNamara.
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Each Nominee would not currently serve on the Board. However, effective October 15, 2019, the Board unanimously appointed Ambassador Bush and Dr. Delgadobe deemed to serve on each Trust’s Advisory Board pending their electionbe an “interested person,” as Trustees. Ambassador Bush and Dr. Delgado were unanimously approved by the Board, including the Trustees who are not “interested persons” (asthat term is defined byunder the Investment Company Act of 1940 (“1940(the “1940 Act”)), of each of the Trusts (the “Independent Trustees”), to stand for election, upon a recommendation from each Trust’s GovernanceGSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and Nominating Committee, as part of the Committee’s succession planning process.GS VIT.
If elected, by Shareholders at the Meeting, theapplicable Nominees willwould hold office with respect for an indefinite term.term, until the earliest of: (a) the election of his or her successor; (b) the date the Trustee resigns or is removed by the Board or shareholders, in accordance with the applicable Declaration of Trust; (c) the termination of the Funds; or (d) his or her retirement (whether pursuant to the applicable retirement policy or otherwise).
These policies may be changed by the Trustees without shareholder approval. The BoardBoards would also be able to fill future vacancies by appointment (subject to the requirement of the 1940 Act that, after such appointment, at leasttwo-thirds of of the Trustees holding office must have been elected by Shareholders)shareholders) without incurring the additional expense associated with calling one or more shareholder meetings to fill those vacancies.
Following discussions with GSAM and meetings of the Boards, each Governance and Nominating Committee considered each applicable Nominee (except with respect to Nominees who were appointed and currently serve on the Boards of GS Trust and GS VIT), including his or her qualifications and experience, and selected and recommended, and each Board unanimously nominated, the applicable Nominees for election by shareholders as Trustees of the applicable Boards. The Boards also increased their respective sizes to accommodate the applicable Nominees.
Explanation of the Board Alignment and Consolidation
The Board of each of the GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II currently consists of the same six Independent Trustees (i.e., Trustees who are not “interested persons” of the applicable Funds, as defined in the 1940 Act) as well as Mr. McNamara, an Interested Trustee. The Board of each of the GS Trust and GS VIT also currently consists of the same seven Independent Trustees as well as James A. McNamara, an Interested Trustee. In order to bring the memberships of the Boards into alignment, (i) the GST/GS VIT Independent Trustees have been nominated for election to the Board of each of the GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II; and (ii) the ETF/ETFII/RE/GSTII Independent Trustees have been nominated for election to the Board of each of the GS Trust and GS VIT. In addition, three current Independent Trustees of the GS Trust and GS VIT (Mr. Chou, Ms. Dowling and Mr. Wirth), who were previously appointed by other Independent Trustees to the Board rather than elected by shareholders, have been nominated for election to continue to serve as Trustees on the Board.
As further explained below, the election of all of the Nominees will bring the membership of the Boards into alignment. This alignment and consolidation would provide the opportunity to enhance the effectiveness of board oversight and result in other potential benefits as described in the accompanying Joint Proxy Statement.
The Boards separately determined that it is in the best interests of the Fund(s) under their respective oversight to align and consolidate the membership of the Boards so that all of the Funds are overseen by the same Trustees.
Summary of the Reasons for the Board Alignment and Consolidation
The Proposal is the result of an effort on the part of the Boards and GSAM to align and consolidate the membership of the Boards so that the same Trustees serve on each board for the Funds, in order to further enhance the effectiveness of board oversight. The Trustees met with GSAM representatives and communicated with each other to consider and develop the Proposal to align and consolidate the membership of the Boards. The Independent Trustees also met with their independent legal counsel to consider and discuss matters relating to the alignment and consolidation of the Boards.
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In reaching the conclusion that the approval of the Proposal is in the best interests of the Funds and their shareholders, the Boards took into account the recommendation of GSAM, and considered a number of factors, including the following:
◾ | that each Fund would benefit from the additional experience, insights and oversight from the election of the Nominees that are not currently members of its Board; |
◾ | that each of the Nominees has significant professional experience and skills, as well as experience overseeing investment companies; |
◾ | that a single, consolidated Board would reduce GSAM’s administrative and operational efforts in supporting multiple Boards and enable GSAM to focus greater resources and time on providing services to the Funds; |
◾ | that a single, consolidated Board with increased skill sets, backgrounds and depth of experience with all types of funds within the Goldman Sachs registered fund complex would be better positioned to respond to the increasing complexities of the registered fund business; |
◾ | that GSAM has agreed to bear a portion of the costs associated with the board realignment and consolidation (up to $2,100,000). Each Fund will be allocated its respective share of the remaining costs associated with the board realignment and consolidation, with fixed costs allocated to the Funds equally and certain variable costs (e.g., costs of printing and mailing) allocated to the Funds on a pro rata basis based on the number of shareholders of each Fund. In addition, for Funds subject to an expense reimbursement arrangement, GSAM will reimburse the costs associated with the board realignment and consolidation to the extent needed to ensure that no Fund’s allocated costs would increase such Fund’s total expense ratio by more than 0.004%. In no event will the allocated costs associated with the board realignment and consolidation increase a Fund’s total expense ratio by more than 0.004%; |
◾ | that a single, consolidated Board would facilitate succession planning efforts of the Boards and alleviate the costs of identifying and onboarding new Board members in the future, who may have potentially less experience overseeing funds, including those managed by GSAM; and |
◾ | that a single governance platform would reduce the costs and complexity of potential Fund conversions and reorganizations within the Goldman Sachs registered fund complex overseen by the Boards. |
Information concerning the Nominees and other relevant factors is provided below. Using the enclosed proxy card or voting instruction form or voting by the Internet or by telephone, a Shareholdershareholder may authorize proxies to vote his or her shares for the Nominees or may withhold from the proxies authority to vote his or her shares for one or more of the Nominees. If the enclosed proxy card or voting instruction form is properly executed and received prior to the Meeting (and has not been revoked) but no instructions are marked, the proxies will vote “FOR” the Nominees. Each of the Nominees has consented to his or her nomination and has agreed to serve if elected. If, at the time of the Meeting, for any reason, any Nominee is not available for election or able to serve as a Trustee, the proxies will exercise their voting power in favor of such substitute Nominee, if any, as the Trustees may designate. The TrustsFunds have no reason to believe that it will be necessary to designate a substitute Nominee. Each TrustFund proposes the election by all of its respective Shareholdersshareholders of the four Nominees named in the table below to serve as members of theits Board.
Each Trust’s Governance and Nominating Committee, which is responsible for reviewing and making recommendations toInformation Regarding the Board with respect to the composition of the Board, reviewed the requisite skills of the Nominees and criteria for new Trustees. Moreover, the Governance and Nominating Committee conducted a search for qualified candidates for Board membership, interviewed candidates extensively and sought nominees who were both qualified and who would bring relevant expertise to the Board.
The following table sets forth the names oflists the Nominees and Trustees, and their addresses, ages, term of office (includingcurrent position(s) held with the Funds length of time served, as a Trustee or Advisory Board Member, as applicable), principal occupations for at leastduring the past five years, any other directorships they hold in companies which are subject to the reporting requirements of the Securities Exchange Act of 1934 (the “Exchange Act”), or are registered as investment companies under the 1940 Act, and the number of portfolios infunds currently overseen within the Goldman Sachs Fund Complex (as defined below) that they oversee (or will oversee if elected).and other directorships held by the Nominees who are not deemed to be “interested persons”and Trustees during the past five years, as of the Trusts are referred to as “Independent Trustees.” Trustees who are deemed to be “interested persons” of the Trusts are referred to as “Interested Trustees.”September 5, 2023.
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Nominees (Independent Trustees)
Name, Address and Age | Position(s) | Term of | Principal Occupation(s) | Number of Portfolios in Fund Overseen by Trustee | Other | |||||
Cheryl K. Beebe Age: 67 | Chair of the Board of Trustees of GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II | Since 2017 (Trustee since 2015) (GS Trust II); Since 2022 (Trustee since 2021) (GSETF Trust, GSETF Trust II and Real Estate Fund); | Ms. Beebe is retired. She is Director, Packaging Corporation of America (2008–Present); Director, The Mosaic Company (2019–Present); Director, HanesBrands Inc. (2020–Present); and was formerly Director, Convergys Corporation (a global leader in customer experience outsourcing) (2015–2018); and formerly held the position of Executive Vice President, (2010–2014); and Chief Financial Officer, Ingredion, Inc. (a leading global ingredient solutions company) (2004–2014). Chair of the Board of Trustees—Goldman Sachs Trust II; Goldman Sachs MLP and Energy Renaissance Fund; Goldman Sachs ETF Trust; Goldman Sachs ETF Trust II; and Goldman Sachs Real Estate Diversified Income Fund. | 89 | Packaging Corporation of America (producer of container board); The Mosaic Company (producer of phosphate and potash fertilizer); HanesBrands Inc. (a multinational clothing company) | |||||
Dwight L. Bush Age: | Since |
| 102 |
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Name, Address and Age1 | Position(s) Held with | Term of Office and | Principal Occupation(s) | Number of Portfolios in Fund Complex Overseen by Trustee2 | Other Directorships | |||||
Kathryn A. Cassidy Age: | Since 2015 | Ms. Cassidy is retired. She is Director, Vertical Aerospace Ltd. (an aerospace and technology company) (2021–present). Formerly,
Trustee—Goldman Sachs Trust and Goldman Sachs Variable Insurance Trust. | 102 | Vertical Aerospace Ltd. (an aerospace and technology company) | ||||||
John G. Chou Age: 66 | Trustee of GS Trust and GS VIT | Since 2022 | Mr. Chou is retired. Formerly, he was Executive Vice President and Special Advisor to the Chairman and CEO (2021–2022); Executive Vice President and Chief Legal Officer (2019–2021); Executive Vice President and Chief Legal & Business Officer (2017–2019); and Executive Vice President and General Counsel (2011–2017) of Cencora, Inc. (a pharmaceutical and healthcare company). Trustee—Goldman Sachs Trust and Goldman Sachs Variable Insurance Trust. | 102 | None | |||||
Joaquin Delgado Age: | Since | Dr. Delgado is retired. He is
| 102 | Stepan Company (a specialty chemical manufacturer) |
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Name, Address and Age | Position(s) | Term of | Principal Occupation(s) | Number of Portfolios in Fund Overseen by Trustee | Other | |||||
Eileen H. Dowling Age: 60 | Trustee of GS Trust and GS VIT | Since 2021 | Ms. Dowling is retired. Formerly, she was Senior Advisor (April 2021–September 2021); and Managing Director (2013–2021), BlackRock, Inc. (a financial services firm). As Managing Director, she held senior management positions, including Global Head of Global Consultant Relations (2017–2021), Multinational Corporations (2019–2021), the Institutional Product Group (2015–2019) and Institutional Marketing (2013–2016). Ms. Dowling was a member of the Global Operating Committee and Product Executive Committee of BlackRock. Trustee—Goldman Sachs Trust and Goldman Sachs Variable Insurance Trust. | 102 | None | |||||
Lawrence Hughes Age: 65 | Trustee of GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II | Since 2016 (GS Trust II); Since 2021 (GSETF Trust, GSETF Trust II and Real Estate Fund); | Mr. Hughes is retired. Formerly, he held senior management positions with BNY Mellon Wealth Management, a division of The Bank of New York Mellon Corporation (a financial services company) (1991–2015), most recently as Chief Executive Officer (2010–2015). Previously, Mr. Hughes served as an Advisory Board Member of Goldman Sachs Trust II (February 2016 – April 2016). Trustee—Goldman Sachs Trust II; Goldman Sachs MLP and Energy Renaissance Fund; Goldman Sachs ETF Trust; Goldman Sachs ETF Trust II; and Goldman Sachs Real Estate Diversified Income Fund. | 89 | None |
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Name, Address and Age1 | Position(s) Held with | Term of Office and | Principal Occupation(s) | Number of Portfolios in Fund Complex Overseen by Trustee2 | Other Directorships | |||||
John F. Killian Age: 68 | Trustee of GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II | Since 2015 (GS Trust II); Since 2021 (GSETF Trust, GSETF Trust II and Real Estate Fund); | Mr. Killian is retired. He is Director, Consolidated Edison, Inc. (2007–Present); and was formerly Director, Houghton Mifflin Harcourt Publishing Company (2011–2022). Previously, he held senior management positions with Verizon Communications, Inc., including Executive Vice President and Chief Financial Officer (2009–2010); and President, Verizon Business, Verizon Communications, Inc. (2005–2009). Trustee—Goldman Sachs Trust II; Goldman Sachs MLP and Energy Renaissance Fund; Goldman Sachs ETF Trust; Goldman Sachs ETF Trust II; and Goldman Sachs Real Estate Diversified Income Fund. | 89 | Consolidated Edison, Inc. (a utility holding company) | |||||
Steven D. Krichmar Age: 65 | Trustee of Goldman Sachs GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II | Since 2018 (GS Trust II); Since 2021 (GSETF Trust, GSETF Trust II and Real Estate Fund); | Mr. Krichmar is retired. Formerly, he held senior management and governance positions with Putnam Investments, LLC, a financial services company (2001–2016). He was most recently Chief of Operations and a member of the Operating Committee of Putnam Investments, LLC and Principal Financial Officer of The Putnam Funds. Previously, Mr. Krichmar served as an Audit Partner with PricewaterhouseCoopers LLP and its predecessor company (1990 – 2001). Trustee—Goldman Sachs Trust II; Goldman Sachs MLP and Energy Renaissance Fund; Goldman Sachs ETF Trust; Goldman Sachs ETF Trust II; and Goldman Sachs Real Estate Diversified Income Fund. | 89 | None |
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Name, Address and Age1 | Position(s) Held with | Term of Office and | Principal Occupation(s) | Number of Portfolios in Fund Complex Overseen by Trustee2 | Other Directorships | |||||
Michael Latham Age: 57 | Trustee of GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II | Since 2015 (GSETF Trust); Since 2021 (GSETF Trust II and GS Trust II); Since inception (Real Estate Fund) | Mr. Latham is retired. Formerly, he held senior management positions with the iShares exchange-traded fund business owned by BlackRock, Inc., including Chairman (2011–2014); Global Head (2010–2011); U.S. Head (2007–2010); and Chief Operating Officer (2003–2007). Trustee—Goldman Sachs Trust II; Goldman Sachs MLP and Energy Renaissance Fund; Goldman Sachs ETF Trust; Goldman Sachs ETF Trust II; Goldman Sachs Credit Income Fund; and Goldman Sachs Real Estate Diversified Income Fund. | 90 | None | |||||
Lawrence W. Stranghoener Age: 69 | Trustee of GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II | Since 2015 (GSETF Trust); Since 2021 (GSETF Trust II and GS Trust II); Since inception (Real Estate Fund) | Mr. Stranghoener is retired. He is Chairman, Kennametal, Inc. (a global manufacturer and distributor of tooling and industrial materials) (2003-Present); and was formerly Director, Aleris Corporation and Aleris International, Inc. (a producer of aluminum rolled products) (2011-2020); Interim Chief Executive Officer (2014) and Executive Vice President and Chief Financial Officer (2004–2014), Mosaic Company (a fertilizer manufacturing company). Trustee—Goldman Sachs Trust II; Goldman Sachs MLP and Energy Renaissance Fund; Goldman Sachs ETF Trust; Goldman Sachs ETF Trust II; and Goldman Sachs Real Estate Diversified Income Fund. Chair of the Board of Trustees—Goldman Sachs Credit Income Fund. | 90 | Kennametal, Inc. (a global manufacturer and distributor of tooling and industrial materials) | |||||
Gregory G. Weaver Age: | Chair of the Board of Trustees of GS Trust and GS VIT | Since | Mr. Weaver is retired. He is Director, Verizon Communications Inc. (2015–Present); and was formerly Chairman and Chief Executive Officer, Deloitte & Touche LLP (a professional services firm) (2001–2005 and 2012–2014); and Member of the Board of Directors, Deloitte & Touche LLP (2006–2012).
| 102 | Verizon Communications Inc. |
Current(Non-Nominee) Trustees
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Name, Address and Age | Position(s) | Term of | Principal Occupation(s) | Number of Portfolios in Fund Overseen by Trustee |
Other Directorships | |||||||
Age: |
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| ||||||||||
| Trustee of GS Trust and GS VIT | Since |
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|
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| ||||||
| Mr.
Trustee—Goldman Sachs Trust and Goldman Sachs Variable Insurance Trust. | 102 |
Interested Trustee | |||||||||||||||
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James A. McNamara* Age: | President and Trustee of GSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and GS VIT | Since 2007 (GS Trust and GS VIT); Since 2012 (GS Trust II); Since 2014 (GSETF Trust); Since 2021 (GSETF Trust II); Since inception (Real Estate Fund) | Advisory Director, Goldman Sachs (January 2018–Present); Managing Director, Goldman Sachs (January 2000–December 2017); Director of Institutional Fund Sales, GSAM (April 1998–December 2000); and Senior Vice President and Manager, Dreyfus Institutional Service Corporation (January 1993–April 1998).
President and Trustee—Goldman Sachs Trust; Goldman Sachs Variable Insurance Trust; Goldman Sachs Trust II; Goldman Sachs MLP | 192 | None |
* | Mr. McNamara is considered to be an “Interested Trustee” because he holds positions with Goldman Sachs and owns securities issued by The Goldman Sachs Group, Inc. Mr. McNamara holds comparable positions with certain other companies of which Goldman Sachs, GSAM or an affiliate thereof is the investment adviser, administrator and/or distributor. |
1 | Each Trustee may be contacted by writing to the Trustee, c/o Goldman Sachs, 200 West Street, New York, New York, 10282, Attn: Caroline Kraus. |
2 |
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The Goldman Sachs Fund Complex includes certain other companies listed above for each respective Trustee. As of |
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This column includes only directorships of companies required to report to the |
The significance or relevance of a Nominee’s or Trustee’s particular experience, qualifications, attributes and/or skills is considered by the BoardBoards on an individual basis. Experience, qualifications, attributes and/or skills common to all Nominees and Trustees include the ability to critically review, evaluate and discuss information provided to them and to interact effectively with the other Trustees and with representatives of the investment advisers and sub-advisers and their affiliates, other service providers, legal counsel and the Funds’ independent registered public accounting firm, the capacity to address financial and legal issues and exercise reasonable business judgment, and a commitment to the representation of the interests of the Funds and their Shareholders. The Governance and Nominating Committee’s charter containsCommittees’ charters contain certain other factors that are considered by the Governance and Nominating CommitteeCommittees in identifying and evaluating potential nominees to serve as Independent Trustees. Based on each Nominee’s or Trustee’s experience, qualifications, attributes and/or skills, considered individually and with respect to the experience, qualifications, attributes and/or skills of other Nominees, and Trustees, the Board hasBoards have each concluded that each Nominee and Trustee should serve as a Trustee. Below is a brief discussion of the experience, qualifications, attributes and/or skills of each individual Trustee or Nominee as of November 14, 2019September 5, 2023 that led the BoardBoards to conclude that such individual should serve as a Trustee.
Jessica Palmer.Cheryl K. Beebe. Ms. PalmerBeebe has served as a Trustee of the GS Trust II since 20072015 and Chair of the Board of Trustees since 2018. Ms. Palmer worked at Citigroup Corporate2017 and Investment Banking (previously, Salomon Smith Barney/Salomon Brothers) for over 20 years, where she was a Managing Director. While at Citigroup Corporatethe GSETF Trust, GSETF Trust II and Investment Banking, Ms. Palmer was Head of Global Risk Management,Real Estate Fund since 2021 and Chair of the Global Commitment Committee,Co-ChairBoard of International Investment Banking (New York) and Head of Fixed Income Capital Markets.Trustees since 2021. Ms. Palmer was alsoBeebe is retired. She is a member of the Management Committee and Risk Management Operating CommitteeBoard of Citigroup, Inc. Ms. Palmer was also Assistant Vice PresidentDirectors of Packaging Corporation of America, a producer of container board, where she serves as Chair of the International Division at Wells Fargo Bank, N.A. Ms. Palmer wasAudit Committee. She is also a member of the Board of Directors of The Mosaic Company, a producer of phosphate and potash fertilizer, and serves as Chair of the Audit Committee. In addition, Ms. Beebe is a member of the Board of Directors of HanesBrands Inc., a multinational clothing company. Further, she serves on the Board of Trustees of Fairleigh Dickinson University, where she is Chair of the Governance Committee. Ms. Beebe was a private elementarymember of the Board of Directors of Convergys Corporation, a global leader in customer experience outsourcing, where she served as Chair of the Audit Committee. Previously, she held several senior management positions at Ingredion, Inc. (formerly Corn Products International, Inc.), a leading global ingredient solutions company. Ms. Beebe also worked at Ingredion, Inc. and secondary school.predecessor companies for 34 years, most recently as Executive Vice President and Chief Financial Officer. In that capacity, she was responsible for overseeing the company’s controller, treasury, tax, investor relations, internal audit, financial planning, corporate communications and global supply chain functions. Based on the foregoing, Ms. PalmerBeebe is experienced with financial, accounting and investment matters.
Dwight L. Bush. The Honorable Dwight Bush has served as a Trustee of the GS Trust and GS VIT since 2020. He also serves as President and CEO of D.L. Bush & Associates, a financial advisory and private investment firm, and Director of MoneyLion, Inc., an operator of a data-driven, digital financial platform. From 2014 to 2017, The Honorable Dwight Bush served as U.S. Ambassador to the Kingdom of Morocco. Prior to his service as U.S. Ambassador, he established and served as CEO of Urban Trust Bank and UTB Education Finance, LLC, an integrated provider of education credit services. The Honorable Dwight Bush was previously Vice President of Corporate Development for SLM Corporation (commonly known as Sallie Mae). Formerly, he served as a member of the Board of Directors of Santander Bank, N.A., JER Investors Trust, a specialty real estate finance company, and as Vice Chairman of the Board of Directors of CASI Pharmaceuticals (formerly Entremed, Inc.) where he was Chairman of the Audit Committee. The Honorable Dwight Bush also serves as a member of the Board of Directors for several philanthropic organizations, including the Middle East Investment Initiative and the Meridian International Center, and has served on the executive committee of Cornell University. He previously served on the Trust’s Advisory Board. Based on the foregoing, The Honorable Dwight Bush is experienced with financial and investment matters.
Kathryn A. Cassidy. Ms. Cassidy has served as a Trustee of the GS Trust and GS VIT since 2015. Ms. Cassidy has been designated as the Board’s “audit committee financial expert” given her extensive accounting and finance experience. She is a member of the Board of Directors for Vertical Aerospace Ltd., a
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publicly-traded aerospace and technology company, where she serves as Chair of the Audit Committee. Previously, Ms. Cassidy held several senior management positions at General Electric Company (“GE”) and General Electric Capital Corporation (“GECapital”) and its subsidiaries, where she worked for 35 years, most recently as Advisor to the Chairman of GECapital and Senior Vice President and Treasurer of GE and GECapital. As Senior Vice President and Treasurer, Ms. Cassidy led capital markets and treasury matters of multiple initial public offerings. Ms. Cassidy was responsible for managing global treasury operations, including global funding, hedging, derivative accounting and execution, cash and liquidity management, cash operations and treasury services, and global regulatory compliance and reporting for liquidity, derivatives, market risk and counterparty credit risk. Formerly, Ms. Cassidy also servesserved as a Director of buildOn, anot-for-profit organization.organization, where she served as Chair of the Finance Committee. Based on the foregoing, Ms. Cassidy is experienced with financial and investment matters.
Diana M. Daniels.John G. Chou. Ms. DanielsMr. Chou has served as a Trustee of the GS Trust and GS VIT since 2007. Ms. Daniels also serves as a Trustee Emeritus and Presidential Councillor of Cornell University. Ms. Daniels2022. Mr. Chou is retired. Formerly, he held several executive and senior management positions at The Washington Post Company and its subsidiaries, where she worked for 29 years. While at The Washington Post Company, Ms. Daniels served asCencora, Inc. (“Cencora”) (formerly AmerisourceBergen Corporation) from 2002-2022, including Executive Vice President General Counsel, Secretaryand Special Advisor to the Board of
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DirectorsChairman and Secretary to the Audit Committee. Previously, Ms. Daniels served asChief Executive Officer, Executive Vice President and Chief Legal Officer, Executive Vice President and Chief Legal & Business Officer, and Executive Vice President and General CounselCounsel. As Executive Vice President and Chief Legal Officer, Mr. Chou was responsible for managing Cencora’s legal, regulatory, quality, privacy, global business resilience and enterprise risk management functions, among others. In addition, he previously held senior legal positions at Cigna Corporation, ARCO Chemical Europe, and Arco Chemical Company, and also practiced law at various law firms, including most recently as a member of Newsweek, Inc. Ms. Daniels has also servedEckert Seamens Cherin & Mellott, LLC. Mr. Chou currently serves as Vice Chair and Chairman of the Executive CommitteePresident of the Board of Trustees of Cornell UniversityEpiscopal Community Services and as a member of the Corporate Advisory Board of Standish Mellon Management Advisors andDirectors of the Legal Advisory BoardCommittee of New York Stock Exchange. Ms. Daniels is also a member of the American Law Institute and of the Advisory Council of the Inter-American Press Association.Seventy. Based on the foregoing, Ms. DanielsMr. Chou is experienced with legal, financial and investment matters.
Roy W. Templin.Joaquin Delgado. Mr. TemplinDr. Delgado has served as a Trustee of the GS Trust and GS VIT since 2013. Mr. Templin2020. Dr. Delgado is a member of the Board of Directors of Armstrong World Industries, Inc.,for Stepan Company, a ceiling, wall and suspension system solutions manufacturer, where he serves as Chair of the Finance Committee andpublicly-traded specialty chemical manufacturer. Previously, Dr. Delgado was a member of the Nominating and Governance Committee, Management Development and Compensation Committee and Audit Committee. Previously, Mr. Templin served as Chairman of the Board of Directors ofCon-Way Incorporated,for Hexion Inc., a transportation, logisticsprivately held specialty chemical manufacturer, and supply-chain management services company, prior to its sale to XPO Logistics, Inc. in 2015. Mr. Templin held a number ofseveral senior management positions at Whirlpool Corporation, an appliance manufacturer and marketer, including3M Company, where he worked for over 30 years, most recently as Executive Vice President and Chief Financial Officer,of 3M Company’s Consumer Business Group. As Executive Vice President, Vice President, and Corporate Controller there. At Whirlpool, Mr. Templin served on the Executive CommitteeGeneral Manager at 3M Company, Dr. Delgado directed mergers and acquisitions worldwide, and was responsible for all aspects of finance globally, including treasury, accounting, risk management, investor relations, internal auditing, taxmanaging global operations in specialized markets such as semiconductors, consumer electronics, communications, medical and facilities. Prior to joining Whirlpool, Mr. Templin served in several roles at Kimball International, a furnitureoffice supplies and electronic assemblies manufacturer, including Vice President of Finance and Chief Accounting Officer. Mr. Templin wassoftware. Dr. Delgado also a Director of Corporate Finance for Cummins, Inc., a diesel engine manufacturer, a Director of Financial Development at NCR Corporation, a computer hardware and electronics company, andserves as a member of the audit staffBoard of Price Waterhouse (now PricewaterhouseCoopers LLP). Mr. Templin isDirectors of Ballet Austin, a certified public accountant, a certified management accountant andnot-for-profit organization. Additionally, he formerly served as a member of the InstituteBoard of Management Accountants Accounting Honor SocietyDirectors of MacPhail Center for Music, a not-for-profit organization. Dr. Delgado previously served on the Trust’s Advisory Board. Based on the foregoing, Mr. TemplinDr. Delgado is experienced with accounting, financial and investment matters.
Gregory G. Weaver.Eileen H. Dowling. Mr. WeaverMs. Dowling has served as a Trustee of the GS Trust and GS VIT since 2015.2021. Ms. Dowling worked at BlackRock for over 10 years, where she was a Managing Director and, most recently, a Senior Advisor. While at BlackRock, Ms. Dowling held several senior management positions responsible for clients, investment products and marketing, including Global Head of Consultant Relations, Global Head of Multinationals, Global Head of the Institutional Product Group and Global Head of Institutional Marketing. She also was a member of BlackRock’s Global Operating Committee and Product Executive Committee. From 2007-2011, Ms. Dowling was a Managing Director and Global Head of Marketing at Credit Suisse Asset Management. Prior to that, over an 18-year period at Merrill Lynch, Ms. Dowling served in several roles in Investment Banking, Capital Markets and Research. Ms. Dowling currently serves as a Member of the Advisory Board and Finance Committee of New York University’s Glucksman Ireland House. Based on the foregoing, Ms. Dowling is experienced with investment, financial and accounting matters.
Lawrence Hughes. Mr. WeaverHughes has served as a Trustee of the GS Trust II since 2016 and the GSETF Trust, GSETF Trust II and Real Estate Fund since 2021. Mr. Hughes is retired. Previously, he held several senior
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management positions at BNY Mellon Wealth Management, a division of The Bank of New York Mellon Corporation that provides wealth planning, investment management and banking services to individuals, families, family offices and charitable gift programs through a nationwide network of offices. Mr. Hughes worked at BNY Mellon Wealth Management for 24 years, most recently as Chief Executive Officer. In that capacity, he was ultimately responsible for the division’s operations and played an active role in multiple acquisitions. Based on the foregoing, Mr. Hughes is experienced with financial and investment matters.
John F. Killian. Mr. Killian has served as a Trustee of the GS Trust II since 2015 and the GSETF Trust, GSETF Trust II and Real Estate Fund since 2021. Mr. Killian has been designated as the Board’s “audit committee financial expert” given his extensive accounting and finance experience. Mr. Killian is retired. Mr. Killian is a member of the Board of Directors of Consolidated Edison, Inc., a utility holding company, where he serves as Chair of the Audit Committee and as a member of the Corporate Governance and Nominating, and Management Development and Compensation Committees. Formerly, he was a member of the Board of Directors of Houghton Mifflin Harcourt Publishing Company, where he served as Chair of the Audit Committee and a member of the Compensation Committee. Previously, Mr. Killian worked for 31 years at Verizon Communications, Inc. and predecessor companies, most recently as Executive Vice President and Chief Financial Officer. Based on the foregoing, Mr. Killian is experienced with accounting, financial and investment matters.
Steven D. Krichmar. Mr. Krichmar has served as a Trustee of the GS Trust II since 2018 and the GSETF Trust, GSETF Trust II and Real Estate Fund since 2021. Mr. Krichmar is retired. He previously worked for fifteen years at Putnam Investments, LLC, a financial services company. Most recently, he served as Chief of Operations and a member of the Operating Committee of Putnam Investments, LLC. He was also involved in the governance of The Putnam Funds, serving as Principal Financial Officer. Before joining Putnam, Mr. Krichmar worked for PricewaterhouseCoopers LLP and its predecessor company for 20 years, most recently as Audit Partner and Investment Management Industry Leader (Assurance) for the northeast U.S. region. Currently, Mr. Krichmar is a member of the Board of Trustees of Boston Children’s Hospital, where he serves as Chairman of the Audit & Compliance Committee, the Co-Chairman of the Finance Committee, a member of the Executive Committee and the Technology and Innovation Committee, and a member of the Physicians’ Organization Board. He is also a member of the Board of Directors and Audit Committee of The Risk Management Foundation of the Harvard Medical Institutions, a member of the Subscribers Advisory Committee of CRICO (A Reciprocal Risk Retention Group), a member of the Board of Trustees of Boys & Girls Clubs of Boston, and a member of the Board of Advisors of the University of North Carolina Kenan-Flagler Business School. Based on the foregoing, Mr. Krichmar is experienced with accounting, financial and investment matters.
Michael Latham. Mr. Latham has served as a Trustee of the GSETF Trust since 2015, the GSETF Trust II and GS Trust II since 2021 and the Real Estate Fund since inception. Mr. Latham is retired. Previously, Mr. Latham held several senior management positions for 15 years with the iShares exchange-traded fund business owned by BlackRock, Inc. and previously owned by Barclays Global Investors, most recently as Chairman and Global Head of the business. In that capacity he was one of the lead executives responsible for the growth of the business. He was also involved in governance of the iShares funds, serving initially as Principal Financial Officer and later as President and Principal Executive Officer and a member of the Board of Directors. Mr. Latham is a certified public accountant, and before joining Barclays Global Investors, he worked at Ernst and Young for over five years. Based on the foregoing, Mr. Latham is experienced with accounting, financial and investment matters.
Lawrence W. Stranghoener. Mr. Stranghoener has served as a Trustee of the GSETF Trust since 2015, the GSETF Trust II and GS Trust II since 2021 and the Real Estate Fund since inception. Mr. Stranghoener is retired. Mr. Stranghoener is Chairman of the Board of Directors of Kennametal, Inc., a global manufacturer and distributor of tooling and industrial materials. Previously, he was a member of the Board of Directors of Aleris Corporation and Aleris International, Inc., which provided aluminum rolled products and extrusions, aluminum
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recycling, and specification alloy production, where he served as Chair of the Audit Committee and also served on the Compensation Committee. Mr. Stranghoener also held several senior management positions at Mosaic Company, a fertilizer manufacturing company, where he worked for 10 years, most recently as Interim Chief Executive Officer, Executive Vice President and Chief Financial Officer. As Executive Vice President and Chief Financial Officer at Mosaic Company, Mr. Stranghoener implemented public company processes, policies and performance standards to transition the company from private to public ownership and oversaw the company’s controller, treasury, tax, investor relations, strategy and business development, and internal audit functions. He also led the integration of Mosaic Company with IMC Global, Inc. during their merger. Previously, Mr. Stranghoener served for three years as Executive Vice President and Chief Financial Officer for Thrivent Financial, a non-profit, financial services organization and Techies.com, an internet-based professional services company. Mr. Stranghoener also held several senior management positions at Honeywell International, Inc. where he worked for 17 years, most recently as Vice President and Chief Financial Officer. Based on the foregoing, Mr. Stranghoener is experienced with financial and investment matters.
Gregory G. Weaver. Mr. Weaver has served as a Trustee of the GS Trust and GS VIT since 2015 and Chair of the Board since 2023. Mr. Weaver also serves as a Director of Verizon Communications Inc., where he serves as Chair of the Audit Committee. Previously, Mr. Weaver was a partner with Deloitte & Touche LLP for 30 years. He was the firm’s first chairman and chief executive officer from 2001–2005, and was elected to serve a second term (2012–2014). While serving as chairman at Deloitte & Touche LLP, Mr. Weaver led the audit and enterprise risk services practice, overseeing all operations, strategic positioning, audit quality, and talent matters. Mr. Weaver also served as a member of the firm’s Board of Directors for six years where he served on the Governance Committee and Partner Earnings and Benefits Committee and was chairman of the Elected Leaders Committee and Strategic Investment Committee. Mr. Weaver is also a Board member and Audit Committee chair of the YMCA of Westfield, New Jersey. Mr. Weaver has also served as President of the Council of Boy Scouts of America in Long Rivers, Connecticut, President of A Better Chance in Glastonbury, Connecticut, as a member of the Financial Accounting Standards Advisory Council and as a board member of the Stan Ross Department of Accountancy, Baruch College. Based on the foregoing, Mr. Weaver is experienced with accounting, financial and investment matters.
James A. McNamara.Paul C. Wirth. Mr. McNamaraWirth has served as a Trustee and President of the GS Trust and GS VIT since 2007 and has2022. Mr. Wirth is an Executive Advisor with My Next Season LLC, a career transition advisory firm. Previously, Mr. Wirth held various senior management positions at Morgan Stanley, where he worked for over 15 years. While with Morgan Stanley, Mr. Wirth served as an officer of the Trust since 2001. Mr. McNamara is an AdvisoryDeputy Chief Financial Officer and Principal Accounting Officer, Finance Director to Goldman Sachs. Prior to retiring asand Principal Accounting Officer, and Managing Director, at Goldman Sachs in 2017, Mr. McNamaraGlobal Controller and Chief Accounting Officer. He also was head of Global Third Party Distribution at GSAM and was previously head of U.S. Third Party Distribution. Prior to that role, Mr. McNamara served as Director of Institutional Fund Sales. Prior to joining Goldman Sachs, Mr. McNamara was Vice President and Manager at Dreyfus Institutional Service Corporation. Based on the foregoing, Mr. McNamara is experienced with financial and investment matters.
Dwight L. Bush.Ambassador Bush serves as President and CEO of D.L. Bush & Associates, a financial advisory and private investment firm, and is a member of the Board of Directors of Santander Bank, N.A. From 2014 to 2017, he served as U.S. Ambassador to the Kingdom of Morocco.Morgan Stanley’s Management Committee and Risk Committee. Prior to his service as U.S.
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Ambassador, he establishedMorgan Stanley, Mr. Wirth held senior positions at Credit Suisse First Boston, Deloitte & Touche LLP, and served as CEO of Urban Trust Bank and UTB Education Finance, LLC, an integrated provider of education credit services. Ambassador Bush was previously Vice President of Corporate Development for SLM Corporation (commonly known as Sallie Mae). He hasKPMG LLP. Mr. Wirth served as a member of the Board of Directors of JER Investors Trust,certain Morgan Stanley subsidiaries, including Morgan Stanley Europe Holding SE, where he also served as Audit Committee Chairman. He is also a specialty real estate finance company, and as Director and Vice Chairmanmember of the St. John’s University Board of Directors of CASI Pharmaceuticals (formerly Entremed, Inc.) where heGovernors since October 2020 and was Chairmanpreviously a member of the Audit Committee. He alsoPeter J. Tobin College of Business Board of Trustees from 2011 to 2017. Mr. Wirth serves as a member of the Board of DirectorsAdvisors for several philanthropic organizations, including the Middle East Investment Initiative and the American CouncilARC of Young Political Leaders, andEssex County, a not-for-profit organization. He also has served on the executive committeeBoard of Cornell University. Ambassador Bush currently serves on each Trust’s Advisory Board.Trustees of the Financial Accounting Foundation. Mr. Wirth is a certified public accountant. Based on the foregoing, Ambassador BushMr. Wirth is experienced with accounting, financial and investment matters.
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Joaquin Delgado.Additional Information about the Boards and the NomineesDr. Delgado
The Boards’ Leadership Structure
The business and affairs of the Funds are managed under the direction of the respective Boards, subject to the laws of the State of Delaware and the applicable Declaration of Trust. Each Board is a memberresponsible for deciding matters of overall policy and reviewing the actions of the applicable Funds’ service providers. The officers of the Funds conduct and supervise the Funds’ daily business operations. Trustees who are not deemed to be “interested persons” of the Fund(s) under their oversight as defined in the 1940 Act are referred to as “Independent Trustees.” Trustees who are deemed to be “interested persons” of the Fund(s) under their oversight are referred to as “Interested Trustees.” The Board of each of the GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II is currently composed of six Independent Trustees and one Interested Trustee. The Board of each of the GS Trust and GS VIT is currently composed of seven Independent Trustees and one Interested Trustee. Each Board has selected an Independent Trustee to act as Chair, whose duties include presiding at meetings of the Board of Directors for Stepan Company, a publicly-traded specialty chemical manufacturer, and Hexion Inc., a privately held specialty chemical manufacturer. Previously, Dr. Delgado held several senior management positions at 3M Company, where he worked for over 30 years, most recently as Executive Vice President of 3M Company’s Consumer Business Group. As Executive Vice President, Vice President, and General Manager at 3M Company, Dr. Delgado directed mergers and acquisitions worldwide, and was responsible for managing global operations in specialized markets such as semiconductors, consumer electronics, communications, oral care, pharmaceuticals, medical and office supplies and software. Dr. Delgado also servesacting as a Directorfocal point to address significant issues that may arise between regularly scheduled Board and Committee meetings. In the performance of MacPhail Center for Music, anot-for-profit organization. Dr. Delgado currently serves on each Trust’s Advisory Board. Based on the foregoing, Dr. Delgado is experiencedChair’s duties, the Chair will consult with financial and investment matters.
Information Concerning Meetings ofthe other Independent Trustees and Standingthe Funds’ officers and legal counsel, as appropriate. The Chair may perform other functions as requested by his or her Boards from time to time.
The Boards meet as often as necessary to discharge their responsibilities. Currently, the Board Committees
In the following discussion, the Funds are classified by their fiscal year ends, which are set forth onExhibit A. Each Fund has oneof each of the followingGSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II conducts regular meetings at least five fiscaltimes a year ends:
March 31
August 31
October 31
November 30
December 31
Because these fiscal reporting periods overlap withand the Board of each other, information provided with respectof the GS Trust and GS VIT conducts regular meetings at least six times a year, and each Board holds special meetings as necessary to address specific issues that require attention prior to the fiscal year endnext regularly scheduled meeting. In addition, the Independent Trustees of each Board meet at least annually to review, among other things, investment management agreements and sub-advisory agreements, as applicable, distribution and/or service plans and related agreements, transfer agency agreements and certain Funds may overlapother agreements providing for the information provided with respect to other Funds.
The Trustees held seven meetings during the fiscal year ended August 31, 2019, seven meetings during the fiscal year ended October 31, 2018, six meetings during the fiscal year ended November 30, 2018, six meetings during the fiscal year ended December 31, 2018, and six meetings during the fiscal year ended March 31, 2019. No Trustee attended fewer than seventy-five percentcompensation of the meetings heldGoldman Sachs and/or its affiliates by the Board or by any committee of which he or she was a member while he or she was a Trustee during anyFund(s) under their oversight, and to consider such year. Each Trust does not hold an annual meeting of Shareholders, and therefore does not have a policy regarding attendance of Trustees at annual meetings of Shareholders.other matters as they deem appropriate.
The Board of each of the GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II has established five standing committees—committees – Audit, Governance and Nominating, Compliance, Board Valuation and Contract Review Committees. The Board of each of the GS Trust and GS VIT has established four standing committees – Audit, Governance and Nominating, Compliance and Risk Oversight and Contract Review Committees. Each Board may establish other committees, or nominate one or more Trustees to examine particular issues related to such Board’s oversight responsibilities, from time to time. Each Committee meets periodically to perform its delegated oversight functions and reports its findings and recommendations to its Board.
The Trustees of each Board have determined that the leadership structure of their Board is appropriate because it allows the Trustees to effectively perform their oversight responsibilities.
Audit Committee
Each Audit Committee oversees the audit process and provides assistance to theits Board with respect to fund accounting, tax compliance and financial statement matters. In performing its responsibilities, theeach Audit Committee selects and recommends annually to theits Board an independent registered public accounting firm to
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audit the books and records of the TrustsFund(s) under its oversight for the ensuing year, and reviews with the firm the scope and results of each audit. All of the Independent Trustees of each Board serve on the Audit Committee andof such Board. Mr. WeaverLatham serves as Chair of the Audit Committee. The Audit Committee held five meetings duringand the fiscal year ended August 31, 2019 and six meetings during“audit committee financial expert” of each of the fiscal years ended October 31, 2018, November 30, 2018, December 31, 2018GSETF Trust, GSETF Trust II, Real Estate Fund and March 31, 2019, respectively.GS Trust II and Ms. Cassidy serves as Chair of the Audit Committee and the “audit committee financial expert” of each of the GS Trust and GS VIT.
The
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Each Audit Committee acts according to its Audit Committee charter. A copy of the GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II Audit Committee charter is attached hereto as Appendix A.
Governance and Nominating Committee
Each Governance and Nominating Committee has been established to: (i) assist theits Board in matters involving mutual fund governance, which includes making recommendations to theits Board with respect to the effectiveness of the Board in carrying out its responsibilities in governing the FundsFund(s) under its oversight and overseeing theirits management; (ii) select and nominate candidates for appointment or election to serve as Independent Trustees and work to retain high-performing Independent Trustees; and (iii) advise theits Board on ways to improve its effectiveness. All of the Independent Trustees of each Board serve on the Governance and Nominating Committee. The Governance and Nominating Committee held two meetings during each of the fiscal years ended August 31, 2019 and November 30, 2018, respectively, and three meetings during each of the fiscal years ended October 31, 2018, December 31, 2018 and March 31, 2019, respectively.such Board. As stated above, each Trustee holds office for an indefinite term until the occurrence of certain events. The Governance and Nominating Committee acts pursuant to a written charter, a copy of which is attached hereto asExhibit C.
In connection with the selection and nomination of candidates to the Board, the Governance and Nominating Committee evaluates the qualifications of candidates for Board membership and their independence from the Trusts’ investment advisers and other principal service providers. Persons selected as Independent Trustee candidates must be independent in terms of both the letter and the spirit of the 1940 Act. In this regard, with respect to Independent Trustee Nominees, the Governance and Nominating Committee considers the effect of any relationships beyond those delineated in the 1940 Act that might impair independence (for example, business, financial or family relationships with the investment advisers or other service providers). Without limiting the foregoing, the Governance and Nominating Committee considers, among other criteria, a candidate’s:(i) experience in business, financial or investment matters or in other fields of endeavor; (ii) reputation; (iii) ability to attend scheduled Board and committee meetings; (iv) general availability to attend to Board business on short notice; (v) actual or potential business, family or other conflicts bearing on either the candidate’s independence or the business of the Trust; (vi) length of potential service; (vii) commitment to the representation of the interests of the Funds and their Shareholders; (viii) commitment to maintaining and improving Trustee skills and education; and (ix) experience in corporate governance and best business practices. In filling Board vacancies, theeach Governance and Nominating Committee will consider nominees recommended by Shareholders.shareholders. Nominee recommendations should be submitted to a Trustthe Funds, as applicable, at its mailing address stated in the Funds’ prospectusesProspectuses and should be directed to the attention of the Governance and Nominating Committee. Shareholders can send other Board communications to the
Each Governance and Nominating Committee c/o Goldman Sachs, 200 West Street, New York, New York, 10282, Attn: Caroline Kraus. In considering the selection and nomination of Independent Trustee candidates, it is expected that theacts according to its Governance and Nominating Committee will consult with the interested Trusteescharter, a copy of thewhich is attached hereto as Appendix B.
Compliance Committee (GSETF Trust, GSETF Trust II, Real Estate Fund and such other persons as the Governance and Nominating Committee deems appropriate.GS Trust II)
The Compliance Committee of each of the GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II has been established for the purpose of overseeing the compliance processes: (i) of the Funds;Fund(s); and (ii) insofar as they relate to services provided to the Funds,Fund(s), of the Funds’ investment advisers, distributor,Fund’s Investment Adviser, Distributor, administrator (if any), and transfer agent,Transfer Agent, except that compliance processes relating to the accounting and financial reporting processes, and certain related matters, are overseen by the Audit Committee. In addition, the Compliance Committee provides assistance to theits full Board with respect to compliance matters. The Compliance Committee met five times during each of the fiscal years ended August 31, 2019 and October 31, 2019, respectively, six times during each of the fiscal years ended November 30, 2018 and December 31, 2018, respectively, and five times during the fiscal year ended March 31, 2019. All of the Independent Trustees of each Board of the GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II serve on the Compliance Committee.Committee of such Board.
Compliance and Risk Oversight Committee (GS Trust and GS VIT)
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TheBoard Valuation Committee is authorized to act(GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II)
The Board Valuation Committee of each of the GSETF Trust, GSETF Trust II, Real Estate Fund and GS Trust II has been established for the Board in connection withpurpose of reviewing valuation matters requiring prompt notification from the valuation of portfolio securities held by the Fundsdesignee in accordance with the Trusts’ Valuation Procedures. James A. McNamara and Joseph F. DiMaria (Principal Financial Officer and Principal Accounting Officer) serve onvaluation procedures approved by the Valuation Committee.Trustees. The Board Valuation Committee met twelve times during each of the fiscal years ended August 31, 2019, October 31, 2019, November 30, 2018, December 31, 2018 and March 31, 2019, respectively.does not have regular, standing meetings.
The
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Contract Review Committee
Each Contract Review Committee has been established for the purpose of overseeing the processes of theits Board for reviewing and monitoring performance under the Funds’ investment management and sub-advisory (as applicable), distribution, transfer agency, and certain other agreements with the Funds’ investment advisersAdviser of the Fund(s) under its oversight and theirits affiliates. TheEach Contract Review Committee is also responsible for overseeing theits Board’s processes for considering and reviewing performance under the operation of the Funds’ distribution, service, shareholder administration and other plans of the Fund(s) under its oversight, and any agreements related to the plans, whether or not such plans and agreements are adopted pursuant to Rule12b-1 under the 1940 Act. TheEach Contract Review Committee also provides appropriate assistance to theits Board in connection with the Board’s approval, oversight and review of the Funds’ other service providers including, without limitation, the Funds’sub-advisers (as applicable), custodian/fund accounting agent,sub-transfer agents, securities lending agents (as applicable), professional (legal and accounting) firms and printing firms. The Contract Review Committee met four times during eachfirms of the fiscal years ended August 31, 2019, October 31, 2019, December 31, 2018 and March 31, 2019, respectively, and three times during the fiscal year ended November 30, 2018.Fund(s) under its oversight. All of the Independent Trustees of each Board serve on the Contract Review Committee.Committee of such Board.
TheEach Board is responsible for the oversight of the activities of the Funds,Fund(s), including oversight of risk management.Day-to-day risk risk management with respect to the Funds is the responsibility of GSAM or other service providers including sub-advisers (depending on the nature of the risk), subject to supervision by GSAM. The risks of the Funds include, but are not limited to, liquidity risk, investment risk, derivatives risk, compliance risk, manager selection risk, operational risk, reputational risk, credit risk and counterparty risk. Each of GSAM and the other service providers, including sub-advisers, have their own independent interest in risk management and their policies and methods of risk management may differ from the Funds and each other’s in the setting of priorities, the resources available or the effectiveness of relevant controls. As a result, the Board recognizesBoards recognize that it is not possible to identify all of the risks that may affect the Funds or to develop processes and controls to eliminate or mitigate all of their occurrencesoccurrence or effects, becauseand that some risks are simply beyond the control of the Funds or GSAM, itstheir respective affiliates or other service providers.providers, including sub-advisers.
TheEach Board effectuates its oversight role primarily through regular and special meetings of the Board and Board committees. In certain cases, risk management issues are specifically addressed in reports, presentations and discussions. For example, on an annual basis, GSAM (or personnel from GSAM) will provide the BoardBoards with a written reportreports that addressesaddress the operation, adequacy and effectiveness of the Trust’seach Fund’s liquidity risk management program,and derivatives risk management programs, which isare generally designed to assess and manage liquidity risk, and for Full Compliance Funds (as defined in Rule 18f-4 under the Funds’ liquidity1940 Act), derivatives risk. GSAM also has a risk management team that assists GSAM in managing investment risk. Representatives from the risk management team meet regularly with the Board to discuss their analysis and methodologies. In addition, investment risk is discussed in the context of regular presentations to theeach Board on Fund strategy and performance. Other types of risk are addressed as part of presentations on related topics (e.g., compliance policies) or in the context of presentations focused specifically on one or more risks. The BoardBoards also receivesreceive reports from GSAM management on operational risks, reputational risks and counterparty risks relating to the Funds.
Board oversight of risk management is also performed by various Board committees. For example, the Audit Committee meetsCommittees meet with both the Funds’ independent registered public accounting firm and GSAM’s internal audit group to review risk controls in place that support the Funds as well as test results, and the Compliance CommitteeCommittees meets with the Chief Compliance OfficerCCO and representatives of GSAM’s compliance group to review testing results of the Funds’ compliance policies and procedures and other compliance issues. Board oversight of risk is also performed as needed between meetings through communications between the GSAM and theeach Board. TheEach Board may, at any time and in its discretion, change the manner in which it conducts risk
17
oversight. TheEach Board’s oversight role does not make the Board a guarantor of the Funds’ investments or activities.
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Meetings of Trustees and Standing Board Committees
The numbers of meetings of the Boards and Advisory their Committees held during the Funds’ respective most recent fiscal years are set forth below:
Fiscal Year | Fiscal Year Ended March 31, 2023 (GS Trust only) | Fiscal Year Ended August 31, 2022 (GSETF Trust, GSETF Trust II and GS Trust only) | Fiscal Year Ended September 30, 2022 (Real Estate Fund only) | Fiscal Year Ended October 31, 2022 (GS Trust and GS Trust II only) | Fiscal Year Ended November 30, 2022 (GS Trust only) | Fiscal Year Trust and GS VIT only) | ||||||
Board of Trustees Meeting | 6 | 7 (GSETF Trust and GSETF Trust II); 6 (GS Trust) | 8 | 6 (GS Trust); 7 (GS Trust II) | 6 | 8 (GSETF Trust); 6 (GS Trust and GS VIT) | ||||||
Audit Committee Meeting | 4 | 5 (GSETF Trust and GSETF Trust II); 4 (GS Trust) | 5 | 4 (GS Trust); 4 (GS Trust II) | 4 | 5 (GSETF Trust); 4 (GS Trust and GS VIT) | ||||||
Governance and Nominating Committee Meeting | 3 | 3 (GSETF Trust and GSETF Trust II); 4 (GS Trust) | 3 | 3 (GS Trust); 4 (GS Trust II) | 3 | 4 (GSETF Trust); 3 (GS Trust and GS VIT) | ||||||
Compliance Committee Meeting1 | 6 | 5 (GSETF Trust and GSETF Trust II); 6 (GS Trust) | 5 | 6 (GS Trust); 5 (GS Trust II) | 6 | 5 (GSETF Trust); 6 (GS Trust and GS VIT) | ||||||
Board Valuation Committee Meeting2 | N/A | 0 | 0 | 0 | N/A | 0 | ||||||
Contract Review Committee Meeting | 2 | 3 (GSETF Trust and GSETF Trust II); 2 (GS Trust) | 4 | 2 (GS Trust); 5 (GS Trust II) | 2 | 5 (GSETF Trust); 2 (GS Trust and GS VIT) |
1 | The Compliance Committee for the GS Trust and GS VIT became the “Compliance and Risk Oversight Committee” on April 18, 2023. |
2 | The Board Valuation Committee was established on December 2, 2022 and thus did not meet during the applicable fiscal years. |
No Trustee attended fewer than seventy-five percent of the meetings held by his or her Board or by any Committee of which he or she was a member while he or she was a Trustee during the applicable fiscal year.
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Nominee/Trustee Ownership of Fund Shares
The following table shows the dollar range of shares beneficially owned by each Nominee/Trustee in the investment portfolios of the Funds and the Goldman Sachs Fund Complex as of July 31, 2023:
Name of Trustee | Dollar Range of Equity Securities in each Fund | Aggregate Dollar Range of Equity Securities in All Portfolios in Fund Complex Overseen By Trustee | ||
Cheryl K. Beebe | Goldman Sachs GQG Partners International Opportunities Fund: Over $100,000 | Over $100,000 | ||
Dwight L. Bush | Goldman Sachs Mid Cap Value Fund: Over $100,000 Goldman Sachs Large Cap Growth Insights Fund: Over $100,000 Goldman Sachs Small Cap Value Fund: Over $100,000 Goldman Sachs GQG Partners International Opportunities Fund: $50,001-$100,000 Goldman Sachs International Equity Insights Fund: $50,001-$100,000 | Over $100,000 | ||
Kathryn A. Cassidy | Goldman Sachs Absolute Return Tracker Fund: $10,001-$50,000 Goldman Sachs Dynamic Municipal Income Fund: $50,001-$100,000 Goldman Sachs Emerging Markets Equity Insights Fund: $10,001-$50,000 Goldman Sachs Financial Square Money Market Fund: $1-$10,000 Goldman Sachs High Yield Fund: Over $100,000 Goldman Sachs Inflation Protected Securities Fund: $50,001-$100,000 Goldman Sachs International Equity Insights Fund: Over $100,000 Goldman Sachs Mid Cap Value Fund: $50,001-$100,000 Goldman Sachs Small Cap Value Fund: $50,001-$100,000 Goldman Sachs Small/Mid Cap Growth Fund: Over $100,000 Goldman Sachs Tactical Tilt Overlay Fund: $10,001-$50,000 Goldman Sachs U.S. Equity Insights Fund: Over $100,000 | Over $100,000 | ||
John G. Chou | Goldman Sachs International Equity ESG Fund: Over $100,000 | Over $100,000 | ||
Joaquin Delgado | Goldman Sachs Bond Fund: $10,001-$50,000 Goldman Sachs Dynamic Municipal Income Fund: Over $100,000 Goldman Sachs International Equity Insights Fund: Over $100,000 Goldman Sachs International Small Cap Insights Fund: $50,001-$100,000 Goldman Sachs Small Cap Equity Insights Fund: Over $100,000 Goldman Sachs U.S. Equity Insights Fund: Over $100,000 | Over $100,000 | ||
Eileen H. Dowling | Goldman Sachs Commodity Strategy Fund: $10,001-$50,000 Goldman Sachs Dynamic Municipal Income Fund: $10,001-$50,000 Goldman Sachs High Yield Floating Rate Fund: $10,001-$50,000 Goldman Sachs High Yield Fund: $10,001-$50,000 Goldman Sachs High Yield Municipal Fund: $10,001-$50,000 Goldman Sachs Inflation Protected Securities Fund: $10,001-$50,000 Goldman Sachs International Equity ESG Fund: $10,001-$50,000 Goldman Sachs International Equity Income Fund: $10,001-$50,000 Goldman Sachs Investor Tax-Exempt Money Market Fund: Over $100,000 Goldman Sachs Managed Futures Strategy Fund: $10,001-$50,000 Goldman Sachs Mid Cap Value Fund: $10,001-$50,000 Goldman Sachs Small/Mid Cap Growth Fund: $10,001-$50,000 Goldman Sachs U.S. Equity ESG Fund: $1-$10,000 | Over $100,000 | ||
Lawrence Hughes | Goldman Sachs Equal Weight U.S. Large Cap Equity ETF: Over $100,000 Goldman Sachs GQG Partners International Opportunities Fund: Over $100,000 Goldman Sachs Multi-Manager Alternatives Fund: Over $100,000 | Over $100,000 |
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Name of Trustee | Dollar Range of Equity Securities in each Fund | Aggregate Dollar Range of Equity Securities in All Portfolios in Fund Complex Overseen By Trustee | ||
John F. Killian | Goldman Sachs Financial Square Treasury Obligations Fund: $50,001-$100,000 Goldman Sachs GQG Partners International Opportunities Fund: Over $100,000 | Over $100,000 | ||
Steven D. Krichmar | Goldman Sachs GQG Partners International Opportunities Fund: Over $100,000 Goldman Sachs MarketBeta® U.S. Equity ETF: Over $100,000 | Over $100,000 | ||
Michael Latham | Goldman Sachs ActiveBeta® International Equity ETF: Over $100,000 | Over $100,000 | ||
Lawrence W. Stranghoener | Goldman Sachs ActiveBeta® U.S. Large Cap Equity ETF: Over $100,000 Goldman Sachs ActiveBeta® U.S. Small Cap Equity ETF: Over $100,000 | Over $100,000 | ||
Gregory G. Weaver | Goldman Sachs Emerging Markets Equity Fund: Over $100,000 Goldman Sachs Income Builder Fund: Over $100,000 Goldman Sachs International Equity Insights Fund: Over $100,000 Goldman Sachs MLP Energy Infrastructure Fund: Over $100,000 Goldman Sachs Small Cap Value Fund: Over $100,000 | Over $100,000 | ||
Paul C. Wirth | Goldman Sachs Income Builder Fund: Over $100,000 | Over $100,000 | ||
James A. McNamara | Goldman Sachs ActiveBeta® U.S. Large Cap Equity ETF: Over $100,000 Goldman Sachs Emerging Markets Equity Fund: Over $100,000 Goldman Sachs Financial Square Treasury Solutions Fund: $50,001-$100,000 Goldman Sachs High Yield Fund: Over $100,000 Goldman Sachs Income Builder Fund: Over $100,000 Goldman Sachs International Equity ESG Fund: $50,001-$100,000 Goldman Sachs Multi-Manager Alternatives Fund: Over $100,000 Goldman Sachs Small/Mid Cap Growth Fund: Over $100,000 Goldman Sachs Strategic Income Fund: Over $100,000 Goldman Sachs Tax-Advantaged Global Equity Portfolio: Over $100,000 Goldman Sachs U.S. Equity Dividend and Premium Fund: Over $100,000 | Over $100,000 |
As of July 31, 2023, the Nominees, Trustees and Officers of the Funds as a group owned less than 1% of the outstanding shares of beneficial interest of each share class of the Real Estate Fund, and of each share class of each of the Funds within the GSETF Trust, GSETF Trust II, GS Trust, GS Trust II and GS VIT, except for Class P shares of the Goldman Sachs Income Builder Fund. As of July 31, 2023, the Nominees, Trustees and Officers of the Funds as a group owned 1.44% of the outstanding Class P shares of the Goldman Sachs Income Builder Fund.
As of a recent date, none of the Independent Trustees nor any member of their immediate family owned any securities issued by GSAM or a sub-adviser or any other person (other than a registered investment company) directly or indirectly controlling, controlled by or under common control with GSAM or a sub-adviser.
Each Independent Trustee and Advisory Board Member is compensated with a unitary annual fee for his or her services as a Trustee or Advisory Board Member, asof the applicable of a TrustFunds and as a member of the Governance and Nominating Committee, Compliance Committee, Contract Review Committee, and Audit Committee. Theapplicable Board committees. Each Chair and “audit committee
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financial expert” receive additional compensation for their services. The Independent Trustees and Advisory Board Members are also reimbursed for reasonable travel expenses incurred in connection with attending such meetings. The TrustsFunds may also pay the reasonable incidental costs of a Trustee or Advisory Board Member to attend training or other types of conferences relating to the investment company industry.
The following table setstables set forth certain information with respect to the compensation of each Independent Trustee and Advisory Board Member for the12-month period ended Funds’ respective most recent fiscal years:
Goldman Sachs ETF Trust (Fiscal Years Ended August 31, 2019.2022 and December 31, 2022)
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Compensation Table*
Name of Trustee | Aggregate Compensation from the Goldman Sachs Large Cap Growth Insights Funds 4 | Pension or Retirement Benefits Accrued as Part penses | Total Compensation From Fund Complex (including the Funds) 5 | |||||||||
Kathryn A. Cassidy | $ | 3,221 | $ | 0 | $ | 328,500 | ||||||
Diana M. Daniels | 3,221 | 0 | 328,500 | |||||||||
James A. McNamara 1 | — | — | — | |||||||||
Jessica Palmer 2 | 4,568 | 0 | 493,000 | |||||||||
Roy W. Templin | 3,221 | 0 | 328,500 | |||||||||
Gregory G. Weaver 3 | 3,734 | 0 | 381,500 |
Name of Trustee | Aggregate Compensation from Funds with Fiscal Year Ended August 31, 2022 | Aggregate Compensation from Fund with Fiscal Year Ended December 31, 2022 | Pension or Retirement Benefits Accrued as Part of the Trust’s Expenses | Total Compensation From Fund Complex for Fiscal Year Ended August 31, 2022* | Total Compensation From Fund Complex for Fiscal Year Ended December 31, 2022* | |||||||||||
Cheryl K. Beebe1,2 | $142,922 | — | $0 | $285,897 | $360,394 | |||||||||||
Lawrence Hughes2 | $115,561 | — | $0 | $233,668 | $285,788 | |||||||||||
John F. Killian2 | $116,932 | — | $0 | $237,880 | $285,788 | |||||||||||
Steven D. Krichmar2 | $115,536 | — | $0 | $233,668 | $285,788 | |||||||||||
Michael Latham3 | $123,297 | — | $0 | $243,529 | $321,182 | |||||||||||
Lawrence W. Stranghoener | $114,468 | — | $0 | $230,510 | $285,788 | |||||||||||
James A. McNamara4 | — | — | — | — | — |
* |
|
1 | Includes compensation as Board Chair. |
2 | Ms. Beebe and Messrs. Hughes, Killian and Krichmar began serving as Trustees of the Trust effective December 3, 2021. |
3 | Includes compensation as “audit committee financial expert,” as defined in Item 3 of Form N-CSR. |
4 | Mr. McNamara is an Interested Trustee, and as such, receives no compensation from the Funds or the Goldman Sachs Fund Complex. |
Goldman Sachs ETF Trust II (Fiscal Year Ended August 31, 2022)
Name of Trustee | Aggregate Compensation from Funds within Goldman Sachs ETF Trust II | Pension or Retirement Benefits Accrued as Part of the Trust’s Expenses | Total Compensation From the Fund Complex* | |||||||||
Cheryl K. Beebe1,2 | $1,875 | $0 | $285,897 | |||||||||
Lawrence Hughes2 | $1,484 | $0 | $233,688 | |||||||||
John F. Killian2 | $1,484 | $0 | $237,880 | |||||||||
Steven D. Krichmar2 | $1,484 | $0 | $233,668 | |||||||||
Michael Latham3 | $1,667 | $0 | $243,529 | |||||||||
Lawrence W. Stranghoener | $1,484 | $0 | $230,510 | |||||||||
James A. McNamara4 | — | — | — |
Represents fees paid to each Trustee during the fiscal year ended August 31, 2022 from the Goldman Sachs Fund Complex. |
1 | Includes compensation as |
2 | Ms. Beebe and Messrs. Hughes, Killian and Krichmar began serving as Trustees of the Trust effective December 3, 2021. |
3 | Includes compensation as “audit committee financial expert,” as defined in Item 3 of FormN-CSR. |
4 |
|
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Goldman Sachs Real Estate Diversified Income Fund (Fiscal Year Ended September 30, 2022)
Name of Trustee | Aggregate Compensation from the Real Estate Fund | Pension or Retirement Benefits Accrued as Part of the Fund’s Expenses | Total Compensation From the Fund Complex* | |||||||||
Cheryl K. Beebe1,2 | $6,493 | $0 | $329,647 | |||||||||
Lawrence Hughes2 | $5,191 | $0 | $263,668 | |||||||||
John F. Killian2 | $5,224 | $0 | $265,380 | |||||||||
Steven D. Krichmar2 | $5,191 | $0 | $263,668 | |||||||||
Michael Latham3 | $5,680 | $0 | $288,217 | |||||||||
Lawrence W. Stranghoener | $5,167 | $0 | $262,385 | |||||||||
James A. McNamara4 | — | — | — |
Represents fees paid to each Trustee during the fiscal year ended |
1 | Includes compensation as Board Chair. |
2 | Ms. Beebe and Messrs. Hughes, Killian and Krichmar began serving as Trustees of the Trust effective December 3, 2021. |
3 | Includes compensation as “audit committee financial expert,” as defined in Item 3 of Form N-CSR. |
4 | Mr. McNamara |
Goldman Sachs Trust (Fiscal Years Ended August 31, 2022, October 31, 2022, November 30, 2022, December 31, 2022 and March 31, 2023)
Name of Trustee | Aggregate Compensation from Funds with Fiscal Year Ended August 31, 2022 | Aggregate Compensation from Funds with Fiscal Year Ended October 31, 2022 | Aggregate Compensation from Funds with Fiscal Year Ended November 30, 2022 | Aggregate Compensation from Funds with Fiscal Year Ended December 31, 2022 | Aggregate Compensation from Funds with Fiscal Year Ended March 31, 2023 | Pension or Retirement Benefits Accrued as Part of the Trust’s Expenses | ||||||||||||||||||
Gregory G. Weaver1,3 | $69,733 | $54,412 | $117,183 | $51,218 | $78,144 | $0 | ||||||||||||||||||
Dwight L. Bush | $59,355 | $46,169 | $91,214 | $43,466 | $62,200 | $0 | ||||||||||||||||||
Kathryn A. Cassidy1 | $59,355 | $46,169 | $99,589 | $43,466 | $64,916 | $0 | ||||||||||||||||||
John G. Chou2 | $15,529 | $23,619 | $47,065 | $32,736 | $62,200 | $0 | ||||||||||||||||||
Joaquin Delgado | $59,355 | $46,169 | $99,589 | $43,466 | $62,200 | $0 | ||||||||||||||||||
Eileen H. Dowling | $45,095 | $46,169 | $91,214 | $43,466 | $62,200 | $0 | ||||||||||||||||||
Paul C. Wirth2 | $15,529 | $23,619 | $51,380 | $32,737 | $62,200 | $0 | ||||||||||||||||||
James A. McNamara3 | — | — | — | — | — | — |
Name of Trustee | Total Compensation From Fund Complex for Fiscal Year Ended August 31, 2022* | Total Compensation From Fund Complex for Fiscal Year Ended October 31, 2022* | Total Compensation From Fund Complex for Fiscal Year Ended November 30, 2022* | Total Compensation From Fund Complex for Fiscal Year Ended December 31, 2022* | Total Compensation From Fund Complex for Fiscal Year Ended March 31, 2023* | |||||||||||||||
Gregory G. Weaver1,3 | $ | 413,000 | $419,500 | $419,500 | $426,000 | $456,750 | ||||||||||||||
Dwight L. Bush | $ | 351,000 | $356,000 | $356,000 | $361,000 | $363,000 | ||||||||||||||
Kathryn A. Cassidy1 | $ | 351,000 | $356,000 | $356,000 | $361,000 | $379,250 | ||||||||||||||
John G. Chou2 | $ | 90,250 | $180,500 | $180,500 | $270,750 | $363,000 | ||||||||||||||
Joaquin Delgado | $ | 351,000 | $356,000 | $356,000 | $361,000 | $363,000 | ||||||||||||||
Eileen H. Dowling | $ | 265,750 | $356,000 | $356,000 | $361,000 | $363,000 | ||||||||||||||
Paul C. Wirth2 | $ | 90,250 | $180,500 | $180,500 | $270,750 | $363,000 | ||||||||||||||
James A. McNamara4 | — | — | — | — | — |
* | Represents fees paid to each Trustee during the fiscal years ended August 31, 2022, October 31, 2022, November 30, 2022, December 31, 2022 and March 31, 2023, respectively, from the Goldman Sachs Fund Complex. |
1 | Includes compensation as “audit committee financial expert,” as defined in Item 3 of Form N-CSR. |
2 | Messrs. Chou and Wirth began serving as Trustees effective April 12, 2022. |
3 | Includes compensation as Board Chair. |
4 | Mr. McNamara is an Interested Trustee, and as such, receives no compensation from the |
Goldman Sachs Trust II (Fiscal Year Ended October 31, 2022)
Name of Trustee | Aggregate Compensation from Funds within Goldman Sachs Trust II | Pension or Retirement Benefits Accrued as Part of the Trust’s Expenses | Total Compensation From the Fund Complex* | |||||||||
Cheryl K. Beebe1,2 | $66,605 | $0 | $329,647 | |||||||||
Lawrence Hughes2 | $53,332 | $0 | $263,668 | |||||||||
John F. Killian2 | $53,715 | $0 | $265,380 | |||||||||
Steven D. Krichmar2 | $53,332 | $0 | $263,668 | |||||||||
Michael Latham3 | $58,127 | $0 | $288,217 | |||||||||
Lawrence W. Stranghoener | $53,045 | $0 | $262,385 | |||||||||
James A. McNamara4 | — | — | — |
* | Represents fees paid to each Trustee during the fiscal year ended October 31, 2022 from the Goldman Sachs Fund Complex. |
1 | Includes compensation as Board Chair. |
2 | Ms. Beebe and Messrs. Hughes, Killian and Krichmar began serving as Trustees of the Trust effective December 3, 2021. |
3 | Includes compensation as “audit committee financial expert,” as defined in Item 3 of Form N-CSR. |
4 | Mr. McNamara is an Interested Trustee, and as such, receives no compensation from the Funds or the Goldman Sachs Fund Complex. |
Goldman Sachs Variable Insurance Trust (Fiscal Year Ended December 31, 2022)
Name of Trustee | Aggregate Compensation from Funds within Goldman Sachs Variable Insurance Trust | Pension or Retirement Benefits Accrued as Part of the Trust’s Expenses | Total Compensation From the Fund Complex* | |||||||||
Gregory G. Weaver1,3 | $36,076 | $0 | $426,000 | |||||||||
Dwight L. Bush | $30,686 | $0 | $361,000 | |||||||||
Kathryn A. Cassidy1 | $30,686 | $0 | $361,000 | |||||||||
John G. Chou2 | $23,082 | $0 | $270,750 | |||||||||
Joaquin Delgado | $30,686 | $0 | $361,000 | |||||||||
Eileen H. Dowling | $30,686 | $0 | $361,000 | |||||||||
Paul C. Wirth2 | $23,082 | $0 | $270,750 | |||||||||
James A. McNamara4 | — | — | — |
* | Represents fees paid to each |
1 | Includes compensation as “audit committee financial expert,” as defined in Item 3 of Form N-CSR. |
2 | Messrs. Chou and Wirth began serving as Trustees effective April 12, 2022. |
3 | Includes compensation as Board Chair. |
4 | Mr. McNamara is an Interested Trustee, and as such, receives no compensation from the Funds or the Goldman Sachs Fund Complex. |
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NOMINEE/TRUSTEE OWNERSHIP OF FUND SHARES
The following table shows the dollar range of shares beneficially owned by each Nominee/Trustee in the investment portfolios of each Trust and the Goldman Sachs Fund Complex as of August 31, 2019:
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As of September 30, 2019, the Nominees, Trustees andAdditional Information about Officers of the Trusts as a group owned less than 1% ofFunds
Information pertaining to the outstanding shares of beneficial interest of each classofficers of the Funds except for the Income Builder Fund and International Real Estate Securities Fund. Asas of September 30, 2019, the Nominees, Trustees and Officers of the Trusts, as a group, owned 5.41% of the Income Builder Fund’s outstanding Class P Shares and 1.59% of the International Real Estate Securities Fund’s Institutional Shares.
As of December 31, 2018, none of the Independent Trustees, Nominees nor any member of their immediate family owned any securities issued by GSAM or asub-adviser or any other person (other than a registered investment company) directly or indirectly controlling, controlled by or under common control with GSAM or asub-adviser, except as provided5, 2023 is set forth below.
Ambassador Bush may be deemed to be a beneficial owner of common stock issued by The Goldman Sachs Group, Inc. (“GS Group”) as a result of his ownership of GS Group common stock (as well as the ownership of GS Group common stock by an immediate family member). During the past five years, such common stock had a value exceeding $120,000 in aggregate and represented substantially less than one percent of the outstanding common stock of GS Group. The stock was disposed of prior to the date of this Joint Proxy Statement. GS Group is a controlling person of GSAM, the investment adviser to the Funds.
THE TRUSTEES UNANIMOUSLY RECOMMEND THAT YOU VOTE IN FAVOR OF EACH NOMINEE LISTED ABOVE.
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TO APPROVE A CHANGE TO THE GOLDMAN SACHS LARGE CAP GROWTH INSIGHTS FUND’SSUB-CLASSIFICATION UNDER THE INVESTMENT COMPANY ACT OF 1940 FROM “DIVERSIFIED” TO“NON-DIVERSIFIED” AND TO ELIMINATE A RELATED FUNDAMENTAL INVESTMENT RESTRICTION
Goldman Sachs Large Cap Growth Insights Fund
The investment objective of the Goldman Sachs Large Cap Growth Insights Fund (“Large Cap Growth Insights Fund” or the “Fund”) is long-term growth of capital, with dividend income as a secondary consideration. The Large Cap Growth Insights Fund seeks to achieve its investment objective by investing, under normal circumstances, at least 80% of its net assets plus any borrowings for investment purposes in a broadly diversified portfolio of equity investments inlarge-cap U.S. issuers, including foreign issuers that are traded in the United States.
The Large Cap Growth Insights Fund is currentlysub-classified as a “diversified” fund for purposes of Section 5(b)(1) of the 1940 Act. The Fund is also subject to a related fundamental investment restriction which prohibits it from making any investment inconsistent with its classification as a diversified fund. As a diversified fund, the Large Cap Growth Insights Fund is limited as to the amount it may invest in any single issuer. Specifically, with respect to 75% of its total assets, the Large Cap Growth Insights Fund currently may not invest in a security if, as a result of such investment, more than 5% of its total assets (calculated at the time of purchase) would be invested in securities of any one issuer. In addition, with respect to 75% of its total assets, the Fund may not hold more than 10% of the outstanding voting securities of any one issuer. The restrictions in Section 5(b)(1) do not apply to U.S. government securities, securities of other investment companies, cash and cash items (including receivables).
The Board, subject to Shareholder approval, has approved a change to the Fund’ssub-classification under the 1940 Act to a“non-diversified” company and to eliminate the Fund’s related fundamental investment restriction. This investment restriction (which may only be changed with shareholder approval) provides that the Large Cap Growth Insights Fund, as a fundamental policy, may not “make any investment inconsistent with the Fund’s classification as a diversified company under the [1940] Act.” If approved, the Large Cap Growth Insights Fund will no longer be subject to the diversification limitation discussed above.
Changing the Large Cap Growth Insights Fund’s status tonon-diversified would provide the Fund’s investment adviser, GSAM, with enhanced flexibility to invest a greater portion of the Fund’s assets in one or more issuers. The Fund seeks to achieve its investment objective by investing, under normal circumstances, in issuers that have public stock market capitalizations similar to those of companies constituting the Russell 1000® Index. Given the weightings of certain large capitalization stocks in the Fund’s benchmark, the portfolio managers of the Fund believe that it is important to have this additional flexibility, and that they will be better able to execute the Fund’s investment strategy and other policies with this additional flexibility.
Shareholders should note that if the change in the Large Cap Growth Insights Fund’ssub-classification to“non-diversified” is approved, the Fund may be subject to additional investment risks. This is because, as anon-diversified fund, the Fund would be permitted to invest a greater percentage of its assets in one or more issuers or in fewer issuers than diversified funds. Thus, the Fund may be more susceptible to adverse developments affecting any single issuer held in its portfolio, and may be more susceptible to greater losses because of these developments. Accordingly, if Proposal 2 is approved, the Fund could be subject to greater risk than it currently is subject to as a diversified fund. The change of the Fund’ssub-classification to“non-diversified” and the elimination of the Fund’s related fundamental investment restriction was approved unanimously by the Board of the Fund, with adoption and implementation of the new policy conditioned upon Shareholder approval.
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It should be noted that, although the Large Cap Growth Insights Fund would no longer be subject to the 1940 Act diversification restrictions if Shareholders approve the proposal at the Meeting, the Fund intends to continue to comply with Federal tax diversification restrictions of Subchapter M of the Internal Revenue Code of 1986 (the “IRC”). For purposes of the IRC, the Fund operates as a “regulated investment company.” Under the IRC, the Fund must diversify its holdings so that, in general, at the close of each quarter of its taxable year, (i) at least 50% of the fair market value of the Fund’s total (gross) assets is comprised of cash, cash items, U.S. government securities, securities of other regulated investment companies and other securities limited in respect of any one issuer to an amount not greater in value than 5% of the value of the Fund’s total assets and to not more than 10% of the outstanding voting securities of such issuer; and (ii) not more than 25% of the value of its total (gross) assets is invested in the securities of any one issuer (other than U.S. government securities and securities of other regulated investment companies), two or more issuers controlled by the Fund and engaged in the same, similar or related trades or businesses, or certain publicly traded partnerships. These Federal tax diversification requirements, or the Fund’s determination to comply with them, may change in the future without shareholder approval.
Shareholders should note that if the change in the Large Cap Growth Insights Fund’s sub-classification to “non-diversified” is not approved, the Fund will remain “diversified” and remain subject to the Fund’s related fundamental investment restriction to not “make any investment inconsistent with the Fund’s classification as a diversified company under the [1940] Act.”
THE TRUSTEES UNANIMOUSLY RECOMMEND THAT YOU VOTE IN FAVOR OF PROPOSAL 2.
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TO TRANSACT SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING OR ANY POSTPONEMENT OR ADJOURNMENT THEREOF
The management of the Trusts does not know of any other matters to be brought before the Meeting. If such matters are properly brought before the Meeting, proxies that do not contain specific instructions to the contrary will be voted in accordance with the judgment of the person or persons acting thereunder.
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The following table sets forth the names of the Trusts’ officers and their ages, terms of office, including length of time served as officer, and principal occupations for the past five years. As a result of the responsibilities assumed by the Trusts’ investment advisers, custodian and distributor, each Trust has no employees. The Trusts’Funds’ officers do not receive any compensation from the TrustsFunds for serving as such.
Officers of the Trusts
Name | Position(s) Held
| Term of Office and | Principal Occupation(s) | |||
James A. McNamara 200 West Street New York, NY 10282 Age: | Trustee and President | Since 2007 (GS Trust and GS VIT); Since 2012 (GS Trust II); Since 2014 (GSETF Trust); Since 2021 (GSETF Trust II); Since inception (Real Estate Fund) | Advisory Director, Goldman Sachs (January 2018–Present); Managing Director, Goldman Sachs (January 2000–December 2017); Director of Institutional Fund Sales, GSAM (April 1998–December 2000); and Senior Vice President and Manager, Dreyfus Institutional Service Corporation (January 1993–April 1998).
President and Trustee—Goldman Sachs Trust; Goldman Sachs Variable Insurance Trust; Goldman Sachs Trust II; Goldman Sachs | |||
Joseph F. DiMaria 30 Hudson Street Jersey City, NJ 07302 Age: | Treasurer, Principal Financial Officer and Principal Accounting Officer | Since 2017 (Treasurer and Principal Financial Officer since 2019) (GSETF Trust, GS Trust, GS Trust II and GS VIT); Since 2021 (GSETF Trust II); Since inception (Real Estate Fund) | Managing Director, Goldman Sachs (November 2015–Present) and Vice President–Mutual Fund Administration, Columbia Management Investment Advisers, LLC (May 2010–October 2015).
Treasurer, Principal Financial Officer and Principal Accounting Officer—Goldman Sachs Trust (previously Assistant Treasurer (2016)); Goldman Sachs Variable Insurance Trust (previously Assistant Treasurer (2016)); Goldman Sachs Trust II (previously Assistant Treasurer (2017)); Goldman Sachs MLP |
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Name | Position(s) Held | Term of Office and | Principal Occupation(s) | |||
Julien Yoo 200 West Street New York, NY 10282 Age: | Chief Compliance Officer | Since 2019 (GS Trust and GS VIT); Since 2018 (GS Trust II); Since 2014 (GSETF Trust); Since 2021 (GSETF Trust II); Since inception (Real Estate Fund) | Managing Director, Goldman Sachs (January 2020–Present); Vice President, Goldman Sachs (December 2014–
Chief Compliance Officer—Goldman Sachs Trust; Goldman Sachs Variable Insurance Trust; Goldman Sachs Trust II; Goldman Sachs BDC, Inc.; Goldman Sachs Private Middle Market Credit LLC; Goldman Sachs Private Middle Market Credit II LLC; Goldman Sachs Middle Market Lending Corp.; Goldman Sachs |
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30 Hudson Street Jersey City, NJ 07302 Age: | Assistant Treasurer | Since |
Assistant Treasurer—Goldman Sachs Trust; Goldman Sachs Variable Insurance Trust; Goldman Sachs Trust II; Goldman Sachs MLP and Energy Renaissance Fund; Goldman Sachs ETF Trust; Goldman Sachs ETF Trust II; Goldman Sachs Credit Income Fund; and Goldman Sachs Real Estate Diversified Income Fund. | ||||||
Allison Fracchiolla 30 Hudson Street Jersey City, NJ 07302 Age: 40 | Assistant Treasurer | Since 2014 (GSETF Trust, GS Trust, GS Trust II and GS VIT); Since 2021 (GSETF Trust II and Real Estate Fund) | Vice President, Goldman Sachs (January 2013–Present). Assistant Treasurer—Goldman Sachs Trust; Goldman Sachs Variable Insurance Trust; Goldman Sachs Trust II; Goldman Sachs ETF Trust; Goldman Sachs ETF Trust II; Goldman Sachs MLP and Energy Renaissance Fund; and Goldman Sachs Real Estate Diversified Income Fund. |
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Name | Position(s) Held | Term of Office and | Principal Occupation(s) | |||
Kirsten Frivold Imohiosen 200 West Street New York, NY 10282 Age: 53 | Assistant Treasurer | Since 2019 (GSETF Trust, GS Trust, GS Trust II and GS VIT); Since 2021 (GSETF Trust II); Since inception (Real Estate Fund) | Managing Director, Goldman Sachs (January 2018–Present); and Vice President, Goldman Sachs (May 1999–December 2017). Assistant Treasurer—Goldman Sachs Trust; Goldman Sachs Variable Insurance Trust; Goldman Sachs Trust II; Goldman Sachs MLP and Energy Renaissance Fund; Goldman Sachs BDC, Inc.; Goldman Sachs Private Middle Market Credit LLC; Goldman Sachs Private Middle Market Credit II LLC; Goldman Sachs Middle Market Lending Corp.; Goldman Sachs | |||
30 Hudson Street Jersey City, NJ 07302 Age: | Assistant Treasurer | Since | Vice President, Goldman Sachs
Assistant Treasurer—Goldman Sachs Trust; Goldman Sachs Variable Insurance Trust; Goldman Sachs Trust II; Goldman Sachs MLP | |||
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30 Hudson Street Jersey City, NJ 07302 | Assistant Treasurer of the GS Trust and GS VIT | Since 2023 | Vice President, Goldman Sachs (January 2021–Present); and Associate, Goldman Sachs (March 2014–December 2020). Assistant Treasurer—Goldman Sachs Trust; and Goldman Sachs Variable Insurance Trust. |
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Name | Position(s) Held | Term of Office and | Principal Occupation(s) | |||
Carol Liu 30 Hudson Street Jersey City, NJ 07302 Age: | Assistant Treasurer | Since | Vice President, Goldman Sachs
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Assistant Treasurer—Goldman Sachs Trust; Goldman Sachs Variable Insurance Trust; Goldman Sachs Trust II; Goldman Sachs MLP |
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Age: | Vice President | Since | Vice President, Goldman Sachs (January 2014–Present). Vice President—Goldman Sachs Trust; Goldman Sachs Variable Insurance Trust; Goldman Sachs Trust II; Goldman Sachs ETF Trust; Goldman Sachs ETF Trust II; Goldman Sachs MLP and Energy Renaissance Fund; Goldman Sachs Real Estate Diversified Income Fund; and Goldman Sachs Credit Income Fund. | ||||||
Kenneth Cawley 71 South Wacker Drive Chicago, IL 60606 Age: 53 | Vice President of the GS Trust, GS Trust II and GS VIT | Since 2021 | Managing Director, Goldman Sachs
Vice President—Goldman Sachs Trust; Goldman Sachs Variable Insurance Trust; and Goldman Sachs Trust II. |
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| Position(s) Held | Term of Office and | Principal Occupation(s) | |||
Anney Chi 200 West Street New York, NY 10282 Age: | Vice President | Since | Vice President,
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Vice President—Goldman Sachs Trust; Goldman Sachs Variable Insurance Trust; Goldman Sachs Trust II; Goldman Sachs | |||||
Michael Crinieri 200 West Street New York, NY 10282 Age: 58 | Vice President of the GSETF Trust and GSETF Trust II | Since 2014 (GSETF Trust); Since 2021 (GSETF Trust II) | Managing Director, Goldman Sachs (January 2002–Present); and Vice President, Goldman Sachs (April 2000–January 2002). Vice President—Goldman Sachs ETF | |||
TP Enders 200 West Street New York, NY 10282 Age: 54 | Vice President | Since 2021 | Managing Director, Goldman Sachs (January 2012–Present); Vice President, Goldman Sachs (April 2004–December 2011) Vice President—Goldman Sachs Trust; Goldman Sachs Variable Insurance Trust; Goldman Sachs Trust II; Goldman Sachs ETF Trust; Goldman Sachs ETF Trust II; Goldman Sachs MLP and Energy Renaissance Fund; Goldman Sachs Credit Income Fund; and Goldman Sachs Real Estate Diversified Income Fund. | |||
Frank Murphy 200 West Street New York, NY 10282 Age: | Vice President of the GS Trust and GS VIT | Since 2019 | Managing Director, Goldman Sachs
Vice President—Goldman Sachs Trust; and Goldman Sachs Variable Insurance Trust. |
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| Position(s) Held | Term of Office and | Principal Occupation(s) | |||
Michael Twohig 200 West Street New York, NY 10282 Age: | Vice President | Since 2022 (GS Trust, GS Trust II and GS VIT); Since 2019 (GSETF Trust); Since 2021 (GSETF Trust II); Since inception (Real Estate Fund) | Vice President, Goldman Sachs Vice President— |
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Caroline L. Kraus 200 West Street New York, NY 10282 Age: | Secretary | Since 2012 (GS Trust, GS Trust II and GS VIT); Since 2014 (GSETF Trust); Since 2021 (GSETF Trust II); Since inception (Real Estate Fund) | Managing Director, Goldman Sachs (January 2016–Present); Vice President, Goldman Sachs (August 2006–December 2015); Senior Counsel, Goldman Sachs (January 2020–Present); Associate General Counsel, Goldman Sachs (2012–
Secretary—Goldman Sachs Trust (previously Assistant Secretary (2012)); Goldman Sachs Variable Insurance Trust (previously Assistant Secretary (2012)); Goldman Sachs Trust II; Goldman Sachs BDC, Inc.; Goldman Sachs Private Middle Market Credit LLC; Goldman Sachs Private Middle Market Credit II LLC; Goldman Sachs Middle Market Lending Corp.; Goldman Sachs MLP | ||||||
200 West Street New York, NY 10282 Age: | Assistant Secretary of the GS Trust, GS Trust II and GS VIT | Since | Managing Director, Goldman Sachs
Assistant Secretary—Goldman Sachs Trust; Goldman Sachs Variable Insurance Trust; and Goldman Sachs Trust II. |
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Name | Position(s) Held | Term of Office and | Principal Occupation(s) | |||
Robert Griffith 200 West Street New York, NY 10282 Age: | Assistant Secretary | Since | Managing Director, Goldman Sachs (September 2022–Present); General Counsel, Exchange Traded Concepts, LLC (October 2021–September 2022); Vice President, Goldman Sachs (August 2011–
Assistant Secretary—Goldman Sachs Trust; Goldman Sachs Variable Insurance Trust; Goldman Sachs Trust II; Goldman Sachs | |||
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1 | Unless otherwise indicated, the position is held with respect to each of the GSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and GS VIT. |
2 | Officers hold office at the pleasure of the Board |
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INDEPENDENT REGISTERED PUBLIC ACCOUNTANTSInformation about the Funds’ Independent Registered Public Accounting Firm
At a meeting of the Board of Trustees held on August13-14, 2019, theEach Audit Committee has selected and recommended, and theits respective Board, including a majority of the Independent Trustees, has approved, the selection of PricewaterhouseCoopers LLP to act as independent registered public accountantsaccountant for the Trusts on behalf of the Funds with fiscal years ending August 31, 2020 and October 31, 2020. At a meeting of the Board of Trustees held on February12-13, 2019, the Audit Committee selected and recommended, and the Board, including a majority of the Independent Trustees, approved, the selection of PricewaterhouseCoopers LLP to act as independent registered public accountantsFund(s) under its oversight for the Trusts on behalf of the Funds with thecurrent applicable fiscal year ending November 30, 2019, December 31, 2019, and March 31, 2020 and on behalf of the Goldman Sachs Municipal Income Completion Fund for its initial fiscal year period.years.
Representatives of PricewaterhouseCoopers LLP are not expected to be present at the Meeting butand will be available by telephone to respond to appropriate questions from Shareholdersshareholders if necessary. Representatives of PricewaterhouseCoopers LLP will be given the opportunity to make statements at the Meeting, if they so desire.
Audit Fees
The aggregate fees billed by PricewaterhouseCoopers LLP for professional services for the audits of the annual, and in certain cases semi-annual, financial statements of the Funds in each of the last two fiscal years of each Trust, were:
Trust | For the Fiscal Year Ending | |||||||
December 31, 2017 | December 31, 2018 | |||||||
GSVIT | $ | 508,700 | $ | 476,700 |
Trust | For the Fiscal Year Ending | |||||||
August 31, 2018 | August 31, 2019 | |||||||
GST | $ | 3,442,690 | $ | 4,421,760 |
Fees included in the audit fees category are those associated with the annual and in certain cases semi-annual audits of financial statements and services that are normally provided in connection with statutory and regulatory filings.
Audit-Related Fees
The aggregate audit-related fees billed by PricewaterhouseCoopers LLP to the Funds for professional services for the audit of the annual financial statements for the Funds’ last two fiscal years are reflected in the tables below.
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Audit-Related Fees
Audit-related fees are for any services rendered to the Funds that are reasonably related to the performance of the audits of the financial statements of the Funds (but not reported as audit fees inabove). These services include attestation services that are not required by statute or regulation and consultations concerning financial accounting and reporting standards.
The aggregate audit-related fees billed by PricewaterhouseCoopers LLP to the table above) in each ofFunds for the Funds’ last two fiscal years of each Trust, were:
Trust | For the Fiscal Year Ending | |||||||
December 31, 2017 | December 31, 2018 | |||||||
GSVIT | $ | 0 | $ | 18,142 |
Trust | For the Fiscal Year Ending | |||||||
August 31, 2018 | August 31, 2019 | |||||||
GST | $ | 485,871 | $ | 216,184 |
Fees includedare reflected in the audit-related category are those associated with other attest services.
With respect to Rule2-01(c)(7)(i)(C) of RegulationS-X, there were no audit-related fees that were approved by the Audit Committee pursuant to thede minimis exception for the Funds’ two most recent fiscal years on
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behalf of (i) the Funds’ service providers that relate directly to the operations and financial reporting of the Funds, or (ii) the Funds themselves.tables below.
The following table shows the amount ofaggregate audit-related fees billed by the Funds’ independent registered public accountantPricewaterhouseCoopers LLP to GSAM and any entity controlling, controlled by, or under common control with GSAM, that provides ongoing services to the Funds, for engagements directly related to the Funds’ operations and financial reporting in each offor the Funds’ last two fiscal years of each Trust.are reflected in the tables below.
Trust | For the Fiscal Year Ending | Description of Services Rendered | ||||||||
December 31, 2017 | December 31, 2018 | |||||||||
GSVIT | $ | 1,860,429 | $ | 1,845,098 | Internal control review performed in accordance with Statement on Standards for Attestation Engagements No. 16 and semi-annual updates related to withholding tax accrual fornon-U.S. jurisdictions. These fees are borne by the Funds’ investment adviser. |
Trust | For the Fiscal Year Ending | Description of Services Rendered | ||||||||
August 31, 2018 | August 31, 2019 | |||||||||
GST | $ | 1,897,685 | $ | 2,000,617 | Internal control review performed in accordance with Statement on Standards for Attestation Engagements No. 16 and semi-annual updates related to withholding tax accrual fornon-U.S. jurisdictions. These fees are borne by the Funds’ investment adviser. |
Tax Fees
The aggregate fees billed by PricewaterhouseCoopers LLP for services rendered to the Funds for tax compliance, tax advice and tax planning in each of the last two fiscal years of each Trust, were:
Trust | For the Fiscal Year Ending | |||||||
December 31, 2017 | December 31, 2018 | |||||||
GSVIT | $ | 116,271 | $ | 116,270 |
Trust | For the Fiscal Year Ending | |||||||
August 31, 2018 | August 31, 2019 | |||||||
GST | $ | 1,505,569 | $ | 1,177,014 |
Fees included in the tax fees category comprise all services performed by professional staff in the independent registered public accountants’accountant’s tax division except those services related to the audits. This category comprises fees for tax compliance services provided in connection with the preparation and review of the Funds’Fund’s tax returns.
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With respect to Rule2-01(c)(7)(i)(C) of RegulationS-X, there were no taxThe aggregate fees that were approved by the Audit Committee pursuant to thede minimis exception for the Funds’ two most recent fiscal years on behalf of (i) the Funds’ service providers that relate directly to the operations and financial reporting of the Funds, or (ii) the Funds themselves.
No tax fees were billed by the Funds’ independent registered public accountants to GSAM, and any entity controlling, controlled by, or under common control with, GSAM, that provides ongoing servicesPricewaterhouseCoopers LLP to the Funds for engagements directly relatedservices rendered to the Funds’ operationsFunds for tax compliance, tax advice and financial reporting, in each oftax planning for the Funds’ last two fiscal years of each Trust.are reflected in the tables below.
All Other Fees
NoThe aggregate fees were billed by PricewaterhouseCoopers LLP to the Funds for products and services provided to the Trusts,Funds, other than the services reported in “Audit Fees,” “Audit Related Fees,” and “Tax Fees” above, in each offor the Funds’ last two fiscal years of each Trust.are reflected in the tables below.
PricewaterhouseCoopers LLP did not bill anyThe aggregate fees for professional services rendered to the Trusts, their investment advisers or companies controlling, controlled by or under common control with the investment advisers that provided services to the Trusts during their most recent fiscal years for information technology services relating to financial information systems design and implementation.
With respect to Rule2-01(c)(7)(i)(C) of RegulationS-X, there were no fees within this category that were approved by the Audit Committee pursuant to thede minimis exception for the Funds’ two most recent fiscal years on behalf of (i) the Funds’ service providers that relate directly to the operations and financial reporting of the Funds, or (ii) the Funds themselves.
No other fees were billed by the Funds’ independent registered public accountantsPricewaterhouseCoopers LLP to GSAM and any entity controlling, controlled by, or under common control with GSAM, that provides ongoing services to the Funds, for engagements directly related to the Funds’ operations and financial reporting, other than the services reported in each of“Audit Fees,” “Audit-Related Fees,” and “Tax Fees” above, for the Funds’ last two fiscal years of each Trust.are reflected in the tables below.
AggregateNon-Audit Fees
The aggregatenon-audit fees fees billed to the Trusts by PricewaterhouseCoopers LLP in each ofto the Funds for the Funds’ last two fiscal years of each Trust, were:are reflected in the tables below.
Trust | For the Fiscal Year Ending | |||||||
December 31, 2017 | December 31, 2018 | |||||||
GSVIT | $ | 116,271 | $ | 134,412 |
Trust | For the Fiscal Year Ending | |||||||
August 31, 2018 | August 31, 2019 | |||||||
GST | $ | 1,991,440 | $ | 1,393,197 |
The aggregatenon-audit fees fees billed to the Trusts’ investment advisers and service affiliates by PricewaterhouseCoopers LLP fornon-audit services in each of the last two fiscal years of each Trust, were:
Trust | For the Fiscal Year Ending | |||||||
December 31, 2017 | December 31, 2018 | |||||||
GST/GSVIT | $ | 9,700,000 | $ | 12,300,00 |
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With regard to the aggregatenon-audit fees billed to the Trusts’ investment advisers and service affiliates, the amounts include fees fornon-audit services required to bepre-approved and fees fornon-audit services that did not requirepre-approval since they did not directly relate to the Trusts’ operations or financial reporting.
The Audit Committee has considered whether the provision ofnon-audit services that were rendered to the Funds’ investment advisers (not including anysub-adviser whose role is primarily portfolio management and is subcontracted with or overseen by another investment adviser),GSAM and any entity controlling, controlled by, or under common control with the investment adviserGSAM, that provides ongoing services to the Funds, for engagements directly related to the Funds’ operations and financial reporting, for non-audit services for the Funds’ last two fiscal years are reflected in the tables below. These include any non-audit services required to be pre-approved but excludes non-audit servicesthat weredid notpre-approvedrequire pre-approval since pursuantthey did not directly relate to paragraph (c)(7)(ii) of Rule2-01 of RegulationS-X, was compatible with maintaining the independence ofFunds’ operations or financial reporting.
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The following tables set forth the Trusts’ independent registered public accountants.aggregate fees billed by PricewaterhouseCoopers LLP for professional services rendered to the Funds during the two most recent fiscal years.
Goldman Sachs ETF Trust
Fees billed to the Funds | Fees billed to GSAM and any entity controlling, controlled by, or under common control with GSAM | |||
Audit Fees | Fiscal Year Ended 08/31/21: $606,900 | Fiscal Year Ended 08/31/21: $0 | ||
Fiscal Year Ended 08/31/22: $531,450 | Fiscal Year Ended 08/31/22: $0 | |||
Audit-Related Fees | Fiscal Year Ended 08/31/21: $59,558 | Fiscal Year Ended 08/31/21: $1,906,448 | ||
Fiscal Year Ended 08/31/22: $112,000 | Fiscal Year Ended 08/31/22: $1,906,448 | |||
Tax Fees | Fiscal Year Ended 08/31/21: $0 | Fiscal Year Ended 08/31/21: $0 | ||
Fiscal Year Ended 08/31/22: $0 | Fiscal Year Ended 08/31/22: $0 | |||
All Other Fees | Fiscal Year Ended 08/31/21: $0 | Fiscal Year Ended 08/31/21: $0 | ||
Fiscal Year Ended 08/31/22: $0 | Fiscal Year Ended 08/31/22: $0 | |||
Aggregate Non-Audit Fees | Fiscal Year Ended 08/31/21: $59,558 | Fiscal Year Ended 12/31/21: $14.4 million | ||
Fiscal Year Ended 08/31/22: $112,000 | Fiscal Year Ended 12/31/22: $17.1 million |
Goldman Sachs ETF Trust II
Fees billed to the Funds | Fees billed to GSAM and any entity controlling, controlled by, or under common control with GSAM | |||
Audit Fees | Fiscal Year Ended 08/31/21: $0 | Fiscal Year Ended 08/31/21: $0 | ||
Fiscal Year Ended 08/31/22: $13,000 | Fiscal Year Ended 08/31/22: $0 | |||
Audit-Related Fees | Fiscal Year Ended 08/31/21: $0 | Fiscal Year Ended 08/31/21: $0 | ||
Fiscal Year Ended 08/31/22: $0 | Fiscal Year Ended 08/31/22: $1,906,448 | |||
Tax Fees | Fiscal Year Ended 08/31/21: $0 | Fiscal Year Ended 08/31/21: $0 | ||
Fiscal Year Ended 08/31/22: $0 | Fiscal Year Ended 08/31/22: $0 | |||
All Other Fees | Fiscal Year Ended 08/31/21: $0 | Fiscal Year Ended 08/31/21: $0 | ||
Fiscal Year Ended 08/31/22: $0 | Fiscal Year Ended 08/31/22: $0 | |||
Aggregate Non-Audit Fees | Fiscal Year Ended 08/31/21: $0 | Fiscal Year Ended 12/31/21: $14.4 million | ||
Fiscal Year Ended 08/31/22: $0 | Fiscal Year Ended 12/31/22: $17.1 million |
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Goldman Sachs Real Estate Diversified Income Fund
Fees billed to the Fund | Fees billed to GSAM and any entity controlling, controlled by, or under common control with GSAM | |||
Audit Fees | Fiscal Year Ended 09/30/21: $92,000 | Fiscal Year Ended 09/30/21: $0 | ||
Fiscal Year Ended 09/30/22: $131,000 | Fiscal Year Ended 09/30/22: $0 | |||
Audit-Related Fees | Fiscal Year Ended 09/30/21: $14,031 | Fiscal Year Ended 09/30/21: $1,669,547 | ||
Fiscal Year Ended 09/30/22: $4,000 | Fiscal Year Ended 09/30/22: $1,642,982 | |||
Tax Fees | Fiscal Year Ended 09/30/21: $0 | Fiscal Year Ended 09/30/21: $0 | ||
Fiscal Year Ended 09/30/22: $0 | Fiscal Year Ended 09/30/22: $0 | |||
All Other Fees | Fiscal Year Ended 09/30/21: $0 | Fiscal Year Ended 09/30/21: $0 | ||
Fiscal Year Ended 09/30/22: $0 | Fiscal Year Ended 09/30/22: $0 | |||
Aggregate Non-Audit Fees | Fiscal Year Ended 09/30/21: $14,031 | Fiscal Year Ended 12/31/21: $14.4 million | ||
Fiscal Year Ended 09/30/22: $4,000 | Fiscal Year Ended 12/31/22: $17.1 million |
Goldman Sachs Trust
Fees billed to the Funds | Fees billed to GSAM and any entity controlling, controlled by, or under common control with GSAM | |||
Audit Fees | Fiscal Year Ended 03/31/22: $4,232,122 | Fiscal Year Ended 03/31/22: $0 | ||
Fiscal Year Ended 03/31/23: $2,590,218 | Fiscal Year Ended 03/31/23: $0 | |||
Audit-Related Fees | Fiscal Year Ended 03/31/22: $0 | Fiscal Year Ended 03/31/22: $1,906,448 | ||
Fiscal Year Ended 03/31/23: $516,600 | Fiscal Year Ended 03/31/23: $2,075,449 | |||
Tax Fees | Fiscal Year Ended 03/31/22: $0 | Fiscal Year Ended 03/31/22: $0 | ||
Fiscal Year Ended 03/31/23: $0 | Fiscal Year Ended 03/31/23: $0 | |||
All Other Fees | Fiscal Year Ended 03/31/22: $0 | Fiscal Year Ended 03/31/22: $0 | ||
Fiscal Year Ended 03/31/23: $0 | Fiscal Year Ended 03/31/23: $0 | |||
Aggregate Non-Audit Fees | Fiscal Year Ended 03/31/22: $0 | Fiscal Year Ended 12/31/21: $14.4 million | ||
Fiscal Year Ended 03/31/23: $516,600 | Fiscal Year Ended 12/31/22: $17.1 million |
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Goldman Sachs Trust II
Fees billed to the Fund | Fees billed to GSAM and any entity controlling, controlled by, or under common control with GSAM | |||
Audit Fees | Fiscal Year Ended 10/31/21: $158,900 | Fiscal Year Ended 10/31/21: $0 | ||
Fiscal Year Ended 10/31/22: $562,318 | Fiscal Year Ended 10/31/22: $0 | |||
Audit-Related Fees | Fiscal Year Ended 10/31/21: $33,496 | Fiscal Year Ended 10/31/21: $1,906,448 | ||
Fiscal Year Ended 10/31/22: $64,000 | Fiscal Year Ended 10/31/22: $1,906,448 | |||
Tax Fees | Fiscal Year Ended 10/31/21: $0 | Fiscal Year Ended 10/31/21: $0 | ||
Fiscal Year Ended 10/31/22: $0 | Fiscal Year Ended 10/31/22: $0 | |||
All Other Fees | Fiscal Year Ended 10/31/21: $0 | Fiscal Year Ended 10/31/21: $0 | ||
Fiscal Year Ended 10/31/22: $0 | Fiscal Year Ended 10/31/22: $0 | |||
Aggregate Non-Audit Fees | Fiscal Year Ended 10/31/21: $33,496 | Fiscal Year Ended 12/31/21: $14.4 million | ||
Fiscal Year Ended 10/31/22: $64,000 | Fiscal Year Ended 12/31/22: $17.1 million |
Goldman Sachs Variable Insurance Trust
Fees billed to the Fund | Fees billed to GSAM and any entity controlling, controlled by, or under common control with GSAM | |||
Audit Fees | Fiscal Year Ended 12/31/21: $499,130 | Fiscal Year Ended 12/31/21: $0 | ||
Fiscal Year Ended 12/31/22: $529,199 | Fiscal Year Ended 12/31/22: $0 | |||
Audit-Related Fees | Fiscal Year Ended 12/31/21: $95,166 | Fiscal Year Ended 12/31/21: $1,906,448 | ||
Fiscal Year Ended 12/31/22: $38,900 | Fiscal Year Ended 12/31/22: $1,906,448 | |||
Tax Fees | Fiscal Year Ended 12/31/21: $0 | Fiscal Year Ended 12/31/21: $0 | ||
Fiscal Year Ended 12/31/22: $0 | Fiscal Year Ended 12/31/22: $0 | |||
All Other Fees | Fiscal Year Ended 12/31/21: $0 | Fiscal Year Ended 12/31/21: $0 | ||
Fiscal Year Ended 12/31/22: $0 | Fiscal Year Ended 12/31/22: $0 | |||
Aggregate Non-Audit Fees | Fiscal Year Ended 12/31/21: $95,166 | Fiscal Year Ended 12/31/21: $14.4 million | ||
Fiscal Year Ended 12/31/22: $38,900 | Fiscal Year Ended 12/31/22: $17.1 million |
Pre-Approval of Audit andNon-Audit Services Provided to the Funds
The Audit andNon-Audit Services Pre-Approval Policies ServicesPre-Approval Policy (the “Policy”) adopted by the Audit CommitteeCommittees of each Trust setsthe Boards (the “Policies”) set forth the procedures and the conditions pursuant to which services performed by an independent auditor offor the TrustFunds may bepre-approved. Services Services may bepre-approved specifically by thean Audit Committee as a whole or, in certain circumstances, by theits Audit Committee ChairmanChair or the person designated as the Audit Committee Financial Expert.
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audit committee financial expert. In addition, subject to specified cost limitations, certain services may bepre-approved under under the provisions of the applicable Policy. TheEach Policy provides that the applicable Audit Committee will consider whether the services provided by an independent auditor are consistent with the SEC’s rules on auditor independence. TheEach Policy provides for periodic review andpre-approval by by the applicable Audit Committee of the services that may be provided by the independent auditor.
VOTE REQUIRED FOR THE ELECTION OF TRUSTEES AND
APPROVAL OF OTHER MATTERS AT THE MEETING
A quorumDe Minimis Waiver. The pre-approval requirements of each Policy may be waived with respect to the provision of non-audit services that are permissible for an independent auditor to perform, provided (1) the transactionaggregate amount of businessall such services provided constitutes no more than five percent of the total amount of revenues subject to pre-approval that was paid to the independent auditors during the fiscal year in which the services are provided; (2) such services were not recognized by the applicable Fund(s) at the Meetingtime of the engagement to be non-audit services; and (3) such services are promptly brought to the attention of the applicable Audit Committee and approved prior to the completion of the audit by such Audit Committee or by one or more members of such Audit Committee to whom authority to grant such approvals has been delegated by such Audit Committee, pursuant to the pre-approval provisions of its Policy.
Pre-Approval of Non-Audit Services Provided to the Funds’ Investment Advisers. The Policies provide that, in addition to requiring pre-approval of audit and non-audit services provided to the Funds, the Audit Committees will pre-approve those non-audit services provided to the Funds’ investment adviser(s) (and entities controlling, controlled by or under common control with the investment adviser that provide ongoing services to the Funds) where the engagement relates directly to the operations or financial reporting of the Fund.
Each Audit Committee did not approve any of the audit-related, tax, or other non-audit fees described above pursuant to the “de minimis exceptions” set forth in Rule 2-01(c)(7)(i)(C) and Rule 2-01(c)(7)(ii) of Regulation S-X during the Funds’ two most recent applicable fiscal years. Each Audit Committee considered whether the provision of non-audit services rendered to GSAM and any entity controlling, controlled by, or under common control with GSAM that provides ongoing services to the Fund(s) under its oversight that were not pre-approved by such Audit Committee pursuant to Rule 2-01(c)(7)(ii) of Regulation S-X is established by compatible with maintaining PricewaterhouseCoopers LLP’s independence.
Each shareholder is entitled to one vote for each share held and a fractional vote proportionate to fractional shares held as of the Record Date.
For each of the GSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and GS VIT, the presence in person or by proxy of holdersshareholders owning shares representingone-third (1/3) or more of the votestotal combined shares entitled to be castvote at the Meeting but any lesser number will be sufficient for adjournments. The electionshall constitute a quorum at the Meeting.
For each of each Nominee ofthe GSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and GS VIT, when a Trust requiresquorum is present, a plurality of the votes cast by all Shareholders of that Trust present at the Meeting. Because each Fund isshares voted shall elect a series of the respective Trust, with respect to Proposal 1, your vote will be counted together with the votes of Shareholders of the other Funds of that Trust. Nominee as Trustee.
Cumulative voting is not permitted. Proposal 2 will be voted upon separately by Shareholders of the Large Cap Growth Insights Fund. The adoption of Proposal 2 requires an affirmative vote of the lesser of: (i) 67% or more of the voting securities of the Large Cap Growth Insights Fund that are present at the meeting or represented by proxy, if holders of shares representing more than 50% of the outstanding voting securities of the Fund are present or represented by proxy; or (ii) more than 50% of the outstanding voting securities of the Fund (a “1940 Act Majority”).
If a proxy card is properly executed and returned accompanied by instructions to withhold authority, (an abstention), the shares represented thereby will be counted as sharesconsidered to be present and entitled to voteat the Meeting for purposes of determining whetherthe existence of a quorum, is present, but will not be counted as a vote in favor of anythe Proposal. Broker“non-votes” are shares held in an account with an Authorized Institution for which
For each of the broker indicates that instructions have not been received fromGSETF Trust, GSETF Trust II, GS Trust, GS Trust II and GS VIT, the beneficial owners or other persons entitled toProposal applies on a Trust-wide basis, and all series (i.e., the respective Funds) and classes thereof will vote andtogether on the broker does not have discretionary voting authority. Brokers who hold shares in street name for customers generally have discretionary authority toProposal. However, the vote on “routine” proposals when they have not received instructions from the beneficial owners of those shares. TheProposal or the election of Trustees is a “routine” proposalNominee by the shareholders of each of the GSETF Trust, GSETF Trust II, Real Estate Fund, GS Trust, GS Trust II and beneficial owners who do not provide proxy instructions or who do not return a proxy card may have their shares voted by their brokers in favor of Proposal 1. Brokernon-votes, if any, will be counted as shares present and entitled to vote for purposes of determining whether a quorum is present, butGS VIT will not be countedaffect the Proposal or the election of a Nominee with respect to the other Funds. If elected by shareholders, the Nominees would begin serving as a vote in favor of any Proposal. Accordingly, abstentions and brokernon-votes will have no effect on Proposal 1 (other than for quorum purposes), for which the required vote is a pluralityTrustees of the votes cast, but effectively will be a vote against Proposal 2, for which the required vote is a 1940 Act Majority.applicable Board on January 1, 2024.
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With respect to GSVIT,GS VIT, Life Companies that use shares of a Fund as funding media for its variable contracts will vote shares of the Fund held by its Accounts in accordance with the instructions received from variable contract holders. The Life Companies will also vote shares attributable to variable contracts as to which proxy cards or voting instruction forms are neither executed nor returned in proportion (“for,” “against”for” or “withhold authority”) to those shares for which instructions are received, even in instances where a broker would be prevented from exercising discretion. As a result, a small number of variable contract holders could determine the outcome of the vote if other variable contract holders fail to vote. A Life Company whose separate account invests in a Fund will vote shares held by its general account and its subsidiaries in the same proportion as other votes cast by its Accounts in the aggregate.
InBrokers who hold shares in street name for customers have discretionary authority to vote on “routine” proposals, such as the eventelection of Trustees, when they have not received instructions from the beneficial owners of those shares. Abstentions will be treated as shares that are present, and thereby included for purposes of determining whether a quorum is present at the Meeting, but will not be treated as a vote cast.
If at the time any session of the Meeting is called to order a quorum is not present in person or by proxy, the persons named as proxies may vote those proxies which have been received to adjourn the Meeting to a later date. In the event thator if a quorum is present but sufficient votes in favor of anythe Proposal have not been received, the persons named as proxiesMeeting may propose one or more adjournmentsbe adjourned to a later date by the chair of the Meeting to permit further solicitationmeeting, or by a vote of proxies with respect toshareholders. In the Proposal. Ifevent of a quorum is present,shareholder vote on adjournment, any such adjournment will require the affirmative vote of a majority of the votes cast, andshares of a Trust or a Fund present in person or by proxy at the session of the Meeting to be adjourned. The persons named as proxies will vote those proxies which they are entitled to vote in favor of any suchthe Proposal in favor of such an adjournment, and will vote those proxies required to be voted against any suchthe Proposal against any such adjournment. A shareholder vote may be taken on one or more of the Proposals in this Proxy Statement prior to such adjournment if sufficient votes for its approval have been received. Such voteAbstentions effectively will be considered final regardless of whether the Meeting is adjourned to permit additional solicitation with respect to any other Proposal.a vote “against” adjournment. Subject to the foregoing, the Meeting may be adjourned andre-adjourned without further notice to shareholders. However, if, after adjournment, a new record date is fixed for the adjourned meeting, the Secretary or an Assistant Secretary shall give notice of the adjourned meeting to Shareholders or variable contract owners.of record entitled to vote at such meeting.
If the Nominees are not elected, the Trustees will continue to oversee their respective Funds.
SHAREHOLDER PROPOSALSThe Boards’ Recommendation
Each Trust isEACH BOARD UNANIMOUSLY RECOMMENDS THAT SHAREHOLDERS OF THE FUND(S) UNDER ITS OVERIGHT VOTE “FOR” THE PROPOSAL (ELECTION OF EACH NOMINEE)
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As of the date of this Joint Proxy Statement, the Trustees knew of no matter to be presented at the Meeting other than as set forth in this Joint Proxy Statement. If other business should properly come before the Meeting, proxies will be voted in accordance with the judgment of the persons named in the accompanying proxy.
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The Funds are not required and doesdo not intend to hold a meeting of Shareholdersshareholders each year. Instead, meetings will be held only when and if required by law or as otherwise determined by the applicable Board. Any Shareholdershareholder desiring to present a proposal for consideration at the next meeting of Shareholdersshareholders of theirhis or her respective FundFund(s) must submit the proposalProposal in writing, so that it is received by the appropriate FundFund(s) within a reasonable time before any meeting. The proposals should be sent to each respective Trustthe applicable Fund(s) at its address stated on the first page of this Joint Proxy Statement.
ADDITIONAL INFORMATIONInvestment Advisers and Sub-Advisers
Goldman Sachs Trust II
Investment Advisers/AdministratorsAdviser
Goldman Sachs Asset Management, L.P.
200 West Street, New York, New York 10282
Sub-Advisers
Algert Global, LLC (Goldman Sachs Multi-Manager Alternatives Fund)
101 California St., Suite 4425, San Francisco, California 94111
Ares Capital Management II LLC (Goldman Sachs Multi-Manager Non-Core Fixed Income Fund)
2000 Avenue of the Stars, 12th Floor, Los Angeles, California 90067
Aristotle Pacific Capital, LLC (Goldman Sachs Multi-Manager Non-Core Fixed Income Fund)
840 Newport Center Drive, 7th Floor, Newport Beach, California, 92660
Artisan Partners Limited Partnership (Goldman Sachs Multi-Manager Alternatives Fund)
875 E. Wisconsin Avenue, Suite 800, Milwaukee, Wisconsin 53202
Axiom Investors LLC (Goldman Sachs Multi-Manager Global Equity Fund)
33 Benedict Place, Greenwich, Connecticut 06830
Bardin Hill Arbitrage IC Management LP (Goldman Sachs Multi-Manager Alternatives Fund)
299 Park Avenue, 24th Floor, New York, New York 10171
Boston Partners Global Investors, Inc. (Goldman Sachs Multi-Manager Global Equity Fund and Multi-Manager U.S. Small Cap Equity Fund)
One Beacon Street, 30th Floor, Boston, Massachusetts 02108
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Brigade Capital Management, LP (Goldman Sachs Multi-Manager Alternatives Fund and Goldman Sachs Multi-Manager Non-Core Fixed Income Fund)
399 Park Avenue, 16th Floor, New York, New York 10022
Brown Advisory LLC (Multi-Manager U.S. Small Cap Equity Fund)
901 South Bond Street, Suite 400, Baltimore, Maryland 21231
Causeway Capital Management LLC (Goldman Sachs Multi-Manager Global Equity Fund and Multi-Manager International Equity Fund)
11111 Santa Monica Blvd, 15th Floor, Los Angeles, California 90025
Cohen & Steers Capital Management, Inc. (Goldman Sachs Multi-Manager Real Assets Strategy Fund)
280 Park Avenue, New York, New York 10017
Crabel Capital Management, LLC (Goldman Sachs Multi-Manager Alternatives Fund)
1999 Avenue of the Stars, Suite 2550, Los Angeles, California 90067
Diamond Hill Capital Management Inc. (Goldman Sachs Multi-Manager Global Equity Fund)
325 John H. McConnell Boulevard, Suite 200, Columbus, Ohio 43215
GQG Partners LLC (Goldman Sachs GQG Partners International Opportunities Fund and Goldman Sachs Multi-Manager Alternatives Fund)
450 East Las Olas Boulevard, Suite 750, Fort Lauderdale, Florida 33301
GW&K Investment Management, LLC (Goldman Sachs Multi-Manager Global Equity Fund)
222 Berkeley Street, FL 15, Boston, Massachusetts 02116
Lazard Asset Management LLC (Goldman Sachs Multi-Manager International Equity Fund)
30 Rockefeller Plaza, New York, New York 10112
Longfellow Investment Management Co., LLC (Goldman Sachs Multi-Manager Alternatives Fund)
125 High Street, Boston, Massachusetts 02110
Marathon Asset Management, L.P. (Goldman Sachs Multi-Manager Non-Core Fixed Income Fund and Goldman Sachs Multi-Manager Alternatives Fund)
One Bryant Park, 38th Floor, New York, New York 10036
Massachusetts Financial Services Company, d/b/a MFS Investment Management (Goldman Sachs Multi-Manager Global Equity Fund and Multi-Manager International Equity Fund)
111 Huntington Avenue, Boston, Massachusetts 02199
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Nuveen Asset Management LLC (Goldman Sachs Multi-Manager Non-Core Fixed Income Fund)
333 West Wacker Drive, Chicago, Illinois 60606
PGIM Real Estate (Goldman Sachs Multi-Manager Real Assets Strategy Fund)
655 Broad Street, Newark, New Jersey 07102
Principal Global Investors, LLC (Goldman Sachs Multi-Manager Global Equity Fund)
801 Grand Avenue, Des Moines, Iowa 50392
Principal Real Estate Investors, LLC (Goldman Sachs Multi-Manager Real Assets Strategy Fund)
801 Grand Avenue, Des Moines, Iowa 50392
RBC Global Asset Management (UK) Limited d/b/a RBC BlueBay Asset Management (Goldman Sachs Multi-Manager Non-Core Fixed Income Fund)
77 Grosvenor Street, London, W1K 3JR
RBC Global Asset Management (U.S.) Inc. d/b/a RBC Global Asset Management (Goldman Sachs Multi-Manager Non-Core Fixed Income Fund)
50 South Sixth Street, Suite 23450, Minneapolis, Minnesota 55402
RREEF America L.L.C. (Goldman Sachs Multi-Manager Real Assets Strategy Fund)
222 S. Riverside Plaza, 34th Floor, Chicago, Illinois 60606
Russell Investments Commodity Advisor, LLC (Goldman Sachs Multi-Manager Alternatives Fund)
1301 2nd Avenue, 18th Floor, Seattle, Washington 98101
TCW Investment Management Company LLC (Goldman Sachs Multi-Manager Alternatives Fund and Goldman Sachs Multi-Manager Non-Core Fixed Income Fund)
865 South Figueroa Street, Suite 1800, Los Angeles, California 90017
T. Rowe Price Associates, Inc. (Goldman Sachs Multi-Manager Global Equity Fund)
100 East Pratt Street, Baltimore, Maryland 21202
Trium Capital LLP (Goldman Sachs Multi-Manager Alternatives Fund)
60 Gresham Street, London EC2V 7BB, United Kingdom
Vaughan Nelson Investment Management, L.P. (Goldman Sachs Multi-Manager Global Equity Fund)
600 Travis Street, Suite 3800, Houston, Texas 77002
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Victory Capital Management, Inc. (Multi-Manager U.S. Small Cap Equity Fund)
15935 La Cantera Parkway, San Antonio, Texas 78256
Vulcan Value Partners, LLC (Goldman Sachs Multi-Manager Global Equity Fund)
Three Protective Center, 2801 Highway 280 South, Suite 300, Birmingham, Alabama 35223
WCM Investment Management (Goldman Sachs Multi-Manager Global Equity Fund and Multi-Manager International Equity Fund)
281 Brooks Street, Laguna Beach, California 92651
Wellington Management Company LLP (Goldman Sachs Multi-Manager Alternatives Fund and Goldman Sachs Multi-Manager Global Equity Fund)
280 Congress Street, Boston, Massachusetts 02210
Westfield Capital Management Company, L.P. (Multi-Manager U.S. Small Cap Equity Fund)
One Financial Center, Boston, Massachusetts 02111
Goldman Sachs ETF Trust, Goldman Sachs ETF Trust II, Goldman Sachs Real Estate Diversified Income Fund and Goldman Sachs Variable Insurance Trust
Investment Adviser
Goldman Sachs Asset Management, L.P.
200 West Street, New York, New York 10282
Goldman Sachs Trust
Investment Advisers
Goldman Sachs Asset Management, L.P.
200 West Street, New York, New York 10282
Goldman Sachs Asset Management International
Christchurch Court,
10-15 Newgate Newgate Street,
London, England EC1A 7HD
DistributorTransfer Agents and Distributors
Goldman Sachs ETF Trust and Goldman Sachs ETF Trust II
ALPS Distributors, Inc.
Distributors
1290 Broadway, Suite 10000, Denver, Colorado 80203
The Bank of New York Mellon
Transfer Agent
240 Greenwich Street, New York, New York 10286
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Goldman Sachs Real Estate Diversified Income Fund, Goldman Sachs Trust, Goldman Sachs Trust II and Goldman Sachs Variable Insurance Trust
Goldman Sachs & Co. LLC
Distributor
200 West Street,
New York, NY10282New York 10282
November 14, 2019Goldman Sachs & Co. LLC
Transfer Agent
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Solicitation of proxies is being made primarily by the mailing of this Notice and Joint Proxy Statement with its enclosures on or about September 7, 2023. Shareholders of the Funds whose shares are held by nominees such as brokers can vote their proxies by contacting their respective nominee. In addition to the solicitation of proxies by mail, employees of GSAM and its affiliates as well as dealers or their representatives may solicit proxies in person or by mail, telephone, telegraph, facsimile or oral communication. The Funds and GSAM have retained Broadridge, a proxy solicitation firm, to assist the solicitation and tabulation of proxies, and DFIN to assist with the printing of proxy materials.
The proxy materials are available to available online at www.proxyvote.com (please have the control number found on your proxy card or voting instruction form ready when you visit this website).
Shareholders and variable contract owners who do not expect to be present atattend the Meeting and who wish to have their shares voted are requested to vote by mail, Internet or telephone. If you choose to vote by mail, please sign and date the enclosed proxy card or voting instruction form and return it in the enclosed envelope. No postage is required if mailed in the United States. If you choose to vote by Internet or telephone, please use the control number on the proxy card or voting instruction form and follow the instructions on the proxy card or voting instruction form. If you have any questions regarding the proxy materials please contact the TrustsBroadridge at1-800-621-2550.855-973-0097.
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AUDIT COMMITTEE CHARTER
Goldman Sachs ETF Trust, Goldman Sachs ETF Trust II, Goldman Sachs Real Estate Diversified Income Fund, and Goldman Sachs Trust II Audit Committee Charter
Organization and Purpose
The Board of Trustees (the “Board”) of each of Goldman Sachs ETF Trust, Goldman Sachs ETF Trust II, Goldman Sachs MLP and Energy Renaissance Fund, Goldman Sachs Real Estate Diversified Income Fund, Goldman Sachs Trust II (the “Fund”) has established an Audit Committee (the “Committee”), comprised of each of the Funds’ Independent Trustees. Independent Trustees are those Trustees who meet the independence standards set forth in the Funds’ Governance and Nominating Committee Charters and (with respect to Goldman Sachs ETF Trust, Goldman Sachs ETF Trust II, and Goldman Sachs MLP and Energy Renaissance Fund) Rule 10A-3(b)(1)(iii)1 under the Securities Exchange Act of 1934, as amended (the “1934 Act”) and other applicable listing exchange rules, and who do not receive, directly or indirectly, any consulting, advisory or other compensatory fee from the Funds except compensation for service as a member of the Board or a committee of the Board.
The Committee has been established by and among the Trustees for the purpose of, among other things as set forth below, assisting the Board with oversight of (1) the integrity of the Funds’ financial statements, (2) the Funds’ compliance with legal and regulatory requirements, (3) the independent auditor’s qualifications and independence, (4) the performance of the Funds’ internal audit function and independent auditor, and (5) (with respect to Goldman Sachs MLP and Energy Renaissance Fund) preparation of the Audit Committee report required to be included in the Fund’s proxy statement.
With respect to Goldman Sachs MLP and Energy Renaissance Fund, each member of the Committee must be financially literate, or become financially literate within a reasonable period of time after his or her appointment to the Committee, as such qualification is interpreted by the Funds’ Board in its business judgment. The Committee’s composition shall meet such other regulatory requirements relating to audit committees established from time to time by the Securities and Exchange Commission (“SEC”) and any other applicable governmental entity or self-regulatory organization or law to which the Funds are subject. The Board, with the assistance of the Committee, shall determine whether any member of the Committee is an “audit committee financial expert” (“ACFE”)2 as defined by the applicable regulations of the SEC, and the Board may presume that the ACFE satisfies the financial literacy requirement. The Committee will select one of its members to be its chair. With respect to Goldman Sachs MLP and Energy Renaissance Fund, if a member simultaneously serves on the audit committees of more than three public companies, the Board must determine that such simultaneous service will not impair the ability of such member to effectively serve on the Committee, and must disclose such determination either on or through the Fund’s website, in its annual proxy statement, or in the Fund’s annual report.3
1 | In order to be considered to be independent for purposes of Rule 10A-3(b)(i), a member of an audit committee of a listed issuer that is an investment company may not, other than in his or her capacity as a member of the audit committee, the board of trustees, or any other board committee: |
Accept directly or indirectly any consulting, advisory, or other compensatory fee from the issuer or any subsidiary thereof, provided that, unless the rules of the national securities exchange or national securities association provide otherwise, compensatory fees do not include the receipt of fixed amounts of compensation under a retirement plan (including deferred compensation) for prior service with the listed issuer (provided that such compensation is not contingent in any way on continued service); or
Be an “interested person” of the issuer as defined in section 2(a)(19) of the Investment Company Act of 1940.
2 | The Board or the Committee will report its determination to Management so that appropriate disclosure can be included in each Fund’s annual report consistent with Item 3 of Form N-CSR. |
3 | For purposes of this requirement, where a Trustee serves on multiple boards in the same fund complex, such service will be counted as one board. |
A-1
The Committee will set its agenda and the places and times of its meetings. A majority of the Committee shall constitute a quorum. Except as otherwise required by applicable law, the Committee shall act by a vote of a majority of the Committee members at a Committee meeting, including a meeting held by conference telephone, teleconference or other electronic media or communication equipment, or by written consent of a majority of the Committee members without a meeting. Any written consent or waiver may be provided and delivered to the Committee chair by e-mail, facsimile or other similar electronic mechanism.
Statement of Policy
The Committee shall oversee the audit process and provide assistance to the Board in fulfilling its responsibilities in overseeing financial reporting. The Committee will also assist the Board with the oversight of the Funds’ compliance with regulatory requirements that relate to the fund accounting and financial reporting, internal control over financial reporting and independent audits. In so doing, the Committee will endeavor to facilitate free and open means of communication among the Funds’ Trustees, independent registered public accounting firm (the “independent auditor”), and management. A primary objective of the Committee is to help set the “tone at the top” for quality financial reporting and a sound system of internal controls over financial reporting. The Committee will regularly report its activities, observations, and recommendations to the Board. The Committee’s activities and effectiveness will be assessed periodically and reviewed with the Board.
Summary of Responsibilities
The function of the Committee is oversight. Management of the Funds (“Management”) is responsible for the preparation, presentation, and integrity of the Funds’ financial statements. Management draws upon different parts of The Goldman Sachs Group, Inc. (“Goldman Sachs”) corporate structure in fulfilling this role — the Fund Controllers department (within the Finance Division) and the Operations Division (working in conjunction with GSAM Global Fund Services) are responsible for applying appropriate accounting and financial reporting principles and maintaining policies and internal controls and procedures designed to assure compliance with generally accepted accounting principles (GAAP) and applicable laws and regulations. In fulfilling its role under this Charter, Management also delegates certain functions to the Funds’ accounting and tax agents, but remains responsible for those functions. The independent auditor for the Funds is responsible for planning and executing audits consistent with applicable professional standards and in accordance with the terms of the engagement letter(s). The independent auditor will report directly to the Committee. The Committee shall provide for appropriate funding for the payment of compensation to the independent auditor, any other counsel or advisors engaged by the Committee at its discretion, and the ordinary administrative expenses of the Committee as necessary or appropriate in carrying out its duties.
The Committee performs its functions under this Audit Committee Charter on the basis of information provided or representations made to it by the Funds’ independent auditor, Management, and/or other service providers, and/or by legal counsel and/or other experts or consultants. Nothing in this Charter is intended to impose, or should be interpreted as imposing, on any member of the Committee (including any member designated as an ACFE) any additional duties or responsibilities over and above those placed on the member in his or her capacity as a Board member of the Funds under applicable federal and state law.
Subject to regulatory mandates, the policies and procedures of the Committee should remain flexible in order to react to changing conditions and to assist the Committee in providing assurance to the Board and shareholders that the Funds’ accounting and reporting practices are in accordance with applicable requirements.
A-2
The following are the duties and responsibilities of the Committee:
Primarily Related to the Independent Auditor
1. | Evaluate and select (subject to ratification by the Board) the Funds’ independent auditor. |
2. | Participate in the selection process and approve the new lead audit partner(s). |
3. | Be responsible for the appointment, compensation, retention and oversight of the work of the independent auditor engaged (including resolution of disagreements between Management and the auditor regarding financial reporting) for the purpose of rendering or issuing an audit report or performing other audit or attest services for the Funds. |
4. | At least annually, obtain and review a report by the independent auditor describing the auditor’s internal quality-control procedures, as well as any material issues raised by the most recent internal quality-control review or peer review of the auditor, or by any inquiry or investigation by governmental or professional authorities, including the Public Company Accounting Oversight Board (“PCAOB”), within the preceding five years, with respect to one or more independent audits carried out by the auditor, and any steps taken to deal with any such issues. |
5. | Review and approve the compensation of any advisers employed by the Committee as described herein. |
6. | Evaluate the qualifications, performance and independence (including the process to remain independent) of the auditor in light of the report identified in Item 3 above and its work throughout the year, as well as the auditor’s lead partner, and request an annual representation from the independent auditor regarding its independence under applicable professional and regulatory standards. As part of its evaluation of the independence of the auditor, the Committee may inquire into and consider the opinions of Management and Internal Audit (or other personnel responsible for the internal audit function), and may consider such items as: (1) the audit and non-audit services performed by the auditor and related fees; (2) the hiring of partners or employees or former partners or employees of the auditor by the Funds and its affiliates; (3) whether any non-audit services provided by the auditor to the Funds’ investment adviser(s) or any adviser affiliate that provides ongoing services to the Funds are compatible with maintaining the auditor’s independence; (4) the rotation of the auditor’s partners who participate in providing auditing services to the Funds and (5) other relationships, if any, between the Funds and the auditor that may bear on the independence or objectivity of the auditor. |
7. | With respect to Goldman Sachs MLP and Energy Renaissance Fund, set policies governing the hiring by entities within the Funds’ Investment Company Complex4 of any current or former employee of the Funds’ independent auditor, and to assess compliance with these policies. These policies provide, among other things, that no former employee of the independent auditor who was a member of the Funds’ audit engagement team may undertake any financial reporting role at the Funds within one year of the date of the commencement of procedures for a review or audit. |
4 | “Investment company complex” includes: |
the Funds and their investment adviser or sponsor;
any entity controlling, controlled by or under common control with the investment adviser or sponsor, if the entity: (i) is an investment adviser or sponsor; or (ii) is engaged in the business of providing administrative, custodian, underwriting or transfer agent services to any investment company, investment adviser or sponsor; and
any investment company, hedge fund or unregistered fund that has an investment adviser included in the definition set forth in either of the two bullet points above.
An investment adviser, for these purposes, does not include a sub-adviser whose role is primarily portfolio management and that is subcontracted with or overseen by another investment adviser. Sponsor refers to the sponsor of a unit investment trust.
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8. | Meet with the independent auditor and financial and accounting personnel of the Funds to review the scope of the proposed audits for the current year, the audit procedures to be utilized, and the key risk considerations, and at the conclusion thereof, review the results of such audit, including the independent auditor’s opinions on the Funds’ financial statements and any management letters, comments, or recommendations of the independent auditor and consider Management’s response to such. |
9. | Meet, periodically (or more frequently if circumstances dictate), with Management and with the independent auditor and at least annually with the independent auditor (or more frequently if circumstances dictate) alone and outside the presence of Management personnel in executive session, to discuss any problems or difficulties the independent auditor encountered in the course of the audit work, including any restrictions on the scope of the independent auditor’s activities or access to requested information and any significant disagreements with Management, as well as any other matters that individually or in the aggregate could be significant to the Funds’ financial statements, the effectiveness of internal controls, including internal controls over financial reporting and the audit report(s) of the independent auditor, whether or not satisfactorily resolved, and Management’s response. |
10. | With respect to Goldman Sachs MLP and Energy Renaissance Fund, review and discuss with Management and the Fund’s independent auditor the Fund’s audited annual financial statements, including the Fund’s disclosure of management’s discussion of Fund performance and the effect of regulatory and accounting initiatives, as well as off-balance sheet structures, on the financial statements of the Fund. Review and discuss with Management the Fund’s unaudited semi-annual financial statements, including the Fund’s disclosure of management’s discussion of Fund performance. |
11. | With respect to Goldman Sachs MLP and Energy Renaissance Fund, oversee the preparation of the Audit Committee report required to be included in the Fund’s proxy statement for its annual meeting of shareholders (if such meeting is required by law). The report shall indicate whether the Committee has (i) reviewed and discussed the financial statements with Management; (ii) discussed with the independent auditor the matters required to be discussed by the PCAOB Standard No. 16, as modified or supplemented; and (iii) received written disclosures and the letter from the independent auditor required by applicable requirements of the PCAOB Ethics and Independence Rule 3526 regarding the independent auditor’s communications with the Committee concerning independence, and has discussed with the independent auditor the auditor’s independence. The Committee’s report should also indicate whether the Committee, based on its review and its discussions with Management and the independent auditor, recommends to the Board that the financial statements be included in the Fund’s annual report for the last fiscal year. |
12. | Review and discuss with Management and the Funds’ independent auditor any major issues regarding accounting principles and financial statement presentations, including any significant changes in the Funds’ selection or application of accounting principles, and major issues as to the adequacy of the Funds’ internal controls over financial reporting and any special audit steps adopted in light of material control deficiencies. |
13. | With respect to Goldman Sachs MLP and Energy Renaissance Fund, consider and, if appropriate, recommend to the Board the publication of the Fund’s annual audited financial statements in the Fund’s annual report in advance of the printing and publication of the annual report, based on its review and discussions of such annual report with the independent auditor and Management. |
14. | Meet (as circumstances dictate) with any certified public accountant and audit firm rendering reports to the Committee or the Board. |
15. | Receive from the Funds’ independent auditor timely communications discussing any matters of concern relating to the Funds’ financial statements, including any adjustments to such statements recommended by the auditor, or other results of said audit(s), including matters required to be discussed under the PCAOB Standard No. 16. |
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16. | Review with financial and accounting personnel and the independent auditor the quality, not just the acceptability, of accounting principles and financial disclosure practices used or proposed to be used by the Funds. |
17. | Review with the independent auditor and financial and accounting personnel the adequacy and effectiveness of the accounting and financial controls of the Funds, and consider any recommendations for the improvement of the Funds’ internal control procedures or particular areas where new or more detailed controls or procedures are desirable. |
18. | Review with the independent auditor and financial and accounting personnel the risk of fraud and the adequacy of internal controls to identify any payments, transactions or procedures that might be deemed fraudulent, illegal or otherwise improper. |
19. | Review with the independent auditor and financial and accounting personnel, issues arising under the valuation and compliance procedures used for the Funds. |
Primarily Related to Management and/or Internal Audit
20. | Review with the financial and accounting personnel the performance of the fund accounting and tax agents in providing accounting and financial reporting services to the Funds. |
21. | Review and discuss with Internal Audit the internal audit function and responsibilities and any scope restrictions encountered during the execution of internal audit responsibilities, normally on at least an annual basis. |
22. | Discuss with representatives of Internal Audit the scope and staffing of the internal audit plan to be performed by Internal Audit as it relates to the Funds’ control environment. After the conclusion of these audits, discuss the significant results of the audits and Management’s responses thereto. |
23. | With respect to Goldman Sachs MLP and Energy Renaissance Fund, discuss with Management earnings press releases and review generally the type and presentation of information to be included in earnings press releases. Review any financial information and earnings guidance provided to analysts and rating agencies; however, the Committee need not discuss in advance each instance in which a listed company may provide earnings guidance. |
24. | Review and discuss with Internal Audit its Charter, normally on an annual basis. |
25. | Review and discuss with Internal Audit the adequacy of the Funds’ internal controls (including the fraud risk), at least on an annual basis. |
26. | Meet with representatives of Internal Audit at least annually in executive session, or more frequently as circumstances dictate. |
27. | Meet at least annually with the Funds’ principal financial officer in executive session, or more frequently as circumstances dictate. |
28. | Receive, in accordance with applicable regulations, communications from the Funds’ principal executive officer and principal financial officer, based on their periodic evaluations, regarding: (a) any significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the Funds’ ability to record, process, summarize, and report financial information; and (b) any fraud, whether or not material, that involves Management or other employees who have a significant role in the Funds’ internal control over financial reporting. |
29. | Review analyses prepared by Management and/or the independent auditor setting forth significant financial reporting issues and judgments made in connection with the preparation of the financial statements, including analyses of the effects of alternative GAAP methods on the financial statements. |
30. | Review with Management (and if necessary, the independent auditor) periodically any tax matters or developments that could affect the Funds. |
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31. | Review Management’s periodic reports concerning any organizational or personnel changes that could affect the nature or quality of the Funds’ accounting, financial reporting and internal controls. |
32. | As the Committee deems appropriate, inquire into the internal control over financial reporting of the Funds’ service providers. |
Other
33. | Investigate any circumstance that comes to the attention of the Committee that indicates that any officer, director or Board member of the Funds or its investment adviser or principal underwriter or distributor, or any person acting under their direction, may have violated applicable regulatory provisions prohibiting: (a) materially false or misleading statements or omissions in connection with any audit of the Funds’ financial statements or the preparation of any document or report required to be filed with a regulatory body; or (b) actions to fraudulently influence, coerce, manipulate or mislead the Funds’ independent auditor in connection with their opining on the Funds’ financial statements. |
34. | Review periodically the procedures for the receipt, retention, and treatment of complaints regarding: (a) accounting, internal controls, or auditing matters relating to the Funds; (b) other legal, compliance, and ethical issues relating to the Funds; and (c) instances of suspected financial statement or other fraud relating to the Funds. The Committee shall confirm annually whether the procedures provide for the confidential, anonymous submission of concerns regarding questionable accounting or auditing matters by officers and Trustees of the Funds, employees of The Goldman Sachs Group, Inc. and its affiliates and, as applicable, other persons covered by the procedures. |
35. | Confirm that the Board is engaged in periodic discussions regarding policies with respect to risk assessment and risk management and guidelines and policies to govern the process by which the Funds’ exposure to risk is assessed and managed as well as the Funds’ major financial risk exposures and the steps management has taken to monitor and control such exposures. |
36. | Submit the minutes of all meetings of the Committee to, or discuss the matters discussed at each Committee meeting with, the Board. |
37. | Review with the Board any issues that arise with respect to the quality or integrity of the Funds’ financial statements, the Funds’ compliance with legal or regulatory requirements, the performance and independence of the independent auditor, or the performance of the Internal Audit function. |
38. | Evaluate the performance of the Committee at least annually, or more frequently if circumstances dictate. Such evaluation should include a comparison of the performance of the Committee with the requirements of this Charter. |
39. | Review the provisions of this Audit Committee Charter at least annually, or more frequently if circumstances dictate. This Charter may be amended by a majority of the Independent Trustees. |
Pre-Approval of Audit and Non-Audit Services
40. | The Committee will pre-approve, pursuant to pre-approval policies established from time to time by the Committee, all engagements of the Funds’ independent auditor that are required to be pre-approved under federal securities regulations, subject to any de minimis or other exceptions permitted by such regulations. |
41. | The Committee will review with the independent auditor, and financial, accounting and appropriate GSAM personnel, the controls applied by the independent auditor and Management to assure that all items requiring pre-approval by the Committee are identified and referred to the Committee in a timely fashion. |
42. | The Committee may delegate any portion of its authority, including the authority to grant pre-approvals of audit and permitted non-audit services rendered by the Funds’ independent auditor, to a |
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subcommittee of one or more members. Any decision of the subcommittee, including pre-approvals, shall be presented to the full Committee at its next regularly scheduled meeting. The Committee shall communicate any pre-approval made by it or a delegate to Management, who will ensure that the appropriate disclosure is made in the Funds’ periodic reports required by Section 13(a) of the Securities Exchange Act of 1934, as amended, and other documents as required under the federal securities laws. |
Additional Matters
43. | The Committee is authorized to investigate any matter brought to its attention within the scope of its duties, and is authorized to meet with the internal audit or compliance personnel of Management as the Committee deems appropriate in connection with the performance of its responsibilities. |
44. | The Committee may request to meet with internal legal and compliance personnel, including the Funds’ chief compliance officer. The Committee may also request to meet with entities that provide significant accounting or administrative services to the Funds. |
45. | The Committee is authorized to engage independent counsel and other advisers as it deems necessary to carry out its duties. |
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GOVERNANCE AND NOMINATING COMMITTEE CHARTERS
Goldman Sachs ETF Trust and Goldman Sachs ETF Trust II Governance and Nominating Committee Charter
Organization and Purpose
The Board of Trustees (the “Board”) of each of the Goldman Sachs ETF Trust and Goldman Sachs ETF Trust II (together the “Trusts,” and the series thereof, the “Funds”) has established a Governance and Nominating Committee (the “Committee”), comprising all of the Trusts’ Independent Trustees. “Independent Trustees” are those Trustees who: (a) are independent of the management of Goldman Sachs & Co. LLC; (b) are not “interested persons” of the Funds or any investment adviser or principal underwriter of the Funds within the meaning of Section 2(a)(19) of the Investment Company Act of 1940, as amended (the “1940 Act”); and (c) do not accept any consulting, advisory or other compensatory fee from the Funds except in their capacities as members of the Board or committees thereof (Board and committee members serving the Trusts in additional capacities, e.g., as Chairman of the Board or as Audit Committee Financial Expert, may receive additional compensation). The Committee has been established for the following purposes: (1) assisting the Board in matters involving fund governance and industry best practices; (2) with respect to the selection and nomination of Independent Trustees, satisfying certain regulatory requirements adopted by the Securities and Exchange Commission (the “SEC”); and (3) advising the Board from time to time on ways to improve its effectiveness.
Statement of Policy
The mission of the Board is to represent and protect the interests of the Funds and their shareholders. In doing so, the Board has the legal responsibility for overseeing the affairs of the Funds. It is the policy of the Board that in fulfilling its mission and meeting its responsibilities, the Trustees will seek high standards of integrity, commitment and independence of thought and judgment in a manner that is consistent with best practices of fund governance.
Summary of Responsibilities
The Committee will have the following responsibilities:
1. | Making recommendations to the Board with respect to the effectiveness of the Board in carrying out its responsibilities in governing the Funds and overseeing their management. |
2. | Monitoring the governance policies set forth in the Trustee Charter adopted by the Board, and recommending such changes to those policies as the Committee deems appropriate from time to time. |
3. | Making recommendations to the Board regarding its size, structure and composition as well as qualifications for Board membership. |
4. | Making recommendations to the Board with respect to the Board’s committee structure, committee membership and chairmanship. |
5. | Monitoring the Trusts’ standards of Trustee independence. |
6. | Overseeing and reviewing the Board and committee evaluations performed from time to time in accordance with the Trustee Charter and, based on its review, recommending such actions as the Committee deems appropriate. |
7. | Keeping informed of regulatory changes and industry practices relating to fund governance and recommending such changes as the Committee deems appropriate. |
8. | Overseeing the process for setting Independent Trustee compensation. |
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9. | Overseeing the continuing education of incumbent and new Independent Trustees. |
10. | Reviewing periodically the investments made by the Trustees in the Funds pursuant to the policies set forth in the Trustee Charter. |
11. | Selecting and nominating candidates for election or appointment as non-interested members of the Board and the retention of such members, as discussed below. |
In carrying out its responsibilities under this Governance and Nominating Committee Charter (the “Charter”), the policies and procedures of the Committee should remain flexible in order to best react to changing conditions and to provide assurance to the full Board and shareholders that the Trusts’ governance practices are in accordance with applicable requirements and are of the highest quality.
The Committee performs its functions under this Charter on the basis of information or advice provided or representations made to it by the management of the Funds, or by service providers, or by legal counsel or other experts or consultants, without independent verification. Nothing in this Charter is intended to impose, or should be interpreted as imposing, on any member of the Committee any additional duties or responsibilities over and above those placed on the member in his or her capacity as a Trustee of the Trusts under applicable federal and state law.
Selection, Nomination and Retention of Independent Trustees
The Committee will be responsible for the selection and nomination of the candidates for election or appointment as Independent Trustees of the Trusts. In connection with the selection and nomination of candidates to the Board, the Committee will evaluate the qualifications of candidates for Board membership and their independence from the Funds’ investment adviser, principal underwriter(s), and other principal service providers. Persons selected must be independent under the provisions of the 1940 Act. The Committee will also consider the effect of any relationships beyond those delineated in the 1940 Act that might impair independence (for example, business, financial or family relationships with the investment adviser or other service providers). Candidates should have the capacity to address financial and legal issues and to exercise reasonable business judgment. Without limiting the foregoing, the Committee will also consider, among other criteria, a candidate’s:
(a) | experience in business, financial or investment matters or in other fields of endeavor, |
(b) | reputation; |
(c) | ability to attend scheduled Board and Committee meetings; |
(d) | general availability to attend to Board business on short notice; |
(e) | actual or potential business, family or other conflicts bearing on either the candidate’s independence or the business of the Trusts; |
(f) | length of potential service; |
(g) | commitment to the representation of the interests of the Funds and their shareholders; |
(h) | commitment to maintaining and improving Trustee skills and education; and |
(i) | experience in corporate governance and best business practices. |
The Committee will also consider the diversity of the Board’s composition as part of the selection and nomination process.
In considering the selection and nomination of Independent Trustee candidates, it is expected that the Committee will consult with the interested Trustees and Officers of the Trusts and such other persons as the Committee deems appropriate.
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In addition, the Committee shall work to retain high performing Independent Trustees, once elected or appointed as the case may be.
While the Committee is solely responsible for the selection and nomination of the Trusts’ Trustees, the Committee shall review and consider nominations for the office of Trustee made by management and by Trust shareholders who have sent nominations (which include the biographical information and qualifications of the proposed nominee) to the Secretary of the Trusts, as the Trustees deem appropriate.
Additional Matters
12. | The Committee will meet at such times as it deems appropriate. The Committee will set its agenda and the places of its meetings. The Committee may meet alone and outside the presence of management personnel. |
13. | The Committee will submit the minutes of all of its meetings to, or discuss the matters discussed at each Committee meeting with, the full Board. |
14. | The Committee may delegate any portion of its authority to a subcommittee of one or more members. Any decision of the subcommittee shall be presented to the full Committee at its next regularly scheduled meeting. |
15. | The Committee is authorized to investigate any matter brought to its attention within the scope of its duties, and is authorized to meet with the compliance personnel of management as the Committee deems appropriate in connection with the performance of its responsibilities. |
16. | The Committee is authorized to engage independent counsel and other advisers as it deems necessary to carry out its duties. |
17. | The Committee shall provide for appropriate funding, as determined by the Committee, for payment of compensation to any advisers employed by the Committee as described above. |
18. | Except as otherwise provided by the Board or required by applicable law, the Committee shall act by a vote of a majority of the Committee members at a Committee meeting, including a meeting held by conference telephone, teleconference or other electronic media or communication equipment, or by written consent of all of the Committee members without a meeting. Any written consent or waiver may be provided and delivered to the Committee chair by e-mail, facsimile or other similar electronic mechanism. |
19. | The Committee will periodically review the provisions of this Governance and Nominating Committee Charter. |
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Goldman Sachs Real Estate Diversified Income Fund Governance and Nominating Committee Charter
Organization and Purpose
The Board of Trustees (the “Board”) of the Goldman Sachs Real Estate Diversified Income Fund (the “Fund”) has established a Governance and Nominating Committee (the “Committee”), comprising all of the Fund’s Independent Trustees. “Independent Trustees” are those Trustees who: (a) are independent of the management of Goldman Sachs & Co. LLC; (b) are not “interested persons” of the Fund or any investment adviser or principal underwriter of the Fund within the meaning of Section 2(a)(19) of the Investment Company Act of 1940, as amended (the “1940 Act”); and (c) do not accept any consulting, advisory or other compensatory fee from the Fund except in their capacities as members of the Board or committees thereof (Board and committee members serving the Fund in additional capacities, e.g., as Chair of the Board or as Audit Committee Financial Expert, may receive additional compensation). The Committee has been established for the following purposes: (1) assisting the Board in matters involving fund governance and industry best practices; (2) with respect to the selection and nomination of Independent Trustees, satisfying certain regulatory requirements adopted by the Securities and Exchange Commission (the “SEC”); and (3) advising the Board from time to time on ways to improve its effectiveness.
Statement of Policy
The mission of the Board is to represent and protect the interests of the Fund and its shareholders. In doing so, the Board has the legal responsibility for overseeing the affairs of the Fund. It is the policy of the Board that in fulfilling its mission and meeting its responsibilities, the Trustees will seek high standards of integrity, commitment and independence of thought and judgment in a manner that is consistent with best practices of corporate governance.
Summary of Responsibilities
The Committee will have the following responsibilities:
1. | Making recommendations to the Board with respect to the effectiveness of the Board in carrying out its responsibilities in governing the Fund and overseeing its management. |
2. | Monitoring the governance policies set forth in the Trustee Charter adopted by the Board, and recommending such changes to those policies as the Committee deems appropriate from time to time. |
3. | Making recommendations to the Board regarding its size, structure and composition as well as qualifications for Board membership. |
4. | Making recommendations to the Board with respect to the Board’s committee structure, committee membership and chairmanship. |
5. | Monitoring the Fund’s standards of Trustee independence. |
6. | Overseeing and reviewing the Board and committee evaluations performed from time to time in accordance with the Trustee Charter and, based on its review, recommending such actions as the Committee deems appropriate. |
7. | Keeping informed of regulatory changes and industry practices relating to fund governance and recommending such changes as the Committee deems appropriate. |
8. | Overseeing the continuing education of incumbent and new Independent Trustees. |
9. | Reviewing periodically the investments made by the Trustees in the Fund pursuant to the policies set forth in the Trustee Charter. |
10. | Selecting and nominating candidates for election or appointment as non-interested members of the Board and the retention of such members, as discussed below. |
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In carrying out its responsibilities under this Governance and Nominating Committee Charter (the “Charter”), the policies and procedures of the Committee should remain flexible in order to best react to changing conditions and to provide assurance to the full Board and shareholders that the Fund’s governance practices are in accordance with applicable requirements and are of the highest quality.
The Committee performs its functions under this Charter on the basis of information or advice provided or representations made to it by the management of the Fund, or by service providers, or by legal counsel or other experts or consultants, without independent verification. Nothing in this Charter is intended to impose, or should be interpreted as imposing, on any member of the Committee any additional duties or responsibilities over and above those placed on the member in his or her capacity as a Trustee of the Fund under applicable federal and state law.
Selection, Nomination and Retention of Independent Trustees
The Committee will be responsible for the selection and nomination of the candidates for election or appointment as Independent Trustees of the Fund. In connection with the selection and nomination of candidates to the Board, the Committee will evaluate the qualifications of candidates for Board membership and their independence from the Fund’s respective investment adviser, principal underwriter(s), and other principal service providers. Persons selected must be independent under the provisions of the 1940 Act. The Committee will also consider the effect of any relationships beyond those delineated in the 1940 Act that might impair independence (for example, business, financial or family relationships with the investment adviser or other service providers). Candidates should have the capacity to address financial and legal issues and to exercise reasonable business judgment. Without limiting the foregoing, the Committee will also consider, among other criteria, a candidate’s:
(a) | experience in business, financial or investment matters or in other fields of endeavor; |
(b) | financial literacy and/or whether he or she is an “audit committee financial expert” as defined in Item 3 of Form N-CSR; |
(c) | reputation; |
(d) | ability to attend scheduled Board and Committee meetings; |
(e) | general availability to attend to Board business on short notice; |
(f) | actual or potential business, family or other conflicts bearing on either the candidate’s independence or the business of the Fund; |
(g) | length of potential service; |
(h) | commitment to the representation of the interests of the Fund and its shareholders; |
(i) | commitment to maintaining and improving Trustee skills and education; and |
(j) | experience in corporate governance and best business practices. |
The Committee will also consider the diversity of the Board’s composition as part of the selection and nomination process.
In considering the selection and nomination of Independent Trustee candidates, it is expected that the Committee will consult with the interested Trustees and Officers of the Fund and such other persons as the Committee deems appropriate.
In addition, the Committee shall work to retain high performing Independent Trustees, once elected or appointed as the case may be.
While the Committee is solely responsible for the selection and nomination of the Fund’s Trustees, the Committee shall review and consider nominations for the office of Trustee made by management and by Fund
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shareholders who have sent nominations (which includes the biographical information and qualifications of the proposed nominee) to the Secretary of the Fund, as the Trustees deem appropriate.
Additional Matters
1. | The Committee will meet at such times as it deems appropriate. The Committee will set its agenda and the places of its meetings. The Committee may meet alone and outside the presence of management personnel. |
2. | The Committee will submit the minutes of all of its meetings to, or discuss the matters discussed at each Committee meeting with, the full Board. |
3. | The Committee may delegate any portion of its authority to a subcommittee of one or more members. Any decision of the subcommittee shall be presented to the full Committee at its next regularly scheduled meeting. |
4. | The Committee is authorized to investigate any matter brought to its attention within the scope of its duties, and is authorized to meet with the compliance personnel of management as the Committee deems appropriate in connection with the performance of its responsibilities. |
5. | The Committee is authorized to engage independent counsel and other advisers as it deems necessary to carry out its duties. |
6. | The Committee shall provide for appropriate funding, as determined by the Committee, for payment of compensation to any advisers employed by the Committee as described above. The Committee shall have the sole authority to retain and terminate any search firm to be used to identify Trustee candidates, including sole authority to approve the search firm’s fees and other retention terms. |
7. | Except as otherwise provided by the Board or required by applicable law, the Committee shall act by a vote of a majority of the Committee members at a Committee meeting, including a meeting held by conference telephone, teleconference or other electronic media or communication equipment, or by written consent of all of the Committee members without a meeting. Any written consent or waiver may be provided and delivered to the Committee chair by e-mail, facsimile or other similar electronic mechanism. |
8. | The Committee will periodically review the provisions of this Governance and Nominating Committee Charter. |
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Goldman Sachs Trust and Goldman Sachs Variable Insurance Trust Governance and Nominating Committee Charter
Organization and Purpose
The Trustees of Goldman Sachs Trust and Goldman Sachs Variable Insurance Trust (together the “Trusts” and the series thereof, the “Funds”) have established a Governance and Nominating Committee (the “Committee”), comprising all of the Independent Trustees. “Independent Trustees” are those Trustees who: (a) are independent of the management of Goldman, Sachs & Co. LLC; (b) are not “interested persons” of the Funds or any investment adviser or principal underwriter of the Funds within the meaning of Section 2(a)(19) of the Investment Company Act of 1940 (the “1940 Act”); and (c) do not accept any consulting, advisory or other compensatory fee from the Funds except in their capacities as members of the Board of Trustees or committees thereof (Board and committee members serving the Trusts in additional capacities, e.g., as Chairman of the Board or as Audit Committee Financial Expert, may receive additional compensation). The Committee has been established for the following purposes: (1) assisting the Board of Trustees in matters involving mutual fund governance and industry best practices; (2) with respect to the selection and nomination of Independent Trustees, satisfying certain regulatory requirements adopted by the Securities and Exchange Commission (the “SEC”); and (3) advising the Board of Trustees from time to time on ways to improve its effectiveness.
Statement of Policy
The mission of the Board of Trustees is to represent and protect the interests of the Funds and their shareholders. In doing so, the Board has the legal responsibility for overseeing the affairs of the Funds. It is the policy of the Board of Trustees that in fulfilling its mission and meeting its responsibilities, the Trustees will seek high standards of integrity, commitment and independence of thought and judgment in a manner that is consistent with best practices of mutual fund governance.
Summary of Responsibilities
The Committee will have the following responsibilities:
Making recommendations to the Board of Trustees with respect to the effectiveness of the Board in carrying out its responsibilities in governing the Funds and overseeing their management.
Monitoring the governance policies set forth in the Trustee Charter adopted by the Board of Trustees, and recommending such changes to those policies as the Committee deems appropriate from time to time.
Making recommendations to the Board of Trustees regarding its size, structure and composition as well as qualifications for Board membership.
Making recommendations to the Board of Trustees with respect to the Board’s committee structure, committee membership and chairmanship.
Monitoring the Trusts’ standards of Trustee independence.
Overseeing and reviewing the Board and committee evaluations performed from time to time in accordance with the Trustee Charter and, based on its review, recommending such actions as the Committee deems appropriate.
Keeping informed of regulatory changes and industry practices relating to mutual fund governance and recommending such changes as the Committee deems appropriate.
Overseeing the process for setting Independent Trustee compensation.
Overseeing the continuing education of incumbent and new Independent Trustees.
Reviewing periodically the investments made by the Trustees in the Funds pursuant to the policies set forth in the Trustee Charter.
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Selecting and nominating candidates for election or appointment as non-interested members of the Board of Trustees and the retention of such members, as discussed below.
In carrying out its responsibilities under this Governance and Nominating Committee Charter (the “Charter”), the policies and procedures of the Committee should remain flexible in order to best react to changing conditions and to provide assurance to the full Board of Trustees and shareholders that the Trusts’ governance practices are in accordance with applicable requirements and are of the highest quality.
The Committee performs its functions under this Charter on the basis of information and advice provided or representations made to it by the management of the Funds, or by service providers, or by legal counsel or other experts or consultants, without independent verification. Nothing in this charter is intended to impose, or should be interpreted as imposing, on any member of the Committee any additional duties or responsibilities over and above those placed on the member in his or her capacity as a Trustee of the Trusts under applicable federal and state law.
Selection, Nomination and Retention of Independent Trustees
The Committee will be responsible for the selection and nomination of the candidates for election or appointment as Independent Trustees of the Trusts. In connection with the selection and nomination of candidates to the Board of Trustees, the Committee will evaluate the qualifications of candidates for Board membership and their independence from the Trusts’ investment advisers, principal underwriter(s), and other principal service providers. Persons selected must be independent under the provisions of the 1940 Act. The Committee will also consider the effect of any relationships beyond those delineated in the 1940 Act that might impair independence (for example, business, financial or family relationships with the investment advisers or other service providers). Candidates should have the capacity to address financial and legal issues and to exercise reasonable business judgment. Without limiting the foregoing, the Committee will also consider, among other criteria, a candidate’s:
(a) | experience in business, financial or investment matters or in other fields of endeavor; |
(b) | reputation; |
(c) | ability to attend scheduled Board and Committee meetings; |
(d) | general availability to attend to Board business on short notice; |
(e) | actual or potential business, family or other conflicts bearing on either the candidate’s independence or the business of the Trusts; |
(f) | length of potential service; |
(g) | commitment to the representation of the interests of the Funds and their shareholders; |
(h) | commitment to maintaining and improving Trustee skills and education; and |
(i) | experience in corporate governance and best business practices. |
The Committee will also consider the diversity of the Board’s composition as part of the selection and nomination process.
In considering the selection and nomination of Independent Trustee candidates, it is expected that the Committee will consult with the interested Trustees and Officers of the Trusts and such other persons as the Committee deems appropriate.
In addition, the Committee shall work to retain high performing Independent Trustees, once elected or appointed as the case may be.
B-8
Additional Matters
The Committee will meet at such times as it deems appropriate. The Committee will set its agenda and the places of its meetings. The Committee may meet alone and outside the presence of management personnel.
The Committee will submit the minutes of all meetings of the Committee to, or discuss the matters discussed at each Committee meeting with, the full Board of Trustees.
The Committee may delegate any portion of its authority to a subcommittee of one or more members. Any decision of the subcommittee shall be presented to the full Committee at its next regularly scheduled meeting.
The Committee is authorized to investigate any matter brought to its attention within the scope of its duties, and is authorized to meet with the compliance personnel of management as the committee deems appropriate in connection with the performance of its responsibilities.
The Committee is authorized to engage independent counsel and other advisers as it deems necessary to carry out its duties.
The Funds will provide for appropriate funding, as determined by the Committee, for payment of compensation to any advisers employed by the Committee as described above.
Except as otherwise provided by the Board of Trustees or required by applicable law, the Committee shall act by a vote of a majority of the Committee members at a Committee meeting, including a meeting held by conference telephone, teleconference or other electronic media or communication equipment, or by written consent of a majority of Committee members without a meeting. Any written consent or waiver may be provided and delivered to the Committee by e-mail, facsimile or other similar electronic mechanism.
The Committee will periodically review the provisions of this Governance and Nominating Committee Charter.
B-9
Goldman Sachs Trust II Governance and Nominating Committee Charter
Organization and Purpose
The Board of Trustees (the “Board”) of Goldman Sachs Trust II (the “Trust” and the series thereof, the “Funds”) has established a Governance and Nominating Committee (the “Committee”), comprising all of the Funds’ Independent Trustees. “Independent Trustees” are those Trustees who: (a) are independent of the management of Goldman, Sachs & Co. LLC; (b) are not “interested persons” of the Funds or any investment adviser or principal underwriter of the Funds within the meaning of Section 2(a)(19) of the Investment Company Act of 1940, as amended (the “1940 Act”); and (c) do not accept any consulting, advisory or other compensatory fee from the Funds except in their capacities as members of the Board or committees thereof (Board and committee members serving the Funds in additional capacities, e.g., as Chairman of the Board or as Audit Committee Financial Expert, may receive additional compensation). The Committee has been established for the following purposes: (1) assisting the Board in matters involving fund governance and industry best practices; (2) with respect to the selection and nomination of Independent Trustees, satisfying certain regulatory requirements adopted by the Securities and Exchange Commission (the “SEC”); and (3) advising the Board from time to time on ways to improve its effectiveness.
Statement of Policy
The mission of the Board is to represent and protect the interests of the Funds and their shareholders. In doing so, the Board has the legal responsibility for overseeing the affairs of the Funds. It is the policy of the Board that in fulfilling its mission and meeting its responsibilities, the Trustees will seek high standards of integrity, commitment and independence of thought and judgment in a manner that is consistent with best practices of mutual fund governance.
Summary of Responsibilities
The Committee will have the following responsibilities:
1. | Making recommendations to the Board with respect to the effectiveness of the Board in carrying out its responsibilities in governing the Funds and overseeing their management. |
2. | Monitoring the governance policies set forth in the Trustee Charter adopted by the Board, and recommending such changes to those policies as the Committee deems appropriate from time to time. |
3. | Making recommendations to the Board regarding its size, structure and composition as well as qualifications for Board membership. |
4. | Making recommendations to the Board with respect to the Board’s committee structure, committee membership and chairmanship. |
5. | Monitoring the Trust’s standards of Trustee independence. |
6. | Overseeing and reviewing the Board and committee evaluations performed from time to time in accordance with the Trustee Charter and, based on its review, recommending such actions as the Committee deems appropriate. |
7. | Keeping informed of regulatory changes and industry practices relating to fund governance and recommending such changes as the Committee deems appropriate. |
8. | Overseeing the process for setting Independent Trustee compensation. |
9. | Overseeing the continuing education of incumbent and new Independent Trustees. |
10. | Reviewing periodically the investments made by the Trustees in the Funds pursuant to the policies set forth in the Trustee Charter. |
11. | Selecting and nominating candidates for election or appointment as non-interested members of the Board and the retention of such members, as discussed below. |
B-10
In carrying out its responsibilities under this Charter, the policies and procedures of the Committee should remain flexible in order to best react to changing conditions and to provide assurance to the full Board and shareholders that the Funds’ governance practices are in accordance with applicable requirements and are of the highest quality.
The Committee performs its functions under this Governance and Nominating Committee Charter (the “Charter”) on the basis of information or advice provided or representations made to it by the management of the Funds, or by service providers, or by legal counsel or other experts or consultants, without independent verification. Nothing in this Charter is intended to impose, or should be interpreted as imposing, on any member of the Committee any additional duties or responsibilities over and above those placed on the member in his or her capacity as a Trustee of the Funds under applicable federal and state law.
Selection, Nomination and Retention of Independent Trustees
The Committee will be responsible for the selection and nomination of the candidates for election or appointment as Independent Trustees of the Funds. In connection with the selection and nomination of candidates to the Board, the Committee will evaluate the qualifications of candidates for Board membership and their independence from each Fund’s respective investment adviser, principal underwriter(s), and other principal service providers. Persons selected must be independent under the provisions of the 1940 Act. The Committee will also consider the effect of any relationships beyond those delineated in the 1940 Act that might impair independence (for example, business, financial or family relationships with the investment adviser or other service providers). Candidates should have the capacity to address financial and legal issues and to exercise reasonable business judgment. Without limiting the foregoing, the Committee will also consider, among other criteria, a candidate’s:
(a) | experience in business, financial or investment matters or in other fields of endeavor; |
(b) | reputation; |
(c) | ability to attend scheduled Board and Committee meetings; |
(d) | general availability to attend to Board business on short notice; |
(e) | actual or potential business, family or other conflicts bearing on either the candidate’s independence or the business of the Funds; |
(f) | length of potential service; |
(g) | commitment to the representation of the interests of the Funds and their shareholders; |
(h) | commitment to maintaining and improving Trustee skills and education; and |
(i) | experience in corporate governance and best business practices. |
The Committee will also consider the diversity of the Board’s composition as part of the selection and nomination process.
In considering the selection and nomination of Independent Trustee candidates, it is expected that the Committee will consult with the interested Trustees and Officers of the Funds and such other persons as the Committee deems appropriate.
In addition, the Committee shall work to retain high performing Independent Trustees, once elected or appointed as the case may be.
While the Committee is solely responsible for the selection and nomination of the Funds’ Trustees, the Committee shall review and consider nominations for the office of Trustee made by management and by Trust shareholders who have sent nominations (which includes the biographical information and qualifications of the proposed nominee) to the Secretary of the Funds, as the Trustees deem appropriate.
B-11
Additional Matters
12. | The Committee will meet at such times as it deems appropriate. The Committee will set its agenda and the places of its meetings. The Committee may meet alone and outside the presence of management personnel. |
13. | The Committee will submit the minutes of all of its meetings to, or discuss the matters discussed at each Committee meeting with, the full Board. |
14. | The Committee may delegate any portion of its authority to a subcommittee of one or more members. Any decision of the subcommittee shall be presented to the full Committee at its next regularly scheduled meeting. |
15. | The Committee is authorized to investigate any matter brought to its attention within the scope of its duties, and is authorized to meet with the compliance personnel of management as the Committee deems appropriate in connection with the performance of its responsibilities. |
16. | The Committee is authorized to engage independent counsel and other advisers as it deems necessary to carry out its duties. |
17. | The Committee shall provide for appropriate funding, as determined by the Committee, for payment of compensation to any advisers employed by the Committee as described above. |
18. | Except as otherwise provided by the Board or required by applicable law, the Committee shall act by a vote of a majority of the Committee members at a Committee meeting, including a meeting held by conference telephone, teleconference or other electronic media or communication equipment, or by written consent of all of the Committee members without a meeting. Any written consent or waiver may be provided and delivered to the Committee chair by e-mail, facsimile or other similar electronic mechanism. |
19. | The Committee will periodically review the provisions of this Governance and Nominating Committee Charter. |
B-12
APPENDIX C
OUTSTANDING SHARES OF EACH FUND
Each Fund’s Shares outstanding as of November 4, 2019August 21, 2023 (the Record Date) is set forth in the table below.
Goldman Sachs ETF Trust
Fund | Outstanding Shares | |||
| ||||
Goldman Sachs Access Emerging Markets USD Bond | ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
| ||||
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| ||||
| 400,000 | |||
Goldman Sachs | ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
| ||||
Goldman Sachs | ||||
Goldman Sachs | ||||
Goldman Sachs JUST U.S. Large Cap Equity ETF | 4,325,000 | |||
Goldman Sachs Future Consumer Equity ETF | 5,750,000 | |||
Goldman Sachs Future Health Care Equity ETF | 3,450,000 | |||
Goldman Sachs Future Planet Equity ETF | 4,725,000 | |||
Goldman Sachs Future Real Estate and Infrastructure Equity ETF | 725,000 | |||
Goldman Sachs Future Tech Leaders Equity ETF | 10,200,000 | |||
Goldman Sachs MarketBetaTM Emerging Markets Equity ETF | 650,000 | |||
Goldman Sachs MarketBetaTM International Equity ETF | 8,600,000 | |||
Goldman Sachs MarketBetaTM U.S. Equity ETF | 16,450,000 | |||
Goldman Sachs Community Municipal Bond ETF | 400,000 | |||
Goldman Sachs Defensive Equity ETF | 152,572 | |||
Goldman Sachs North American Pipelines & Power Equity ETF | 200,000 |
Goldman Sachs ETF Trust II
A-1
Fund | Outstanding Shares | |||
Goldman Sachs | ||||
Goldman Sachs | ||||
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A-2
Goldman Sachs Goldman Sachs Real Estate Diversified Income Fund
Fund | Outstanding Shares | |||
Goldman Sachs |
Goldman Sachs Trust
Fund | Outstanding Shares | |||
Goldman Sachs | ||||
Goldman Sachs | 46,732,898 | |||
Goldman Sachs Bond Fund | 38,008,867 | |||
Goldman Sachs China Equity Fund | 2,638,901 | |||
Goldman Sachs Clean Energy Income Fund | 20,222,500 | |||
Goldman Sachs Commodity Strategy Fund | 84,783,621 | |||
Goldman Sachs Concentrated Growth Fund | 7,829,533 | |||
Goldman Sachs Core Fixed Income Fund | 192,934,717 | |||
Goldman Sachs Dynamic Global Equity Fund | 15,957,324 | |||
Goldman Sachs Dynamic Municipal Income Fund | 563,486,331 | |||
Goldman Sachs Emerging Markets Debt Fund | 59,325,381 | |||
Goldman Sachs Emerging Markets Equity ex. China Fund | 802,885 | |||
Goldman Sachs Emerging Markets Equity Fund | 140,432,808 | |||
Goldman Sachs Emerging Markets Equity Insights Fund | 235,168,979 | |||
Goldman Sachs Energy Infrastructure Fund | 34,619,189 | |||
Goldman Sachs Enhanced Dividend Global Equity Portfolio | 33,455,698 | |||
Goldman Sachs Enhanced Income Fund | 63,436,279 | |||
Goldman Sachs Equity Income Fund | 9,495,124 | |||
Goldman Sachs ESG Emerging Markets Equity Fund | 3,135,043 | |||
Goldman Sachs Financial Square Federal Instruments Fund | 5,364,543,764 | |||
Goldman Sachs Financial Square Government Fund | 267,766,249,650 | |||
Goldman Sachs Financial Square Money Market Fund | ||||
Goldman Sachs | ||||
Goldman Sachs | 84,075,890,747 | |||
Goldman Sachs Financial Square Treasury Obligations Fund | 42,113,275,312 | |||
Goldman Sachs Financial Square Treasury Solutions Fund | 14,938,227,317 | |||
Goldman Sachs Flexible Cap Fund | 4,106,000 | |||
Goldman Sachs Focused Value Fund | 3,513,871 | |||
Goldman Sachs Global Core Fixed Income Fund | 53,053,644 | |||
Goldman Sachs Global Infrastructure Fund | 17,478,170 | |||
Goldman Sachs Global Managed Beta Fund | 169,214,513 | |||
Goldman Sachs Global Real Estate Securities Fund | 13,429,338 | |||
Goldman Sachs Government Income Fund | 10,825,871 | |||
Goldman Sachs Growth and Income Strategy Portfolio | 57,972,836 | |||
Goldman Sachs Growth Strategy Portfolio | 48,121,919 | |||
Goldman Sachs High | ||||
Goldman Sachs | 318,410,024 | |||
Goldman Sachs High Yield Municipal Fund | 1,091,972,692 | |||
Goldman Sachs Income Builder Fund | 96,718,662 | |||
Goldman Sachs Income Fund | 7,478,823 | |||
Goldman Sachs Inflation Protected Securities Fund | 31,439,339 | |||
Goldman Sachs International Equity Dividend and Premium Fund | 22,051,494 | |||
Goldman Sachs International Equity ESG Fund | 37,813,213 |
C-2
Fund | Outstanding Shares | |||
Goldman Sachs International Equity Income Fund | 68,785,939 | |||
Goldman Sachs International Equity Insights Fund | ||||
Goldman Sachs | 271,770,792 | |||
Goldman Sachs International Tax-Managed Equity Fund | 65,745,093 | |||
Goldman Sachs Investment Grade Credit Fund | 83,024,085 | |||
Goldman Sachs Investor Money Market Fund | 7,887,704,308 | |||
Goldman Sachs Investor Tax-Exempt Money Market Fund | 2,105,561,596 | |||
Goldman Sachs Large Cap Core Fund | 41,400,407 | |||
Goldman Sachs Large Cap Growth Insights Fund | 37,911,758 | |||
Goldman Sachs Large Cap Value Fund | ||||
Goldman Sachs | 14,823,222 | |||
Goldman Sachs Local Emerging Markets Debt Fund | 14,628,995 | |||
Goldman Sachs Long Short Credit Strategies Fund | 6,402,375 | |||
Goldman Sachs Managed Futures Strategy Fund | 40,084,309 | |||
Goldman Sachs Mid Cap Growth Fund | 63,277,952 | |||
Goldman Sachs Mid Cap Value Fund | ||||
Goldman Sachs | ||||
Goldman Sachs | 18,527,215 | |||
Goldman Sachs Real Estate Securities Fund | 9,565,779 | |||
Goldman Sachs Rising Dividend Growth Fund | ||||
Goldman Sachs | 9,564,400 | |||
Goldman Sachs Short Duration Bond Fund | 153,084,107 | |||
Goldman Sachs Short Duration Government Fund | 55,421,802 | |||
Goldman Sachs Short Duration Tax-Free Fund | 580,515,444 | |||
Goldman Sachs Short-Term Conservative Income Fund | 200,267,321 | |||
Goldman Sachs Small Cap Equity Insights Fund | ||||
Goldman Sachs | 3,341,437 | |||
Goldman Sachs Small Cap Growth Insights Fund | 6,557,615 | |||
Goldman Sachs Small Cap Value Fund | 43,159,002 | |||
Goldman Sachs Small Cap Value Insights Fund | 21,314,312 | |||
Goldman Sachs Small/Mid Cap Growth Fund | 96,658,766 | |||
Goldman Sachs Small/Mid Cap Value Fund | 15,191,995 | |||
Goldman Sachs Strategic Factor Allocation Fund | 206,773,523 | |||
Goldman Sachs Strategic Growth Fund | 14,787,669 | |||
Goldman Sachs Strategic Income Fund | 68,817,513 | |||
Goldman Sachs Strategic Volatility Premium Fund | 45,735,688 | |||
Goldman Sachs Tactical Tilt Overlay Fund | 451,264,743 | |||
Goldman Sachs Tax-Advantaged Global Equity Portfolio | 179,638,242 | |||
Goldman Sachs Technology Opportunities Fund | 28,821,294 | |||
Goldman Sachs U.S. Equity Dividend and Premium Fund | 202,571,830 | |||
Goldman Sachs U.S. Equity ESG Fund | 1,348,748 | |||
Goldman Sachs U.S. Equity Insights Fund | ||||
Goldman Sachs U.S. Mortgages Fund | 24,372,950 | |||
Goldman Sachs U.S. Tax-Managed Equity Fund | 72,644,297 |
A-3
EXHIBIT BGoldman Sachs Trust II
FIVE PERCENT SHAREHOLDERS
Fund | Outstanding Shares | |||
Goldman Sachs GQG Partners International Opportunities Fund | 1,611,276,187 | |||
Goldman Sachs Multi-Manager Alternatives Fund | 11,570,149 | |||
Goldman Sachs Multi-Manager Global Equity Fund | 65,120,677 | |||
Goldman Sachs Multi-Manager Non-Core Fixed Income Fund | 148,653,874 | |||
Goldman Sachs Multi-Manager Real Assets Strategy Fund | 58,443,055 | |||
Multi-Manager International Equity Fund | 97,978,232 | |||
Multi-Manager U.S. Small Cap Equity Fund | 61,125,276 |
Goldman Sachs Variable Insurance Trust
Fund | Outstanding Shares | |||
Goldman Sachs Buffered S&P 500 Fund – Jan/Jul | 500,000 | |||
Goldman Sachs Buffered S&P 500 Fund – Mar/Sep | 500,000 | |||
Goldman Sachs Buffered S&P 500 Fund – May/Nov | 500,000 | |||
Goldman Sachs Core Fixed Income Fund | 13,191,580 | |||
Goldman Sachs Government Money Market Fund | 2,396,450,716 | |||
Goldman Sachs International Equity Insights Fund | 12,042,424 | |||
Goldman Sachs Large Cap Value Fund | 42,966,512 | |||
Goldman Sachs Mid Cap Growth Fund | 6,196,251 | |||
Goldman Sachs Mid Cap Value Fund | 27,852,541 | |||
Goldman Sachs Multi-Strategy Alternatives Portfolio | 4,112,987 | |||
Goldman Sachs Small Cap Equity Insights Fund | 10,372,953 | |||
Goldman Sachs Strategic Growth Fund | 29,561,222 | |||
Goldman Sachs Trend Driven Allocation Fund | 25,266,777 | |||
Goldman Sachs U.S. Equity Insights Fund | 17,166,336 |
C-4
APPENDIX D
BENEFICIAL OWNERS OF MORE THAN 5% OF A CLASS OF EACH FUND
As of September 30, 2019,July 31, 2023, the following persons or entities owned beneficially or of record more than 5% of the outstanding shares of any class, as applicable, of any classeach Fund. For purposes of each Fund:this Appendix D, refer to the below table for the full name and address of certain 5% owners who are listed for certain Funds in the tables for this Appendix D.
Name and Address of Owner
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
FISCAL YEAR END 3/31 | ||||||||||
BOND FUND CLASS A SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City,NJ 07310-1995 | 2,251,006.83 | 26.57% | |||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis,MO 63131-3710 | 1,502,680.38 | 17.74% | ||||||||
MML Distributor, LLC, Mass Mutual Life Insurance, 1295 State St. MIP C105, Springfield, MA 01111-0001 | 1,185,017.34 | 13.99% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 593,392.97 | 7.00% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C1699-0135, Special Custody Account FBO Customer, 2801 Market Street, Saint Louis, MO 63103-2523 | 159,182.19 | 18.62% | |||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 122,737.02 | 14.36% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RR1, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 117,951.78 | 13.80% | ||||||||
Cambridge Investment Research, Ascensus Trust Company FBO Associates in Hearing Inc., PS Plan 211635, PO Box 10758, Fargo,ND 58106-0758 | 116,075.49 | 13.58% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 89,550.34 | 10.47% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 74,515.28 | 8.72% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City,NJ 07310-1995 | 3,652,363.35 | 27.65% |
American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave S., Minneapolis, MN 55402-2405 |
American United Life Insurance Co., Attn: Separate Accounts, P.O. Box 368, Indianapolis, IN 46282-0002. |
Apex Clearing Corporation, 350 North St. Paul Street, Suite 1300, Dallas, TX 75201 |
Ascensus Trust Company FBO, P.O. Box 10758, Fargo, ND 58106-0758 |
Charles Schwab & Co, Inc., Special Custody AC FBO Customers; Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1901 |
Charles Schwab & Co., Inc., 101 Montgomery Street, San Francisco, CA 94104 |
Commonwealth Annuity & Life, Attn: Separate Accounts S-291, 440 Lincoln, St., Worcester, MA 01653-0002 |
Edward D. Jones & Co., For the Benefit of the Customers, 12555 Manchester Rd., St. Louis, MO 63131-3710 |
Empower Financial Services, Inc., 8515 E Orchard Rd 2T2, Greenwood Village, CO 80111-5002 |
Goldman Sachs & Co. LLC, 200 West Street, New York, NY 10282 |
Goldman Sachs & Co., FBO Omnibus 6600, Co/O Mutual Fund OPS, 222 S. Main St., Salt Lake City, UT 84101-2199 |
Goldman Sachs Trust, C/O Fund Management Team, 200 West St., New York, NY 10282-2102 |
GS PWM INSTL Class, Goldman, Sachs & Co., C/O Mutual Fund Ops, 200 West St., New York, NY 10282-2198 |
GSAM Holdings LLC Comp Hedge, Crystal Downs, FL 3, Embassy Gold Links Business Park, Bengaluru, India 560071 |
GSAM Holdings LLC Seed Account, Attn: AMD-India-SAOD, Helios Business Park, 150 Outer Ring Rd., Kadubeesanahalli, Bangaluru 560 103, India |
GWFS Equities Inc., 8515 E Orchard Rd., 2T2, Greenwood Village, CO 80111-5002 |
Hand Securities, Inc., 6 Rhoads Dr., Ste. 7, Utica, NY 13502-6317 |
Hare & Co., Attn: Stif Operations, P.O. Box 223910, Pittsburgh, Pa 15121-2910 |
Horseshoe Re II Limited, P.O Box HM3352, Hamilton, Bermuda HM PX |
JP Morgan Securities, LLC, 383 Madison Ave., New York, NY 10179 |
JP Morgan Securities, LLC, FEBO Customers, Mutual Fund Dept., 3 Chase Metrotech Center, Fl 3, Brooklyn, NY 11245-0001 |
LPL Financial LLC, 4707 Executive Drive, San Diego, CA 92121 |
Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds, 4800 Deer Lake Drive East, 3rd Fl., Jacksonville, FL 32246-6484 |
Merrill Lynch, Pierce, Fenner & Smith, Inc., 250 Vesey St., New York, NY 10281 |
Mid Atlantic Trust Company, 1251 Waterfront Place, Suite 525, Pittsburgh, PA 15222-4228 |
B-1
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Voya Institutional Plan Services LLC, Voya Institutional TR Co as TTEE, Custodian for Core Market Solutions, 30 Braintree Hill Office Park, Braintree, MA 02184-8747 | 2,240,759.14 | 16.96% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 1,138,377.80 | 8.62% | ||||||||
Winthrop University Hospital, Pool Fund, 700 Hicksville Rd. Ste. 205, Bethpage,NY 11714-3472 | 871,863.20 | 6.60% | ||||||||
Wells Fargo Clearing Services LLC, A/C1699-0135, Special Custody Account FBO Customer, 2801 Market Street, St Louis, MO 63103-2523 | 867,581.77 | 6.57% | ||||||||
INVESTOR SHARES | Prudential PIMS/Retirement, AS Nominee for the TTEE/Cust Pl 767, Retirement Plan For the Employees of 5550 Peachtree PKWY STE 500, Norcross, GA 30092-2555 | 903,487.40 | 26.25% | |||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 791,409.11 | 22.99% | ||||||||
GWFS Equities Inc., Great West Trust Co. LLC, FBO Recordkeeping for various benefit Pl Omniputnam, 8515 E Orchard Rd. #2T2, Greenwood Village, CO 80111-5002 | 657,422.46 | 19.10% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 434,652.49 | 12.63% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 386,554.96 | 11.23% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 8,770,419.89 | 99.99% | |||||||
CLASS R SHARES | MML Distributor,LLC-Aviator, Mass Mutual Life Insurance, 1295 State St. MIPM200-INVST, Springfield, MA 01111-0001 | 257,986.46 | 39.13% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 87,160.62 | 13.22% |
Morgan Stanley Smith Barney LLC, 1 Harborside Financial Center, Plaza II, Jersey City, NJ 07311 |
Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers, 1 New York Plz, Fl. 12, New York, NY 10004-1965 |
National Financial Services LLC, 245 Summer Street, Boston, MA 02210 |
National Financial Services LLC, FEBO Customers Mutual Funds, Attn: Mutual Funder Dept 4th Fl., 499 Washington Blvd., Jersey City, NJ 07310-1995 |
Nationwide Investment Services, C/O IPO Portfolio Accounting, PO Box 182029, Columbus, OH 43218-2029 |
Ohio National Life Insurance, Co., 1 Financial Way, Cincinnati, OH 45242-5800 |
Pershing LLC, 1 Pershing Plz., Jersey City, NJ 07399 |
Pershing LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ 07399 |
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 |
Principal Securities Inc., DCGT as TTEE and/or CUST, FBO PLIC Various Retirement Plans Omnibus, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 |
Protective Life Insurance, Co., Protective Var Annuity Sep Account, Attn: annuity Operational Accounting, 2801 Highway 280 S., Birmingham, Al 35223-2479 |
Raymond James, 880 Carillon Parkway, St. Petersburg, FL 33716 |
Raymond James, 92500015, Omnibus for Mutual Funds, Attn: Courtney Waller, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 |
RBC Capital Markets Corporation, Mutual Business Omnibus Processing, Attn: Mutual Fund Ops Manager, 60 S 6th St., Ste. 700 # P08, Minneapolis, MN 55402-4413 |
SEI Private Trust Company, 1 Freedom Vally Dr., Oaks, PA 19456-9989 |
State Street Bank & Trust Co., One Lincoln Street, Boston, MA 02111 |
State Street Bank and TR TTEE/Cust, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2901 |
Stifel Nicolaus & Co., Exclusive Benefit of Customers, 501 N. Broadway, St. Louis, MO 63102-2188 |
TCA Trustcorp America, 5301 Washington Ave NW, Ste. 450, Washington, DC 20015-2047 |
TD Ameritrade, 200 S 108th Avenue, Omaha, NE 68154 |
TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 |
The Bank of New York Mellon, 240 Greenwich St., 13 Fl East, New York, NY 10286 |
The Hartford Life Insurance Company, Separate Account 401, Attn: David Broeck, 1 Griffin Rd., Windsor, CT 06095-1515 |
UBS WM USA, 0O0 11011 6100, Omni Account M/F, Spec Cdy A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 |
Voya Financial Partners LLC, Voya Retirement Insurance & Annuity Company, 1 Orange Way, Windsor, CT 06095-4773 |
Wells Fargo Bank NA, Account FEBO Customers, Attn: Money Funds, 1525 W WT Harris Blvd., MSC D1109-010, Charlotte, NC 28288-1076 |
Wells Fargo Clearing Services, LLC, 1 North Jefferson Ave., St. Louis, MO 63103 |
Wells Fargo Clearing Services, LLC, Special Custody Acct for the Exclusive Benefit of Customer, 2801 Market St., St. Louis, MO 63103-2523 |
B-2
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
GWFS Equities Inc., Morse Chevrolet Inc. TTEE FBO Morse Chevrolet Inc. RSP 401k, C/O Fascore LLC. 8515 E Orchard Rd # 2T2, Greenwood Village, CO 80111-5002 | 73,370.19 | 11.13% | ||||||||
GWFS Equities Inc., J M Fahey Construction Company TTEE, J M Fahet Construction Company 401k, C/O Fascore LLC. 8515 E Orchard Rd # 2T2, Greenwood Village, CO 80111-5002 | 52,343.34 | 7.94% | ||||||||
Hartford Life Insurance Company, The Hartford, 1 Hartford Plz., Hartford, CT 06155-0001 | 50,214.11 | 7.62% | ||||||||
Principal Securities Inc., DCGT AS TTEE and/or Cust., FBO PLIC various retirement plans, Omnibus, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 36,185.31 | 5.49% | ||||||||
CLASS R6 SHARES | MML Distributors,LLC- PE, Reliance Trust Co., Custodian, FBO MassMutual Registered Product, PO Box 28004, Atlanta, GA 30358-0004 | 2,542,525.24 | 33.58% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City,NJ 07310-1995 | 1,866,623.34 | 24.65% | ||||||||
GWFS Equities Inc., Great-West Trust Company LLC FBO Employee Benefits Clients 401K, 8515 E Orchard Rd. 2T2, Greenwood Village, CO 80111-5002 | 581,545.99 | 7.68% | ||||||||
Valic Financial Advisors Inc., VRSCO, FBO AIGFSB Cust. TTEE FBO COOP SCHL DIST of GTR St. Louis 403B,2727-A Allen Parkway,4-D1, Houston, TX 77019-2107 | 477,815.58 | 6.31% | ||||||||
Valic Financial Advisors Inc., VRSCO, FBO AIGFSB Cust. TTEE FBO Minneapolis Public Schools 403B,2727-A Allen Parkway,4-D1, Houston, TX 77019-2107 | 461,736.62 | 6.10% | ||||||||
SERVICE SHARES | MSCS Financial Services LLC, PAI Trust Company, Inc., the Rhoads Group 401(k) P/S Plan, 1300 Enterprise Dr., De Pere,WI 54115-4934 | 1,905.55 | 48.15% | |||||||
GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,602.01 | 40.48% |
Goldman Sachs ETF Trust
Fund Name | Name/Address* | Number of Shares | Percentage of Class | |||||
Goldman Sachs Access Emerging Markets USD Bond ETF | LPL Financial LLC | 455,156 | 36.41% | |||||
Apex Clearing Corporation | 246,839 | 19.75% | ||||||
National Financial Services LLC | 142,581 | 11.41% | ||||||
Pershing LLC | 135,736 | 10.86% | ||||||
TD Ameritrade | 86,170 | 6.89% | ||||||
Goldman Sachs Access High Yield Corporate Bond ETF | National Financial Services LLC | 473,662 | 21.05% | |||||
Goldman Sachs & Co. LLC | 400,062 | 17.78% | ||||||
Raymond James | 238,995 | 10.62% | ||||||
Charles Schwab & Co., Inc. | 213,376 | 9.48% | ||||||
Apex Clearing Corporation | 161,774 | 7.19% | ||||||
TD Ameritrade | 137,414 | 6.11% | ||||||
Pershing LLC | 118,555 | 5.27% | ||||||
Goldman Sachs Access Inflation Protected USD Bond ETF | LPL Financial LLC | 379,804 | 16.69% | |||||
National Financial Services LLC | 341,687 | 15.02% | ||||||
Raymond James | 264,670 | 11.63% | ||||||
Charles Schwab & Co., Inc. | 225,827 | 9.93% | ||||||
Pershing LLC | 162,165 | 7.13% | ||||||
TD Ameritrade | 158,205 | 6.95% | ||||||
The Bank of New York Mellon | 154,997 | 6.81% | ||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. | 119,043 | 5.23% | ||||||
Goldman Sachs Access Investment Grade Corporate 1-5 Year Bond ETF | LPL Financial LLC | 94,847 | 47.42% | |||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. | 23,475 | 11.74% | ||||||
JP Morgan Securities, LLC | 21,123 | 10.56% | ||||||
Reliance Trust Company, 1100 Abernathy Road NE Ste 400, Atlanta, GA 30328-5634 | 19,960 | 9.98% | ||||||
Goldman Sachs Access Investment Grade Corporate Bond ETF | State Street Bank & Trust Co. | 3,147,610 | 22.64% | |||||
Reliance Trust Company/FIS Global Plus, 20117th Street NW Ste 1000, Atlanta, GS 30363 | 1,804,658 | 12.98% | ||||||
National Financial Services LLC | 1,694,917 | 12.19% | ||||||
Pershing LLC | 1,381,523 | 9.94% | ||||||
TD Ameritrade | 1,272,656 | 9.16% | ||||||
Charles Schwab & Co., Inc. | 1,038,893 | 7.47% | ||||||
The Bank of New York Mellon | 739,694 | 5.32% | ||||||
Goldman Sachs Access Treasury 0-1 Year ETF | Charles Schwab & Co., Inc. | 8,045,742 | 14.76% | |||||
Morgan Stanley Smith Barney LLC | 6,880,945 | 12.62% | ||||||
Apex Clearing Corporation | 5,404,902 | 9.91% | ||||||
National Financial Services LLC | 5,309,185 | 9.74% | ||||||
TD Ameritrade | 4,241,353 | 7.78% | ||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. | 4,240,361 | 7.78% | ||||||
Wells Fargo Clearing Services, LLC | 3,959,770 | 7.26% |
B-3
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
MSCS Financial Services LLC, PAI Trust Company, Inc., SK MD PC, 1300 Enterprise Dr., De Pere, WI 54115-4934 | 449.99 | 11.37% | ||||||||
CORE FIXED INCOME FUND CLASS A SHARES | Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 4,318,633.05 | 42.84% | |||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 2,529,870.61 | 25.09% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, Saint Louis, MO 63103-2523 | 82,557.66 | 14.10% | |||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 59,212.10 | 10.11% | ||||||||
Mid Atlantic Capital Corp., FBO Distinctive Car Toyz of Pleasantville, Pleasantville, NJ 08232 | 40,386.99 | 6.90% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 36,947.36 | 6.31% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 35,521.74 | 6.07% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RT5, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 34,842.66 | 5.95% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 30,976.32 | 5.29% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City,NJ 07310-1995 | 11,675,221.36 | 64.51% | |||||||
Reliance Trust Co., Reliance Trust Company FBO Bancorp South EB R/R, P.O. Box 48529, Atlanta, GA 30362-1529 | 2,142,117.92 | 11.84% | ||||||||
INVESTOR SHARES | LPL Financial Corporation, Omnibus Customer Account, Attn Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 1,450,243.10 | 50.74% | |||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 859,378.02 | 30.07% |
Fund Name | Name/Address* | Number of Shares | Percentage of Class | |||||
Goldman Sachs Access U.S. Aggregate Bond ETF | LPL Financial LLC | 4,823,495 | 40.88% | |||||
National Financial Services LLC | 1,576,724 | 13.36% | ||||||
Pershing LLC | 1,382,063 | 11.71% | ||||||
TD Ameritrade | 781,781 | 6.63% | ||||||
Charles Schwab & Co., Inc. | 734,922 | 6.23% | ||||||
Apex Clearing Corporation | 713,813 | 6.05% | ||||||
Goldman Sachs Access Ultra Short Bond ETF | Charles Schwab & Co., Inc. | 2,749,086 | 23.75% | |||||
Goldman Sachs & Co. LLC | 2,651,018 | 22.90% | ||||||
TD Ameritrade | 1,798,048 | 15.53% | ||||||
Morgan Stanley Smith Barney LLC | 951,654 | 8.22% | ||||||
Pershing LLC | 861,049 | 7.44% | ||||||
Wells Fargo Clearing Services, LLC | 707,803 | 6.11% | ||||||
National Financial Services LLC | 672,227 | 5.81% | ||||||
Goldman Sachs ActiveBeta® Emerging Markets Equity ETF | Wells Fargo Clearing Services, LLC | 5,649,510 | 17.25% | |||||
Charles Schwab & Co., Inc. | 4,357,728 | 13.31% | ||||||
State Street Bank & Trust Co. | 2,840,377 | 8.67% | ||||||
Raymond James | 2,232,015 | 6.82% | ||||||
LPL Financial LLC | 2,106,182 | 6.43% | ||||||
National Financial Services LLC | 2,021,699 | 6.17% | ||||||
Goldman Sachs ActiveBeta® Europe Equity ETF | LPL Financial LLC | 78,642 | 22.47% | |||||
Morgan Stanley Smith Barney LLC | 59,013 | 16.86% | ||||||
Goldman Sachs & Co. LLC | 44,718 | 12.78% | ||||||
Charles Schwab & Co., Inc. | 34,836 | 9.95% | ||||||
JP Morgan Securities, LLC | 32,905 | 9.40% | ||||||
TD Ameritrade | 18,251 | 5.21% | ||||||
Goldman Sachs ActiveBeta® International Equity ETF | Charles Schwab & Co., Inc. | 19,011,684 | 18.62% | |||||
Wells Fargo Clearing Services, LLC | 12,964,623 | 12.70% | ||||||
Wells Fargo Bank, N.A., 420 Montgomery Street, San Francisco, CA 94104 | 10,784,766 | 10.56% | ||||||
National Financial Services LLC | 10,632,859 | 10.41% | ||||||
LPL Financial LLC | 6,721,587 | 6.58% | ||||||
Apex Clearing Corporation | 6,480,353 | 6.35% | ||||||
Pershing LLC | 6,473,634 | 6.34% | ||||||
TD Ameritrade | 6,115,678 | 5.99% | ||||||
Goldman Sachs ActiveBeta® Japan Equity ETF | JP Morgan Securities, LLC | 139,043 | 34.76% | |||||
Charles Schwab & Co., Inc. | 66,939 | 16.73% | ||||||
National Financial Services LLC | 31,403 | 7.85% | ||||||
TD Ameritrade | 25,808 | 6.45% | ||||||
Pershing LLC | 21,762 | 5.44% | ||||||
Goldman Sachs ActiveBeta® Paris-Aligned Climate U.S. Large Cap Equity ETF | Goldman Sachs & Co. LLC | 194,688 | 97.34% | |||||
Goldman Sachs ActiveBeta® U.S. Large Cap Equity ETF | Wells Fargo Clearing Services, LLC | 26,734,992 | 20.66% | |||||
Charles Schwab & Co., Inc. | 16,698,251 | 12.90% |
B-4
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Prudential PIMS/Retirement, AS Nominee for the TTEE/Cust Pl 900, Tishman Speyer Properties LP, 11 W 42nd St. Fl. 2, New York,NY 10036-8008 | 359,045.13 | 12.56% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 53,193,018.32 | 99.63% | |||||||
CLASS R SHARES | ADP/Broker Dealer Inc., State Street Bank and Trust TTEE/Cust., FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 353,631.16 | 75.59% | |||||||
GWFS Equities Inc., FBO PPL Motor Homes 401k, C/O Fascore LLC, 8515 E Orchard Rd # 2T2, Greenwood Village, CO 80111-5002 | 38,394.85 | 8.21% | ||||||||
CLASS R6 SHARES | Goldman Sachs Asset Management LP, KPMG Partner Pension Plan, 3 Chestnut Ridge Rd, Montvale, NJ 07645-1842 | 7,619,644.03 | 51.37% | |||||||
Goldman Sachs Asset Management LP, Magna US Consolidated Pension Pln, 750 Tower DR MSC 7000, Troy, MI 48098-2863 | 6,238,755.04 | 42.06% | ||||||||
SERVICE SHARES | TCA TrustCorp. America, 5301 Wisconsin Ave. NW, 4th Fl, Washington, DC 20015-2047 | 61,722.40 | 72.57% | |||||||
Charles Schwab & Company, Charles Schwab & Co Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 12,344.65 | 14.51% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City,NJ 07310-1995 | 6,084.11 | 7.15% | ||||||||
DYNAMIC MUNICIPAL INCOME FUND CLASS A SHARES | Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market Street, St Louis, MO 63103-2523 | 13,798,361.54 | 18.69% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 8,930,188.16 | 12.10% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 7,831,031.74 | 10.61% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City,NJ 07310-1995 | 7,818,473.86 | 10.59% |
Fund Name | Name/Address* | Number of Shares | Percentage of Class | |||||
Pershing LLC | 15,026,277 | 11.61% | ||||||
National Financial Services LLC | 8,954,187 | 6.92% | ||||||
Wells Fargo Bank, N.A., 420 Montgomery Street, San Francisco, CA 94104 | 8,111,561 | 6.27% | ||||||
State Street Bank & Trust Co. | 7,744,910 | 5.99% | ||||||
Morgan Stanley Smith Barney LLC | 6,513,307 | 5.03% | ||||||
Goldman Sachs ActiveBeta® U.S. Small Cap Equity ETF | Charles Schwab & Co., Inc. | 1,736,033 | 21.57% | |||||
National Financial Services LLC | 1,052,764 | 13.08% | ||||||
Apex Clearing Corporation | 1,011,198 | 12.56% | ||||||
LPL Financial LLC | 746,109 | 9.27% | ||||||
TD Ameritrade | 559,439 | 6.95% | ||||||
Raymond James | 541,423 | 6.73% | ||||||
Fifth Third Bank, N.A., 38 Fountain Square Plaza, Cincinnati, OH 45263 | 537,028 | 6.67% | ||||||
Pershing LLC | 493,132 | 6.13% | ||||||
Goldman Sachs ActiveBeta® World Low Vol Plus Equity ETF | CDS Clearing and Depository Services Inc., 100 Adelaide St W, Toronto, ON M5H 1S3 | 15,830,716 | 90.98% | |||||
Goldman Sachs Bloomberg Clean Energy Equity ETF | Goldman Sachs & Co. LLC | 163,675 | 65.47% | |||||
JP Morgan Securities, LLC | 41,140 | 16.46% | ||||||
Charles Schwab & Co., Inc. | 12,724 | 5.09% | ||||||
Vanguard Marketing Corporation, 100 Vanguard Blvd., Malvern, PA 19355 | 12,492 | 5.00% | ||||||
Goldman Sachs Equal Weight U.S. Large Cap Equity ETF | Charles Schwab & Co., Inc. | 2,659,293 | 35.94% | |||||
National Financial Services LLC | 1,373,362 | 18.56% | ||||||
Morgan Stanley Smith Barney LLC | 525,431 | 7.10% | ||||||
Raymond James | 484,680 | 6.55% | ||||||
Goldman Sachs Hedge Fund Industry VIP ETF | Merrill Lynch, Pierce, Fenner & Smith, Inc. | 200,111 | 12.51% | |||||
Charles Schwab & Co., Inc. | 197,417 | 12.34% | ||||||
National Financial Services LLC | 195,680 | 12.23% | ||||||
TD Ameritrade | 173,975 | 10.87% | ||||||
Citibank, 390 Greenwich St, New York, NY 10013 | 165,403 | 10.34% | ||||||
Morgan Stanley Smith Barney LLC | 143,351 | 8.96% | ||||||
Goldman Sachs & Co. LLC | 94,977 | 5.94% | ||||||
Goldman Sachs Innovate Equity ETF | Goldman Sachs & Co. LLC | 2,529,578 | 36.66% | |||||
Northern Trust Corporation, 50 S La Salle Street, Chicago, IL 60603 | 1,528,043 | 22.15% | ||||||
Charles Schwab & Co., Inc. | 660,558 | 9.57% | ||||||
TD Ameritrade | 627,063 | 9.09% | ||||||
National Financial Services LLC | 559,323 | 8.11% | ||||||
Goldman Sachs JUST U.S. Large Cap Equity ETF | Charles Schwab & Co., Inc. | 1,030,667 | 23.69% | |||||
Goldman Sachs & Co. LLC | 1,022,248 | 23.50% | ||||||
National Financial Services LLC | 511,136 | 11.75% | ||||||
Pershing LLC | 296,166 | 6.81% |
B-5
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PP5, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 7,470,772.72 | 10.12% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 5,794,817.37 | 7.85% | ||||||||
Charles Schwab & Company, Charles Schwab & Co Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 5,290,958.87 | 7.17% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 4,556,914.14 | 6.17% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C1699-0135, Special Custody Account FBO Customer, 2801 Market Street, Saint Louis, MO 63103-2523 | 2,074,317.78 | 27.65% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RR9, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 1,428,909.35 | 19.05% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 1,075,199.91 | 14.33% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 865,812.16 | 11.54% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 488,102.31 | 6.51% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 377,624.67 | 5.03% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City,NJ 07310-1995 | 48,979,945.86 | 24.72% | |||||||
Charles Schwab & Company, Charles Schwab & Co Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 34,458,713.64 | 17.39% |
Fund Name | Name/Address* | Number of Shares | Percentage of Class | |||||
Morgan Stanley Smith Barney LLC | 289,815 | 6.66% | ||||||
Merrill Lynch, Pierce, Fenner & Smith, Inc. | 253,760 | 5.83% | ||||||
Goldman Sachs Future Consumer Equity ETF | The Bank of New York Mellon | 3,487,998 | 60.93% | |||||
TD Ameritrade | 1,677,920 | 29.31% | ||||||
Goldman Sachs & Co. LLC | 443,807 | 7.75% | ||||||
Goldman Sachs Future Health Care Equity ETF | The Bank of New York Mellon | 2,619,332 | 75.92% | |||||
Goldman Sachs & Co. LLC | 638,953 | 18.52% | ||||||
Goldman Sachs Future Planet Equity ETF | The Bank of New York Mellon | 3,175,907 | 67.21% | |||||
Goldman Sachs & Co. LLC | 894,536 | 18.93% | ||||||
SEI Private Trust Company, One Freedom Valley Drive, Oaks, PA 19456-9989 | 468,172 | 9.91% | ||||||
Goldman Sachs Future Real Estate and Infrastructure Equity ETF | Goldman Sachs & Co. LLC | 571,253 | 78.79% | |||||
National Financial Services LLC | 44,770 | 6.18% | ||||||
Charles Schwab & Co., Inc. | 43,112 | 5.95% | ||||||
Goldman Sachs Future Tech Leaders Equity ETF | The Bank of New York Mellon | 3,951,118 | 38.74% | |||||
Goldman Sachs & Co. LLC | 2,844,241 | 27.88% | ||||||
National Financial Services LLC | 693,886 | 6.80% | ||||||
Charles Schwab & Co., Inc. | 596,312 | 5.85% | ||||||
Goldman Sachs MarketBetaTM Emerging Markets Equity ETF | State Street Bank & Trust Co. | 585,460 | 90.07% | |||||
JP Morgan Securities, LLC | 51,072 | 7.86% | ||||||
Goldman Sachs MarketBetaTM International Equity ETF | State Street Bank & Trust Co. | 7,626,873 | 89.73% | |||||
The Bank of New York Mellon | 548,549 | 6.45% | ||||||
Goldman Sachs MarketBetaTM U.S. Equity ETF | State Street Bank & Trust Co. | 6,147,629 | 38.54% | |||||
LPL Financial LLC | 3,899,458 | 24.45% | ||||||
National Financial Services LLC | 1,187,056 | 7.44% | ||||||
The Bank of New York Mellon | 1,093,126 | 6.85% | ||||||
Pershing LLC | 1,082,499 | 6.79% | ||||||
Goldman Sachs Community Municipal Bond ETF | JP Morgan Securities, LLC | 181,547 | 45.39% | |||||
Goldman Sachs & Co. LLC | 100,147 | 25.04% | ||||||
BOFA Securities, Inc., 200 N College Street, 3rd Fl North, Charlotte, NC 28202 | 97,289 | 24.32% | ||||||
Goldman Sachs Defensive Equity ETF | BOFA Securities, Inc., 200 N College Street, 3rd Fl North, Charlotte, NC 28202 | 16,568 | 43.84% | |||||
Pershing LLC | 12,332 | 32.63% | ||||||
National Financial Services LLC | 3,965 | 10.49% | ||||||
Goldman Sachs & Co. LLC | 3,443 | 9.11% | ||||||
Goldman Sachs North American Pipelines & Power Equity ETF | Virtu Americas LLC, 1 Liberty Plaza , New York, NY 10006 | 100,590 | 50.30% | |||||
Citigroup Global Markets Inc., 390 Greenwich St, New York, NY 10013 | 50,000 | 25.00% | ||||||
RBC Capital Markets, 200 Vesey St., FL 9, New York, NY 10281 | 48,900 | 24.45% |
B-6
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 27,501,622.63 | 13.88% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 23,160,480.89 | 11.69% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market Street, Saint Louis, MO 63103-2523 | 14,017,551.50 | 7.08% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 13,986,932.02 | 7.06% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 11,428,232.98 | 5.77% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 18,314,273.99 | 39.48% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 13,539,945.15 | 29.19% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 11,227,839.56 | 24.20% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 2,925,506.66 | 6.31% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 91,511,043.22 | 99.61% | |||||||
CLASS R6 SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis,MO 63131-3710 | 3,846,058.03 | 95.16% | |||||||
SERVICE SHARES | BB&T Securities LLC, Customers, 20525 Wellington Ct, Colton Point,MD 20626-2132 | 9,578.14 | 67.58% | |||||||
TCA TrustCorp. America, 5301 Wisconsin Ave. NW, 4th Fl, Washington, DC 20015-2047 | 1,284.52 | 9.06% | ||||||||
BB&T Securities LLC, Customers, PT Pleas Bch, NJ 08742-3330 | 1,241.47 | 8.76% | ||||||||
BB&T Securities LLC, Customers, 402 New Jersey Ave., PT Pleas Bch, NJ 08742-3330 | 993.17 | 7.01% |
Goldman Sachs ETF Trust II
Fund Name | Name/Address* | Number of Shares | Percentage of Class | |||||
Goldman Sachs MarketBetaTM Total International Equity ETF | Goldman Sachs & Co. LLC | 6,356,821 | 63.98% | |||||
National Financial Services LLC | 3,578,594 | 36.02% | ||||||
Goldman Sachs MarketBetaTM U.S. 1000 ETF | JP Morgan Chase Bank NA, 270 Park Ave., New York, NY | 31,183,182 | 87.02% | |||||
National Financial Services LLC | 4,602,635 | 12.84% |
Goldman Sachs Real Estate Diversified Income Fund
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Goldman Sachs Real Estate Diversified Income Fund | Class A | LPL Financial | 1,215,097 | 15.82% | ||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 470,402 | 6.13% | |||||||
Class C | LPL Financial | 287,631 | 6.60% | |||||||
Class I | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 3,428,013 | 28.13% | |||||||
Class I | LPL Financial | 2,358,710 | 19.35% | |||||||
Class L | Pershing LLC, Chris J Termini, Janet Termini JT Ten, 188 Bache Ave, Staten Island, NY 10306-3014 | 28,889 | 5.61% | |||||||
Class L | LPL Financial | 61,426 | 11.94% | |||||||
Class W | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 524,627 | 16.22% | |||||||
Class W | National Financial Services LLC, FEBO Customers Mutual Funds | 251,573 | 7.78% |
Goldman Sachs Trust
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Goldman Sachs Absolute Return Tracker Fund | Class A | Charles Schwab & Co. Inc., Special Custody Acct for Benefit of Customers, Attn: Mutual Funds | 1,152,879 | 25.14% | ||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 1,152,155 | 25.12% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 406,159 | 8.86% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 361,720 | 7.89% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 355,902 | 7.76% |
B-7
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
RBC Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus Processing, Omnibus, Attn: Mutual Fund Ops Manager, 60 S 6th ST. Ste. 700 #P08, Minneapolis,MN 55402-4413 | 842.39 | 5.94% | ||||||||
EMERGING MARKETS DEBT FUND CLASS A SHARES | Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 1,082,775.98 | 24.00% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 551,983.31 | 12.23% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 518,885.34 | 11.50% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 478,834.17 | 10.61% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City,NJ 07310-1995 | 368,317.18 | 8.16% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 357,585.58 | 7.93% | ||||||||
TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 | 238,942.61 | 5.30% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 429,290.17 | 28.84% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 307,069.70 | 20.63% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 169,836.46 | 11.41% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RR1, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 151,280.35 | 10.16% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 102,476.71 | 6.88% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 305,807 | 6.67% | |||||||
Class A | American Enterprise Investment SVC | 298,174 | 6.50% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 194,528 | 31.49% | |||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 86,597 | 14.02% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 84,250 | 13.64% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 70,918 | 11.48% | |||||||
Class C | American Enterprise Investment SVC | 69,864 | 11.31% | |||||||
Class C | LPL Financial | 46,903 | 7.59% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 83,273,655 | 32.65% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 39,430,647 | 15.46% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 34,456,067 | 13.51% | |||||||
Investor | American Enterprise Investment SVC | 32,489,552 | 69.18% | |||||||
Investor | LPL Financial | 7,930,125 | 16.89% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 3,209,101 | 6.83% | |||||||
Class R | Hartford Life Insurance Company | 36,938 | 39.40% | |||||||
Class R | National Financial Services LLC, FEBO Customers Mutual Funds | 16,474 | 17.57% | |||||||
Class R | GWFS Equities, Inc., Massachusetts Mutual Life Insurance, 1295 State St. MIP M200-INVST, Springfield, MA 01111-0001 | 12,607 | 13.45% | |||||||
Class R | National Financial Services, LLC, 100 Magellan Way, Covington, KY 41015-1987 | 10,649 | 11.36% | |||||||
Class R | GWFS Equities, Inc., Empower Trust FBO, 8515 E Orchard Rd. 2T2. Greenwood Vlg., Co 8011-5002 | 8,280 | 8.83% | |||||||
Class R | GWFS Equities, Inc., Capital Bank & Trust Company TTEE F, 8515 E Orchard Rd., 2T2, Greenwood Vlg., CO 80111-5002 | 4,767 | 5.08% | |||||||
Class R6 | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 53,544,188 | 77.66% | |||||||
Class R6 | Saxon & Co., PO Box 94597, Cleveland, OH 44101-4597 | 9,844,184 | 14.28% |
B-8
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 76,996.68 | 5.17% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City,NJ 07310-1995 | 29,772,947.83 | 34.70% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 14,357,717.57 | 16.73% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 9,690,513.78 | 11.29% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 7,396,161.68 | 8.62% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 5,776,895.07 | 6.73% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 3,073,100.67 | 38.84% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 2,063,934.90 | 26.08% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 1,704,777.65 | 21.55% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City,NJ 07310-1995 | 641,791.19 | 8.11% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 1,232,626.28 | 99.93% | |||||||
CLASS R6 SHARES | JP Morgan Securities LLC FBO Customers, Mutual Fund Dept., 3 Chase Metrotech Center, Fl. 3, Brooklyn, NY 11245-0001 | 5,483,376.45 | 28.27% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 23,936,415 | 99.99% | |||||||||
Goldman Sachs Balanced Strategy Portfolio | Class A | Edward D. Jones & Co. | 2,800,443 | 34.98% | ||||||||
Class A | State Street Bank and TR TTEE/Cust | 604,671 | 7.55% | |||||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 604,567 | 7.55% | |||||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 433,342 | 5.41% | |||||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 55,476 | 18.09% | |||||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 46,086 | 15.03% | |||||||||
Class C | The O N Equity Sales Co., Acensus Trust Compan, FBO ECM 401(K0/ Profit Sharing Plan 19623, PO Box 10758, Fargo, ND 58106-0758 | 37,559 | 12.25% | |||||||||
Class C | LPL Financial | 23,400 | 7.63% | |||||||||
Class C | Pershing, LLC | 20,457 | 6.67% | |||||||||
Class C | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 16,209 | 5.29% | |||||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 32,025,302 | 98.19% | |||||||||
Service | TCA Trustcorp America | 28,754 | 96.04% | |||||||||
Investor | State Street Bank and TR TTEE/Cust | 106,950 | 41.06% | |||||||||
Investor | LPL Financial | 66,731 | 25.62% | |||||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 48,822 | 18.75% | |||||||||
Investor | UBS WM USA | 25,881 | 9.94% | |||||||||
Class R | The Strategic Financial Alliance, Tapia Quality Products 401(K) Plan & Defined Benefit Plan, 1291 Thurston Ave., Los Altos, CA 94024-6865 | 376,386 | 42.26% | |||||||||
Class R | State Street Bank and TR TTEE/Cust | 341,194 | 38.31% | |||||||||
Class R | The Strategic Financial Alliance, Joseph H. De Vore TTEE, De Vore Packaging Inc. Defined Benefit Pension Plan, FBO Susan E. De Vore, 1010 Calle Cordillera, Ste. 107, San Clemente, CA 92673-6243 | 149,745 | 16.81% | |||||||||
Class R6 | State Street Bank Trustee and/or Cust | 59,089 | 29.75% | |||||||||
Class R6 | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 56,577 | 28.48% | |||||||||
Class R6 | Reliance Trust Company FBO Mission Tool, PO Box 78446. Atlanta, GA 30357 | 35,488 | 17.87% |
B-9
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Goldman Sachs Trust, State Street Bank & Tr Co Cust, GS Satellite Strategies Portfolio, Emerging Markets Debt, C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston,MA 02111-1888 | 4,529,329.03 | 23.36% | ||||||||
GWFS Equities Inc., Employee & Agent Pension Benefit Plan, GWLA Fin., 8515 E Orchard Rd. 2T2, Greenwood Village, CO 80111-5002 | 2,298,047.39 | 11.85% | ||||||||
Goldman Sachs Trust, State Street Bank & Tr Co Cust, GS Trust Growth & Income Strategy, Emerging Markets Debt, C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston, MA 02111-1888 | 1,870,428.99 | 9.64% | ||||||||
Goldman Sachs Trust, State Street Bank & Tr Co Cust, GS Trust Growth Strategy, Emerging Markets Debt, C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston,MA 02111-1888 | 1,736,371.23 | 8.95% | ||||||||
ENHANCED INCOME FUND CLASS A SHARES | Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 301,522.25 | 25.02% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RJ3, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 127,243.13 | 10.56% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 106,866.74 | 8.87% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 98,806.77 | 8.20% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City,NJ 07310-1995 | 91,605.31 | 7.60% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 86,085.03 | 7.14% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 61,855.01 | 5.13% | ||||||||
ADMINISTRATION SHARES | Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 364,291.04 | 98.21% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||||
Class R6 | Voya Financial Partners, LLC | 18,697 | 9.41% | |||||||||
Class R6 | Devenir LLC, Matrix Trust Company Cust. FBO HAS Bank – HSG, 717 17th St., Suite 1300, Denver, CO. 80202-3304 | 18,165 | 9.14% | |||||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 4,442,536 | 99.98% | |||||||||
Goldman Sachs Bond Fund | Class A | Edward D. Jones & Co. | 1,828,593 | 32.97% | ||||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 958,421 | 17.28% | |||||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 341,041 | 6.15% | |||||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 331,442 | 5.98% | |||||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 72,199 | 21.40% | |||||||||
Class C | American Enterprise Investment SVC | 49,862 | 14.78% | |||||||||
Class C | LPL Financial | 28,845 | 8.55% | |||||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 28,238 | 8.37% | |||||||||
Class C | Pershing, LLC | 28,450 | 8.43% | |||||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 24,056 | 7.13% | |||||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 19,639 | 5.82% | |||||||||
Class C | National Financial Services LLC, FEBO Customers Mutual Funds | 20,987 | 6.22% | |||||||||
Class C | UBS WM USA | 17,413 | 5.16% | |||||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 2,158,042 | 20.42% | |||||||||
Institutional | Voya Institutional Plan Services LLC, Voya Institutional TR Co as TTEE, Custodian for Core Market Solutions, 30 Braintree Hill Office Park, Braintree, MA 02184 | 2,043,022 | 19.33% | |||||||||
Institutional | Pershing LLC, PO Box 2052 | 1,854,516 | 17.55% | |||||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 903,784 | 8.55% | |||||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 725,011 | 6.86% | |||||||||
Service | MSCS Financial Services, LLC, PAI Trust Company, Inc., 1300 Enterprise Dr., De Pere, WI 54115-4934 | 10,551 | 85.45% |
B-10
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
INSTITUTIONAL SHARES | Reliance Trust Comoany/FIS, Vallee & Co. FBO FCB C/O Reliance Trust Co (WI), 480 Pilgrim Way – Suite 1000, Green Bay, WI 54304-5280 | 6,565,460.42 | 23.34% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City,NJ 07310-1995 | 5,428,802.51 | 19.30% | ||||||||
National Grid Insurance USA Ltd., 1 Metrotech Center, Brooklyn, NY 11201-3948 | 5,356,316.38 | 19.04% | ||||||||
Reliance Trust Comoany/FIS, Mitra & Co. FBO FCB C/O Reliance Trust Co (WI), 480 Pilgrim Way – Suite 1000, Green Bay, WI 54304-5280 | 3,449,674.77 | 12.27% | ||||||||
Reliance Trust Comoany/FIS, Mitra & Co. FBO FCB ERISA DB C/O Reliance Trust Co (WI), 480 Pilgrim Way – Suite 1000, Green Bay,WI 54304-5280 | 1,900,845.90 | 6.76% | ||||||||
TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 | 1,544,966.30 | 5.49% | ||||||||
INVESTOR SHARES | LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 599,334.00 | 77.81% | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 170,904.91 | 22.19% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 18,443,998.23 | 99.99% | |||||||
CLASS R6 SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 4,927,719.86 | 91.92% | |||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 319,221.86 | 5.95% | ||||||||
GLOBAL INCOME FUND CLASS A SHARES | Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 1,089,460.40 | 25.06% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 675,787.22 | 15.55% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 629,388.41 | 14.48% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Service | GSAM Holdings LLC Seed Account | 1,796 | 14.55% | |||||||
Investor | American Enterprise Investment SVC | 2,494,693 | 51.46% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 1,485,816 | 30.65% | |||||||
Investor | GWFS Equities, Inc., 8525 E Orchard Rd., Greenwood Vlg., CO 80111-5002 | 524,202 | 10.81% | |||||||
Investor | LPL Financial | 249,216 | 5.14% | |||||||
Class R | GWFS Equities, Inc., 1295 State St. MIP M200-INVST, Springfield, MA 01111-0001 | 162,729 | 56.20% | |||||||
Class R | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 43,684 | 15.09% | |||||||
Class R | Mid Atlantic Trust Company | 23,895 | 8.25% | |||||||
Class R | Principal Securities Inc. | 20,435 | 7.06% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 2,386,390 | 31.87% | |||||||
Class R6 | Empower Financial Services, Inc. | 976,241 | 13.04% | |||||||
Class R6 | Prudential PIMS/Retirement, as Nominee for the TTEE/CUST Pl 106, Profit Sharing and Salary, PO Box 5788, Portland, OR 97228-5788 | 498,608 | 6.66% | |||||||
Class R6 | Valic Financial Advisors, Inc., VRSCO FBO AIGFSB Cust TTEE FBO Coop School District of Greater St. Louis 403B, 2727-A Allen Parkway, 4-D1, Houston, TX 77019-2107 | 510,571 | 6.82% | |||||||
Class R6 | Valic Financial Advisors, Inc., VRSCO FBO AIGFSB Cust TTEE FBO Minneaspolis Public Schools 403B, 2727-A Allen Parkway, 4-D1, Houston, TX 77019-2107 | 464,206 | 6.20% | |||||||
Class R6 | Edward D. Jones & Co. | 379,595 | 5.07% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 9,445,562 | 99.88% | |||||||
Goldman Sachs China Equity Fund | Class A | Edward D. Jones & Co. | 140,089 | 26.91% | ||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 65,223 | 12.53% | |||||||
Class A | Pershing LLC, PO Box 2052 | 61,829 | 11.88% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 55,582 | 10.68% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 37,899 | 7.28% | |||||||
Class C | Stifel Nicolaus | 28,530 | 50.50% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 15,103 | 26.73% |
B-11
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PS4, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 412,085.50 | 9.49% | ||||||||
TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 | 325,868.75 | 7.50% | ||||||||
CLASS C SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 146,301.42 | 25.32% | |||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 88,150.66 | 15.26% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RR3, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 61,338.75 | 10.62% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 53,420.29 | 9.25% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 37,359.56 | 6.47% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 34,797.76 | 6.02% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 11,067,375.56 | 54.54% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 2,744,103.61 | 13.52% | ||||||||
Vanguard Fiduciary Trust Company, Attn: Outside Funds K22, PO Box 2600, Valley Forge, PA 19482-2600 | 1,274,475.20 | 6.28% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 1,270,332.03 | 6.26% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 1,812,801.41 | 43.11% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 3,060 | 5.42% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 118,260 | 31.78% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 94,033 | 25.27% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 39,615 | 10.65% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 29,839 | 8.02% | |||||||
Institutional | Stifel Nicolaus & Co. | 22,438 | 6.03% | |||||||
Investor | American Enterprise Investment SVC | 6,524 | 45.65% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 5,313 | 37.17% | |||||||
Investor | LPL Financial | 2,148 | 15.03% | |||||||
Class R6 | Edward D. Jones & Co. | 39,696 | 97.44% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 1,678,532 | 98.84% | |||||||
Goldman Sachs Clean Energy Income Fund | Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 229,679 | 66.22% | ||||||
Class A | Stiefel Nicolaus & Co | 35,220 | 10.15% | |||||||
Class A | Pershing LLC, PO Box 2052 | 31,607 | 9.11% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 19,964 | 5.76% | |||||||
Class C | American Enterprise Investment SVC | 35,308 | 68.01% | |||||||
Class C | National Financial Services LLC, FEBO Customers Mutual Funds | 8,294 | 15.97% | |||||||
Class C | Pershing LLC, PO Box 2052 | 7,345 | 14.15% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 514,129 | 65.13% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 137,118 | 17.37% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 60,847 | 7.71% | |||||||
Investor | American Enterprise Investment SVC | 151,007 | 50.76% | |||||||
Investor | LPL Financial | 94,418 | 31.74% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 30,074 | 10.11% | |||||||
Class R6 | GSAM Holdings LLC Seed Account | 5,565 | 62.45% | |||||||
Class R6 | Pershing LLC, PO Box 2052 | 1,811 | 20.32% | |||||||
Class R6 | Voya Financial Partners, LLC | 1,306 | 14.66% | |||||||
Goldman Sachs Commodity Strategy Fund | Class A | Edward D. Jones & Co. | 1,083,417 | 36.95% | ||||||
Class A | Pershing LLC, PO Box 2052 | 394,490 | 13.45% |
B-12
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 1,124,047.94 | 26.73% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 533,904.76 | 12.70% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 267,789.68 | 6.37% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 626,809.59 | 99.86% | |||||||
CLASS R6 SHARES | Goldman Sachs Trust, State Street Bank & Trust Co Cust, FBO Goldman Sachs Balanced Strategy, Omnibus A/C – Global Income Fund, C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston, MA 02111-1888 | 11,386,064.79 | 51.38% | |||||||
Goldman Sachs Trust, State Street Bank & Trust Co Cust, FBO Goldman Sachs Growth & Income Strategy, Omnibus A/C – Global Income Fund, C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston, MA 02111-1888 | 8,792,120.35 | 39.68% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 1,244,636.34 | 5.62 | ||||||||
SERVICE SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 50,055.11 | 79.32% | |||||||
Principal Securities, Inc., DCGT as TTEE and/or Cust. FBO PLIC various retirement plans, Omnibus, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 6,791.56 | 10.76% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 6,103.67 | 9.67% | ||||||||
GOVERNMENT INCOME FUND CLASS A SHARES | Hartford Life Insurance Company, Hartford Life Insurance Co. Separate Account 401, 1 Griffin Rd. N, Windsor, CT 06095-1512 | 1,181,713.89 | 21.16% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team 97PP7, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 535,579.67 | 9.59% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 247,998 | 8.46% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 218,326 | 7.45% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 171,217 | 5.84% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 425,023 | 69.30% | |||||||
Class C | Edward D. Jones & Co. | 47,377 | 7.73% | |||||||
Class C | Principal Securities Inc. | 30,682 | 5.00% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 18,862,614 | 57.39% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 6,572,555 | 20.00% | |||||||
Investor | American Enterprise Investment SVC | 2,454,950 | 47.90% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 1,322,738 | 25.81% | |||||||
Investor | LPL Financial | 1,168,818 | 22.81% | |||||||
Class R | Principal Securities Inc. | 70,343 | 18.21% | |||||||
Class R | GWFS Equities Inc., 1295 State St. MIP M200-INVST, Springfield, MA 01111-0001 | 59,742 | 15.46% | |||||||
Class R | Securities America, Inc., Ascensus Trust Company, PO Box 10758, Fargo, ND 58706-0758 | 49,902 | 12.92% | |||||||
Class R | GWFS Equities Inc., 8515 E Orchard Rd. 2T2, Greenwood Vlg., CO 80111-5002 | 29,689 | 7.68% | |||||||
Class R | GWFS Equities Inc., 8515 E Orchard Rd. 2T2, Greenwood Vlg., CO 80111-5002 | 20,752 | 5.37% | |||||||
Class R6 | Edward D. Jones & Co. | 8,042,591 | 50.06% | |||||||
Class R6 | Wells Fargo Bank NA FBO Omnibus Cash, PO Box 1533, Minneapolis, MN 55480-1533 | 6,934,125 | 43.16% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 30,561,090 | 99.99% | |||||||
Goldman Sachs Concentrated Growth Fund | Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 118,980 | 22.38% | ||||||
Class A | Edward D. Jones & Co. | 84,944 | 15.98% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 47,445 | 8.92% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 44,686 | 8.40% |
B-13
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
MSCS Financial Services LLC, Matrix Trust Company, Meek Lumber Co Retirement Plan, PO Box 52129, Phoenix, AZ 85072-2129 | 411,257.57 | 7.36% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 312,971.44 | 5.60% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 61,383.48 | 25.78% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RR6, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 54,028.47 | 22.69% | ||||||||
Mid Atlantic Capital Corp., Geo Imaging Solutions Inc. 401(k) PR, 2150 Town Square Pl Ste. 290, Sugar Land, TX 77479-1643 | 16,352.74 | 6.87% | ||||||||
FSC Securities Corp., Hillock Anodizing, Inc. 401k, 19 Legacy Oaks Dr., Richboro,PA 18954-2200 | 13,190.22 | 5.54% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 2,852,318.82 | 30.47% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 1,492,927.74 | 15.95% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 1,386,555.71 | 14.81% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 1,236,359.39 | 13.21% | ||||||||
Wells Fargo Bank NA, Wells Fargo Bank FBO Various Retirement Plans, 9888888836 NC 1151, 1525 West WT Harris BLVD, Charlotte, NC 28288-1076 | 472,384.56 | 5.05% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 35,283.16 | 33.87% | |||||||
Principal Securities, Inc., DCGT as TTEE and/or Cust. FBO PLIC various retirement plans, Omnibus, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 18,312.64 | 17.58% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class A | LPL Financial | 34,617 | 6.51% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 29,931 | 5.63% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 29,294 | 5.51% | |||||||
Class C | Pershing LLC | 37,089 | 59.68% | |||||||
Class C | National Financial Services LLC, FEBO Customers Mutual Funds | 12,345 | 19.86% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 6,318 | 10.17% | |||||||
Institutional | MSCS Financial Services, LLC, SEI Private Trust Company, C/O Principal Financial ID 636, Attn: Mutual Fund Administrator, 1 Freedom Valley, Dr., Oaks PA 19456-9989 | 133,706 | 25.15% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 214,652 | 40.38% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 133,706 | 25.15% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 30,078 | 5.66% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 265,917 | 99.44% | |||||||
Class R6 | Edward D. Jones & Co. | 83,677 | 84.08% | |||||||
Class R6 | MSCS Financial Services, LLC, PAI Trust Company, Inc., Smith Communication Partners, Inc., 1300 Enterprise Dr., De Pere, WI 54115-4934 | 14,650 | 14.72% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 265,917 | 99.44% | |||||||
Goldman Sachs Core Fixed Income Fund | Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 6,832,692 | 51.72% | ||||||
Class A | Edward D. Jones & Co. | 2,645,466 | 20.02% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 173,975 | 20.91% | |||||||
Class C | American Enterprise Investment SVC | 168,662 | 20.27% | |||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 68,279 | 8.20% | |||||||
Class C | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 51,133 | 6.14% |
B-14
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 17,717.85 | 17.01% | ||||||||
ADP/Broker Dealer Inc., State Street Bank Trustee and or Custodian FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 8,887.07 | 8.53% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 6,718.51 | 6.45% | ||||||||
Mid Atlantic Capital Corp., Mid Atlantic TR Co FBO BYL Risk Management LLC 401k PSP & Trust, 1251 Waterfront Pl. Ste. 525, Pittsburgh, PA 15222-4228 | 5,289.15 | 5.08% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 868,202.71 | 99.92% | |||||||
CLASS R SHARES | Hartford Life Insurance Company, Hartford Life Insurance Co. Separate Account 401, 1 Griffin Rd. N, Windsor, CT 06095-1512 | 910,158.56 | 66.48% | |||||||
MML Distributor, LLC, Mass Mutual Life Insurance, 1295 State St. MIP C105, Springfield, MA 01111-0001 | 145,285.09 | 10.61% | ||||||||
MML Distributors,LLC- PE, Reliance Trust Co., Custodian, FBO MassMutual Omnibus PE, PO Box 28004, Atlanta, GA 30358-0004 | 104,900.31 | 7.66% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 80,887.77 | 5.91% | ||||||||
CLASS R6 SHARES | MML Distributors LLC, Massachusetts Mutual Insurance Co., 1295 State Street, MIPM200-INVST, Springfield, MA 01111-0001 | 128,015.81 | 21.86% | |||||||
Reliance Trust Co., Reliance Trust Company, P.O. Box 48529, Atlanta, GA 30362-1529 | 100,724.38 | 17.20% | ||||||||
MSCS Financial Services LLC, SEI Private Trust Company C/O Johnson Bank ETS ID 243, Attn: Mutual Funds Administrator, One Freedom Valley Drive, Oaks, PA 19456-9989 | 77,696.54 | 13.27% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 53,045.79 | 9.06% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 48,027 | 5.77% | |||||||
Class C | Western International Sec, Inc., Smelly Mels Plumbing Inc., Goldman Sachs/ADP 401(K) Plan, 123 Manor Dr., Pacifica, CA 94044-1953 | 42,657 | 5.13% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 24,382,520 | 45.33% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 5,441,795 | 10.12% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 4,090,261 | 7.60% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 3,560,376 | 6.62% | |||||||
Institutional | TD Ameritrade Clearing Inc. | 3,062,240 | 5.69% | |||||||
Institutional | Mitra & CO FBO Z7 DC, C/O Reliance Trust Company WI, 4900 W Brown Deer Rd., Milwaukee, WI 53223-2422 | 2,980,415 | 5.54% | |||||||
Service | TCA Trustcorp America | 79,918 | 80.23% | |||||||
Service | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 13,717 | 13.77% | |||||||
Investor | American Enterprise Investment SVC | 14,761,931 | 51.50% | |||||||
Investor | LPL Financial | 8,594,905 | 29.98% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 4,629,337 | 16.15% | |||||||
Class R | State Street Bank and TR TTEE/Cust | 355,453 | 85.12% | |||||||
Class R | Ascensus Trust Company FBO, Envirotrac Ltd 401K Plan 197093, | 21,631 | 5.18% | |||||||
Class R6 | Goldman Sachs Asset Management LP, US Bank TT&SS Alternative Investments Custody FBO Childrens Health Foundation, 601 Childrens LN., Norfolk, VA 23507-1910 | 14,273,012 | 43.35% | |||||||
Class R6 | Goldman Sachs Direct Accts, Mac & Co A/C 470338 FBO GS 529 Plan Mutual Fund Operations, 500 Grant St., Room 151-1010, Pittsburgh, PA 15219-2502 | 13,300,480 | 40.40% | |||||||
Class R6 | Goldman Sachs Trust | 1,860,766 | 5.65% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 73,439,523 | 99.59% | |||||||
Goldman Sachs Dynamic Global Equity Fund | Class A | Edward D. Jones & Co. | 1,163,121 | 14.95% | ||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 861,322 | 11.07% |
B-15
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 51,251.90 | 8.75% | ||||||||
SERVICE SHARES | Security Benefit Life Insurance Co., UMB Bank NA, FBO Fiduciary for Tax Deferred Accts., 1 SW Security Benefit Pl., Topeka,KS 66636-1000 | 1,653,196.91 | 69.08% | |||||||
Hartford Life Insurance Co., Separate Account, 200 Hopmeadow St., Weatogue, CT 06089-9793 | 420,548.85 | 17.57% | ||||||||
Security Benefit Life Insurance Co., SBL Variable Annuity Acct XIV, 1 SW Security Benefit Pl., Topeka, KS 66636-1000 | 127,415.54 | 5.32% | ||||||||
HIGH QUALITY FLOATING RATE FUND CLASS A SHARES | LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 310,770.91 | 28.18% | |||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 210,742.47 | 19.11% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 207,315.47 | 18.80% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 140,230.26 | 12.72% | ||||||||
INSTITUTIONAL SHARES | Reliance Trust Company/FIS, Maril & Co. FBOSG, C/O Reliance Trust Company (WI), 480 Pilgrim Way Ste. 1000, Green Bay,WI 54304-5280 | 3,844,892.19 | 47.71% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,987,992.12 | 24.67% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 555,655.87 | 6.90% | ||||||||
INVESTOR SHARES | Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 707,306.67 | 50.33% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 638,355.29 | 45.42% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 29,253,292.53 | 99.60% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 713,649 | 9.17% | |||||||
Class A | State Street Bank and TR TTEE/Cust | 580,683 | 7.46% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 574,488 | 7.39% | |||||||
Class C | Sweeney & Associates, Inc., 38730 Sky Canyon Dr., Ste. C, Murrieta, CA 92563-2560 | 82,566 | 22.76% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 29,376 | 8.10% | |||||||
Class C | Acensus Trust Company FBO, Sato- American Metal 401(K) Plan 19375 | 22,597 | 6.23% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 305,238 | 36.27% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 139,714 | 16.60% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 133,836 | 15.90% | |||||||
Institutional | TD Ameritrade Clearing Inc. | 61,390 | 7.29% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 50,078 | 5.95% | |||||||
Service | National Financial Services LLC, FEBO Customers Mutual Funds | 5,296 | 37.28% | |||||||
Service | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 3,015 | 21.22% | |||||||
Service | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 2,264 | 15.94% | |||||||
Service | Principal Securities Inc. | 2,238 | 15.76% | |||||||
Service | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 949 | 6.68% | |||||||
Investor | State Street Bank and TR TTEE/Cust | 189,217 | 70.65% | |||||||
Investor | LPL Financial | 36,863 | 13.76% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 31,138 | 11.63% | |||||||
Class R | State Street Bank and TR TTEE/Cust | 308,840 | 98.97% | |||||||
Class R6 | Voya Financial Partners, LLC | 113,458 | 68.45% | |||||||
Class R6 | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 26,160 | 15.78% | |||||||
Class R6 | State Street Bank Trustee and or Custodian | 15,055 | 9.08% | |||||||
Class R6 | Edward D. Jones & Co. | 10,164 | 6.13% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 6,100,377 | 96.46% |
B-16
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS R6 SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 288,783.87 | 99.18% | |||||||
SERVICE SHARES | GWFS Equities Inc., Gilmore Obrien & Johansen TTEE FBO Producers Livestock Marketing ASSOC C/O Fascore LLC, 8515 E Orchard Rd. 2T2, Greenwood Village, CO, 80111-5002 | 6,082.56 | 42.75% | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 2,261.40 | 15.89% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 2,121.34 | 14.91% | ||||||||
Devon Bank, Attn: Trust Operations, 6445 N Western Ave. Ste. 300, Chicago, IL 60645-5494 | 1,909.67 | 13.42% | ||||||||
GWFS Equities Inc., Capital Bank & Trust Co. TTEE FBO, G Pucci & Sons Inc. 401k, 8515 E Orchard Rd. 2T2, Greenwood Village, CO, 80111-5002 | 1,673.12 | 11.76% | ||||||||
GS HIGH YIELD FLOATING RATE FUND CLASS A SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 111,206.59 | 29.69% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 74,363.63 | 19.85% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 67,332.38 | 17.98% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 41,472.50 | 11.07% | ||||||||
CLASS C SHARES | Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 23,867.82 | 22.36% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 21,862.87 | 20.48% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 20,449.39 | 19.16% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Goldman Sachs Dynamic Municipal Income Fund | Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 13,541,691 | 21.36% | ||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 9,060,651 | 14.29% | |||||||
Class A | Edward D. Jones & Co. | 8,504,652 | 13.41% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 6,120,983 | 9.65% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 5,946,302 | 9.38% | |||||||
Class A | American Enterprise Investment SVC | 4,067,334 | 6.42% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 3,197,532 | 5.04% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,803,066 | 25.07% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 1,243,413 | 17.29% | |||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 1,062,083 | 14.76% | |||||||
Class C | American Enterprise Investment SVC | 942,836 | 13.11% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 737,293 | 10.25% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 59,144,025 | 22.01% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 51,603,126 | 19.20% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 34,769,332 | 12.94% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 34,223,949 | 12.73% | |||||||
Institutional | UBS WM USA | 19,367,221 | 7.21% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 18,744,615 | 6.97% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 17,373,814 | 6.46% | |||||||
Service | TCA Trustcorp America | 1,285 | 83.48% | |||||||
Service | GSAM Holdings LLC Seed Account | 254 | 16.52% | |||||||
Investor | American Enterprise Investment SVC | 40,581,237 | 41.85% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 26,417,629 | 27.24% | |||||||
Investor | LPL Financial | 24,442,942 | 25.21% |
B-17
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 19,378.65 | 18.16% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 7,903.79 | 7.41% | ||||||||
INSTITUTIONAL SHARES | Goldman Sachs Asset Management, Advanced Series Trust AST Goldman Sachs Multi-Asset Portfolio, 655 Broad St. Fl. 17, Newark, NJ 07102-4419 | 5,444,250.65 | 40.10% | |||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 1,760,457.30 | 12.97% | ||||||||
JP Morgan Securities LLC FEBO Customers, Mutual Fund Dept., 3 Chase Metrotech Center, Fl. 3, Brooklyn, NY 11245-0001 | 1,710,673.44 | 12.60% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,618,608.60 | 11.92% | ||||||||
INVESTOR SHARES | Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 74,624.80 | 48.49% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 68,625.55 | 44.59% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 10,637.73 | 6.91% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 209,862,104.49 | 99.84% | |||||||
CLASS R SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,348.96 | 100% | |||||||
CLASS R6 SHARES | Goldman Sachs Trust, State Street Bank & Tr Co Cust, GS Satellite Strategies Portfolio, GS High Yield Floating Rate Fund C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston, MA 02111-1888 | 2,106,224.36 | 54.65% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R6 | Edward D. Jones & Co. | 6,511,616 | 72.60% | |||||||
Class R6 | Laciba & Co Cash/Cash, C/O Lake City Bank, 114 E Market St., Warsaw, IN 46580-2806 | 1,559,029 | 17.38% | |||||||
Class R6 | JP Morgan Securities, LLC, FEBO Customers, Mutual Fund Dept. | 684,759 | 7.64% | |||||||
Class P | Goldman Sachs & CO., | 112,191,269 | 99.19% | |||||||
Goldman Sachs Emerging Markets Debt Fund | Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 1,094,959 | 40.99% | ||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 365,933 | 13.70% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 301,347 | 11.28% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 286,076 | 10.71% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 268,219 | 52.02% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 74,146 | 14.38% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 45,563 | 8.84% | |||||||
Class C | Pershing LLC, PO Box 2052 | 28,024 | 5.43% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 6,794,242 | 18.10% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 6,823,432 | 18.18% | |||||||
Institutional | UBS WM USA | 3,838,377 | 10.23% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 3,549,399 | 9.46% | |||||||
Institutional | Goldman Sachs Trust | 3,168,474 | 8.44% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 3,118,433 | 8.31% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 2,832,532 | 7.55% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 2,012,562 | 5.36% | |||||||
Investor | American Enterprise Investment SVC | 786,959 | 52.10% | |||||||
Investor | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 333,214 | 22.06% | |||||||
Investor | LPL Financial | 156,026 | 10.33% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 152,893 | 10.12% |
B-18
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Goldman Sachs Trust, State Street Bank & Tr Co Cust, GS Trust Growth & Income Strategy, GS Financial Sq Government Fund, C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston, MA 02111-1888 | 9,120.35 | 23.67% | ||||||||
Goldman Sachs Trust, State Street Bank & Tr Co Cust, GS Trust Balanced Strategy, GS Financial Sq Government Fund, C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston, MA 02111-1888 | 6,974.39 | 18.10% | ||||||||
HIGH YIELD FUND CLASS A SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 5,185,786.50 | 21.34% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 2,235,466.65 | 9.20% | ||||||||
Hartford Life Insurance Company, Hartford Life Insurance Co. Separate Account 401, 1 Griffin Rd. N, Windsor, CT 06095-1512 | 1,893,134.82 | 7.79% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 1,770,843.42 | 7.29% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 1,535,686.57 | 6.32% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 507,271.35 | 24.54% | |||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 431,035.39 | 20.85% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RR4, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 219,792.21 | 10.63% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 212,889.24 | 10.30% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 124,566.98 | 6.03% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 103,410.84 | 5.00% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R6 | Goldman Sachs Trust | 3,847,960 | 25.18% | |||||||
Class R6 | Goldman Sachs Trust | 3,295,603 | 21.57% | |||||||
Class R6 | Empower Financial Services, Inc. | 2,266,194 | 14.83% | |||||||
Class R6 | Goldman Sachs Trust | 1,791,171 | 11.72% | |||||||
Class R6 | Goldman Sachs Direct Accounts, Mac & Co A/C 47034, 500 Grant Street, Room 151-1010, Pittsburgh, PA 15219-2502 | 978,319 | 6.40% | |||||||
Class R6 | Goldman Sachs Trust | 955,446 | 6.25% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 3,438,605 | 99.31% | |||||||
Goldman Sachs Emerging Markets Equity ex. China Fund | Class A | GSAM Holdings LLC Seed Account | 5,013 | 91.01% | ||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 495 | 8.99% | |||||||
Class C | GSAM Holdings LLC Seed Account | 5,013 | 100.00% | |||||||
Institutional | GSAM Holdings LLC Seed Account | 471,211 | 94.18% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 28,599 | 5.72% | |||||||
Investor | GSAM Holdings LLC Seed Account | 5,012 | 100.00% | |||||||
Class R | GSAM Holdings LLC Seed Account | 5,013 | 100.00% | |||||||
Class R6 | GSAM Holdings LLC Seed Account | 5,014 | 100.00% | |||||||
Class P | Goldman Sach & Co., C/O Mutual Fund Ops, 295 Chipeta Way, Salt Lake City, UT 84108-1285 | 122,822 | 96.08% | |||||||
Goldman Sachs Emerging Markets Equity Fund | Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 1,873,409 | 33.34% | ||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 546,378 | 9.72% | |||||||
Class A | Edward D. Jones & Co. | 488,134 | 8.69% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 448,060 | 7.97% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 416,131 | 7.41% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 326,032 | 5.80% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 288,416 | 30.71% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 221,905 | 23.63% | |||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 69,677 | 7.42% | |||||||
Class C | American Enterprise Investment SVC | 52,249 | 5.56% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 28,994,491 | 29.66% |
B-19
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 11,950,525.84 | 23.50% | |||||||
Factory Mutual Insurance Company, Pension Plan, 404 Wyman St. Ste. 390, Waltham, MA 02451-1275 | 11,698,240.91 | 23.01% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 3,806,893.36 | 7.49% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 3,085,250.17 | 6.07% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 1,467,462.73 | 54.28% | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 838,499.36 | 31.02% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 288,460.52 | 10.67% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 256,404,323.45 | 99.83% | |||||||
CLASS R SHARES | Hartford Life Insurance Company, Hartford Life Insurance Co. Separate Account 401, 1 Griffin Rd. N, Windsor, CT 06095-1512 | 1,595,584.00 | 82.03% | |||||||
MML Distributor, LLC, Mass Mutual Life Insurance, 1295 State St. MIP C105, Springfield, MA 01111-0001 | 253,254.11 | 13.02% | ||||||||
CLASS R6 SHARES | Goldman Sachs Trust, State Street Bank & Tr Co Cust, GS Satellite Strategies Portfolio, GS High Yield Fund C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston,MA 02111-1888 | 5,953,576.55 | 58.90% | |||||||
Goldman Sachs Trust, State Street Bank & Tr Co Cust, GS Trust Growth & Income, High Yield Fund C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston, MA 02111-1888 | 1,369,205.25 | 13.55% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 27,478,409 | 28.11% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 8,980,237 | 9.19% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 7,359,927 | 7.53% | |||||||
Service | UMB Bank NA, 1 SW Security Benefit Pl., Topeka, KS 66636-1000 | 739,513 | 74.19% | |||||||
Service | UMB Bank NA, 1 SW Security Benefit Pl., Topeka, KS 66636-1000 | 158,194 | 15.87% | |||||||
Investor | American Enterprise Investment SVC | 3,405,134 | 54.78% | |||||||
Investor | LPL Financial | 1,510,945 | 24.31% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 806,726 | 12.98% | |||||||
Class R6 | SEI Private Trust Company, C/O GWP US Advisors, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 1,686,720 | 22.21% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 1,329,376 | 17.51% | |||||||
Class R6 | Empower Financial Services, Inc. | 594,149 | 7.82% | |||||||
Class R6 | Edward D. Jones & Co. | 522,032 | 6.87% | |||||||
Class R6 | JP Morgan Securities, LLC, FEBO Customers, Mutual Fund Dept. | 498,292 | 6.56% | |||||||
Class R6 | Reliance Trust Company, PO Box 78446, Atlanta, GA 84108-1285 | 452,490 | 5.96% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 22,680,005 | 98.63% | |||||||
Goldman Sachs Emerging Markets Equity Insights Fund | Class A | State Street Bank and TR TTEE/Cust | 1,090,267 | 28.29% | ||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 388,832 | 10.09% | |||||||
Class C | Stifel Nicolaus & Co. | 156,028 | 33.96% | |||||||
Class C | Pershing LLC, PO Box 2052 | 57,162 | 12.44% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 55,189 | 12.01% | |||||||
Class C | LPL Financial | 53,175 | 11.57% | |||||||
Class C | American Enterprise Investment SVC | 48,662 | 10.59% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 39,288 | 8.55% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 48,610,314 | 33.45% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 26,163,238 | 18.00% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 23,408,365 | 16.11% |
B-20
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Goldman Sachs Trust, State Street Bank & Tr Co Cust, GS Trust Growth Strategy, High Yield Fund C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston, MA 02111-1888 | 1,252,417.66 | 12.39% | ||||||||
Goldman Sachs Trust, State Street Bank & Tr Co Cust, GS Trust Balanced Strategy, High Yield Fund C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston, MA 02111-1888 | 785,715.72 | 7.77% | ||||||||
SERVICE SHARES | Hartford Life Insurance Company, Hartford Life Insurance Co. Separate Account 401, 1 Griffin Rd. N, Windsor, CT 06095-1512 | 798,255.82 | 68.69% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 195,331.79 | 16.81% | ||||||||
MML Distributors,LLC- PE, Reliance Trust Co., Custodian, FBO MassMutual Omnibus PE, PO Box 28004, Atlanta, GA 30358-0004 | 67,605.82 | 5.82% | ||||||||
TCA TrustCorp America, 5301 Wisconsin Ave. NW, Fourth Floor, Washington, DC 20015-2047 | 60,278.77 | 5.19% | ||||||||
HIGH YIELD MUNICIPAL FUND CLASS A SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 9,089,049.85 | 21.36% | |||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 5,555,070.73 | 13.05% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 5,083,800.41 | 11.95% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 4,848,130.61 | 11.39% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 3,431,964.40 | 8.07% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 2,400,987.34 | 5.64% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 2,343,657.86 | 5.51% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | SEI Private Trust Company, C/O First Interstate Bank | 8,211,948 | 5.65% | |||||||
Investor | American Enterprise Investment SVC | 3,174,175 | 40.94% | |||||||
Investor | LPL Financial | 2,723,954 | 35.14% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 947,355 | 12.22% | |||||||
Class R | State Street Bank and TR TTEE/Cust | 2,304,395 | 85.37% | |||||||
Class R | Minnesota Life Insurance Company, 400 Robert St. N. Ste A, St. Paul, MN 55101-2099 | 242,352 | 8.98% | |||||||
Class R6 | GS Tax-Adv Global Equity Portfolio, C/O Fund Management Team, 200 West St. Fl 29, New York, NY 10282-2198 | 11,440,705 | 17.07% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 11,076,017 | 16.53% | |||||||
Class R6 | Goldman Sachs Trust | 8,154,030 | 12.17% | |||||||
Class R6 | Goldman Sachs Trust | 5,646,429 | 8.43% | |||||||
Class R6 | Vallee & CO FBO FCB, C/O Reliance Trust Company WI, 4900 W Brown Deer Rd., Milwaukee, WI 53223-2422 | 5,493,591 | 8.20% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 8,926,443 | 100.00% | |||||||
Goldman Sachs Energy Infrastructure Fund | Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 150,049 | 69.62% | ||||||
Class A | Pershing LLC, PO Box 2052 | 56,152 | 26.05% | |||||||
Class C | Pershing LLC, PO Box 2052 | 44,844 | 100.00% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 2,304,395 | 85.37% | |||||||
Institutional | LPL Financial | 947,355 | 12.22% | |||||||
Investor | GSAM Holdings LLC Seed Account | 6,715 | 96.65% | |||||||
Class R | GSAM Holdings LLC Seed Account | 6,531 | 62.93% | |||||||
Class R | Matrix Trust Company as Agent for Advisor Trust Inc, 717 17th St. Ste. 1300, Denver, CO 80202-3304 | 3,848 | 37.07% | |||||||
Class R6 | Goldman Sachs Trust | 6,961,783 | 88.57% | |||||||
Class R6 | Goldman Sachs Trust | 511,913 | 6.51% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 25,992,762 | 99.28% | |||||||
Goldman Sachs Enhanced Dividend Global Equity Portfolio | Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 105,009 | 45.98% | ||||||
Class A | Pershing LLC, PO Box 2052 | 28,673 | 12.56% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 14,724 | 6.45% | |||||||
Class A | TD Ameritrade Clearing Inc. | 14,049 | 6.15% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 12,318 | 5.39% |
B-21
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 2,222,959.36 | 5.22% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 2,222,526.60 | 30.06% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 1,021,978.15 | 13.82% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 713,981.32 | 9.66% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 604,923.66 | 8.18% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 566,455.56 | 7.66% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 505,895.44 | 6.84% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 505,196.29 | 6.83% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 15,217,574.66 | 15.89% | |||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 11,772,428.17 | 12.29% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 10,192,617.03 | 10.64% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 9,203,341.59 | 9.61% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 8,055,047.90 | 8.41% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 294,509 | 42.71% | |||||||
Institutional | TD Ameritrade Clearing Inc. | 182,329 | 26.44% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 41,154 | 5.97% | |||||||
Class R6 | GSAM Holdings LLC Seed Account | 1,127 | 100.00% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 32,172,741 | 98.48% | |||||||
Goldman Sachs Enhanced Income Fund | Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 373,482 | 27.62% | ||||||
Class A | Edward D. Jones & Co. | 169,738 | 12.55% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 143,813 | 10.63% | |||||||
Class A | LPL Financial | 114,924 | 8.50% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 83,130 | 6.15% | |||||||
Administration | Pershing LLC | 578,354 | 99.36% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 8,357,173 | 33.56% | |||||||
Institutional | National grid Insurance USA, Ltd., 1 Metrotech Center, Brooklyn, NY 11201-3948 | 6,008,399 | 24.12% | |||||||
Institutional | Rutgers the State University, 33 Knightsbridge Rd., Fl 2 West, Piscataway, NJ 08854-3987 | 5,533,550 | 22.22% | |||||||
Institutional | Penchecks, Inc., 8580 La Mesa Blvd., Ste 100, La Mesa, CA 91942-9539 | 1,743,750 | 7.00% | |||||||
Service | National Financial Services LLC, FEBO Customers Mutual Funds | 28,834 | 96.32% | |||||||
Investor | LPL Financial | 685,889 | 81.58% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 98,423 | 11.71% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 263,816 | 51.12% | |||||||
Class R6 | Edward D. Jones & Co. | 240,928 | 46.68% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 29,320,356 | 82.85% | |||||||
Class P | National Financial Services LLC, FEBO Customers Mutual Funds | 3,578,978 | 10.11% | |||||||
Class P | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 2,485,430 | 7.02% | |||||||
Goldman Sachs Equity Income Fund | Class A | Edward D. Jones & Co. | 3,752,065 | 53.44% | ||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 23,434 | 20.57% | |||||||
Class C | Mid Atlantic Trust Company | 10,147 | 8.91% |
B-22
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 7,312,391.26 | 7.64% | ||||||||
MSCS Financial Services LLC, Zions First National Bank 0, PO Box 30880, Salt Lake City, UT 84130-0880 | 6,441,959.92 | 6.73% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 5,458,325.09 | 5.70% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 8,623,762.80 | 29.05% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 8,492,605.67 | 28.61% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 5,252,866.08 | 17.70% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 3,395,456.86 | 11.44% | ||||||||
RBC Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus Processing, Omnibus, Attn: Mutual Fund Ops. Manager, 60 S 6th St. Ste. 700 #P08, Minneapolis,MN 55402-4413 | 1,934,250.82 | 6.52% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 633,929,043.15 | 98.72 | |||||||
CLASS R6 SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,134.24 | 100% | |||||||
INFLATION PROTECTED SECURITIES FUND CLASS A SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RS6, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 1,776,465.73 | 35.39% | |||||||
MSCS Financial Services LLC, Trukan & Co., PO Box 3699, Wichita, KS 67201-3699 | 976,730.45 | 19.46% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 270,188.89 | 5.38% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Pershing LLC, PO Box 2052 | 9,865 | 8.66% | |||||||
Class C | Ascensus Trust Company FBO, Family Medicine Associates 401(K)/P 036155 | 9,360 | 8.22% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 6,361 | 5.58% | |||||||
Institutional | Matrix Trust Company Custodian FBO Flushing Savings Bank, PO Box 52129, Phoenix, AZ 85072-2129 | 174,992 | 29.06% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 114,843 | 19.07% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 54,768 | 9.09% | |||||||
Institutional | Reliance Trust Co, 201 17th NW Ste. 1000, Atlanta, GA 30363-1195 | 48,728 | 8.09% | |||||||
Service | National Financial Services LLC, FEBO Customers Mutual Funds | 1,390 | 63.78% | |||||||
Service | Edward D. Jones & Co. Attn: Mutual Fund Shareholder Accounting, 201 Progress Pkwy, Maryland Hts., MO 63043-3042 | 355 | 16.26% | |||||||
Service | Vanguard Brokerage Services, A/C 8249-3614, PO Box 982901, El Paso, TX 79998-2901 | 217 | 9.94% | |||||||
Service | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 185 | 8.49% | |||||||
Investor | American Enterprise Investment SVC | 35,221 | 33.92% | |||||||
Investor | LPL Financial | 33,195 | 31.97% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 32,252 | 31.06% | |||||||
Class R | Pam O’ FBO Meadlist Golf Inc, 327 Dahlonega St., Ste 1005, Cumming, GA 300408210 | 9,944 | 62.09% | |||||||
Class R | Mid Atlantic Clearing and Settlement, William Grischo FBO Explore Communications Inc. 401(K) P, 3213 Zuni St., Denver, Co., 80211-3355 | 2,083 | 13.01% | |||||||
Class R | National Financial Service, 100 Magellan Way, Covington, KY 41015-1987 | 1,090 | 6.80% | |||||||
Class R6 | Edward D. Jones & Co. | 146,032 | 98.07% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 1,589,028 | 99.33% | |||||||
Goldman Sachs ESG Emerging Markets Equity Fund | Class A | TD Ameritrade Clearing Inc. | 65,330 | 29.15% | ||||||
Class A | American Enterprise Investment SVC | 40,413 | 18.03% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 21,352 | 9.53% |
B-23
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 258,692.08 | 5.15% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 118,511.36 | 42.67% | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 41,973.43 | 15.11% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 15,478.42 | 5.57% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 14,709.74 | 5.30% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 4,383,868.74 | 30.27% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 1,901,023.41 | 13.13% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 1,363,021.60 | 9.41% | ||||||||
MSCS Financial Services LLC, Trukan & Co., PO Box 3699, Wichita, KS 67201-3699 | 961,963.12 | 6.64% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 771,511.58 | 5.33% | ||||||||
INVESTOR SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 657,406.29 | 36.42% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 316,259.42 | 17.52% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 311,941.20 | 17.28% | ||||||||
MSCS Financial Services LLC, Matrix Trust Company, FBO Texas Roadhouse Management, Corp. Deferred Compensation Plan, PO Box 52129, Phoenix, AZ 85072-2129 | 170,173.30 | 9.43% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class A | UBS WM USA | 14,348 | 6.40% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 14,025 | 6.26% | |||||||
Class A | LPL Financial | 13,603 | 6.07% | |||||||
Class A | Pershing LLC, PO Box 2052 | 12,794 | 5.71% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 11,818 | 5.27% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 11,749 | 5.24% | |||||||
Class C | RBC Capital Markets Corporation | 7,616 | 80.91% | |||||||
Class C | GSAM Holdings LLC Seed Account | 805 | 8.55% | |||||||
Institutional | Charles Schwab & Co., | 1,594,226 | 79.18% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 263,080 | 13.07% | |||||||
Investor | American Enterprise Investment SVC | 35,022 | 62.62% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 14,038 | 25.10% | |||||||
Investor | LPL Financial | 4,435 | 7.93% | |||||||
Class R | Matrix Trust Company as Agent for Advisor Trust, Inc., 717 17th St., Ste 1300, Denver, CO 80202-3304 | 14,624 | 57.65% | |||||||
Class R | Matrix Trust Company as Agent for Advisor Trust, Inc., 717 17th St., Ste 1300, Denver, CO 80202-3304 | 7,667 | 30.23% | |||||||
Class R | Matrix Trust Company as Agent for Advisor Trust, Inc., 717 17th St., Ste 1300, Denver, CO 80202-3304 | 1,806 | 7.12% | |||||||
Class R6 | Empower Financial Services, LLC | 1,014 | 50.35% | |||||||
Class R6 | GSAM Holdings LLC Seed Account | 795 | 39.47% | |||||||
Class P | Goldman Sachs & Co., C/O Mutual Funds OPS, 295 Chipeta Way, Salt Lake City, UT 84108-1285 | 1,529,550 | 99.89% | |||||||
Goldman Sachs Financial Square Federal Instruments Fund | Administration | American Enterprise Investment SVC | 56,548,409 | 37.91% | ||||||
Administration | Amalgamated Bank of Chicago, Attn: Debra Outlaw, 30 N. Lasalle St. 38th Fl., Chicago, IL 60602-2590 | 47,232,313 | 31.66% | |||||||
Administration | Pershing LLC, FBO Customers | 18,191,262 | 12.19% | |||||||
Administration | Goldman Sachs & Co. LLC, FBO ANHE, 30 Hudson St. Fl 5, Jersey City, NJ 073024699 | 9,637,866 | 6.46% | |||||||
Administration | Goldman Sachs & Co. LLC, FBO AWAJ, 30 Hudson St. Fl 5, Jersey City, NJ 073024699 | 8,339,562 | 5.59% | |||||||
Capital | GSAM Holdings LLC Seed Account | 54,202 | 100.00% |
B-24
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 10,739,605.90 | 99.99% | |||||||
CLASS R SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 306,353.22 | 21.47% | |||||||
CLASS R6 SHARES | ADP/Broker Dealer Inc., State Street Bank and Trust AS, Trustee and/or Custodian, FBO ADOP Access Product, 1 Lincoln St., Boston, MA 02111-2901 | 1,178,710.94 | 29.69% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,062,821.47 | 26.78% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis, MO 63131-3710 | 661,428.02 | 16.66% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 393,852.35 | 9.92% | ||||||||
INVESTMENT GRADE CREDIT FUND CLASS A SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 213,976.26 | 24.02% | |||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 180,604.02 | 20.27% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 128,229.03 | 14.39% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 64,043.70 | 7.19% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 60,632.82 | 6.81% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 3,380,712.50 | 71.64% | |||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 676,992.11 | 14.35% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Cash Management | Pershing LLC, FBO Customers | 15,103,934 | 99.65% | |||||||
Class D | UBS WM USA | 12,015,944 | 99.92% | |||||||
Institutional | Goldman Sachs & Co., 295 Chipeta Way, FL 4, Salt Lake City, UT 84108-1285 | 3,127,915,347 | 56.99% | |||||||
Institutional | Wells Fargo Bank NA | 375,695,223 | 6.85% | |||||||
Institutional | BOFA Securities, Inc., 200 N. College St., 3rd Floor North, Charlotte, NC 28202-2191 | 276,726,519 | 5.04% | |||||||
Service | TMI Trust Company, 1215 N. West Shore Blvd., Ste. 750, Tampa, FL 33607-3924 | 26,146,417 | 72.16% | |||||||
Service | Amalgamated Bank of Chicago, Attn: Debra Outlaw, 30 N. Lasalle St. 38th Fl., Chicago, IL 60602-2590 | 9,191,742 | 25.37% | |||||||
Class P | Pershing LLC, FBO Customers | 132,501,125 | 99.96% | |||||||
Goldman Sachs Financial Square Government Fund | Class A | Edward D. Jones & Co., Attn: Mutual Fund Shareholder Accounting, 12555 Manchester Rd., Maryland Hts., MO 63043 | 1,296,142,575 | 71.23% | ||||||
Class A | RBC Capital Markets Corporation | 307,190,168 | 16.88% | |||||||
Class A | Pershing LLC, PO Box 2052 | 115,311,324 | 6.34% | |||||||
Administration | Hanco, C/O Hancock Whitney Bank Trust Div, 2285 Lakeshore Dr., Bldg 4, New Orleans, LA 70122-3533 | 2,169,354,833 | 23.57% | |||||||
Administration | Mori & Co, Commerce Bank of Kansas City, Attn: Trust Operations, 911 Main St., Ste 201, Kansas City, MO 64105-5304 | 2,169,354,833 | 20.10% | |||||||
Administration | M&T Bank, Tice & Co., C/O M&T Trust Co, PO Box 1377, Buffalo, NY 14240-1377 | 645,577,359 | 7.02% | |||||||
Administration | Amalgamated Bank of Chicago, Attn: Debra Outlaw, 30 N. Lasalle St. 38th Fl., Chicago, IL 60602-2590 | 488,725,960 | 5.31% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,548,466 | 30.13% | |||||||
Class C | Western International Sec, Inc., Smelly Mels Plumbing Inc., Goldman Sachs/ADP 401(K) Plan, 123 Manor Dr., Pacifica, CA 94044-1953 | 431,624 | 8.40% | |||||||
Class C | Goldman Sachs Direct EX DLR Accts, Rocky Run Family Medicine, Goldman Sachs/ADP 401K Plan, ADP Plan #100645, 5645 Stone Rd., Centreville, VA 20120-1618 | 420,816 | 8.19% | |||||||
Class C | Morgan Stanley Smith Barney LLC, Garrod Trust, ADP Plan #100504, Goldman Sachs/ADP 401K Plan, 22600 Eden Rd., Saratoga, CA 95070-9758 | 409,733 | 7.97% |
B-25
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 362,031.57 | 7.67% | ||||||||
SEPARATE ACCOUNT INSTITUTIONAL SHARES | GS PWM INSTL Class, Goldman, Sachs & CO. FBO ACCT# 021117726 C/O Mutual Fund OPS 200, West Street, New York, NY 10282-2198 | 2,095,350.56 | 8.74% | |||||||
GS PWM INSTL Class, Goldman, Sachs & CO. FBO ACCT# 021117601 C/O Mutual Fund OPS 200, West Street, New York, NY 10282-2198 | 1,523,745.10 | 6.35% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 285,056.76 | 78.30% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 36,404.00 | 10.00% | ||||||||
Mid Atlantic Capital Corp., Mid Atlantic Trust Company FBO Liberty National Bank Safe Harbor 401(k) Profit Sharing Plan, 1251 Waterfront Pl. Ste. 525, Pittsburgh,PA 15222-4228 | 35,040.93 | 9.63% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 20,368,197.21 | 99.99% | |||||||
CLASS R6 SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 96,277.26 | 97.83% | |||||||
LOCAL EMERGING MARKETS DEBT FUND CLASS A SHARES | Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 215,125.73 | 22.07% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 161,791.02 | 16.60% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 133,519.86 | 13.70% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 121,132.83 | 12.43% | ||||||||
TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 | 98,786.50 | 10.13% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 60,587.40 | 6.22% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Goldman Sachs Direct EX DLR Accts., Stracq Inc DBA Stryka Botanics, Goldman Sachs/ADP 401K Plan, ADP Plan #170019, 239 Homestead Rd., Hillsborough, NJ 08844-1913 | 257,681 | 5.01% | |||||||
Capital | TD Banknorth NA, Attn: Deposit Accounting ME091-31N, PO Box 1377, Lewiston, ME 04243-1377 | 963,488,537 | 32.68% | |||||||
Capital | Maril & Co., FBO Synovus Trust Co., 4900 W Brown Deer Rd., Milwaukee, WI 53223-2422 | 494,826,113 | 16.78% | |||||||
Capital | Hanco, C/O Hancock Whitney Bank Trust Div, 2285 Lakeshore Dr., Bldg 4, New Orleans, LA 70122-3533 | 312,254,753 | 10.59% | |||||||
Capital | MSCS Financial Services, LLC, Statevest & Co., PO Box 2499, Brattleboro, VT 05303-2499 | 206,127,100 | 6.99% | |||||||
Capital | SEI Private Trust Company, C/O Regions Bank | 196,741,424 | 6.67% | |||||||
Capital | Parkside Financial Bank & Trust, 8112 Maryland Ave., Ste 101, St. Louis, MO 63105-3700 | 179,161,664 | 6.08% | |||||||
Cash Management | Pershing LLC, FBO Customers | 334,262,685 | 99.41% | |||||||
Class D | UBS WM USA | 92,829,895 | 99.99% | |||||||
Drexel Hamilton | JP Morgan Securities LLC – Chase Processing 28521, JPMS IB 352, FBO 7528075117075, FBO Facebook, Inc., 4 Chase Metrotech Center, 7th Fl., Brooklyn, NY 11245-0001 | 4,335,000,000 | 41.37% | |||||||
Drexel Hamilton | Microsoft Capital Group LLC, Attn: Treasury Department, One Microsoft Way, Redmond, WA 98052-8300 | 2,335,000,000 | 22.29% | |||||||
Drexel Hamilton | Nasdaq, Inc. Attn: Treasury Services, 151 W 42nd St., New York, NY 10036-6563 | 599,192,059 | 5.72% | |||||||
Institutional | Hare & Co. | 15,389,071,413 | 7.01% | |||||||
Institutional | Wells Fargo Bank NA | 14,084,483,035 | 6.42% | |||||||
Service | MSCS Financial Services, LLC, Statevest & Co., PO Box 2499, Brattleboro, VT 05303-2499 | 340,269,085 | 23.19% | |||||||
Service | SEI Private Trust Company. C/O Regions Bank | 184,054,890 | 12.55% | |||||||
Service | MSCS Financial Services, LLC, Matrix Trust Company as Agent for Newport Trust Company, NTC Individual Retirement Account, 35 Iron Point Circle, Suite 330, Folsom, CA 95630-8589 | 138,605,989 | 9.45% |
B-26
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 53,601.75 | 5.50% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis, MO 63131-3710 | 48,949.14 | 5.02% | ||||||||
CLASS C SHARES | LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 224,270.47 | 42.71% | |||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 84,061.72 | 16.01% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 61,261.31 | 11.67% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 40,957.11 | 7.80% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 34,421.04 | 6.56% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 27,986.64 | 5.33% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,806,440.93 | 42.42% | |||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 622,955.32 | 14.63% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 595,805.86 | 13.99% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 391,755.88 | 9.20% | ||||||||
MSCS Financial Services LLC, Naidot & Co, C/O Bessemer Trust Co, 100 Woodbridge Center DR Woodbridge, NJ 07095-1162 | 223,944.65 | 5.26% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Service | TMI Trust Company, 1215 N. West Shore Blvd., Ste. 750, Tampa, FL 33607-3924 | 90,361,504 | 6.16% | |||||||
Preferred | M&T Bank, Tice & Co., C/O M&T Trust Co, PO Box 1377, Buffalo, NY 14240-1377 | 1,139,323,047 | 59.50% | |||||||
Preferred | Pershing LLC, FBO Customers | 183,167,834 | 9.57% | |||||||
Preferred | Mori & Co, Commerce Bank of Kansas City, Attn: Trust Operations, 911 Main St., Ste 201, Kansas City, MO 64105-5304 | 105,355,786 | 5.50% | |||||||
Premier | Bank of Oklahoma, PO Box 2180, Tulsa, OK 74101-2180 | 74,305,696 | 42.96% | |||||||
Premier | LPL Financial | 62,665,217 | 36.23% | |||||||
Resource | American United Life Insurance Co | 4,329,916 | 52.06% | |||||||
Resource | American United Life Insurance Co | 3,985,585 | 47.92% | |||||||
Class R6 | Goldman Sachs Trust, Tactical Exposure Fund, Attn: Gordon Lui | 144,117,458 | 50.32% | |||||||
Class R6 | Principal Securities Inc. | 37,209,098 | 12.99% | |||||||
Class R6 | Goldman Sachs Trust, GS Multi-Manager Global Equity Fund | 19,099,586 | 6.67% | |||||||
Class R6 | American United Life Insurance Co | 17,060,611 | 5.96% | |||||||
Class R6 | American United Life Insurance Co | 15,080,609 | 5.27% | |||||||
Select | BOKF, NA., Muscogee Creek Nation Invest Savings Ops., Attn: Patricia Kilian, PO Box 580, Okmulgee, OK 74447-0580 | 160,280,971 | 10.91% | |||||||
Select | Cachematrix Holdings, LLC, Citizens Bank NA., Attn: Commercial Banking, Treasury Solutions Product, One Citizens Plaza, Providence, RI 02903-1345 | 159,013,370 | 10.82% | |||||||
Select | Wells Fargo Bank NA | 126,403,818 | 8.60% | |||||||
Select | LPL Financial LLC as Agent for the Exclusive Benefit for its Customers, Attn: Cinthya Leite | 79,715,353 | 5.43% | |||||||
Select | Hanco, C/O Hancock Whitney Bank Trust Div, 2285 Lakeshore Dr., Bldg 4, New Orleans, LA 70122-3533 | 77,112,000 | 5.25% | |||||||
Loop | Microsoft Capital Group LLC, Attn: Treasury Department, One Microsoft Way, Redmond, WA 98052-8300 | 2,250,000,000 | 40.77% | |||||||
Loop | Google LLC, 1600 Amphitheatre Pkwy, Mountain View, CA 94043-1351 | 2,231,149,570 | 40.43% | |||||||
Seelaus | Activision Publishing Inc. Attn: Corporate Treasury, 3100 Ocean Park Blvd., Santa Monica, CA 90405-3032 | 622,461,546 | 27.97% | |||||||
Seelaus | Dowdupont Inc., 974 Centre Rd., Blg 730, Wilmington, DE 19805-1269 | 900,000,000 | 40.44% |
B-27
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 968,338.82 | 82.73% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 124,352.67 | 10.62% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 6,791,204.58 | 94.70% | |||||||
CLASS R6 SHARES | Goldman Sachs Trust, State Street Bank & Tr Co Cust, GS Satellite Strategies Portfolio, Local Emerging Markets Debt C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston, MA 02111-1888 | 2,852,068.93 | 42.39% | |||||||
Goldman Sachs Trust, State Street Bank & Tr Co Cust, GS Trust Growth & Income, Local Emerging Markets Debt C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston, MA 02111-1888 | 1,601,493.15 | 23.80% | ||||||||
Goldman Sachs Trust, State Street Bank & Tr Co Cust, GS Trust Growth Strategy, Local Emerging Markets Debt C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston,MA 02111-1888 | 1,387,316.03 | 20.62% | ||||||||
Goldman Sachs Trust, State Street Bank & Tr Co Cust, GS Trust Balanced Strategy, Local Emerging Markets Debt C/O State Street Corporation, 2 Avenue De Lafayette Fl 6 Boston, MA 02111-1888 | 880,018.35 | 13.08% | ||||||||
LONG SHORT CREDIT STRATEGIES FUND CLASS A SHARES | Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 80,062.63 | 37.66% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 36,335.02 | 17.09% | ||||||||
RBC Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus Processing, Omnibus, Attn Mutual Fund Ops Manager, 60 S 6th ST. Ste. 700 #P08, Minneapolis,MC 55402-4413 | 24,542.49 | 11.55% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 22,379.94 | 10.53% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Seelaus | Anthropic PBC., 548 Market St., OMB 90375, San Francisco, CA 94104-5401 | 236,629,613 | 10.63% | |||||||
Seelaus | The Walt Disney Company, 500 S. Buena Vista St., Burbank, CA 91521-0001 | 150,856,460 | 6.78% | |||||||
Goldman Sachs Financial Square Money Market Fund | Administration | Citibank NA, FBO 124556, Attn: Johaira Rivera, 480 Washington Blvd., Fl 30, Jersey City, NJ 07310-2053 | 2,474,903 | 87.56% | ||||||
Administration | Band & CO Institutional Trust, C/O US Bank NA, 1555 N Rivercenter Dr. Ste 203, Milwaukee, WI 532123958 | 154,546 | 5.47% | |||||||
Institutional | BOFA Securities Inc., for the Benefit of its Customers, 200 N College St., 3rd Flr North, Charlotte, NC 28202-2191 | 389,138,067 | 16.97% | |||||||
Institutional | Spotify USA Inc., Attn: Treasury, 4 World Trade Center, New York, NY 10007-0042 | 251,853,688 | 10.98% | |||||||
Institutional | JP Morgan Chase Bank NA, FBO Its Customers Third Party Indy Sweep Non Disclosed, 10410 Highland Manor Dr., Fl 3, Tampa, Fl 33610-9128 | 219,833,622 | 9.59% | |||||||
Institutional | Cachematrix Holdings, LLC, 2000 Purchase St., Purchase, NY 10577-2509 | 136,076,214 | 5.93% | |||||||
Institutional | Cachematrix Holdings, LLC, C/O 40/86 Advisors Inc., 535 N. College Dr., Camel, IN 46032-5622 | 128,953,283 | 5.62% | |||||||
Service | Goldman Sachs Direct Ex DLR Accts, James Leonard Chapman, Brenda Chapman, 30 Moreno Point Rd., PH 701C, Destin, FL 32541-3186 | 1,143 | 41.59% | |||||||
Service | GSAM Holdings LLC Seed Account | 1,081 | 39.33% | |||||||
Service | One Bank & Trust NA, Threadway Properties Building Fund, Attn: Melanie Ellis, 300 W Capitol Ave., Little Rock, AR 722101-3544 | 522 | 19.01% | |||||||
Preferred | Bank Leumi USA, Eyal Arad, 425 E 58th St., Apt 16D, New York, NY 10022-2379 | 63,468 | 92.65% | |||||||
Preferred | Goldman Sachs Direct Ex DLR Accts, Hamilton Engineering & Surveying Inc., Attn: Jack S Hamilton Jr., 3409 W Lemon St., Tampa, Fl 33609-1433 | 3,934 | 5.74% | |||||||
Select | Wells Fargo Bank NA | 3,025,674 | 66.80% | |||||||
Select | BOKF, NA., Bonray Investments, LLC, 1313 E 45th St., Shawnee, OK 74804-2214 | 905,765 | 20.00% | |||||||
Select | BOKF, NA., HBH Enterprises Limited Partnership, Attn: Philip Day VP, 1313 45th St., Shawnee, OK 74804-2214 | 598,112 | 13.20% |
B-28
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 15,447.01 | 7.27% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 12,583.33 | 5.92% | ||||||||
TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 | 11,717.60 | 5.51% | ||||||||
CLASS C SHARES | Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 30,633.49 | 34.09% | |||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 22,326.85 | 24.84% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 11,835.47 | 13.17% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 8,043.27 | 8.95% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 6,502.07 | 7.23% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 4,532.50 | 5.04% | ||||||||
INSTITUTIONAL SHARES | UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 813,598.84 | 33.66% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 469,640.23 | 19.43% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 416,746.94 | 17.24% | ||||||||
TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 | 262,816.90 | 10.87% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Goldman Sachs Financial Square Prime Obligations Fund | Administration | Citibank NA, FBO Escrow Concentration A/C 122089, Attn: Joyce Glencamp, 480 Washington Blvd., Fl 30, Jersey City, NJ 07310-2053 | 5,185,366 | 80.42% | ||||||
Administration | Greatbanc Trust Company, Anbee & CP, C/O Greatbanc Trust Company, 801 Warrenville Rd., St 500, Lisle, IL 60532-4347 | 1,072,764 | 16.64% | |||||||
Capital | BOKF, NA., Actus Holdings, LLC, 3100 Norge Rd., Chickasha, OK 73018-6169 | 332,275 | 79.81% | |||||||
Capital | BOKF, NA., BBJ, LLC., PO Box 18298, Oklahoma City, OK 73154-0298 | 53,877 | 12.94% | |||||||
Capital | BOKF, NA., Mackellar, Inc., PO Box 18298, Oklahoma City, OK 73154-0298 | 28,687 | 6.89% | |||||||
Drexel Hamilton | Drexel Hamilton LLC, BKV Corporation, 1200 17th St., Ste 2100, Denver, CO 80202-5829 | 9,993,005 | 99.70% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,253,460,769 | 39.97% | |||||||
Institutional | LPL Financial | 776,774,133 | 24.77% | |||||||
Institutional | Wells Fargo Bank NA | 469,706,551 | 14.98% | |||||||
Preferred | BOKF, NA., Simergent LLC, 11Ne 11th St., Oklahoma City, OK 73104-1417 | 10,573 | 90.56% | |||||||
Preferred | GSAM Holdings LLC Seed Account | 1,101 | 9.43% | |||||||
Select | BOKF, NA., Darden Resources, Inc., 6305 E 120th CT. Unit K8, Tulsa, OK 74137-8810 | 7,735,272 | 50.14% | |||||||
Select | BOKF, NA., Noah Corporation, 7667 E 46th Pl., Tulsa, OK 74145-6307 | 1,988,990 | 12.89% | |||||||
Select | BOKF, NA., Doris J. Darden Trust, 6305 E 120th Ct., Unit K8, Tulsa, OK 74137-8810 | 1,835,666 | 11.90% | |||||||
Select | BOKF, NA., Everest Railcar Services, Inc., Attn: Steven Hendricks, PO Box 979, Bentonville, AR 72712-0979 | 1,769,204 | 11.47% | |||||||
Select | BOKF, NA., Strat Land Exploration Co., 6305 E 120th Ct., Unit K8, Tulsa, OK 74137-8810 | 1,382,257 | 8.96% | |||||||
Goldman Sachs Financial Square Treasury Instruments Fund | Administration | Hare & Co. | 320,576,684 | 15.84% | ||||||
Administration | Bank of Oklahoma, PO Box 2180, Tulsa, OK 74101-2180 | 201,246,666 | 9.94% | |||||||
Administration | Jefferies LLC, FBO Brightline Capital Partners LP, 101 Hudson, St., Fl 11, Jersey City, NJ 07302-3915 | 139,829,412 | 6.91% |
B-29
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
E*Trade Clearing LLC, E*Trade Savings Bank FBO #32, PO Box 6503, Englewood,CO 80155-6503 | 163,628.21 | 6.77% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 145,178.52 | 6.01% | ||||||||
INVESTOR SHARES | Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 194,410.43 | 47.20% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 113,731.97 | 27.61% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 48,078.15 | 11.67% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 31,560.46 | 7.66% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 9,170,619.65 | 98.81% | |||||||
CLASS R SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,906.88 | 100% | |||||||
CLASS R6 SHARES | Goldman Sachs & Co. LLC, GS Variable Insurance Trust – GS Multi-Strategy Alternatives Portfolio, 70 Fargo Street, Boston,MA 02210-2126 | 240,239.20 | 99.52% | |||||||
MUNICIPAL INCOME COMPLETION FUND SEPARATE ACCOUNT INSTITUTIONAL SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 507,305.20 | 100.00% | |||||||
SHORT DURATION GOVERNMENT FUND CLASS A SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97P46, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 1,159,126.34 | 15.45% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 754,133.30 | 10.05% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 743,763.43 | 9.92% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Administration | BMO Harris Bank NA, 320 Canal St., Fl 14, Chicago, IL 60606-5707 | 127,720,988 | 6.31% | |||||||
Administration | Goldman Sachs & Co. LLC, FBO ATJM, 30 Hudson St. Fl 5, Jersey City, NJ 073024699 | 126,747,584 | 6.26% | |||||||
Administration | Goldman Sachs & Co. LLC, FBO 7NVM, 30 Hudson St. Fl 5, Jersey City, NJ 073024699 | 119,162,364 | 5.89% | |||||||
Capital | Goldman Sachs & Co. LLC, FBO AL03, 30 Hudson St. Fl 5, Jersey City, NJ 073024699 | 170,390,950 | 22.82% | |||||||
Capital | Goldman Sachs & Co. LLC, FBO 4ZJX, 30 Hudson St. Fl 5, Jersey City, NJ 073024699 | 100,472,979 | 13.46% | |||||||
Capital | Goldman Sachs & Co. LLC, FBO AMJY, 30 Hudson St. Fl 5, Jersey City, NJ 073024699 | 71,853,032 | 9.62% | |||||||
Capital | Goldman Sachs & Co. LLC, FBO AVK4, 30 Hudson St. Fl 5, Jersey City, NJ 073024699 | 64,756,834 | 8.67% | |||||||
Capital | Goldman Sachs & Co. LLC, FBO ALYX, 30 Hudson St. Fl 5, Jersey City, NJ 073024699 | 58,405,535 | 7.82% | |||||||
Capital | Goldman Sachs & Co. LLC, FBO AA49, 30 Hudson St. Fl 5, Jersey City, NJ 073024699 | 52,212,027 | 6.99% | |||||||
Cash Management | Pershing LLC, FBO Customers | 20,015,056 | 74.86% | |||||||
Cash Management | Commerce Bank – Lenexa, Robert L Bayless Procuder LLC, Attn: Robert Bayless, 621 17th St., Ste 2300, Denver, Co 80293-2023 | 6,720,323 | 25.14% | |||||||
Class D | UBS WM USA | 47,465,182 | 99.98% | |||||||
Institutional | Goldman Sachs & Co, 295 Chipeta Way, Fl 4, Salt Lake City, UT 84108-1285 | 16,706,029,868 | 20.86% | |||||||
Institutional | Hare & Co. | 15,041,800,669 | 18.78% | |||||||
Institutional | Hare & Co. | 8,748,953,505 | 10.92% | |||||||
Service | UMB Bank NA, 928 Grand Blvd. MS1010405, Kansas City, MO 64106-2008 | 517,877,455 | 84.51% | |||||||
Service | Flagstar Bank NA, 1400 Broadway, FL 6, New York, NY 10018-0728 | 81,854,607 | 13.36% | |||||||
Loop | Presidents & Fellows of Harvard College-Gen Operating AC, C/O Harvard Management Co., 600 Atlantic Ave., Boston, MA 02210-2211 | 60,538,258 | 56.12% |
B-30
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Nationwide Investment Services, Nationwide Trust Co. FSB C/O IPO Portfolio Accounting, PO Box 182029, Columbus, OH 43218-2029 | 733,797.04 | 9.78% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis, MO 63131-3710 | 531,642.76 | 7.09% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 410,853.54 | 5.48% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 499,948.52 | 38.58% | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 132,892.47 | 10.25% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RS3, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 128,711.11 | 9.93% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 102,275.24 | 7.89% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 87,696.29 | 6.77% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 84,321.62 | 6.51% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 8,416,769.04 | 22.07% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 5,559,026.85 | 14.58% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 5,424,710.48 | 14.22% | ||||||||
SEI Private trust Company, C/O Hills Bank & Trust ID 533, Attn: Mutual Fund Administrator, One Freedom Valley Drive, Oaks,PA 19456-9989 | 3,746,889.79 | 9.82% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Loop | Tapestry Inc., Attn: Treasury, 10 Hudson Yards, Fl 18, New York, NY 10001-2158 | 44,000,145 | 40.79% | |||||||
Preferred | Pershing LLC, FBO Customers | 99,311,739 | 88.28% | |||||||
Preferred | Deutsche Bank Trust CO, Burgess Biopower LLC, Revenue Account, 1 Cate St., Ste 100, Portsmouth, NH 03801-7107 | 6,190,252 | 5.50% | |||||||
Premier | Bank of Oklahoma, PO Box 2180, Tulsa, OK 74101-2180 | 528,110,596 | 100.00% | |||||||
Seelaus | Microsoft Capital Group LLC, Attn: Treasury Department, One Microsoft Way, Redmond, WA 98052-8300 | 2,000,000,000 | 97.46% | |||||||
Select | Horseshoe RE II Limited, Nectaris RE LC1300 | 86,459,918 | 16.00% | |||||||
Select | First National Capital Markets, Inc., One Earth Energy LLC, 202 North Jordan Dr., Gibson City, IL 60936-2203 | 59,553,582 | 11.02% | |||||||
Select | Horseshoe RE II Limited, HRE II MS Amlin Underwriting LC1200 | 59,361,818 | 10.99% | |||||||
Select | Horseshoe RE II Limited, HRE II MS Amlin Underwriting LC5200 | 43,767,010 | 8.10% | |||||||
Select | Horseshoe RE II Limited, HRE II MS Amlin Underwriting LC1200 | 42,293,473 | 7.83% | |||||||
Select | Horseshoe RE II Limited, MS Amlin AG LC2200 | 31,904,414 | 5.91% | |||||||
Select | Horseshoe RE II Limited, Amlin Underwriting LC2200 | 27,921,823 | 5.17% | |||||||
Select | First National Capital Markets, Inc., Nugen Energy LLC, 27283 447Th Ave., Marion, SD 57043-5100 | 30,160,219 | 5.58% | |||||||
Select | Horseshoe RE II Limited, Nectaris RE CF5300 | 29,715,044 | 5.50% | |||||||
Goldman Sachs Financial Square Treasury Obligations Fund | Administration | Reliance trust Co., Attn: Joe White, PO Box 78446, Atlanta, GA 30357 | 461,299,310 | 21.11% | ||||||
Administration | MSCS Financial Services, LLC, Statevest & Co., PO Box 2499, Brattleboro, VT 05303-2499 | 402,999,782 | 18.44% | |||||||
Administration | Hanco, C/O Hancock Whitney Bank Trust Div, 2285 Lakeshore Dr., Bldg 4, New Orleans, LA 70122-3533 | 394,265,931 | 18.04% | |||||||
Administration | MSCS Financial Services, LLC, Fulton Financial Advisors, 1 Penn Sq, Ste 1, Lancaster, PA 17602-2853 | 209,929,105 | 9.61% | |||||||
Capital | TD Banknorth NA, Attn: Deposit Accounting ME091-31N, PO Box 1377, Lewiston, ME 04243-1377 | 580,432,154 | 62.52% |
B-31
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 2,311,190.40 | 6.06% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 653,677.59 | 19.97% | |||||||
Principal Securities Inc., DCGT AS TTEE and/or Cust., FBO PLIC various retirement plans, Omnibus, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 650,809.88 | 19.89% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 617,917.28 | 18.88% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 507,978.15 | 15.52% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 487,608.43 | 14.90% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 184,261.33 | 5.63% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 37,691,458.19 | 91.67% | |||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 2,154,421.36 | 5.24% | ||||||||
CLASS R6 SHARES | MSCS Financial Services LLC SEI Private trust Company, C/O Johnson Bank ETS ID 243, Attn: Mutual Fund Administrator, One Freedom Valley Drive, Oaks, PA 19456-9989 | 238,319.30 | 35.35% | |||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 207,109.78 | 30.72% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 113,999.70 | 16.91% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Capital | Goldman Sachs & Co. LLC, FBO AVNJ, 30 Hudson St. Fl 5, Jersey City, NJ 073024699 | 108,531,102 | 11.69% | |||||||
Capital | Commerce Bank – Lenexa, Construction Industry Laborers Pension Fund, Attn: Sandy Bell-Holladay, PO Box 909500, Kansas City, MO 64190-9500 | 69,202,451 | 7.45% | |||||||
Cash Management | Pershing LLC, FBO Customers | 11,427,982 | 97.07% | |||||||
Institutional | Hare & Co. | 4,651,307,035 | 13.88% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 3,973,137,550 | 11.85% | |||||||
Institutional | Wells Fargo Bank NA | 2,474,967,587 | 7.38% | |||||||
Institutional | Band & CO Institutional Trust, C/O US Bank NA, 1555 N Rivercenter Dr. Ste 203, Milwaukee, WI 532123958 | 1,793,564,361 | 5.35% | |||||||
Service | SEI Private Trust Company, C/O Regions Bank | 704,951,576 | 44.24% | |||||||
Service | MSCS Financial Services, LLC, Statevest & Co., PO Box 2499, Brattleboro, VT 05303-2499 | 316,786,303 | 19.88% | |||||||
Service | Hare & Co. | 177,194,213 | 11.12% | |||||||
Service | BBC Partnership, 1401 Avenue Q, Lubbock, Texas 79401-3819 | 142,825,849 | 8.96% | |||||||
Preferred | M&T Bank, Tice & Co., C/O M&T Trust Co, PO Box 1377, Buffalo, NY 14240-1377 | 494,402,055 | 51.86% | |||||||
Preferred | Pershing LLC, PO Box 2052 | 240,560,253 | 25.23% | |||||||
Preferred | BBC Partnership, 1401 Avenue Q, Lubbock, Texas 79401-3819 | 87,306,616 | 9.16% | |||||||
Preferred | Union Bank & Trust, Co., Industricorp & Co. C/O Trust Operations, 312 Central Ave. SE, Ste. 200, Minneaspolis, MN 55414-1025 | 51,933,751 | 5.45% | |||||||
Premier | Commerce Bank – Lenexa, Cement Masons and Plasterers Local, 518 Health Care Fund Holding Acct., PO Box 26237, Salt Lake City, UT 84126-0237 | 2,247,942 | 19.19% | |||||||
Premier | Commerce Bank – Lenexa, Class Ltd., Attn: Cyndie Howell, 1200 Merle Evans Dr., PO Box 266, Columbus, KS 66725-0266 | 1,870,907 | 15.97% | |||||||
Premier | Commerce Bank – Lenexa, Oklahoma Center for Nonprofits Inc., Attn: Marion Taylor President, 720 W Wilshire Blvd., Ste 115, Oklahoma City, OK 73116-7737 | 882,255 | 7.53% |
B-32
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
EFC Financial Services, LLC, Ascensus Trust Company FBO MTW Pinta Elements, Inc. 401(k) Retirement 251461, P.O. Box 10758, Fargo, ND 58106-0758 | 47,097.59 | 6.99% | ||||||||
SERVICE SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 970,343.65 | 53.64% | |||||||
Devon Bank, Attn: Trust Operations, 6445 N Western Ave. Ste. 300, Chicago, IL 60645-5494 | 646,805.09 | 35.76% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 115,012.82 | 6.36% | ||||||||
SHORT DURATION INCOME FUND CLASS A | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis, MO 63131-3710 | 411,261.62 | 50.96% | |||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 112,600.61 | 13.95% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 58,393.31 | 7.24% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 47,049.20 | 5.83% | ||||||||
CLASS C SHARES | Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 48,188.22 | 30.24% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 30,868.90 | 19.37% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 26,669.22 | 16.73% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 25,810.08 | 16.20% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 10,478.00 | 6.58% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Premier | Commerce Bank – Lenexa, Construction and General Laborers Local 264, Attn: Reggie Thomas, 1101 East 87th St., Kansas City, MO 64131-3099 | 878,445 | 7.50% | |||||||
Premier | Commerce Bank – Lenexa, KC Cement Masons Pension Fund, Admin Account, Attn: Dawnette Butterworth, PO Box 26237, Salt Lake City, UT 84126-0237 | 816,155 | 6.97% | |||||||
Premier | Commerce Bank – SE MO, The Oasis Institute, Attn: Marcia Kerz, 11780 Borman Dr., Saint Louis, MO 63146-4135 | 804,359 | 6.87% | |||||||
Resource | Delaware Trust Company, CSC Trust Company of Delaware, 251 Little Falls Dr., Wilmington, DE 19808-1674 | 11,154,124 | 99.99% | |||||||
Select | BOKF, NA., Texas Oncology PA, Attn: Jason Shook, 12221 Merit Dr., Ste 500, Dallas, Tx 75251-3100 | 38,245,356 | 61.15% | |||||||
Select | BOKF, NA., Otoe-Missouria Tribe, 8151 Highway 177, Red Rock, OK 74651-0348 | 10,204,318 | 16.32% | |||||||
Select | JPMorgan Chase Bank NA, FBO its Customers, Third Party TS Link, 10410 Highland Manor Dr., Fl 3, Tampa, FL 33610-9128 | 5,000,000 | 7.99% | |||||||
Goldman Sachs Financial Square Treasury Solutions Fund | Administration | First Hawaiian Bank, Attn: Wealth Management, 999 Bishop St., Fl 3, Honolulu, HI 96813-4424 | 240,683,235 | 34.64% | ||||||
Administration | Jefferies LLC, FBO Cota Growth Fund LP, 101 Hudson, St., Fl 11, Jersey City, NJ 07302-3915 | 73,600,168 | 10.59% | |||||||
Administration | Jefferies LLC, FBO Venrock Healthcare Capital, 101 Hudson, St., Fl 11, Jersey City, NJ 07302-3915 | 72,485,417 | 10.43% | |||||||
Administration | The Oakmark Funds, Attn: Mutual Fund Operations, C/O Harris Associates, 111 S. Wacker Dr., Ste. 4600, Chicago, IL 60606-4319 | 61,012,308 | 8.78% | |||||||
Administration | Mori & Co, Commerce Bank of Kansas City, Attn: Trust Operations, 911 Main St., Ste 201, Kansas City, MO 64105-5304 | 35,935,973 | 5.17% | |||||||
Capital | Commerce Bank – Lenexa, BDK LLP, Main Firm Account, Attn: Betty Hunter, PO Box 1900, Springfield, MO 65801-1900 | 49,445,532 | 29.82% | |||||||
Capital | Commerce Bank – Lenexa, IPHFHA, Ad Comm, Attn: Dana Carr, 7829 E Rockhill St., Ste 201, Wichita, KS 67206-3918 | 18,375,883 | 11.08% |
B-33
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
INSTITUTIONAL SHARES | MSCS Financial Services LLC SEI Private trust Company, C/O M&T Bank ID 337, One Freedom Valley Drive, Oaks, PA 19456-9989 | 516,895.03 | 11.17% | |||||||
Goldman Sachs Asset Management LP, Trust 10 22 14 SGRE FOB Old Repub D, SGRE PIP Re Acct OR Safe-Guard Products INTL LLC, 2 Concourse PKWY STE 500, AtlantaGA 30328-5584 | 462,089.70 | 9.99% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 449,977.07 | 9.73% | ||||||||
Reliance Trust Company, CTIC EB R/R PO Box 28004, Atlanta, GA 30358-0004 | 416,119.61 | 8.99% | ||||||||
Goldman Sachs Asset Management LP, Dealer CFCS Virginia Surety Trust, SGRE PIP Re Acct VS Safe-Guard Products INTL LLC, 2 Concourse PKWY STE 500, AtlantaGA 30328-5584 | 357,025.03 | 7.72% | ||||||||
Goldman Sachs Asset Management LP, Trust 10 22 14 SGRE FOB Old Repub D, SGRE ADM SUB Acct OR Safe-Guard Products INTL LLC, 2 Concourse PKWY STE 500, Atlanta GA 30328-5584 | 274,680.69 | 5.94% | ||||||||
INVESTOR SHARES | LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 2,167,285.19 | 91.04% | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 186,363.18 | 7.83% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 66,112,958.19 | 98.39% | |||||||
CLASS R SHARES | EFC Financial Services, LLC, Ascensus Trust Company FBO Kriegman & Smith, Inc. 401(k) Saving, 228038, P.O. Box 10758, Fargo, ND 58106-0758 | 8,743.49 | 65.43% | |||||||
EFC Financial Services, LLC, Ascensus Trust Company FBO MTW Aerospace 401k Plan, 685488, P.O. Box 10758, Fargo, ND 58106-0758 | 1,621.42 | 12.13% | ||||||||
GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,123.42 | 8.41% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Capital | Commerce Bank – Lenexa, Ridewell Corporation, Attn: Steve Montgomery, PO Box 4586, Springfield, MO 65808-4586 | 12,025,554 | 7.25% | |||||||
Capital | Commerce Bank – Lenexa, BKD Capital Advisors LLC, Attn: Betty Hunter Controller, 910 E Saint Louis St., Ste 400, Springfield, MO 65806-2570 | 9,006,019 | 5.43% | |||||||
Cash Management | MSCS Financial Services, LLC, Statevest & Co., PO Box 2499, Brattleboro, VT 05303-2499 | 236,841,007 | 96.60% | |||||||
Institutional | Goldman Sachs & Co, 295 Chipeta Way, Fl 4, Salt Lake City, UT 84108-1285 | 3,039,092,034 | 23.10% | |||||||
Institutional | Hare & Co. | 1,007,931,714 | 7.66% | |||||||
Institutional | Purdue Pharma, LP, Attn: Accounting Service, 1 Stamford Forum, Stamford, CT 06901-3516 | 939,003,655 | 7.14% | |||||||
Institutional | Raymond James, 92500015, Omnibus for Mutual Funds | 735,264,634 | 5.59% | |||||||
Service | Flagstar Bank NA, 1400 Broadway, Fl 6, New York, NY 10018-0728 | 101,509,083 | 43.09% | |||||||
Service | Mori & Co. | 6,892,249 | 12.87% | |||||||
Service | Haws & Co., 6295 Greenwood Plaza Blvd., Greenwood Vlg., CO 80111-4908 | 26,326,795 | 11.18% | |||||||
Service | MidAmerica National Bank, Po Box 1300, Macomb, IL 61455-5600 | 20,214,447 | 8.58% | |||||||
Preferred | Pershing LLC, FBO Customers | 37,167,637 | 69.41% | |||||||
Preferred | Band & CO Institutional Trust, C/O US Bank NA, 1555 N Rivercenter Dr. Ste 203, Milwaukee, WI 532123958 | 9,172,434 | 17.13% | |||||||
Preferred | Mori & Co, Commerce Bank of Kansas City, Attn: Trust Operations, 911 Main St., Ste 201, Kansas City, MO 64105-5304 | 6,892,249 | 12.87% | |||||||
Goldman Sachs Flexible Cap Fund | Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 592,045 | 49.39% | ||||||
Class A | Edward D. Jones & Co. | 180,636 | 15.07% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 81,934 | 6.83% | |||||||
Class C | Pershing LLC, PO Box 2052 | 27,846 | 32.82% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 26,792 | 31.58% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 10,930 | 12.88% | |||||||
Class C | LPL Financial | 6,663 | 7.85% | |||||||
Class C | American Enterprise Investment SVC | 6,497 | 7.66% |
B-34
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
ADP/Broker Dealer Inc., State Street Bank and Trust TTEE/Cust., FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 1,026.46 | 7.68% | ||||||||
Kestra Investment Services, Ascensus Trust Company FBO J I Landis Welding & Mechanical I, 685431, PO Box 10758, Fargo,ND 58106-0758 | 824.24 | 6.17% | ||||||||
CLASS R6 SHARES | Edward D Jones & Co., Attn: Mutual Funds Shareholder Accounting, 201 Progress PKWY, Maryland Hts, MO 63043-3042 | 123,519.02 | 94.20% | |||||||
SHORT DURATIONTAX-FREE FUND CLASS A SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 2,888,330.06 | 25.72% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97P47, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 2,570,810.88 | 22.89% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 1,588,282.26 | 14.14% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 809,488.34 | 7.21% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 713,889.37 | 6.36% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 655,230.10 | 5.83% | ||||||||
CLASS C SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 527,718.09 | 38.36% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 266,616.53 | 19.38% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 129,091.09 | 9.38% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 94,294.00 | 6.85% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 474,316 | 66.47% | |||||||
Institutional | RBC Capital Markets Corporation | 87,366 | 12.24% | |||||||
Institutional | TD Ameritrade Clearing Inc. | 42,367 | 5.94% | |||||||
Investor | LPL Financial | 177,326 | 74.28% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 45,088 | 18.89% | |||||||
Investor | American Enterprise Investment SVC | 13,305 | 5.57% | |||||||
Class R | National Financial Services LLC, FIIOC FBO, Vergason Technology Inc., Retirement Plan, 100 Magellan way (KW1C), Covington , KY 41015-1987 | 6,835 | 87.86% | |||||||
Class R | GSAM Holdings LLC Seed Account | 712 | 9.15% | |||||||
Class R6 | Edward D. Jones & Co. | 271,352 | 99.48% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 1,310,129 | 94.13% | |||||||
Class P | JP Morgan Securities, LLC, FEBO Customers, Mutual Fund Dept. | 80,608 | 5.79% | |||||||
Goldman Sachs Focused Value Fund | Class A | Pershing LLC, PO Box 2052 | 24,993 | 83.36% | ||||||
Class A | Cadaret Grant & Co. Inc., Theresa M. Manzuk Cust., FBO Ella T. Amarante Utma NY, 9703 Versailles Rd., Angola, NY 14006-9519 | 1,517 | 5.06% | |||||||
Class C | Pershing LLC, PO Box 2052 | 15,282 | 93.57% | |||||||
Class C | GSAM Holdings LLC Seed Account | 1,050 | 6.43% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 143,126 | 84.74% | |||||||
Investor | GSAM Holdings LLC Seed Account | 1,049 | 100.00% | |||||||
Class R | Oppenheimer & Co. Inc., FBO Raymond Wrobleski CPA PS Plan, Raymond F Wrobleski TTEE, 116 Kingsbury Rd., Garden City, NY 11530-3110 | 2,390 | 69.49% | |||||||
Class R | GSAM Holdings LLC Seed Account | 1,049 | 30.51% | |||||||
Class R6 | GSAM Holdings LLC Seed Account | 1,053 | 100.00% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 3,277,776 | 99.65% | |||||||
Goldman Sachs Global Core Fixed Income Fund | Class A | Edward D. Jones & Co. | 458,127 | 18.43% | ||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 411,772 | 16.56% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 340,870 | 13.71% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 305,428 | 12.28% | |||||||
Class A | American Enterprise Investment SVC | 169,806 | 6.83% |
B-35
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 85,340.86 | 6.20% | ||||||||
INSTITUTIONAL SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 56,694,980.06 | 38.42% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 34,082,983.82 | 23.10% | ||||||||
Suntrust Bank Mutual Funds, SEI Private TR Co., C/O Suntrust ID 866, Attn: Mutual Fund Administrator, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 17,473,502.81 | 11.84% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 17,377,333.39 | 11.78% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 4,700,193.28 | 62.67% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 2,218,922.16 | 29.58% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 534,152.16 | 7.12% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 502,170,524.17 | 99.02% | |||||||
CLASS R6 SHARES | Reliance Trust Company/FIS, Maril & Co. FBOSG, C/O Reliance Trust Company (WI), 480 Pilgrim Way Ste. 1000, Green Bay,WI 54304-5280 | 476,269.99 | 90.040% | |||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 51,699.22 | 9.774% | ||||||||
SERVICE SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 10,094.98 | 65.79% | |||||||
Goldman Sachs Direct Accts., 1016 Founders Ridge Ln., McLean, VA 22102-2040 | 4,804.55 | 31.31% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 27,470 | 20.00% | |||||||
Class C | American Enterprise Investment SVC | 27,273 | 19.86% | |||||||
Class C | UBS WM USA | 15,224 | 11.09% | |||||||
Class C | Pershing LLC, PO Box 2052 | 11,807 | 8.60% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 10,480 | 7.63% | |||||||
Class C | LPL Financial | 9,554 | 6.96% | |||||||
Class C | Acensus Trust Company FBO, Seoil USA Industrial, Inc. 401(K) P 590757 | 7,810 | 5.69% | |||||||
Class C | Principal Securities Inc. | 7,080 | 5.16% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 11,529,250 | 62.46% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 2,889,680 | 15.66% | |||||||
Institutional | Charles Schwab & CO. | 1,485,434 | 8.05% | |||||||
Investor | American Enterprise Investment SVC | 1,985,629 | 49.89% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 1,036,586 | 26.04% | |||||||
Investor | LPL Financial | 520,211 | 13.07% | |||||||
Class R6 | Goldman Sachs Trust, GS Balanced Strategy Portfolio | 13,971,352 | 51.51% | |||||||
Class R6 | Goldman Sachs Trust, GS Growth and Income Strategy Portfolio | 10,855,031 | 40.02% | |||||||
Service | Principal Securities Inc. | 38,339 | 97.12% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 653,766 | 99.85% | |||||||
Goldman Sachs Global Infrastructure Fund | Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 6,825 | 36.35% | ||||||
Class A | Goldman Sachs Direct Accts., Ascensus Trust Company, FBO Alpha Business Solutions 687427, PO Box 10758, Fargo, ND 58106-0758 | 3,537 | 18.84% | |||||||
Class A | Pershing LLC, PO Box 2052 | 1,981 | 10.55% | |||||||
Class A | JP Morgan Securities LLC, FEBO Customers, Mutual Fund Dept. | 1,950 | 10.39% | |||||||
Class A | Royal Alliance, UMB Bank NA, Cust Roth IRA FBO David S Phillip, 24944 W Lake Forrest Ln, Shorewood, IL 60404-8212 | 1,111 | 5.92% | |||||||
Class A | Lincoln Financial Advisors, UMB Bank NA, Cust IRA FBO, Perli Lubelski, 33 Dubon Ct., Ste A, Farmingdale, NY 11735-1074 | 1,011 | 5.38% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 21,482 | 83.35% |
B-36
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
SHORT-TERM CONSERVATIVE INCOME FUND CLASS A | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 808,501.95 | 36.89% | |||||||
Stifel Nicolaus & Co, FBO Customers, 501 Broadway, St. Louis, MO 63102-2188 | 641,828.70 | 29.29% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 285,741.55 | 13.04% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 177,562.72 | 8.10% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 163,574.53 | 7.46% | ||||||||
ADMINISTRATION SHARES | BB&T Capital Markets, Legal Services Corp of Virginia, 919 E Main St STE 615, Richmond, VA 23219-4600 | 93,529.94 | 97.25% | |||||||
INSTITUTIONAL SHARES | 18 Fremont Street Acquisition, LLC, 1 Fremont St., Las Vegas, NV 89101-5601 | 34,192,967.17 | 22.77% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 28,384,229.12 | 18.90% | ||||||||
Endeavor Operating Co, LLC, Entertainment LLC, 11 Madison Ave., New York,NY 10010-3643 | 14,925,373.13 | 9.94% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 12,994,562.83 | 8.66% | ||||||||
TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 | 12,355,316.38 | 8.23% | ||||||||
INVESTOR SHARES | LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 3,595,980.32 | 39.66% | |||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 3,029,447.19 | 33.41% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 2,245,085.79 | 24.76% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 175,996,520.74 | 99.92% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Pershing LLC, PO Box 2052 | 2,740 | 10.63% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 555,100 | 89.84% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 130,215 | 97.81% | |||||||
Class R6 | Goldman Sachs & Co LLC, GS Tax-Adv Global Equity Portfolio, C/O Fund Management, 200 West St., 37th Floor, New York, NY 10282-2102 | 582,823 | 6.80% | |||||||
Class R6 | Goldman Sachs & Co LLC, GS Tax-Adv Global Equity Portfolio, C/O Fund Management, 200 West St., 37th Floor, New York, NY 10282-2102 | 4,769,734 | 55.66% | |||||||
Class R6 | Goldman Sachs Trust, GS Satellite Strategies Portfolio | 1,081,316 | 12.62% | |||||||
Class R6 | Goldman Sachs Trust, GS Growth Strategy Portfolio | 677,959 | 7.91% | |||||||
Class R6 | Goldman Sachs Trust, GS Growth and Income Strategy Portfolio | 672,208 | 7.84% | |||||||
Class R6 | Goldman Sachs & Co LLC, GS Enhanced Div Global EQ Portfolio, C/O Fund Management, 200 West St., 37th Floor, New York, NY 10282-2102 | 582,823 | 6.80% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 8,205,012 | 99.77% | |||||||
Goldman Sachs Global Managed Beta Fund | Institutional | Goldman Sachs Asset Management LP, Christian School Pension TR Fund, 2969 Prairie St. SW, Ste 102, Grandville, MI 49418-2008 | 22,895,050 | 14.33% | ||||||
Institutional | Goldman Sachs Asset Management LP, Sprint Master Trust, 6200 Sprint Pkwy # HF0202-2BDTX, Overland Park, KS 66251-6117 | 15,600,795 | 9.77% | |||||||
Institutional | Goldman Sachs Asset Management LP, KPMG Pension Plan, 3 Chestnut Ridge Rd., Montvale, NJ 07645-1842 | 11,454,775 | 7.17% | |||||||
Institutional | Goldman Sachs Direct Accts., Mac & Co A/C 47034, FBO GS 529 Plan, Mutual Fund Operations, 500 Grant Street, Room 151-1010, Pittsburgh, PA 15219-2502 | 8,148,296 | 5.10% | |||||||
Institutional | Goldman Sachs Asset Management LP, Christian School Pension TR Fund, 2969 Prairie St. SW, Ste 102, Grandville, MI 49418-2008 | 22,895,050 | 14.33% | |||||||
Goldman Sachs Global Real Estate Securities Fund | Class A | Edward D. Jones & Co. | 27,611 | 22.42% | ||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 19,334 | 15.70% |
B-37
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
PREFERRED SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,633.19 | 100.00% | |||||||
CLASS R6 SHARES | Goldman Sachs Asset Management LP, Motorola Solutions Retirement Trust, 500 Monroe St., Chicago, IL 60661-3671 | 66,690,609.32 | 69.20% | |||||||
Goldman Sachs Trust, Tactical Exposure Fund, 200 W St. Fl 36, New York, NY 10282-2102 | 27,568,515.89 | 28.61% | ||||||||
STRATEGIC INCOME FUND CLASS A SHARES | Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 2,985,883.52 | 18.62% | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 2,462,211.92 | 15.36% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 2,333,427.58 | 14.55% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 2,261,819.99 | 14.11% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 1,609,367.82 | 10.04% | ||||||||
TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 | 951,177.26 | 5.93% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 3,303,811.85 | 25.53% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 1,891,285.66 | 14.62% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 1,467,789.37 | 11.34% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 1,457,012.43 | 11.26% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class A | MSCS Financial Services, LLC, Advisor Trust, Inc., Cayman’s Clothiers, Inc. 401K Plan, 717 17th St., Ste 1300, Denver, CO 80202-3304 | 12,044 | 9.78% | |||||||
Class A | Commonwealth Annuity & Life, Annuity Co to Commonwealth Annuity and Life Ins Co. | 11,519 | 9.35% | |||||||
Class A | TD Ameritrade Clearing Inc. | 7,702 | 6.25% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 7,437 | 6.04% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 6,510 | 5.29% | |||||||
Class C | GSAM Holdings LLC Seed Account | 3,071 | 54.19% | |||||||
Class C | TD Ameritrade Clearing Inc. | 2,080 | 36.71% | |||||||
Class C | Goldman Sachs Direct Ex DLR Accts, UMB Bank NA, Cust Roth IRA FBO Kristine M. Sierakowski, 2720 White Barn Rd., Aurora, IL 60502-6332 | 516 | 9.10% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 40,917 | 32.82% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 27,285 | 21.89% | |||||||
Institutional | GSAM Holdings LLC Comp Hedge, Attn IMD-INDA-SAOS-2021 | 12,218 | 9.80% | |||||||
Institutional | GSAM Holdings LLC Comp Hedge, Attn IMD-INDA-SAOS-2020 | 12,163 | 9.76% | |||||||
Institutional | GSAM Holdings LLC Comp Hedge, Attn IMD-INDA-SAOS-2022 | 9,136 | 7.33% | |||||||
Institutional | GSAM Holdings LLC Comp Hedge, Attn IMD-INDA-SAOS-2023 | 7,578 | 6.08% | |||||||
Investor | LPL Financial | 17,342 | 70.72% | |||||||
Investor | GSAM Holdings LLC Seed Account | 3,294 | 13.43% | |||||||
Investor | MSCS Financial Services, LLC, Advisor Trust, Inc., Graham and Jensen, LLP, 717 17th St., Ste 1300, Denver, CO 80202-3304 | 2,727 | 11.12% | |||||||
Class R6 | Goldman Sachs Trust, GS Tax-Advantaged Global Equity Portfolio | 6,487,768 | 81.64% | |||||||
Class R6 | Goldman Sachs & Co LLC, GS Enhanced Div Global EQ Portfolio, C/O Fund Management, 200 West St., 37th Floor, New York, NY 10282-2102 | 802,321 | 10.10% | |||||||
Class R6 | Goldman Sachs Trust, GS Satellite Strategies Portfolio | 479,951 | 6.04% |
B-38
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 1,179,699.15 | 9.12% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 1,129,125.24 | 8.73% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 1,042,469.46 | 8.06% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 26,158,070.56 | 30.06% | |||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 11,458,338.33 | 13.17% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 10,215,819.95 | 11.74% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 8,949,140.71 | 10.29% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 8,758,576.34 | 10.07% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 4,935,154.44 | 5.67% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 3,307,553.22 | 45.44% | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 1,744,957.08 | 23.97% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 956,290.97 | 13.14% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 417,539.47 | 5.74% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Goldman Sachs Government Income Fund | Class A | Hartford Life Insurance Company | 637,265 | 18.84% | ||||||
Class A | Edward D. Jones & Co. | 299,634 | 8.86% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 195,560 | 5.78% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 25,696 | 43.86% | |||||||
Class C | American Enterprise Investment SVC | 4,980 | 8.50% | |||||||
Class C | Principal Securities Inc. | 3,838 | 6.55% | |||||||
Class C | Mid Atlantic Trust Company | 3,012 | 5.14% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 530,091 | 16.11% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 419,858 | 12.76% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 413,280 | 12.56% | |||||||
Institutional | Principal Securities Inc. | 364,958 | 11.09% | |||||||
Institutional | Reliance trust Co., BBL Companies, 201 17th St. NW< Ste 1000, Atlanta, GA 30363-1195 | 269,220 | 8.18% | |||||||
Institutional | TIAA Trust, N.A. as CUST/TTEE of Retirement Plans Recordkept by TIAA, Attn: Fund Operations, 8500 Andrew Carnegie Blvd., Charlotte, NC 28262-5800 | 249,304 | 7.58% | |||||||
Institutional | Reliance trust Co., Pentegra Omnibus, 201 17th St. NW< Ste 1000, Atlanta, GA 30363-1195 | 197,425 | 6.00% | |||||||
Service | Security Benefit Life Insurance Co., UMB Bank NA, FBO Fiduciary for Tax Deferred Accts., 1 SW Security Benefit Pl., Topeka, KS 66636-1000 | 792,543 | 49.23% | |||||||
Investor | American Enterprise Investment SVC | 1,055,611 | 92.11% | |||||||
Class R | Hartford Life Insurance Company | 521,336 | 71.06% | |||||||
Class R | GWFS Equities Inc., Empower Trust, FBO Empower Benefit Grand Fathered Plan | 153,158 | 20.88% | |||||||
Class R | GWFS Equities Inc., Massachusetts Mutual Life Insurance, 1295 State Street, MIP M200-INVST, Springfield, MA 01111-0001 | 41,791 | 5.70% | |||||||
Class R6 | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 97,862 | 18.33% | |||||||
Class R6 | Empower Financial Services, Inc. | 130,412 | 24.43% |
B-39
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 32,391,335.43 | 99.82% | |||||||
CLASS R SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 134,110.73 | 26.33% | |||||||
Principal Securities Inc., DCGT AS TTEE and/or Cust., FBO PLIC various retirement plans, Omnibus, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 96,199.15 | 18.89% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 82,179.45 | 16.13% | ||||||||
MML Distributors,LLC-Aviator, Mass Mutual Life Insurance Co., 1295 State St. MIPM200-INVST, Springfield, MA 01111-0001 | 59,514.92 | 11.69% | ||||||||
CLASS R6 SHARES | Goldman Sachs & Co LLC, GS Variable Insurance Trust, GS Multi-Strategy Alternatives Portfolio, 70 Fargo St., Boston, MA 02210-2126 | 188,906.15 | 25.33% | |||||||
Principal Securities Inc., DCGT AS TTEE and/or Cust., FBO PLIC various retirement plans, Omnibus, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 163,064.67 | 21.86% | ||||||||
JP Morgan Securities LLC FBO Customers, Mutual Fund Dept., 3 Chase Metrotech Center, Fl. 3, Brooklyn, NY 11245-0001 | 106,964.29 | 14.34% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 80,072.36 | 10.74% | ||||||||
EFC Financial Services, LLC, Ascensus Trust Company FBO B&L Associates 401(K) Plan 20925, P.O. Box 10758, Fargo, ND 58106-0758 | 71,141.82 | 9.54% | ||||||||
MML Distributors, Mass Mutual Life Insurance Co., 1295 State St. MIP M200-INVST, Springfield, MA 01111-0001 | 50,335.95 | 6.75% | ||||||||
U.S. MORTGAGES FUND CLASS A SHARES | Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 972,594.09 | 32.93% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 416,889.04 | 14.12% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R6 | Hartford Life Insurance Company, The Hartford, 1 Hartford Plz., Hartford, CT 06155-0001 | 61,517 | 11.52% | |||||||
Class R6 | Mid Atlantic Trust Company | 54,339 | 10.18% | |||||||
Class R6 | Edward D. Jones & Co. | 52,029 | 9.75% | |||||||
Class R6 | MSCS Financial Services, LLC, Matrix Trust Company as Agent for Newport Trust Company, Medallion Instrumentation Systems, LLC Employee 401K Plan, 35 Iron Point Circle, Suite 330, Folsom, CA 95630-8589 | 34,952 | 6.55% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 579,853 | 99.86% | |||||||
Goldman Sachs Growth and Income Strategy Portfolio | Class A | Edward D. Jones & Co. | 6,057,892 | 36.01% | ||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,566,537 | 9.31% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 1,028,234 | 6.11% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 981,274 | 5.83% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 92,217 | 19.75% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 23,354 | 5.00% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 22,146,963 | 95.33% | |||||||
Service | TCA Trustcorp America | 110,486 | 84.31% | |||||||
Service | National Financial Services LLC, FEBO Customers Mutual Funds | 14,762 | 11.26% | |||||||
Investor | LPL Financial | 162,974 | 28.36% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 133,881 | 23.30% | |||||||
Investor | American Enterprise Investment SVC | 57,340 | 9.98% | |||||||
Class R | State Street Bank and TR TTEE/Cust | 283,970 | 95.81% | |||||||
Class R6 | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 47,131 | 30.29% | |||||||
Class R6 | State Street Bank and Trust as Trustee and/or Custodian | 32,199 | 20.69% | |||||||
Class R6 | Devenir LLC, Matirx Trust Company Cust. FBO HAS Bank – HSG, 717 17th Street, Suite 1300, Denver, CO 80202-3304 | 27,798 | 17.86% |
B-40
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
GWFS Equities Inc., Great-West Trust Company LLC TTEE/C Employee Benefits 401(k), C/O Fascore LLC, 8515 E Orchard Rd 2T2, Greenwood Village, CO 80111-5002 | 235,947.90 | 7.99% | ||||||||
INSTITUTIONAL SHARES | GWFS Equities Inc., Great-West Trust Company LLC TTEE F Energy North West 401(k) Deferred Comp., Action Plan, 8515 E Orchard Rd 2T2, Greenwood Village, CO 80111-5002 | 795,582.03 | 27.59% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 657,781.87 | 22.81% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 491,637.92 | 17.05% | ||||||||
SEPARATE ACCOUNT INSTITUTIONAL SHARES | GS PWM INSTL Class, Goldman Sachs & Co. FBO Account# 021117726 C/O Mutual Fund OPS 200 West Street, New York,NY 10282-2198 | 2,027,572.50 | 9.96% | |||||||
GS PWM INSTL Class, Goldman Sachs & Co. FBO Account# 021117601 C/O Mutual Fund OPS 200 West Street, New York,NY 10282-2198 | 1,468,183.23 | 7.21% | ||||||||
GS PWM INSTL Class, Goldman Sachs & Co. FBO Account# 021113246 C/O Mutual Fund OPS 200 West Street, New York,NY 10282-2198 | 1,155,051.92 | 5.67% | ||||||||
GS PWM INSTL Class, Goldman Sachs & Co. FBO Account# 021087754 C/O Mutual Fund OPS 200 West Street, New York,NY 10282-2198 | 1,071,012.09 | 5.26% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 14,315,697.94 | 91.07% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 915,970.09 | 5.83% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 854,571.63 | 99.88% | |||||||
CLASS R6 SHARES | GWFS Equities Inc., Great-West Trust Company LLC TTEE/C Employee Benefits 401(k), C/O Fascore LLC, 8515 E Orchard Rd 2T2, Greenwood Village, CO 80111-5002 | 953,762.66 | 65.52% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R6 | MSCS Financial Services LLC, Matrix Trust Company agent for TRP RPS RK FBO 401K, GARvin Construction Products, 300 Mystic Ave, Medford, MA 02155-6305 | 23,297 | 14.97% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 16,413,383 | 98.74% | |||||||
Goldman Sachs Growth Strategy Portfolio | Class A | Edward D. Jones & Co. | 3,460,879 | 18.70% | ||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,938,185 | 10.47% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 1,409,254 | 7.62% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 1,380,571 | 7.46% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 1,287,903 | 6.96% | |||||||
Class A | American Enterprise Investment SVC | 1,085,525 | 5.87% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 175,805 | 22.62% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 92,667 | 11.92% | |||||||
Class C | RBC Capital Markets Corporation | 47,335 | 6.09% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 10,328,311 | 86.22% | |||||||
Service | TCA Trustcorp America | 78,910 | 57.59% | |||||||
Service | American United Life Insurance Co | 33,691 | 24.59% | |||||||
Service | American United Life Insurance Co | 10,801 | 7.88% | |||||||
Service | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 6,985 | 5.10% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 455,939 | 44.24% | |||||||
Investor | American Enterprise Investment SVC | 324,264 | 31.46% | |||||||
Investor | LPL Financial | 151,902 | 14.74% | |||||||
Investor | State Street Bank and TR TTEE/Cust | 85,297 | 8.28% | |||||||
Class R | State Street Bank and TR TTEE/Cust | 311,011 | 84.86% | |||||||
Class R6 | Voya Financial Partners, LLC, Voya Institutional Trust Company, 1 Orange Way, Windsor, CT 06095-4773 | 105,772 | 23.05% | |||||||
Class R6 | State Street Bank and Trust as Trustee and/or Custodian | 104,498 | 22.78% | |||||||
Class R6 | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 78,393 | 17.09% |
B-41
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 297,298.77 | 20.42% | ||||||||
State Street Bank Trustee and or Custodian FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2901 | 83,148.73 | 5.71% | ||||||||
FISCAL YEAR END 8/31 | ||||||||||
BLUE CHIP FUND CLASS A SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 108,435.33 | 36.16% | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 70,646.33 | 23.56% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 27,642.16 | 9.22% | ||||||||
RBC Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus Processing, Omnibus, Attn: Mutual Fund Ops Manager, 60 S 6th ST. Ste. 700 #P08, Minneapolis,MN 55402-4413 | 19,722.53 | 6.58% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 18,759.49 | 6.26% | ||||||||
CLASS C SHARES | Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 74,207.59 | 64.42% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 22,566.84 | 19.59% | ||||||||
INTUITIONAL SHARES | GSAM Holdings LLC Seed Accounts,Attn: IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 33,605.34 | 58.54% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 13,714.88 | 23.89% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 10,086.17 | 17.57% | ||||||||
INVESTOR SHARES | LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 64,432.30 | 83.09% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R6 | Voya Financial Partners, LLC, Voya Retirement Insurance And | 55,977 | 12.20% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 14,889,787 | 99.71% | |||||||
Goldman Sachs High Yield Floating Rate Fund | Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 138,908 | 34.39% | ||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 113,639 | 28.14% | |||||||
Class A | Pershing LLC | 41,751 | 10.34% | |||||||
Class A | American Enterprise Investment SVC | 33,395 | 8.27% | |||||||
Class C | Pershing LLC, PO Box 2052 | 30,931 | 39.99% | |||||||
Class C | RBC Capital Markets Corporation | 18,969 | 24.53% | |||||||
Class C | Stifel Nicolaus & Co | 11,911 | 15.40% | |||||||
Class C | LPL Financial | 6,734 | 8.71% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 5,317 | 6.88% | |||||||
Class R | GSAM Holdings LLC Seed Account | 1,603 | 5.32% | |||||||
Class R | Empower Trust FBO | 5,625 | 18.66% | |||||||
Class R | Anthony Siracusa & Maureen Siracusa | 22,639 | 75.10% | |||||||
Class R6 | State Street Bank and Trust as Trustee and/or Custodian | 231,931 | 11.64% | |||||||
Class R6 | Voya Financial Partners, LLC | 538,794 | 27.05% | |||||||
Class R6 | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 967,195 | 48.55% | |||||||
Class R6 | Voya Financial Partners, LLC | 252,786 | 12.69% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 12,320,090 | 84.38% | |||||||
Institutional | Charles Schwab & Co Inc | 1,589,218 | 10.88% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 537,824 | 70.99% | |||||||
Investor | LPL Financial | 122,209 | 16.13% | |||||||
Investor | American Enterprise Investment SVC | 90,670 | 11.97% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 221,140,125 | 99.85% | |||||||
Goldman Sachs High Yield Fund | Class A | Edward D. Jones & Co. | 3,865,843 | 23.07% | ||||||
Class A | Pershing LLC, PO Box 2052 | 1,375,037 | 8.20% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,330,611 | 7.94% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 1,154,839 | 6.89% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 916,104 | 5.47% | |||||||
Class A | American Enterprise Investment SVC | 861,591 | 5.14% |
B-42
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 6,192.17 | 7.99% | ||||||||
EFC Financial Services, LLC, Ascensus Trust Company FBO Legacy Biodesign 401(k) Plan 224748, P.O. Box 10758, Fargo, ND 58106-0758 | 4,424.15 | 5.71% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 154,674.73 | 99.46% | |||||||
CLASS R SHARES | GSAM Holdings LLC Seed Accounts,Attn: IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,459.54 | 100.00% | |||||||
CLASS R6 SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 229,570.63 | 99.68% | |||||||
CAPITAL GROWTH FUND CLASS A SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 3,919,296.20 | 12.77% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 2,014,946.90 | 6.56% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 157,616.68 | 12.35% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RR1, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 117,583.85 | 9.22% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 580,216.69 | 25.41% | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 411,269.25 | 18.01% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 320,355.19 | 14.03% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 162,302.13 | 7.11% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 147,120 | 22.90% | |||||||
Class C | Pershing LLC, PO Box 2052 | 86,271 | 13.43% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 76,001 | 11.83% | |||||||
Class C | LPL Financial | 55,761 | 8.68% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 51,708 | 8.05% | |||||||
Class C | American Enterprise Investment SVC | 48,373 | 7.53% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 12,698,478 | 41.07% | |||||||
Institutional | Factory Mutual Insurance Company | 7,090,767 | 22.93% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 873,916 | 59.03% | |||||||
Investor | LPL Financial | 423,488 | 28.60% | |||||||
Investor | American Enterprise Investment SVC | 93,372 | 6.31% | |||||||
Class R | Hartford Life Insurance Company | 519,132 | 69.02% | |||||||
Class R | GWFS Equities Inc., Massachusetts Mutual Life Insurance, 1295 State St., MIP M200-INVST, Springfield, MA 01111-0001 | 110,868 | 14.74% | |||||||
Class R | GWFS Equities Inc., Empower Trust, FBO Empower Benefit Grand Fathered Plane | 68,000 | 9.04% | |||||||
Goldman Sachs High Yield Municipal Fund | Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 7,209,052 | 15.04% | ||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 7,169,007 | 14.96% | |||||||
Class A | Edward D Jones & Co | 5,267,639 | 10.99% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 4,935,522 | 10.30% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 4,907,119 | 10.24% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 3,593,705 | 7.50% | |||||||
Class A | Pershing LLC, PO Box 2052 | 2,742,864 | 5.72% | |||||||
Class A | LPL Financial | 2,675,793 | 5.58% | |||||||
Class A | American Enterprise Investment SVC | 2,614,914 | 5.46% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 2,555,262 | 5.33% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,939,884 | 30.33% |
B-43
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 134,863.88 | 5.91% | ||||||||
INVESTOR SHARES | Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 103,844.22 | 36.05% | |||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 52,476.35 | 18.22% | ||||||||
ADP/Broker Dealer Inc., State Street Bank and Trust TTEE/Cust., FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 39,713.09 | 13.79% | ||||||||
Mid Atlantic Capital Corp., Bates Brothers Moving & Truck 401(k), 1251 Waterfront Pl STE 525, Pittsburgh, PA 15222-4228 | 22,460.37 | 7.80% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 22,221.71 | 7.72% | ||||||||
National Financial Services LLC, FIIOC FBO Origene Technologies Inc. 401(k) Plan, 100 Magellan Way #KW1C, Covington,KY 41015-1987 | 20,108.06 | 6.98% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 3,233,917.09 | 99.99% | |||||||
CLASS R SHARES | ADP/Broker Dealer Inc., State Street Bank and Trust TTEE/Cust., FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 338,018.37 | 88.27% | |||||||
CLASS R6 SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 82,434.15 | 97.30% | |||||||
SERVICE SHARES | Principal Securities Inc., DCGT AS TTEE and/or Cust., FBO PLIC various retirement plans, Omnibus, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 44,501.05 | 62.40% | |||||||
Hartford Life Insurance Co., Separate Account, 200 Hopmeadow St., Weatogue, CT 06089-9793 | 13,218.89 | 18.54% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 6,869.93 | 9.63% | ||||||||
CONCENTRATED GROWTH FUND CLASS A SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 55,461.43 | 14.31% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 631,037 | 9.87% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 627,965 | 9.82% | |||||||
Class C | American Enterprise Investment SVC | 624,740 | 9.77% | |||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 528,212 | 8.26% | |||||||
Class C | LPL Financial | 514,964 | 8.05% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 50,001,108 | 26.61% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 30,645,202 | 16.31% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 19,243,552 | 10.24% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 18,495,476 | 9.84% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 15,896,912 | 8.46% | |||||||
Institutional | MSCS Financial Services LLC, Zions First National Bank, PO Box 30880, Salt Lake City, UT 84130-0880 | 10,767,564 | 5.73% | |||||||
Institutional | UBS WM USA | 3,192,488 | 5.08% | |||||||
Service | National Financial Services LLC, FEBO Customers Mutual Funds | 331,772 | 46.65% | |||||||
Service | Hartford Life Insurance Company | 283,395 | 39.85% | |||||||
Service | Empower Trust FBO | 52,637 | 7.40% | |||||||
Investor | American Enterprise Investment SVC | 22,719,683 | 36.15% | |||||||
Investor | LPL Financial | 19,254,870 | 30.64% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 14,939,999 | 23.77% | |||||||
Investor | Pershing LLC, PO Box 2052 | 3,192,488 | 5.08% | |||||||
Class R6 | JP Morgan Securities, LLC, FEBO Customers, Mutual Fund Dept. | 1,123,344 | 56.07% | |||||||
Class R6 | Edward D. Jones & Co. | 753,650 | 37.62% | |||||||
Class R6 | Vallee & CO FBO 50 | 124,942 | 6.24% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 761,121,308 | 99.30% | |||||||
Goldman Sachs Income Builder Fund | Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 4,260,608 | 17.36% | ||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 3,334,135 | 13.58% | |||||||
Class A | Edward D. Jones & Co. | 3,122,608 | 12.72% | |||||||
Class A | American Enterprise Investment SVC | 2,685,684 | 10.94% |
B-44
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97PS0, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 55,232.70 | 14.25% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 44,995.68 | 11.61% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 41,584.23 | 10.73% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 30,428.52 | 7.85% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 30,423.65 | 7.85% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 29,044.49 | 7.49% | ||||||||
CLASS C SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 11,773.22 | 20.76% | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 11,484.04 | 20.25% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 9,406.65 | 16.59% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 5,484.68 | 9.67% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 5,199.55 | 9.17% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 4,348.98 | 7.67% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 2,399,674 | 9.77% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 2,163,731 | 8.81% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 1,341,385 | 5.46% | |||||||
Class A | LPL Financial | 1,261,021 | 5.14% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 3,480,770 | 37.89% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 1,215,405 | 13.23% | |||||||
Class C | American Enterprise Investment SVC | 1,043,273 | 11.36% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 655,891 | 7.14% | |||||||
Class C | LPL Financial | 587,772 | 6.40% | |||||||
Class C | Pershing LLC, PO Box 2052 | 587,200 | 6.39% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 8,540,328 | 19.78% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 7,298,461 | 16.91% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 6,979,384 | 16.17% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 6,296,689 | 14.59% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 2,501,565 | 5.79% | |||||||
Institutional | UBS WM USA | 2,417,988 | 5.60% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 2,201,704 | 5.10% | |||||||
Investor | American Enterprise Investment SVC | 7,981,350 | 47.08% | |||||||
Investor | LPL Financial | 4,687,699 | 27.65% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 3,794,299 | 22.38% | |||||||
Class R6 | Edward D. Jones & Co. | 1,307,714 | 75.01% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 283,506 | 16.26% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 1,401,219 | 99.96% | |||||||
Goldman Sachs Income Fund | Class A | RBC Capital Markets Corporation | 31,422 | 40.17% | ||||||
Class A | Pershing LLC, PO Box 2052 | 17,118 | 21.88% |
B-45
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 203,893.49 | 30.97% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 121,459.94 | 18.45% | ||||||||
Wells Fargo Bank NA, FBO RT Sherwin Williams Rabbi Trust, 021022000, PO Box 1533, Minneapolis, MN 55480-1533 | 89,116.89 | 13.53% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco, CA 94105-1905 | 75,159.13 | 11.41% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 42,078.81 | 6.39% | ||||||||
INVESTOR SHARES | Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 5,395.91 | 72.64% | |||||||
GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,372.84 | 18.48% | ||||||||
TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 | 515.05 | 6.93% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 6,592,013.86 | 98.12% | |||||||
CLASS R SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,378.65 | 65.01% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 742.03 | 34.99% | ||||||||
CLASS R6 SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 22,956.12 | 78.21% | |||||||
MSCS Financial Services LLC, PAI Trust Company, Inc., Smith Communication Partners, Inc., 1300 Enterprise Dr., De Pere,WI 54115-4934 | 5,596.76 | 19.07% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class A | American Enterprise Investment SVC | 11,970 | 15.30% | |||||||
Class A | GSAM Holdings LLC Seed Account | 5,979 | 7.64% | |||||||
Class A | LPL Financial | 4,702 | 6.01% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 4,522 | 5.78% | |||||||
Class C | American Enterprise Investment SVC | 18,847 | 47.63% | |||||||
Class C | Pershing LLC, PO Box 2052 | 14,904 | 37.66% | |||||||
Class C | GSAM Holdings LLC Seed Account | 5,821 | 14.71% | |||||||
Institutional | GSAM Holdings LLC Seed Account | 1,182,149 | 76.43% | |||||||
Institutional | GSAM Holdings LLC Comp Hedge, Attn IMD-INDA-SAOS-2021 | 137,310 | 8.88% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 201,900 | 48.47% | |||||||
Investor | LPL Financial | 170,530 | 40.94% | |||||||
Investor | American Enterprise Investment SVC | 38,058 | 9.14% | |||||||
Class R6 | GSAM Holdings LLC Seed Account | 6,052 | 100.00% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 5,358,498 | 99.88% | |||||||
Goldman Sachs Inflation Protected Securities Fund | Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 829,384 | 21.14% | ||||||
Class A | Edward D. Jones & Co. | 748,309 | 19.07% | |||||||
Class A | State Street Bank and TR TTEE/Cust | 603,233 | 15.37% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 94,596 | 27.90% | |||||||
Class C | Pershing LLC, PO Box 2052 | 87,072 | 25.68% | |||||||
Class C | LPL Financial | 48,470 | 14.30% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 45,889 | 13.53% | |||||||
Class C | American Enterprise Investment SVC | 33,833 | 9.98% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 2,162,811 | 28.67% | |||||||
Institutional | Reliance trust Co., Huntington National Bank, PO Box 78446, Atlanta, GA 30357 | 745,949 | 9.89% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 645,374 | 8.56% | |||||||
Institutional | MSCS Financial Services LLC, Matrix Cash Reinv 03, 42 McClurg, Rd., Youngstown, OH 44512-6700 | 536,064 | 7.11% | |||||||
Institutional | UBS WM USA | 518,579 | 6.88% | |||||||
Investor | American Enterprise Investment SVC | 990,499 | 32.93% |
B-46
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
ENHANCED DIVIDEND GLOBAL EQUITY PORTFOLIO CLASS A SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 240,631.90 | 36.06% | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 146,521.13 | 21.96% | ||||||||
TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 | 63,808.45 | 9.56% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 41,273.40 | 6.19% | ||||||||
Stifel Nicolaus & Co, FBO Customers, 501 Broadway, St. Louis, MO 63102-2188 | 38,136.92 | 5.72% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 36,712.96 | 5.50% | ||||||||
INSTITUTIONAL SHARES | M&T Bank, SEI Private Trust Company, C/O M&T Bank ID 337, One Freedom Valley Dr., Oaks, PA 19456-9989 | 667,475.55 | 31.42% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 525,569.84 | 24.74% | ||||||||
TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 | 214,304.28 | 10.09% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 127,144.87 | 5.99% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 110,690.26 | 5.21% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 48,645,543.21 | 98.23% | |||||||
CLASS R6 SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 880.14 | 100.00% | |||||||
EQUITY INCOME FUND CLASS A SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 4,319,527.75 | 53.92% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Investor | National Financial Services LLC, FEBO Customers Mutual Funds | 715,298 | 23.78% | |||||||
Investor | LPL Financial | 643,372 | 21.39% | |||||||
Investor | MSCS Financial Services, LLC, Matrix Trust Company as Agent for Newport Trust Company, Texas Roadhouse Management Corp Def., 35 Iron Point Circle, Suite 330, Folsom, CA 95630-8589 | 363,860 | 12.10% | |||||||
Class R6 | State Street Bank and Trust as Trustee and/or Custodian | 5,487,436 | 39.23% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 2,999,330 | 21.44% | |||||||
Class R6 | Edward D. Jones & Co. | 1,829,474 | 13.08% | |||||||
Class R6 | Goldman Sachs Trust, GS Satellite Strategies Portfolio | 931,271 | 6.66% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 2,082,018 | 99.93% | |||||||
Goldman Sachs International Equity Dividend and Premium Fund | Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 49,906 | 20.19% | ||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 30,360 | 12.28% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 26,465 | 10.71% | |||||||
Class A | American Enterprise Investment SVC | 26,413 | 10.69% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 18,865 | 7.63% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 16,767 | 6.78% | |||||||
Class A | LPL Financial | 16,058 | 6.50% | |||||||
Class A | Lincoln Investment Planning, Lincoln Investment Planning LLC, FBO Lincoln Customers, 601 Office Center Dr., Ste 300, Ft. Washington, PA 19034-3275% | 14,282 | 5.78% | |||||||
Class A | Ausdal Financial Partners, Inc., UMB Bank NA, 36360 Woodward Ave., Bloomfield, MI 48304-0905 | 12,402 | 5.02% | |||||||
Class C | LPL Financial | 5,678 | 22.45% | |||||||
Class C | Acensus Trust Company FBO, Dr. Jason M. Cohen 401(K) 214194 | 5,277 | 20.86% | |||||||
Class C | Stifel Nicolaus & Co. | 4,532 | 17.92% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 3,636 | 14.37% |
B-47
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS C SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RR5, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 34,358.51 | 16.30% | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 30,012.92 | 14.24% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 16,528.45 | 7.84% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 11,805.55 | 5.60% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 10,742.21 | 5.10% | ||||||||
INSTITUTIONAL SHARES | MSCS Financial Services LLC, Matrix Trust Company, Flushing Savings Bank NQ Plans Mast, PO Box 52129, Phoenix, AZ 85072-2129 | 169,930.8 | 33.30% | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 81,041.09 | 15.88% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 51,997.64 | 10.19% | ||||||||
Reliance Trust Co., Reliance Trust Company FBO Pentegra Omnibus, P.O. Box 2804, Atlanta, GA 30358-0004 | 44,338.22 | 8.69% | ||||||||
INVESTOR SHARES | LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 21,583.44 | 36.18% | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 18,312.82 | 30.70% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 15,587.17 | 26.13% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 282,963.24 | 97.94% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Lincoln Investment Planning, UMB Bank, NA C/F, Kevin T, Kester, IRA, 330 Cocoa Ave, Hershey, PA 17033-1429 | 2,190 | 8.66% | |||||||
Class C | Pershing LLC, PO Box 2052 | 1,885 | 7.45% | |||||||
Institutional | MSCS Financial Services LLC, SEI Private Trust Company, C/O First Horizon ID 683, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 184,779 | 28.96% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 178,298 | 27.94% | |||||||
Institutional | MSCS Financial Services LLC, Mori & Co., 922 Walnut St., Mailstop TBTS 2, Kansas City, MO 64106-1802 | 67,944 | 10.65% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 38,771 | 6.08% | |||||||
Investor | LPL Financial | 100,367 | 35.88% | |||||||
Investor | American Enterprise Investment SVC | 100,075 | 35.78% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 78,715 | 28.14% | |||||||
Class R6 | Goldman Sachs & Co LLC, GS Enhanced Div Global EQ Portfolio, C/O Fund Management, 200 West St., 37th Floor, New York, NY 10282-2102 | 11,024,255 | 99.97% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 9,693,383 | 98.65% | |||||||
Goldman Sachs International Equity ESG Fund | Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 1,153,049 | 25.39% | ||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 764,336 | 16.83% | |||||||
Class A | Edward D. Jones & Co. | 547,917 | 12.07% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 441,944 | 9.73% | |||||||
Class A | TD Ameritrade Clearing Inc. | 269,421 | 5.93% | |||||||
Class C | UBS WM USA | 85,786 | 23.53% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 45,111 | 12.37% | |||||||
Class C | Stifel Nicolaus & Co. | 30,380 | 8.33% | |||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 30,216 | 8.29% | |||||||
Class C | National Financial Services LLC, FEBO Customers Mutual Funds | 30,194 | 8.28% |
B-48
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS R SHARES | MSCS Financial Services LLC, Provident Trust, Custodian FBO Region V Services 457(b) Plan, 8401 W Dodge Rd STE 256, Omaha,NE 68114-3493 | 14,425.67 | 36.817% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 10,939.58 | 27.920% | ||||||||
Cetera Advisors LLC, Pam O’ FBO Medalist Golf Inc. 401(k) Profit Sha, 327 Dahlonega St STE 1005, Cumming, GA 30040-8210 | 7,617.73 | 19.442% | ||||||||
CLASS R6 SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 150,209.94 | 99.78% | |||||||
SERVICE SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 3,310.66 | 73.95% | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 408.88 | 9.13% | ||||||||
Edward D Jones & Co., Attn: Mutual Funds Shareholder Accounting, 201 Progress PKWY, Maryland Hts, MO 63043-3042 | 292.66 | 6.54% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 262.62 | 5.87% | ||||||||
FLEXIBLE CAP FUND CLASS A SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 134,783.24 | 29.44% | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis,MO 63103-2523 | 118,357.12 | 25.85% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 44,777.65 | 9.78% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 37,325.03 | 8.15% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 35,491.20 | 7.75% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | American Enterprise Investment SVC | 28,642 | 7.86% | |||||||
Class C | LPL Financial | 21,727 | 5.96% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 5,762,885 | 30.14% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 4,674,626 | 24.45% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 4,609,826 | 24.11% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 1,949,272 | 10.20% | |||||||
Service | Hand Securities, Inc., CBNA as Custodian FBO Mackenzie-Childs 401(K) Plan | 18,105 | 52.52% | |||||||
Service | National Financial Services LLC, FEBO Customers Mutual Funds | 5,572 | 16.16% | |||||||
Service | Empower Financial Services, Inc. | 4,980 | 14.45% | |||||||
Investor | American Enterprise Investment SVC | 1,947,712 | 46.04% | |||||||
Investor | LPL Financial | 991,052 | 23.43% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 972,355 | 22.99% | |||||||
Class R6 | Edward D. Jones & Co. | 1,550,567 | 45.66% | |||||||
Class R6 | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 327,482 | 9.64% | |||||||
Class R6 | Empower Financial Services, Inc. | 318,807 | 9.39% | |||||||
Class R6 | Voya Financial Partners, LLC | 297,500 | 8.76% | |||||||
Class R6 | Empower Financial Services, Inc. | 201,705 | 5.94% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 3,968,530 | 98.85% | |||||||
Goldman Sachs International Equity Income Fund | Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 1,622,082 | 34.35% | ||||||
Class A | TD Ameritrade Clearing Inc. | 676,327 | 14.32% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 672,612 | 14.24% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 68,055 | 23.04% | |||||||
Class C | Stifel Nicolaus & Co. | 52,591 | 17.80% | |||||||
Class C | American Enterprise Investment SVC | 35,390 | 11.98% | |||||||
Class C | Acensus Trust Company FBO, Family Medicine Associates 401(K)/P 036155 | 31,690 | 10.73% | |||||||
Class C | Pershing LLC, PO Box 2052 | 24,340 | 8.24% | |||||||
Class C | LPL Financial | 23,966 | 8.11% |
B-49
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 23,055.75 | 5.04% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 45,813.30 | 34.27% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 31,980.81 | 23.92% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego,CA 92121-3091 | 14,069.75 | 10.53% | ||||||||
Stifel Nicolaus & Co, FBO Customers, 501 Broadway, St. Louis, MO 63102-2188 | 7,496.87 | 5.61% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 20,159.68 | 43.87% | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 17,844.89 | 38.83% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco,CA 94105-1905 | 6,786.50 | 14.77% | ||||||||
INVESTOR SHARES | TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 | 3,098.15 | 56.06% | |||||||
GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,428.83 | 43.95% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 858,498.78 | 99.90% | |||||||
CLASS R SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,543.47 | 74.04% | |||||||
MSCS Financial Services LLC, MG Trust Company CUST FBO Ottawa Elementary Dist. #141403B, 717 17th St. STE 1300, Denver CO 80202-3304 | 883.04 | 25.70% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 16,276,744 | 43.90% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 10,248,969 | 27.64% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 3,812,664 | 10.28% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 3,457,020 | 9.32% | |||||||
Investor | LPL Financial | 7,615,459 | 44.55% | |||||||
Investor | American Enterprise Investment SVC | 4,439,013 | 25.97% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 4,130,377 | 24.16% | |||||||
Class R | GWFS Equities Inc., Capital Bank & Trust CO, FBO, CO FA Score Signum Architecture LLP 401K PSP | 27,023 | 59.42% | |||||||
Class R | GWFS Equities Inc., Capital Bank & Trust CO, FBO Joe W Morgan Inc 401K PSP. C/O Empower | 6,593 | 14.50% | |||||||
Class R | National Financial Services LLC, FIIOC FBO George A Sanchez DMD, 401K Profit Sharing Plan, 100 Magellan way (KW1C), Covington , KY 41015-1987 | 5,396 | 11.86% | |||||||
R6 | Edward D. Jones & Co. | 2,405,292 | 76.70% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 3,173,439 | 99.60% | |||||||
Goldman Sachs International Equity Insights Fund | Class A | Edward D. Jones & Co. | 1,115,188 | 19.38% | ||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 742,568 | 12.91% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 564,483 | 9.81% | |||||||
Class A | State Street Bank and TR TTEE/Cust. | 457,195 | 7.95% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 379,512 | 6.60% | |||||||
Class C | American Enterprise Investment SVC | 137,649 | 22.09% | |||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 87,217 | 14.00% | |||||||
Class C | LPL Financial | 83,068 | 13.33% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 66,064 | 10.60% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 64,728 | 10.39% |
B-50
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS R6 SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 14,867.10 | 92.94% | |||||||
GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,128.77 | 7.06% | ||||||||
FOCUSED VALUE FUND CLASS A SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,920.05 | 49.31% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 1,054.71 | 17.81% | ||||||||
LPL Financial Corporation, 9703 Versailles Rd, Angola, NY 14006-9519 | 979.37 | 16.54% | ||||||||
Allstate Financial Services LLC, UMB Bank NA, CUST Non DFI Simple FBO, 2 Hickory Ln, Daytona, FL 32118-5409 | 507.23 | 8.57% | ||||||||
Allstate Financial Services LLC, UMB Bank NA, CUST Non DFI Simple FBO, 2 Hickory Ln, Daytona, FL 32118-5409 | 334.32 | 5.65% | ||||||||
CLASS C SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,856.62 | 100.00% | |||||||
INSTITUTIONAL SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 63,071.28 | 87.20% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 9,259.26 | 12.80% | ||||||||
INVESTOR SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,949.87 | 100.00% | |||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 446,423.80 | 99.77% | |||||||
CLASS R SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,902.98 | 100.00% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Stifel Nicolaus & Co. | 40,939 | 6.57% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 36,272 | 5.82% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 12,032,743 | 22.39% | |||||||
Service | American United Life Insurance Co | 78,771 | 44.89% | |||||||
Service | American United Life Insurance Co | 28,606 | 16.30% | |||||||
Service | Lincoln Financial Advisors, Lincoln Financial Group Trust Co., FBO Rollover SS IRA Plan, PO Box 21008, Greensboro, NC 27420-1008 | 15,186 | 8.66% | |||||||
Service | Empower Financial Services, Inc. | 10,946 | 6.24% | |||||||
Service | TCA Trustcorp America | 10,235 | 5.83% | |||||||
Investor | American Enterprise Investment SVC | 2,620,320 | 50.90% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 1,641,040 | 31.87% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 261,275 | 58.96% | |||||||
Class R | Acensus Trust Company FBO, Mission Driven Research 401(K) Plan 229768 | 42,041 | 9.49% | |||||||
Class R | Acensus Trust Company FBO, Summit Software 401(K) Plan 132086 | 38,931 | 8.79% | |||||||
Class R | National Financial Services LLC, FIIOC FBO, Team Velocity Marketing LLC, 401K Plan,100 Magellan way (KW1C), Covington , KY 41015-1987 | 23,036 | 5.20% | |||||||
Class R6 | Goldman Sachs Trust, GS Growth Strategy Portfolio | 8,925,768 | 28.50% | |||||||
Class R6 | Goldman Sachs Trust, GS Growth and Income Strategy Portfolio | 6,398,927 | 20.43% | |||||||
Class R6 | Goldman Sachs Trust, GS Balanced Strategy Portfolio | 2,307,003 | 7.37% | |||||||
Class R6 | Goldman Sachs Trust, GS Dynamic Global Equity Fund | 1,922,760 | 6.14% | |||||||
Class R6 | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 1,847,778 | 5.90% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 26,698,013 | 95.60% | |||||||
Goldman Sachs International Small Cap Insights Fund | Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 1,695,426 | 27.69% | ||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 742,631 | 12.13% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 543,799 | 8.88% |
B-51
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS R6 SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,965.25 | 100.00% | |||||||
GLOBAL MANAGED BETA FUND INSTITUTIONAL SHARES | Goldman Sachs Asset Management LP, Sprint Master Trust, 6200 Sprint PKWY #HF0202-2BDTX, Overland Park, KS 66251-6117 | 24,156,359.32 | 24.44% | |||||||
Goldman Sachs Asset Management LP, Christian School Pension Trust fund, 3350 East Paris AVE SE, Grand Rapids, MI 49515-3054 | 23,946,020.87 | 24.23% | ||||||||
Goldman Sachs Asset Management LP, Valvoline LLC, Defined Benefit Trust, 100 Valvoline Way, Lexington,KY 40509-2714 | 17,505,520.83 | 17.71% | ||||||||
Goldman Sachs Asset Management LP, KPMG Pensions Plan, 3 Chestnut Ridge Rd., Montvale, NJ 07645-1842 | 11,879,887.47 | 12.02% | ||||||||
Goldman Sachs Asset Management LP, M&T Directed Trustee Retirement Plan of Crouse Hospital, 736 Irving Ave., Syracuse, NY 13210-1687 | 5,611,177.06 | 5.68% | ||||||||
GROWTH OPPORTUNITIES FUND CLASS A SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 2,388,470.15 | 13.22% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR7, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 1,570,926.89 | 8.69% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,481,643.46 | 8.20% | ||||||||
ADP/Broker Dealer Inc., State Street Bank and Trust TTEE/Cust., FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 1,292,133.07 | 7.15% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 1,032,648.61 | 5.71% | ||||||||
Hartford Life Insurance Company, Hartford Life Insurance Co. Separate Account 401, 1 Griffin Rd. N, Windsor, CT 06095-1512 | 941,943.55 | 5.21% | ||||||||
CLASS C SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR7, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 541,656.27 | 14.50% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 501,887 | 8.20% | |||||||
Class A | American Enterprise Investment SVC | 409,048 | 6.68% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 258,859 | 24.59% | |||||||
Class C | American Enterprise Investment SVC | 255,388 | 24.26% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 111,640 | 10.60% | |||||||
Class C | Stifel Nicolaus & Co. | 99,817 | 9.48% | |||||||
Class C | LPL Financial | 99,408 | 9.44% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 60,929 | 5.79% | |||||||
Class C | Pershing LLC, PO Box 2052 | 52,993 | 5.03% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 149,415,999 | 71.99% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 23,407,279 | 11.28% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 10,653,628 | 5.13% | |||||||
Investor | American Enterprise Investment SVC | 3,322,668 | 46.16% | |||||||
Investor | LPL Financial | 1,815,717 | 25.22% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 664,762 | 9.23% | |||||||
ClassR6 | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 12,673,068 | 28.20% | |||||||
Class R6 | Goldman Sachs & Co LLC, GS Tax-Adv Global Equity Portfolio, C/O Fund Management, 200 West St., 37th Floor, New York, NY 10282-2102 | 9,817,829 | 21.85% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 5,907,037 | 13.14% | |||||||
Class R6 | Goldman Sachs Trust, GS Growth Strategy Portfolio | 2,741,743 | 6.10% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 3,288,497 | 97.91% | |||||||
Goldman Sachs International Tax-Managed Equity Fund | Class A | Edward D. Jones & Co. | 139,923 | 28.65% | ||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 65,892 | 13.49% | |||||||
Class A | American Enterprise Investment SVC | 56,858 | 11.64% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 51,729 | 10.59% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 43,184 | 8.84% | |||||||
Class A | LPL Financial | 25,441 | 5.21% |
B-52
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 476,773.53 | 12.76% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 411,032.05 | 11.00% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 350,348.32 | 9.38% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 336,123.98 | 9.00% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 188,698.99 | 5.05% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 186,906.66 | 5.00% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 4,584,389.86 | 21.99% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 4,418,899.99 | 21.20% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 2,186,749.35 | 10.49% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 1,296,346.47 | 6.22% | ||||||||
INVESTOR SHARES | Principal Securities Inc., DCGT AS TTEE and/or Cust., FBO PLIC various retirement plans, Omnibus, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 1,354,698.03 | 35.22% | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 569,575.74 | 14.81% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 505,578.04 | 13.14% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class A | Pershing LLC, PO Box 2052 | 24,569 | 5.03% | |||||||
Class C | Stifel Nicolaus & Co. | 21,054 | 33.33% | |||||||
Class C | American Enterprise Investment SVC | 14,187 | 22.46% | |||||||
Class C | Pershing LLC, PO Box 2052 | 5,027 | 7.96% | |||||||
Class C | LPL Financial Corporation, Matrix Trust Company as Agent for Julia Hallquist 403B, 717 17th St., Ste 1300, Denver Co., 80202-3304 | 4,580 | 7.25% | |||||||
Class C | Lincoln Investment Planning, Gerald W Houseweart II, 4388 Red Rock Rd., Benton, PA 17814-7605 | 4,505 | 7.13% | |||||||
Class C | LPL Financial Corporation, Thomas Berarducci & Chiwan Kim TTEES, Berarducci Kim Trust Agreement, US DTD 02/18/2014, 8500 Willow Gate Ct., Granite Bay, CA 95746-6135 | 4,296 | 6.80% | |||||||
Class C | RBC Capital Markets Corporation | 3,797 | 6.01% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 320,288 | 31.37% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 288,594 | 28.26% | |||||||
Institutional | UBS WM USA | 87,484 | 8.57% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 82,993 | 8.13% | |||||||
Investor | American Enterprise Investment SVC | 635,123 | 71.09% | |||||||
Investor | LPL Financial | 128,277 | 14.36% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 70,590 | 7.90% | |||||||
R6 | Goldman Sachs & Co LLC, GS Tax-Adv Global Equity Portfolio, C/O Fund Management, 200 West St., 37th Floor, New York, NY 10282-2102 | 57,181,709 | 99.58% | |||||||
P | Goldman Sachs & Co., FBO Omnibus 6600 | 5,670,177 | 98.39% | |||||||
Goldman Sachs Investment Grade Credit Fund | Class A | American Enterprise Investment SVC | 118,157 | 15.35% | ||||||
Class A | Edward D. Jones & Co. | 274,275 | 35.64% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 109,142 | 14.18% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 7,090,697 | 81.86% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 778,218 | 8.98% | |||||||
Investor | American Enterprise Investment SVC | 968,564 | 81.79% | |||||||
Investor | LPL Financial | 156,302 | 13.20% |
B-53
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 347,178.72 | 9.03% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego,CA 92121-3091 | 210,606.55 | 5.48% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 3,033,144.08 | 99.98% | |||||||
CLASS R SHARES | Hartford Life Insurance Company, Hartford Life Insurance Co. Separate Account 401, 1 Griffin Rd. N, Windsor, CT 06095-1512 | 1,175,280.22 | 44.07% | |||||||
ADP/Broker Dealer Inc., State Street Bank and Trust TTEE/Cust., FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 643,121.23 | 24.11% | ||||||||
CLASS R6 SHARES | MSCS Financial Services LLC, Associated Trust Company, PO Box 22037, Green Bay, WI 54305-2037 | 2,674,705.62 | 33.93% | |||||||
ational Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 2,062,309.84 | 26.16% | ||||||||
Vanguard Fiduciary Trust Company, Attn: Outside Funds K22, PO Box 2600, Valley Forge, PA 19482-2600 | 400,045.01 | 5.08% | ||||||||
SERVICE SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,109,762.53 | 69.86% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 179,300.37 | 11.29% | ||||||||
GWFS Equities Inc., Fifth Third Bank TTEE, Various FASCORP Record Kept Plans, 8515 E Orchard Rd 2T2, Greenwood Village, CO 80111-5002 | 96,817.95 | 6.09% | ||||||||
LARGE CAP VALUE FUND CLASS A SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 1,882,885.83 | 32.46% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Separate Account Institutional | GS PWM INSTL Class, FBO Acct# 021117601 | 2,187,130 | 18.40% | |||||||
Separate Account Institutional | GS PWM INSTL Class, FBO Acct# 021117726 | 1,570,523 | 13.22% | |||||||
Separate Account Institutional | GS PWM INSTL Class, FBO Acct# 054043385 | 1,109,360 | 9.34% | |||||||
Separate Account Institutional | GS PWM INSTL Class, FBO Acct# 021113246 | 973,854 | 8.19% | |||||||
Separate Account Institutional | GS PWM INSTL Class, FBO Acct# 021094826 | 873,877 | 7.35% | |||||||
Class R6 | Goldman Sachs Asset Management LP, DLRT-GSAM IG Credit, 200 West St., Fl 29, New York, NY 10282-2198 | 25,996,437 | 68.83% | |||||||
Class R6 | Goldman Sachs Asset Management LP, US Bank TT&SS Alternative, Investments Custody FBO Childrens Health Foundation, 601 Childrens Ln, Norfolk, VA 23507-1910 | 8,168,911 | 21.63% | |||||||
Class R6 | Goldman Sachs Asset Management LP, US Bank GS Investment Grade Credit Fund FBO GFS, 1300 Gezon Pkwy SW, Wyoming, MI 49509-9300 | 3,300,690 | 8.74% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 22,672,754 | 99.98% | |||||||
Goldman Sachs Investor Money Market Fund | Class A | Edward D. Jones & Co. | 1,008,312,844 | 78.13% | ||||||
Class A | RBC Capital Markets Corporation | 217,594,881 | 16.86% | |||||||
Administration | American Enterprise Investment SVC | 174,574,054 | 65.06% | |||||||
Administration | Pershing LLC, FBO Customers | 54,270,388 | 20.23% | |||||||
Administration | Pershing LLC, PO Box 2052 | 19,724,013 | 7.35% | |||||||
Class C | GSAM Holdings LLC Seed Account | 10,689 | 51.91% | |||||||
Class C | Stifel Nicolaus & Co. | 9,896 | 48.06% | |||||||
Cash Management | Pershing LLC, FBO Customers | 23,205,369 | 99.95% | |||||||
Class D | UBS WM USA | 5,258,079 | 99.81% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,916,050,966 | 31.15% | |||||||
Institutional | Raymond James, 92500015, Omnibus for Mutual Funds | 1,565,607,498 | 25.46% |
B-54
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 509,309.82 | 8.78% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 458,763.70 | 7.91% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 345,248.77 | 5.95% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 337,390.80 | 5.82% | ||||||||
CLASS C SHARES | UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 1,015,505.62 | 65.47% | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 93,771.82 | 6.05% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 81,395.21 | 5.25% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 7,952,532.16 | 77.26% | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 524,148.17 | 5.09% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 163,307.61 | 57.75% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego,CA 92121-3091 | 61,145.43 | 21.62% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 29,521.21 | 10.44% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 998,041,757 | 16.23% | |||||||
Institutional | LPL Financial, P.O Box 509046, San Diego, CA 92150-9046 | 833,846,213 | 13.56% | |||||||
Institutional | American Enterprise Investment SVC | 324,070,506 | 5.27% | |||||||
Service | Pershing LLC, FBO Customers | 22,672,754 | 99.98% | |||||||
Goldman Sachs Investor Tax-Exempt Money Market Fund | Class A | Edward D. Jones & Co. | 24,703,686 | 72.41% | ||||||
Class A | RBC Capital Markets Corporation | 7,917,595 | 23.21% | |||||||
Administration | LPL Financial | 4,009,138 | 57.31% | |||||||
Administration | BMO Harris Bank NA, 320 Canal St., Fl 14, Chicago, IL 60606-5707 | 1,582,400 | 22.62% | |||||||
Administration | Goldman Sachs Direct Ex DLR Accts, Mary Jane Spence Tod, Raymond E Spence, 19979 Smith Cir, Ashburn, VA 20147-2509 | 850,000 | 12.15% | |||||||
Class C | GSAM Holdings LLC Seed Account | 9,173 | 100% | |||||||
Capital | GSAM Holdings LLC Seed Account | 1,055 | 100% | |||||||
Cash Management | GSAM Holdings LLC Seed Account | 1,027 | 63.61% | |||||||
Cash Management | Pershing LLC, FBO Customers | 587 | 36.39% | |||||||
Service | SEI Private Trust Company, C/O City National Bank | 226,432 | 97.00% | |||||||
Class I | The Glenmede Trust Company NA, 1650 Market St., Ste. 1200, Philadelphia, PA 19103-7391 | 1,073,215,253 | 55.14% | |||||||
Class I | SEI Private Trust Company, C/O BMO Harris SWP | 291,862,585 | 15.00% | |||||||
Class I | First Premier Bank, Unifalls & Co., C/O First Premier Bank, PO Box 2640, Sioux Falls, SD 57101-2640 | 138,138,401 | 7.10% | |||||||
Class I | LPL Financial | 136,268,400 | 7.00% | |||||||
Preferred | Band & CO Institutional Trust, C/O US Bank NA, 1555 N Rivercenter Dr. Ste 203, Milwaukee, WI 532123958 | 128,773 | 60.90% | |||||||
Preferred | Pershing LLC, FBO Customers | 81,625 | 38.60% | |||||||
Premier | GSAM Holdings LLC Seed Account | 1,046 | 100% | |||||||
Select | GSAM Holdings LLC Seed Account | 1,062 | 99.97% | |||||||
Goldman Sachs Large Cap Core Fund | Class A | Edward D. Jones & Co. | 3,757,474 | 12.85% | ||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 1,942,183 | 6.64% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 168,900 | 13.71% |
B-55
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 14,140.44 | 5.00% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 12,001,309.40 | 99.79% | |||||||
CLASS R SHARES | Hartford Life Insurance Company, Hartford Life Insurance Co. Separate Account 401, 1 Griffin Rd. N, Windsor, CT 06095-1512 | 214,210.75 | 74.43% | |||||||
MML Distributor,LLC-Aviator, Mass Mutual Life Insurance, 1295 State St. MIPM200-INVST, Springfield, MA 01111-0001 | 28,095.35 | 9.76% | ||||||||
Principal Securities Inc., DCGT AS TTEE and/or Cust., FBO PLIC various retirement plans, Omnibus, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 26,189.52 | 9.10% | ||||||||
CLASS R6 SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 81,419.89 | 56.73% | |||||||
MML Distributors LLC, Reliance Trust Company FBO MassMutual Registered Product, P.O. Box 28004, Atlanta,GA 30358-0004 | 30,465.89 | 21.23% | ||||||||
MML Distributor, Mass Mutual Life Insurance, 1295 State St. MIP M200-INVST, Springfield, MA 01111-0001 | 28,167.20 | 19.63% | ||||||||
SERVICE SHARES | TCA TrustCorp. America, 5301 Wisconsin Ave. NW, 4th Fl, Washington, DC 20015-2047 | 39,412.84 | 57.97% | |||||||
Lincoln Financial Group Trust Co., FBO Rollover IRA Plans, 1 Granite Pl, Concord, NH 03301-3271 | 14,568.40 | 21.43% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 9,311.12 | 13.70% | ||||||||
MID CAP VALUE FUND CLASS A SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 4,593,625.88 | 28.68% | |||||||
Hartford Life Insurance Company, Hartford Life Insurance Co. Separate Account 401, 1 Griffin Rd. N, Windsor, CT 06095-1512 | 1,193,876.12 | 7.45% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 111,729 | 9.07% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 89,009 | 7.22% | |||||||
Class C | Stifel Nicolaus & Co. | 71,309 | 5.79% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 810,027 | 27.15% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 422,751 | 14.17% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 223,811 | 7.50% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 189,595 | 6.36% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 158,949 | 5.33% | |||||||
Service | Empower Financial Services, Inc. | 13,549 | 35.13% | |||||||
Service | Empower Financial Services, Inc. | 7,972 | 20.67% | |||||||
Service | Mid Atlantic Trust Company | 7,814 | 20.26% | |||||||
Service | National Financial Services LLC, FEBO Customers Mutual Funds | 4,872 | 12.63% | |||||||
Service | MSCS Financial Services LLC, Essa Bank and Trust, 744 Main St., Ste 1, Stroudsburg, PA 18360-2268 | 2,089 | 5.42% | |||||||
Service | TCA Trustcorp America | 1,947 | 5.05% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 1,947 | 60.53% | |||||||
Investor | American Enterprise Investment SVC | 180,175 | 19.80% | |||||||
Investor | LPL Financial | 51,578 | 5.67% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 274,998 | 83.80% | |||||||
Class R6 | Empower Financial Services, Inc. | 1,702,039 | 64.67% | |||||||
Class R6 | Empower Financial Services, Inc. | 354,501 | 13.47% | |||||||
Class R6 | Edward D. Jones & Co. | 251,000 | 9.54% | |||||||
Class R6 | Empower Financial Services, Inc. | 151,306 | 5.75% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 3,493,410 | 98.38% | |||||||
Goldman Sachs Large Cap Growth Insights Fund | Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 422,751 | 14.17% | ||||||
Class A | Edward D. Jones & Co. | 693,556 | 9.00% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 572,035 | 7.42% |
B-56
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RJ3, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 1,053,467.18 | 6.58% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 889,677.13 | 5.55% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 168,094.52 | 17.78% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RS5, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 155,486.15 | 16.44% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 80,197.26 | 8.48% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 71,593.41 | 7.57% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego,CA 92121-3091 | 70,343.79 | 7.44% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 65,019.91 | 6.88% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 63,549.32 | 6.72% | ||||||||
RBC Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus Processing, Omnibus, Attn: Mutual Fund Ops Manager, 60 S 6th ST. Ste. 700 #P08, Minneapolis, MN 55402-4413 | 49,225.90 | 5.21% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 2,018,843.03 | 19.86% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 1,335,934.16 | 13.14% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 923,016.09 | 9.08% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 540,716 | 7.02% | |||||||
Class A | State Street Bank and TR TTEE/Cust. | 436,665 | 5.67% | |||||||
Class A | American Enterprise Investment SVC | 402,583 | 5.23% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 269,430 | 21.54% | |||||||
Class C | Pershing LLC, PO Box 2052 | 262,331 | 20.98% | |||||||
Class C | American Enterprise Investment SVC | 184,253 | 14.73% | |||||||
Class C | LPL Financial | 127,223 | 11.25% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 109,240 | 8.73% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 64,505 | 5.16% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 1,758,429 | 19.54% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 1,682,438 | 18.69% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 861,925 | 9.58% | |||||||
Institutional | TD Ameritrade Clearing Inc. | 545,055 | 6.06% | |||||||
Institutional | Empower Financial Services, Inc. | 489,128 | 5.43% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 478,684 | 5.32% | |||||||
Institutional | MSCS Financial Services LLC, Matrix Cash Reinv 03, 42 McClurg Rd., Youngstown, OH 44512-6700 | 472,848 | 5.25% | |||||||
Service | Devon Bank, 6445 N Western Ave., Ste 300, Chicago, IL 60645-5452 | 554,988 | 58.85% | |||||||
Service | American United Life Insurance Co | 310,213 | 32.90% | |||||||
Investor | American Enterprise Investment SVC | 2,427,955 | 43.03% | |||||||
Investor | LPL Financial | 959,750 | 17.01% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 846,432 | 15.00% | |||||||
Investor | American United Life Insurance Co., 1 American Sq., Indianapolis, IN 46282-0002. | 737,883 | 13.08% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 127,223 | 11.23% | |||||||
Class R6 | Goldman Sachs Direct Accts., Mac & Co A/C 47034, FBO GS 529 Plan, Mutual Fund Operations, 500 Grant Street, Room 151-1010, Pittsburgh, PA 15219-2502 | 1,721,612 | 16.14% |
B-57
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 828,389.85 | 8.15% | ||||||||
Wells Fargo Bank NA, Wells Fargo Bank FBO Various Retirement Plans, 9888888836 NC 1151, 1525 West WT Harris BLVD, Charlotte, NC 28288-1076 | 636,584.03 | 6.26% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco,CA 94105-1905 | 511,149.64 | 5.03% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 661,606.74 | 50.42% | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 266,680.00 | 20.32% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego,CA 92121-3091 | 158,459.80 | 12.08% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 4,240,040.34 | 99.72% | |||||||
CLASS R SHARES | Hartford Life Insurance Co., Separate Account 401, 1 Griffin Rd N, Windsor, CT 06095-1512 | 207,990.54 | 29.66% | |||||||
ADP/Broker Dealer Inc., State Street Bank and Trust TTEE/Cust., FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 138,881.21 | 19.80% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 88,927.20 | 12.68% | ||||||||
MML Distributor,LLC-Aviator, Mass Mutual Life Insurance, 1295 State St. MIPM200-INVST, Springfield, MA 01111-0001 | 57,199.23 | 8.16% | ||||||||
CLASS R6 SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 1,044,810.42 | 67.96% | |||||||
GWFS Equities Inc., Great West Trust Co. LLC, Plans of Great West Financial, 8515 E Orchard Rd. #2T2, Greenwood Village, CO 80111-5002 | 121,175.40 | 7.88% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 1,228,167 | 11.51% | |||||||
Class R6 | Goldman Sachs Trust, GS Dynamic Global Equity Fund | 920,248 | 8.63% | |||||||
Class R6 | Principal Securities Inc. | 897,087 | 8.41% | |||||||
Class R6 | American United Life Insurance Co | 876,901 | 8.22% | |||||||
Class R6 | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 805,207 | 7.55% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 1,816,068 | 97.67% | |||||||
Goldman Sachs Large Cap Value Fund | Class A | Edward D. Jones & Co. | 1,624,579 | 30.94% | ||||||
Class A | UBS WM USA | 631,244 | 12.02% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 351,225 | 6.69% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 302,145 | 5.75% | |||||||
Class C | UBS WM USA | 343,324 | 58.25% | |||||||
Class C | LPL Financial | 69,758 | 11.84% | |||||||
Investor | LPL Financial | 294,248 | 64.28% | |||||||
Investor | American Enterprise Investment SVC | 113,167 | 24.72% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 29,551 | 6.46% | |||||||
Class R | Hartford Life Insurance Company | 209,340 | 73.54% | |||||||
Class R | GWFS Equities Inc., Massachusetts Mutual Life Insurance, 1295 State St., MIP M200-INVST, Springfield, MA 01111-0001 | 28,094 | 9.87% | |||||||
Class R | Principal Securities Inc. | 26,768 | 9.40% | |||||||
Goldman Sachs Large Cap Value Insights Fund | Class A | American Enterprise Investment SVC | 172,658 | 7.29% | ||||||
Class A | Edward D. Jones & Co. | 444,415 | 18.77% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 269,505 | 11.38% | |||||||
Class A | TD Ameritrade Clearing Inc. | 203,705 | 8.60% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 170,520 | 7.20% | |||||||
Class A | State Street Bank and TR TTEE/Cust. | 151,970 | 6.42% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 151,430 | 6.40% | |||||||
Class C | LPL Financial | 83,606 | 22.52% |
B-58
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 120,468.24 | 7.84% | ||||||||
SERVICE SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 842,032.05 | 57.80% | |||||||
American United Life Insurance Co., FBO Group Retirement Account, Attn: Separate Accounts, P.O. Box 368, Indianapolis, IN 46206-0368 | 150,811.44 | 10.35% | ||||||||
Hartford Life Insurance Co., Separate Account, 200 Hopmeadow St., Weatogue,CT 06089-9793 | 117,748.73 | 8.08% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 102,866.19 | 7.06% | ||||||||
SMALL CAP VALUE FUND CLASS A SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 1,563,294.38 | 12.55% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PY5, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 1,508,055.56 | 12.10% | ||||||||
Hartford Life Insurance Co., Separate Account 401, 1 Griffin Rd N, Windsor, CT 06095-1512 | 1,311,964.06 | 10.53% | ||||||||
ADP/Broker Dealer Inc., State Street Bank and Trust TTEE/Cust., FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 1,012,277.82 | 8.12% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 945,833.73 | 7.59% | ||||||||
CLASS C SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ# 97RT6, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 62,131.58 | 25.76% | |||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 54,830.96 | 22.74% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 70,059 | 18.87% | |||||||
Class C | UBS WM USA | 21,634 | 5.83% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 20,547 | 5.54% | |||||||
Class C | American Enterprise Investment SVC | 33,278 | 8.97% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 1,419,075 | 37.59% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 1,027,686 | 27.22% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 303,010 | 8.03% | |||||||
Institutional | UBS WM USA | 242,907 | 6.43% | |||||||
Service | National Financial Services LLC, FEBO Customers Mutual Funds | 85,456 | 86.99% | |||||||
Service | Empower Financial Services, Inc. | 9,242 | 9.41% | |||||||
Investor | LPL Financial | 1,444,719 | 51.97% | |||||||
Investor | American Enterprise Investment SVC | 1,135,325 | 40.84% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 146,005 | 88.45% | |||||||
Class R | TIAA Trust, N.A. as CUST/TTEE of Retirement Plans Recordkept by TIAA, Attn: Fund Operations, 8500 Andrew Carnegie Blvd., Charlotte, NC 28262-5800 | 9,180 | 5.56% | |||||||
Class R6 | Goldman Sachs Trust, Dynamic Global Equity Fund | 1,383,711 | 41.82% | |||||||
Class R6 | Goldman Sachs Trust, GS Balanced Strategy Portfolio | 580,409 | 17.54% | |||||||
Class R6 | Goldman Sachs Trust, GS Growth and Income Strategy Portfolio | 499,562 | 15.10% | |||||||
Class R6 | Goldman Sachs Trust, GS Balanced Strategy Portfolio | 240,992 | 7.28% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 2,082,042 | 98.86% | |||||||
Goldman Sachs Local Emerging Markets Debt Fund | Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 196,938 | 32.51% | ||||||
Class A | LPL Financial | 159,543 | 26.34% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 45,072 | 7.44% | |||||||
Class A | American Enterprise Investment SVC | 37,238 | 6.15% | |||||||
Class A | Edward D. Jones & Co. | 30,539 | 5.04% | |||||||
Class C | LPL Financial | 333,255 | 91.07% |
B-59
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Principal Securities Inc., DCGT AS TTEE and/or Cust., FBO PLIC various retirement plans, Omnibus, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 17,628.95 | 7.31% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, St Louis, MO 63103-2523 | 17,326.39 | 7.19% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 17,271.09 | 7.16% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 22,959,927.16 | 37.70% | |||||||
Wells Fargo Bank NA, Wells Fargo Bank FBO Various Retirement Plans, 9888888836 NC 1151, 1525 West WT Harris BLVD, Charlotte, NC 28288-1076 | 6,351,159.67 | 10.43% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco,CA 94105-1905 | 6,042,177.12 | 9.92% | ||||||||
INVESTOR SHARES | Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco,CA 94105-1905 | 633,127.73 | 22.36% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 631,762.73 | 22.31% | ||||||||
Principal Securities Inc., DCGT AS TTEE and/or Cust., FBO PLIC various retirement plans, Omnibus, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 169,977.27 | 6.00% | ||||||||
GWFS Equities Inc., Great West Trust Co. LLC, Employee Benefits Clients 401(k), 8515 E Orchard Rd. #2T2, Greenwood Village, CO 80111-5002 | 159,879.16 | 5.65% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 4,493,544.09 | 99.35% | |||||||
CLASS R SHARES | Hartford Life Insurance Co., Separate Account 401, 1 Griffin Rd N, Windsor, CT 06095-1512 | 679,217.52 | 37.06% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | MSCS Financial Services LLC, Naidot & Co., FBO Pineone trust Custody Account, C/O Bessemer Trust Co., 100 Woodbridge Center Dr., Woodbridge, NJ 07095-1162 | 223,945 | 16.00% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 659,974 | 47.16% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 136,772 | 9.77% | |||||||
Institutional | GSAM Holdings LLC Comp Hedge, Attn IMD-INDA-SAOS-2021 | 89,147 | 6.37% | |||||||
Investor | American Enterprise Investment SVC | 1,538,420 | 51.88% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 764,829 | 25.79% | |||||||
Investor | LPL Financial | 621,227 | 20.95% | |||||||
Class R6 | Goldman Sachs Trust, GS Growth and Income Strategy Portfolio | 2,008,299 | 33.49% | |||||||
Class R6 | Goldman Sachs Trust, GS Trust Growth Strategy Portfolio | 1,984,946 | 33.10% | |||||||
Class R6 | Goldman Sachs Trust, GS Trust Balanced Strategy Portfolio | 1,284,377 | 21.42% | |||||||
Class R6 | Goldman Sachs Trust, GS Satellite Strategies Portfolio | 716,681 | 11.95% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 2,977,964 | 85.85% | |||||||
Class P | GS PWM INSTL Class, FBO Acct# 021961289 | 342,295 | 9.87% | |||||||
Goldman Sachs Long Short Credit Strategies Fund | Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 21,801 | 27.73% | ||||||
Class A | Pershing LLC, PO Box 2052 | 20,155 | 25.64% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 14,857 | 18.90% | |||||||
Class A | TD Ameritrade Clearing Inc. | 10,765 | 13.69% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 4,794 | 6.10% | |||||||
Class C | Pershing LLC, PO Box 2052 | 4,731 | 40.08% | |||||||
Class C | GSAM Holdings LLC Seed Account | 3,248 | 27.52% | |||||||
Class C | RBC Capital Markets Corporation | 2,651 | 22.46% | |||||||
Class C | National Financial Services LLC, FEBO Customers Mutual Funds | 1,174 | 9.94% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 649,288 | 48.85% | |||||||
Institutional | UBS WM USA | 159,389 | 11.99% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 132,984 | 10.01% |
B-60
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
ADP/Broker Dealer Inc., State Street Bank and Trust TTEE/Cust., FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 309,013.87 | 16.86% | ||||||||
MML Distributor,LLC-Aviator, Mass Mutual Life Insurance, 1295 State St. MIPM200-INVST, Springfield, MA 01111-0001 | 252,226.01 | 13.76% | ||||||||
Principal Securities Inc., DCGT AS TTEE and/or Cust., FBO PLIC various retirement plans, Omnibus, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 120,109.13 | 6.55% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 111,356.12 | 6.08% | ||||||||
CLASS R6 SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 8,093,266.36 | 31.92% | |||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 2,400,389.22 | 9.47% | ||||||||
JP Morgan Securities LLC FBO Customers, Mutual Fund Dept., 3 Chase Metrotech Center, Fl. 3, Brooklyn, NY 11245-0001 | 1,466,687.74 | 5.79% | ||||||||
SERVICE SHARES | American United Life Insurance Co., FBO Group Retirement Account, Attn: Separate Accounts, P.O. Box 368, Indianapolis, IN 46206-0368 | 546910.58 | 33.55% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 293,977.04 | 18.03% | ||||||||
John Hancock Trust Co, LLC, 690 Canton St. STE 100, Westwood, MA 02090-2324 | 165,109.22 | 10.13% | ||||||||
Security Benefit Life Insurance Co., UMB Bank NA, FBO Fiduciary for Tax Deferred Accts., 1 SW Security Benefit Pl., Topeka, KS 66636-1000 | 147,177.50 | 9.03% | ||||||||
Hartford Life Insurance Co., Separate Account, 200 Hopmeadow St., Weatogue,CT 06089-9793 | 83,109.06 | 5.10% | ||||||||
SMALL/MID CAP GROWTH FUND CLASS A SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 1,648,256.74 | 11.91% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | GSAM Holdings LLC Comp Hedge, Attn IMD-INDA-SAOS-2020 | 108,581 | 8.17% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 97,611 | 7.34% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 83,994 | 6.32% | |||||||
Investor | LPL Financial | 141,042 | 78.12% | |||||||
Investor | TD Ameritrade Clearing Inc. | 30,814 | 17.07% | |||||||
Class R | GSAM Holdings LLC Seed Account | 3,401 | 96.51% | |||||||
Class R6 | Goldman Sachs & Co LLC, GS VIT GS Multi-Strat Alt Portfolio, C/O Fund Management, 200 West St., 37th Floor, New York, NY 10282-2102 | 874,782 | 99.84% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 3,950,844 | 99.96% | |||||||
Goldman Sachs Managed Futures Strategy Fund | Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 1,056,352 | 58.29% | ||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 336,618 | 18.58% | |||||||
Class A | American Enterprise Investment SVC | 122,617 | 6.77% | |||||||
Class C | American Enterprise Investment SVC | 496,242 | 79.17% | |||||||
Class C | Stifel Nicolaus & Co. | 83,846 | 13.38% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 3,147,247 | 44.08% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 1,420,417 | 19.90% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 1,398,743 | 19.59% | |||||||
Institutional | TD Ameritrade Clearing Inc. | 559,675 | 7.84% | |||||||
Investor | American Enterprise Investment SVC | 19,665,274 | 82.30% | |||||||
Investor | LPL Financial | 3,898,515 | 16.32% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 19,349 | 29.35% | |||||||
Class R | PAI Trust Company Inc., Barnes Pipe & Steel Supply 401K P, 1300 Enterprise Dr., De Pere, WI 54115-4934 | 15,091 | 22.89% | |||||||
Class R | Crown Capital Securities LP, Matrix Trust Company Cust. FBO Barth Calderon 401K Plan, 717 17th St, Suite 1300, Denver, CO 80202-3304 | 8,075 | 12.25% | |||||||
Class R | MSCS Financial Services, LLC, Mark C Tasi MD 401K Plan, 717 17th St., Ste 1300, Denver, CO 80202-3304 | 7,708 | 11.69% | |||||||
Class R | National Financial Services LLC, FIIOC FBO, Team Velocity Marketing LLC, 401K Plan, 100 Magellan way (KW1C), Covington , KY 41015-1987 | 7,152 | 10.85% |
B-61
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 1,334,728.81 | 9.65% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, Saint Louis, MO 63103-2523 | 1,267,935.70 | 9.16% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,034,648.91 | 7.48% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 1,010,238.47 | 7.30% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco,CA 94105-1905 | 1,001,102.70 | 7.23% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 880,839.06 | 6.37% | ||||||||
Voya Financial Partners LLC, Voya Retirement insurance & Annuity Co, 1 Orange Way, Windsor, CT 06095-4773 | 732,226.33 | 5.29% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, Saint Louis, MO 63103-2523 | 2,364,882.39 | 24.73% | |||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 1,646,754.36 | 17.22% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 1,547,682.15 | 16.19% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 855,687.15 | 8.95% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 824,304.33 | 8.62% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R | Ascensus Trust Company FBO GRP Engineering Inc., 401(k) Plan 230479, | 3,884 | 5.89% | |||||||
Class R6 | Goldman Sachs Trust, GS Growth and Income Strategy Portfolio | 1,994,761 | 30.67% | |||||||
Class R6 | Goldman Sachs Trust, GS Balanced Strategy Portfolio | 1,508,403 | 23.19% | |||||||
Class R6 | Goldman Sachs Trust, GS Growth Strategy Portfolio | 1,488,845 | 22.89% | |||||||
Class R6 | Goldman Sachs Direct Accts., Mac & Co A/C 47034, FBO GS 529 Plan, Mutual Fund Operations, 500 Grant Street, Room 151-1010, Pittsburgh, PA 15219-2502 | 936,306 | 14.39% | |||||||
Class R6 | Goldman Sachs & Co LLC, GS VIT GS Multi-Strat Alt Portfolio, C/O Fund Management, 200 West St., 37th Floor, New York, NY 10282-2102 | 557,648 | 8.57% | |||||||
Class P | GSAM Holdings LLC Seed Account | 1,328 | 100.00% | |||||||
Goldman Sachs Mid Cap Growth Fund | Class A | State Street Bank and TR TTEE/Cust. | 1,888,509 | 8.29% | ||||||
Class A | Edward D. Jones & Co. | 3,254,345 | 14.29% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 1,835,197 | 8.06% | |||||||
Class A | GWFS Equities Inc., Wells Fargo Bank NA Trustee, City of Tallahassee Matched Annuity, C/O Fascore LLC | 1,652,470 | 7.26% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 1,620,656 | 7.12% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 1,570,686 | 6.90% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,140,971 | 5.01% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 107,831 | 17.99% | |||||||
Class C | Stifel Nicolaus & Co. | 41,072 | 6.85% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 38,103 | 6.36% | |||||||
Class C | Goldman Sachs Direct EX DLR Accts, Rocky Run Family Medicine, Goldman Sachs/ADP 401K Plan, ADP Plan #100645, 5645 Stone Rd., Centreville, VA 20120-1618 | 30,351 | 5.06% | |||||||
Class C | Pershing LLC, PO Box 2052 | 30,066 | 5.02% |
B-62
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 8,176,582.12 | 22.52% | |||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco,CA 94105-1905 | 4,551,064.78 | 12.53% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 3,590,924.36 | 9.89% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 3,425,625.21 | 9.43% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 2,782,052.97 | 7.66% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, Saint Louis, MO 63103-2523 | 2,212,165.35 | 6.09% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 8,927,817.92 | 48.61% | |||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco,CA 94105-1905 | 2,720,859.25 | 14.81% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 2,495,018.56 | 13.58% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,425,264.33 | 7.76% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego,CA 92121-3091 | 1,361,062.51 | 7.41% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 8,325,490.28 | 98.88% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 3,548,367 | 22.60% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 2,866,228 | 18.26% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,556,697 | 9.92% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 815,645 | 5.20% | |||||||
Institutional | UBS WM USA | 1,140,971 | 5.01% | |||||||
Service | National Financial Services LLC, FEBO Customers Mutual Funds | 1,872,258 | 77.48% | |||||||
Service | Empower Financial Services, Inc. | 173,338 | 7.17% | |||||||
Investor | Principal Securities Inc. | 2,500,385 | 45.61% | |||||||
Investor | National Financial Services LLC, FEBO Customers Mutual Funds | 626,829 | 11.43% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 510,946 | 9.32% | |||||||
Investor | LPL Financial | 418,504 | 7.63% | |||||||
Investor | American Enterprise Investment SVC | 357,744 | 6.53% | |||||||
Class R | Hartford Life Insurance Company | 1,452,595 | 40.75% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 1,130,742 | 31.72% | |||||||
Class R6 | MSCS Financial Services LLC, Associated Trust Company, PO Box 22037, Green Bay, WI 54305-2037 | 2,444,007 | 22.67% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 1,634,809 | 15.16% | |||||||
Class R6 | MSCS Financial Services LLC, Associated Trust Company, PO Box 22037, Green Bay, WI 54305-2037 | 701,869 | 6.51% | |||||||
Class R6 | Principal Securities Inc. | 625,586 | 5.80% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 2,422,433 | 99.36% | |||||||
Goldman Sachs Mid Cap Value Fund | Class A | Edward D. Jones & Co. | 4,273,056 | 32.46% | ||||||
Class A | Hartford Life Insurance Company | 795,143 | 6.04% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 680,248 | 5.17% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 67,496 | 27.15% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 26,865 | 10.81% |
B-63
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS R SHARES | Hartford Life Insurance Co., Separate Account 401, 1 Griffin Rd N, Windsor, CT 06095-1512 | 240,783.82 | 31.25% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 110,454.62 | 14.34% | ||||||||
CLASS R6 SHARES | GWFS Equities Inc., Great West Trust Co. LLC, Plans of Great West Financial, 8515 E Orchard Rd. #2T2, Greenwood Village, CO 80111-5002 | 447,178.88 | 18.55% | |||||||
Prudential PIMS/Retirement, As Nominee for the TTEE/CUST PL 767, CGB Enterprises Inc. 401(k), 1127 Highway 190, East Service Rd., Covington, LA 70433 | 433,174.80 | 17.96% | ||||||||
Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 291,180.77 | 12.08% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 195,102.45 | 8.09% | ||||||||
Principal Securities Inc., DCGT AS TTEE and/or Cust., FBO PLIC various retirement plans, Omnibus, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 166,094.11 | 6.89% | ||||||||
SERVICE SHARES | GWFS Equities Inc., Great-West Trust Company LLC TTEE/C FBO Great West IRA Advantage, C/O Fascore LLC, 8515 E Orchard Rd 2T2, Greenwood Village, CO 80111-5002 | 739,072.89 | 83.38% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 69,592.22 | 7.85% | ||||||||
SMALL/MID CAP VALUE FUND CLASS A SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 24,691.29 | 21.98% | |||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 23,368.94 | 20.80% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 17,347.73 | 15.44% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 24,299 | 9.77% | |||||||
Class C | Pershing LLC, PO Box 2052 | 20,854 | 8.39% | |||||||
Class C | American Enterprise Investment SVC | 18,630 | 7.49% | |||||||
Class C | LPL Financial | 15,859 | 6.38% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 2,261,836 | 24.31% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 1,478,020 | 15.89% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 727,696 | 7.82% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 716,273 | 7.70% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 62,850 | 7.40% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 572,847 | 6.16% | |||||||
Service | National Financial Services LLC, FEBO Customers Mutual Funds | 467,201 | 55.02% | |||||||
Service | American United Life Insurance Co | 86,862 | 10.23% | |||||||
Service | Hartford Life Insurance Company, Separate Account, 200 Hopmeadow St., Weatogue, CT 06089-9793 | 62,850 | 7.40% | |||||||
Service | Empower Financial Services, Inc. | 52,672 | 6.20% | |||||||
Service | American United Life Insurance Co | 51,434 | 6.06% | |||||||
Investor | American Enterprise Investment SVC | 1,226,537 | 53.94% | |||||||
Investor | LPL Financial | 402,783 | 17.71% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 328,353 | 14.44% | |||||||
Class R | Hartford Life Insurance Company | 197,630 | 32.30% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 157,972 | 25.82% | |||||||
Class R | GWFS Equities Inc., Massachusetts Mutual Life Insurance, 1295 State St., MIP M200-INVST, Springfield, MA 01111-0001 | 61,979 | 10.13% | |||||||
Class R6 | Edward D. Jones & Co. | 1,367,955 | 52.84% | |||||||
Class R6 | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 229,955 | 8.88% | |||||||
Class R6 | American United Life Insurance Co | 178,844 | 6.91% | |||||||
Class R6 | Empower Financial Services, Inc. | 147,585 | 5.70% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 5,179,724 | 99.17% |
B-64
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 16,923.68 | 15.07% | ||||||||
CLASS C SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 43,926.67 | 50.98% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego,CA 92121-3091 | 15,037.15 | 17.45% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 345,274.79 | 67.55% | |||||||
Wells Fargo Bank NA, FBO Mastercard INTL Deferral Plan, 10071000, P.O. Box 1533, Minneapolis, MN 55480-1533 | 125,330.47 | 24.52% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 146,452.30 | 54.38% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 116,412.57 | 43.22% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 4,014,044.48 | 99.98% | |||||||
CLASS R SHARES | GWFS Equities Inc., Capital Bank & Trust Co. TTEE FBO, Corporate Facilities Group Inc. EMP C/O Fascore LLC, 8515 E Orchard Rd. 2T2, Greenwood Village, CO, 80111-5002 | 7,943.11 | 59.11% | |||||||
Ameriprise Financial Services Inc., PAI Trust Company Inc., River Falls Eye Surgery & Laser Center, 1300 Enterprise Dr., DE Pere, WI 54115-4934 | 4,424.26 | 32.92% | ||||||||
GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 941.40 | 7.01% | ||||||||
CLASS R6 SHARES | Voya institutional Plan Services LLC, Ing National Trust, As Trustee or Custodian for Core Market Retirement Plans, 1 Heritage Dr., North Quincy, MA 02171-2105 | 4,393,214.01 | 92.04% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Goldman Sachs MLP Energy Infrastructure Fund | Class A | American Enterprise Investment SVC | 208,211 | 10.99% | ||||||
Class A | Morgan Stanley Smith Barney LLC, U.S. Bank FBO, SISC GASB 45 Trust A, 1555 N. Rivercenter Dr., Ste 302, Milwaukee, WI 53212-3958 | 369,544 | 19.50% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 337,077 | 17.79% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 282,028 | 14.88% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 176,599 | 9.32% | |||||||
Class A | LPL Financial | 108,572 | 5.73% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 147,826 | 23.58% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 117,103 | 18.68% | |||||||
Class C | LPL Financial | 102,971 | 16.43% | |||||||
Class C | American Enterprise Investment SVC | 71,234 | 11.36% | |||||||
Class C | UBS WM USA | 50,918 | 8.12% | |||||||
Class C | Pershing LLC | 47,231 | 7.53% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 41,502 | 6.62% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 1,090,091 | 17.19% | |||||||
Institutional | MSCS Financial Services LLC, SEI Private Trust Company, C/O Rockland SWP, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 913,418 | 14.40% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 858,568 | 13.54% | |||||||
Institutional | Pershing LLC | 783,729 | 12.36% | |||||||
Institutional | UBS WM USA | 619,058 | 9.76% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 589,736 | 9.30% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 513,034 | 8.09% | |||||||
Institutional | TD Ameritrade Clearing Inc. | 383,709 | 6.05% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 708,118 | 43.00% | |||||||
Investor | LPL Financial | 444,147 | 26.97% | |||||||
Investor | American Enterprise Investment SVC | 436,469 | 26.50% |
B-65
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Vanguard Fiduciary Trust Company, Attn: Outside Funds K22, PO Box 2600, Valley Forge, PA 19482-2600 | 379,012.91 | 7.94% | ||||||||
STRATEGIC FACTOR ALLOCATION FUND INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 484,688.07 | 100.00% | |||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 142,213,008.27 | 99.99% | |||||||
CLASS R6 SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 963.89 | 100.00% | |||||||
STRATEGIC GROWTH FUND CLASS A SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 557,942.36 | 18.20% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 469,699.34 | 15.32% | ||||||||
National Financial Services LLC, FIIOC FBO, Inter-Mares Trading Co., Profit Sharing & 401(k) Plan, 100 Magellan Way #KW1C, Covington, KY 41015-1987 | 226,298.61 | 7.38% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR7, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 202,921.42 | 6.62% | ||||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, Saint Louis, MO 63103-2523 | 196,528.38 | 6.41% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 182,734.37 | 5.96% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 178,770.28 | 5.83% | ||||||||
CLASS C SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 105,292.48 | 15.97% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 92,771.96 | 14.07% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R | Ascensus Trust Company FBO, Rankin & Rankin, Inc. 401(K) Plan 90687 | 12,188 | 35.97% | |||||||
Class R | Ascensus Trust Company FBO, Modern Glass, Paomt & Tile Company 213261 | 5,110 | 15.08% | |||||||
Class R | National Financial Services LLC, FIIOC FBO, Northland Truss Systems Inc., 401K Plan, 100 Magellan way (KW1C), Covington , KY 41015-1987 | 3,592 | 10.60% | |||||||
Class R | GWFS Equities Inc., Captial Bank & Trust CO TTEE FBO Northern Clearing 401K Plan, C/O Fascore LLC | 2,679 | 7.91% | |||||||
Class R | Crown Capital Securities LP, Matrix Trust Company Cust. FBO Barth Calderon 401K Plan, 717 17th St, Suite 1300, Denver, CO 80202-3304 | 2,219 | 6.55% | |||||||
Class R | Ascensus Trust Company FBO, Stiegler Chiropractic 401(K) Plan 90687 | 2,190 | 6.46% | |||||||
Class R | Ascensus Trust Company FBO, Roseville Motor Express Inc 401(K) Cash Defer Plan 590731 | 2,055 | 6.07% | |||||||
Class R6 | Goldman Sachs & Co LLC, GS Tax-Adv Global Equity Portfolio, C/O Fund Management, 200 West St., 37th Floor, New York, NY 10282-2102 | 2,045,932 | 56.51% | |||||||
Class R6 | Goldman Sachs Trust, GS Income Builder Fund | 1,054,073 | 29.11% | |||||||
Class R6 | Goldman Sachs & Co LLC, GS Enhanced Div Global EQ Portfolio, C/O Fund Management, 200 West St., 37th Floor, New York, NY 10282-2102 | 242,581 | 6.70% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 35,624,893 | 98.91% | |||||||
Goldman Sachs Municipal Income Completion Fund | SEP ACCT | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 1,917,490 | 10.44% | ||||||
Goldman Sachs Real Estate Securities Fund | Class A | Edward D. Jones & Co. | 283,381 | 22.19% | ||||||
Class A | State Street Bank and TR TTEE/Cust. | 134,475 | 10.53% | |||||||
Class A | American Enterprise Investment SVC | 104,646 | 8.19% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 76,721 | 6.01% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 69,738 | 5.46% | |||||||
Class C | Acensus Trust Company FBO, Seoil USA Industrial, Inc. 401(K) P 590757 | 11,486 | 15.09% |
B-66
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, Saint Louis, MO 63103-2523 | 85,510.59 | 12.97% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego,CA 92121-3091 | 74,139.22 | 11.24% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 40,775.11 | 6.18% | ||||||||
RBC Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus Processing, Omnibus, Attn: Mutual Fund Ops Manager, 60 S 6th ST. Ste. 700 #P08, Minneapolis, MN 55402-4413 | 40,464.57 | 6.14% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR7, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 39,293.31 | 5.96% | ||||||||
INSTITUTIONAL SHARES | Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 3,289,962.21 | 67.38% | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, Saint Louis, MO 63103-2523 | 389,073.75 | 7.97% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 304,342.38 | 6.23% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 262,164.32 | 5.37% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 258,214.90 | 5.29% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 80,719.50 | 53.00% | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 49,252.73 | 32.34% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 11,168.22 | 7.33% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Pershing LLC, PO Box 2052 | 11,353 | 14.91% | |||||||
Class C | Mid Atlantic Trust Company | 9,256 | 12.16% | |||||||
Class C | Sage Point Financial Inc., Mid Atlantic Trust Company FBO, Trees 360 Degrees 401(K) Profit SHA, 1251 Waterfront PL., Ste 525, Pittsburgh, PA 15222-4228 | 5,514 | 7.24% | |||||||
Class C | LPL Financial | 4,065 | 5.34% | |||||||
Institutional | Goldman Sachs Foundation, Attn: GS Foundation Team, 200 West St., Fl 29, New York, NY 10282-2198 | 1,436,005 | 63.98% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 296,301 | 13.20% | |||||||
Institutional | St. Treasurer/Nebr. Invest. Council, State of Nebraska, Nebraska Investment Council, 1526 K St., Ste 420, Lincoln, NE 68508-2734 | 180,222 | 8.03% | |||||||
Service | Empower Financial Services, Inc. | 8,749 | 27.76% | |||||||
Service | Empower Financial Services, Inc. | 7,290 | 23.12% | |||||||
Service | Empower Financial Services, Inc. | 4,021 | 12.75% | |||||||
Service | Empower Financial Services, Inc. | 2,949 | 9.35% | |||||||
Service | Empower Financial Services, Inc. | 2,400 | 7.61% | |||||||
Service | Empower Financial Services, Inc. | 2,293 | 7.27% | |||||||
Investor | American Enterprise Investment SVC | 26,005 | 32.30% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 19,079 | 23.70% | |||||||
Investor | LPL Financial | 10,926 | 13.57% | |||||||
Investor | Pershing LLC, PO Box 2052 | 9,528 | 11.84% | |||||||
Investor | National Financial Services LLC, FIIOC FBO, Tireco Inc. 401K Profit Sharing Plan, 100 Magellan way (KW1C), Covington , KY 41015-1987 | 8,005 | 9.94% | |||||||
Investor | Cetera Advisor Networks, LLC, Mid Atlantic Trust Company, FBO Stealth Components, 1251 Waterfront Pl., Ste 525, Pittsburgh, PA 15222-4228 | 4,943 | 6.14% | |||||||
Class R | GWFS Equities Inc, Empower Trust Company LLCC TTEEF Employee Benefits Clients 401K | 19,547 | 43.16% | |||||||
Class R | GWFS Equities Inc, David Lair & Brian Trueman TTEE FBO, Hankin Special Elevators Inc 401K | 9,436 | 20.83% | |||||||
Class R | Mid Atlantic Trust Company | 2,613 | 5.77% |
B-67
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 6,959,647.52 | 99.89% | |||||||
CLASS R SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 97PR8, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 31,527.79 | 95.06% | |||||||
CLASS R6 SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis, MO 63131-3710 | 40,879.21 | 96.43% | |||||||
SERVICE SHARES | MSCS Financial Services LLC, MG Trust Company CUST. FBO Robbins Tesar, Inc. 401(k) Plan, 717 17th St., Suite 1300, Denver, CO 80202-3304 | 27,901.07 | 43.81% | |||||||
Lincoln Financial Advisors, Lincoln Financial Group Trust Co. FBO Rollover IRA Plans, 1 Granite Pl., Concord, NH 0331-3271 | 12,561.61 | 19.73% | ||||||||
Lincoln Financial Advisors, Lincoln Financial Group Trust Co. FBO Traditional IRA Plans, 1 Granite Pl., Concord, NH 0331-3271 | 12,374.17 | 19.43% | ||||||||
Lincoln Financial Advisors, Lincoln Financial Group Trust Co. FBO Rollover SS IRA Plan, 1 Granite Pl., Concord, NH 0331-3271 | 3,793.85 | 5.96% | ||||||||
TACTICAL TILT OVERLAY FUND INSTITUTIONAL SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 295 S Chipeta Way, Salt Lake City, UT 84108-2185 | 1,789,572.92 | 69.11% | |||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 410,531.40 | 15.85% | ||||||||
Goldman Sachs Asset Management LP, AST Goldman Sachs Global Growth Portfolio, Gateway Center Three, 100 Mulberry St., Newark, NL 07102-4056 | 198,532.22 | 7.67% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 326,710,345.50 | 100.00% | |||||||
CLASS R6 SHARES | Goldman Sachs & Co LLC, JP Morgan Chase Bank, Goldman Sachs Tax Advantaged Global Equity Portfolio Local Emerging Markets Debt Institutional, 1 Beacon St. Fl 18, Boston, MA 02108-3107 | 28,680,339.62 | 37.54% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R6 | Goldman Sachs Direct Accts., Mac & Co A/C 47034, FBO GS 529 Plan, Mutual Fund Operations, 500 Grant Street, Room 151-1010, Pittsburgh, PA 15219-2502 | 197,361 | 91.89% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 5,385,628 | 95.42% | |||||||
Goldman Sachs Rising Dividend Growth Fund | Class A | American Enterprise Investment SVC | 2,791,287 | 12.73% | ||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 3,225,342 | 14.71% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 3,144,905 | 14.35% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 2,718,003 | 12.40% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 1,522,000 | 6.94% | |||||||
Class A | Edward D. Jones & Co. | 1,421,089 | 6.48% | |||||||
Class A | LPL Financial | 1,197,038 | 5.46% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 857,847 | 35.28% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 479,680 | 19.72% | |||||||
Class C | American Enterprise Investment SVC | 307,888 | 12.66% | |||||||
Class C | Pershing LLC, PO Box 2052 | 138,774 | 5.71% | |||||||
Class C | LPL Financial | 137,904 | 5.67% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 2,090,658 | 22.18% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 1,853,095 | 19.66% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,649,859 | 17.50% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 1,056,751 | 11.21% | |||||||
Institutional | UBS WM USA | 703,598 | 7.47% | |||||||
Investor | American Enterprise Investment SVC | 2,945,219 | 49.95% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 1,536,730 | 26.06% | |||||||
Investor | LPL Financial | 962,318 | 16.32% | |||||||
Class R | GWFS Equities Inc., Michael Ryan Jeffery Walln & Ron, C/O fascore LLC, Wallin TTEE FBO P&L Gen CNTCTRs Inc. | 16,116 | 14.71% |
B-68
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Goldman Sachs Asset Management LP, Deloitte Pension Plan For Employees, Multi Asset Class, 695 E Main St., Stamford, CT 06901-2141 | 9,842,787.78 | 12.89% | ||||||||
Goldman Sachs Asset Management LP, Deloitte Pension Plan For Partners, PRIN and DIR Multi Asset Class, Senior MGR Total Rewards COE Talent, 695 E Main St., Stamford, CT 06901-2141 | 6,665,052.27 | 8.73% | ||||||||
Goldman Sachs & Co LLC, JP Morgan Chase Bank, Goldman Sachs Enhanced Dividend Global Equity Portfolio Equity Dividend and Premium, 1 Beacon St. Fl 18, Boston, MA 02108-3107 | 6,246,036.60 | 8.18% | ||||||||
Goldman Sachs Asset Management LP, Sprint Master Trust, 6200 Sprint PKWY #HF0202-2BDTX, Overland Park, KS 66251-6117 | 5,964,439.83 | 7.81% | ||||||||
Goldman Sachs Asset Management LP, KPMG Pension Plan, 3 Chestnut Ridge Rd, Montvale, NJ 07645-1842 | 4,061,224.49 | 5.32% | ||||||||
TAX-ADVANTAGED GLOBAL EQUITY PORTFOLIO CLASS A SHARES | TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 | 20,367.12 | 70.32% | |||||||
Stifel Nicolaus & Co, FBO Customers, 501 Broadway, St. Louis, MO 63102-2188 | 6,175.05 | 21.32% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 831,214.76 | 29.90% | |||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco,CA 94105-1905 | 816,308.61 | 29.37% | ||||||||
JP Morgan Securities LLC FBO Customers, Mutual Fund Dept., 3 Chase Metrotech Center, Fl. 3, Brooklyn, NY 11245-0001 | 401,026.00 | 14.43% | ||||||||
Stifel Nicolaus & Co, FBO Customers, 501 Broadway, St. Louis, MO 63102-2188 | 243,111.42 | 8.75% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 176,450,717.16 | 99.27% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R | GWFS Equities Inc, Marshall & Robert Hendrian TTEE FBO, JW Allen Co, Inc., C/O fascore LLC | 15,916 | 14.53% | |||||||
Class R | MSCS Financial Services, LLC, Mark C Tasi MD 401K Plan, 717 17th St., Ste 1300, Denver, CO 80202-3304 | 14,049 | 12.83% | |||||||
Class R | MSCS Financial Services, LLC, Advisor Trust, Inc., Chester Cusd #139 403(B) Plan, 717 17th St., Ste 1300, Denver, CO 80202-3304 | 10,829 | 9.89% | |||||||
Class R | Raymond James, 92500015, Omnibus for Mutual Funds | 10,493 | 9.58% | |||||||
Class R | Goldman Sachs Direct Accts., Ascensus Trust Company, FBO My Plastic Surgery Group-Sando & AK 630060, PO Box 10758, Fargo, ND 58106-0758 | 9,721 | 8.87% | |||||||
Class R | National Financial Services LLC, FIIOC FBO, D A Hoerr & Sons Inc., 401K Savings Plan, 100 Magellan way (KW1C), Covington , KY 41015-1987 | 5,634 | 5.14% | |||||||
Class R6 | Edward D. Jones & Co. | 199,655 | 30.89% | |||||||
Class R6 | Hand Securities, Inc., CBNA as Custodian FBO AGC of SD 401(K) PSP Omnibus | 130,907 | 20.25% | |||||||
Class R6 | Hand Securities, Inc., CBNA as Custodian FBO Golden West Technologies Retmt Plan | 59,262 | 9.17% | |||||||
Class R6 | Hand Securities, Inc., CBNA as Custodian FBO SDACBHS Retirement Omnibus | 42,260 | 6.54% | |||||||
Class R6 | Hand Securities, Inc., CBNA as Custodian FBO Suds & Duds, Inc. 401(K) PS Plan | 34,731 | 5.37% | |||||||
Class P | Goldman Sachs & Co, 295 Chipeta Way, Fl 4, Salt Lake City, UT 84108-1285 | 1,119,325 | 99.87% | |||||||
Goldman Sachs Satellite Strategies Portfolio | Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 917,173 | 23.54% | ||||||
Class A | Edward D. Jones & Co. | 647,408 | 16.62% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 411,720 | 10.57% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 383,207 | 9.84% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 315,741 | 8.10% | |||||||
Class A | LPL Financial | 248,367 | 6.38% | |||||||
Class A | Pershing LLC, PO Box 2052 | 211,756 | 5.44% |
B-69
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS R6 SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 655.11 | 100.00% | |||||||
TECHNOLOGY OPPORTUNITIES FUND CLASS A SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 2,036,249.57 | 15.60% | |||||||
Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, Saint Louis, MO 63103-2523 | 1,305,424.24 | 10.00% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 9EH17, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 904,457.76 | 6.93% | ||||||||
TD Ameritrade Clearing Inc., TD Ameritrade Inc. FBO our clients, PO Box 2226, Omaha, NE 68103-2226 | 781,540.56 | 5.99% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 707,843.10 | 5.42% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC,A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, Saint Louis, MO 63103-2523 | 240,266.96 | 18.13% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC# 9EH17, Goldman Sachs Funds, 4800 Deer Lake Drive East 3rd Floor, Jacksonville, FL 32246-6484 | 177,590.69 | 13.40% | ||||||||
National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 137,679.02 | 10.39% | ||||||||
Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 124,798.64 | 9.42% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 84,736.94 | 6.40% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers, Mutual Funds, Attn: Mutual Funds Dept. 4th Flr., 499 Washington Blvd., Jersey City, NJ 07310-1995 | 720,390.74 | 24.69% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 27,686 | 25.20% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 23,575 | 21.45% | |||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 16,804 | 15.29% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 7,388 | 6.72% | |||||||
Class C | LPL Financial | 7,076 | 6.44% | |||||||
Class C | National Financial Services LLC, FEBO Customers Mutual Funds | 6,230 | 5.67% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 1,279,690 | 31.56% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 710,310 | 17.52% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 501,601 | 12.37% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 389,913 | 9.62% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 247,225 | 6.10% | |||||||
Service | MSCS Financial Services LLC, BankPlus Wealth Management Group 1, 1200 Eastover Dr., Ste 300, Jackson, MS 39211-6325 | 6,702 | 42.69% | |||||||
Service | Pershing LLC, PO Box 2052 | 6,230 | 39.68% | |||||||
Service | American United Life Insurance Co | 2,767 | 17.63% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 766,013 | 64.81% | |||||||
Investor | LPL Financial | 372,118 | 31.48% | |||||||
Class R | National Financial Services LLC, FEBO Customers Mutual Funds | 36,926 | 73.01% | |||||||
Class R | GWFS Equities Inc, Massachusetts Mutual Life Insurance, 1295 State St., MIP M200-INVST, Springfield, MA 01111-0001 | 3,926 | 7.76% | |||||||
Class R | HARTFORD LIFE INSURANCE COMPANY | 7,795 | 15.41% | |||||||
Class R6 | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 134,214 | 60.87% | |||||||
Class R6 | Edward D. Jones & Co. | 45,566 | 20.67% | |||||||
Class R6 | State Street Bank and TR TTEE/Cust. | 19,682 | 8.93% |
B-70
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
American United Life Insurance Co., FBO Group Retirement Account, Attn: Separate Accounts, P.O. Box 368, Indianapolis, IN 46206-0368 | 307,806.67 | 10.55% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St, Saint Louis, MO 63103-2523 | 276,858.78 | 9.49% | ||||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 244,420.44 | 8.38% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz. Fl. 12, New York, NY 10004-1965 | 194,603.92 | 6.67% | ||||||||
Charles Schwab & Co. Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main Street, San Francisco,CA 94105-1905 | 192,743.02 | 6.61% | ||||||||
American United Life Insurance Co., FBO Unit investment Trust, Attn: Separate Accounts, P.O. Box 368, Indianapolis, IN 46206-0368 | 172,471.54 | 5.91% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services Inc., American Enterprise Investment SVC, FBO 41999970, 707 2nd Ave. S, Minneapolis, MN 55402-2405 | 422,729.41 | 56.78% | |||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 129,367.84 | 17.38% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 86,727.45 | 11.65% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 66,293.56 | 8.91% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 917,983.09 | 97.07% | |||||||
CLASS R6 SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 8,237.80 | 94.38% | |||||||
GWFS Equities Inc., Great West Trust Co. LLC, TTEE F, Employee Benefits Clients 401(k), 8515 E Orchard Rd. #2T2, Greenwood Village, CO 80111-5002 | 490.86 | 5.62% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Goldman Sachs Short Duration Bond Fund | Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 2,901,514 | 58.47% | ||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 690,899 | 13.92% | |||||||
Class A | Edward D. Jones & Co. | 659,086 | 13.28% | |||||||
Class C | LPL Financial | 89,600 | 33.54% | |||||||
Class C | American Enterprise Investment SVC | 64,402 | 24.11% | |||||||
Class C | Pershing LLC, PO Box 2052 | 44,169 | 16.54% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 27,318 | 10.23% | |||||||
Class C | Stifel Nicolaus & Co. | 19,018 | 7.12% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 6,217,951 | 42.64% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 2,415,283 | 16.56% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 1,820,274 | 12.48% | |||||||
Institutional | SEI Private Trust Company, Attn: Mutual Funds, C/O ID 261 | 794,707 | 5.45% | |||||||
Investor | American Enterprise Investment SVC | 4,088,935 | 67.00% | |||||||
Investor | LPL Financial | 1,109,862 | 18.19% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 837,099 | 13.72% | |||||||
Class R | GSAM Holdings LLC Seed Account | 1,197 | 56.09% | |||||||
Class R | Acensus Trust Company FBO, MTW Aerospace 401(K) Plan 685488 | 638 | 29.88% | |||||||
Class R | GWFS Equities Inc, Captial Bank & Trust CO FBO, C/O Fascore, Plantation Management Company 401K | 275 | 12.87% | |||||||
Class R6 | Goldman Sachs Trust, State Street Bank & TR CO Cust, FBO Goldman Sachs Growth and Income, GS Inflation Protected Securities, C/O State Street Corporation, 2 Avenue DE Lafayette, Fl 6, Boston, MA 0211-1888 | 3,041,671 | 35.12% | |||||||
Class R6 | Goldman Sachs Trust, State Street Bank & TR CO Cust, FBO Goldman Sachs Growth Strategy, GS Short Duration Bond, C/O State Street Corporation, 2 Avenue DE Lafayette, Fl 6, Boston, MA 0211-1888 | 3,036,683 | 35.06% | |||||||
Class R6 | Goldman Sachs Trust, State Street Bank & TR CO Cust, FBO Goldman Sachs Balanced Strategy, GS Short Duration Bond, C/O State Street Corporation, 2 Avenue DE Lafayette, Fl 6, Boston, MA 0211-1888 | 1,917,287 | 22.14% |
B-71
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
SERVICE SHARES | GWFS Equities Inc., Great West Trust Co. LLC, TTEE/C, FBO Great West IRA Advantage, C/O Fascore LLC, 8515 E Orchard Rd. #2T2, Greenwood Village, CO 80111-5002 | 817,076.63 | 64.45% | |||||||
MSCS Financial Services LLC, WTRISC Co. IRA Omnibus Account, C/O ICMA Retirement Corporation, 777 North Capitol Street, NE, Washington DC 20002-4239 | 209,398.39 | 16.52% | ||||||||
American United Life Insurance Co., FBO Group Retirement Account, Attn: Separate Accounts, P.O. Box 368, Indianapolis, IN 46206-0368 | 137,160.46 | 10.82% | ||||||||
FINANCIAL SQUARE FEDERAL INSTRUMENTS FUND ADMINISTRATION SHARES | Amalgamated Bank of Chicago, 30 N Lasalle St. 38th Fl., Chicago, IL 60602-2590 | 55,888,733.94 | 89.38% | |||||||
Goldman Sachs & Co. LLC, FBO ANHE, 30 Hudson St. FL. 5, Jersey City,NJ 07302-4600 | 5,392,353.41 | 8.62% | ||||||||
CAPITAL SHARES | Goldman Sachs & Co. LLC, FBO ACN7, 30 Hudson St. FL. 5, Jersey City,NJ 07302-4600 | 573,774.44 | 91.71% | |||||||
GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 51,836.58 | 8.29% | ||||||||
CASH MANAGEMENT | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 50,963.53 | 54.10% | |||||||
Pershing LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 43,248.05 | 45.91% | ||||||||
INSTITUTIONAL SHARES | Goldman Sachs & Co., 295 Chipeta Way Fl. 4, Salt Lake City, UT 84108-1285 | 677,753,892.14 | 46.03% | |||||||
JP Morgan Securities LLC, JPMS – Shase Processing 28521, JPMS IB 352, FBO 7528019313019, FBO Braeburn Capital, Inc., 4 Chase Metrotech Center 7th Fl., Brooklyn, NY 11245-0003 | 250,000,000.00 | 16.98% | ||||||||
Hare & Co., C/O The Bank Of New York STIF Department 2nd Fl., 111 Sanders Creek Pkwy., East Syracuse, NY 13057-1382 | 79,000,000.00 | 5.37% | ||||||||
PREFERRED SHARES | Pershing LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 5,683,843.33 | 98.01% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 114,525,917 | 99.68% | |||||||
Goldman Sachs Short Duration Government Fund | Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 1,504,485 | 24.45% | ||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 567,986 | 9.23% | |||||||
Class A | Edward D. Jones & Co. | 518,007 | 8.42% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 485,615 | 7.89% | |||||||
Class A | Nationwide Investment Services | 419,711 | 6.82% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 329,572 | 5.36% | |||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 86,849 | 16.44% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 68,827 | 13.03% | |||||||
Class C | American Enterprise Investment SVC | 60,073 | 11.37% | |||||||
Class C | LPL Financial | 33,292 | 6.30% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 6,503,120 | 26.87% | |||||||
Institutional | Wells Fargo Clearing Services LLC | 5,268,241 | 21.77% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 2,738,499 | 11.32% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 1,751,493 | 7.24% | |||||||
Institutional | John Hancock Trust Company LLC, 200 Berkeley St., Ste 7, Boston, MA 02116-5038 | 1,442,784 | 5.96% | |||||||
Service | Devon Bank, 6445 N Western Ave., Ste 300, Chicago, IL 60645-5452 | 1,073,889 | 55.09% | |||||||
Service | National Financial Services LLC, FEBO Customers Mutual Funds | 787,907 | 40.42% | |||||||
Investor | National Financial Services LLC, FEBO Customers Mutual Funds | 1,136,420 | 32.08% | |||||||
Investor | American Enterprise Investment SVC | 953,726 | 26.93% | |||||||
Investor | Principal Securities Inc. | 897,819 | 25.35% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 233,650 | 6.60% | |||||||
Class R6 | Edward D. Jones & Co. | 639,185 | 38.98% | |||||||
Class R6 | Principal Securities Inc. | 309,875 | 18.90% |
B-72
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
PREMIER SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 51,515.11 | 100.00% | |||||||
SELECT SHARES | GSAM Holdings LLC Seed Accounts, Attn:IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 48,949.13 | 100.00% | |||||||
SERVICE SHARES | Amalgamated Bank of Chicago, 30 N Lasalle St. 38th Fl., Chicago, IL 60602-2590 | 9,623,818.47 | 99.99% | |||||||
FINANCIAL SQUARE GOVERNMENT FUND CLASS A SHARES | Edward D Jones & Co., FBO Customers, 12555 Manchester Rd., St Louis,MO 63131-3710 | 175,581,827.54 | 65.68% | |||||||
UBS Financial Services Inc., UBS WM USA, 0O0 11011 6100, Omni Account M/F Special Custody A/C EBOC UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 18,421,512.09 | 6.89% | ||||||||
ADP/Broker Dealer Inc., State Street Bank and Trust TTEE/Cust., FBO ADP Access Product, 1 Lincoln St., Boston,MA 02111-2900 | 14,353,544.32 | 5.37% | ||||||||
ADMINISTRATION SHARES | Commerce Bank of Kansas City, NA, Mori & Co., Commerce Bank of Kansas City Attn: Trust Operations, 911 Main St. STE 201, Kansas City, MO 64105-5304 | 1,876,326,753.82 | 36.82% | |||||||
M&T Bank, Tice & Co., C/O M&T Trust Co., P.O. Box 1377, Buffalo, NY 14240-1377 | 368,288,286.93 | 7.23% | ||||||||
Amalgamated Bank of Chicago, 30 N Lasalle St. 38th Fl., Chicago, IL 60602-2590 | 308,473,942.90 | 6.05% | ||||||||
Glenview Trust Company, Attn: Operations, 4969 US Highway 42 STE 2000, Louisville, KY 40222-6391 | 297,878,971.53 | 5.85% | ||||||||
CLASS C SHARES | Goldman Sachs Direct EX DLR Accounts, Satimo LLC, ADP Plan # 610395, Goldman Sachs/ADP 401(k) Plan, 2105 Barrett Park Dr. NW STE 104, Kennesaw, GA 30144-7080 | 485,754.59 | 10.55% | |||||||
Western International SEC Inc., Smelly Mels Plumbing Inc., ADP Plan #600396, Goldman Sachs/ADP 401(k) plan, 123 Manor Dr., Pacifica, CA 94044-1953 | 377,100.28 | 8.19% | ||||||||
Raymond James & Associates, 92500015, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL. 33716-1102 | 354,236.64 | 7.69% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 208,865 | 12.74% | |||||||
Class R6 | Mid Atlantic Trust Company | 114,519 | 6.98% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 17,127,623 | 96.28% | |||||||
Goldman Sachs Short Duration Tax-Free Fund | Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 3,603,570 | 28.04% | ||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 2,166,091 | 16.86% | |||||||
Class A | Edward D. Jones & Co. | 1,899,318 | 14.78% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 1,414,884 | 11.01% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 211,600 | 24.53% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 188,337 | 21.83% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 148,946 | 17.26% | |||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 78,200 | 9.06% | |||||||
Class C | American Enterprise Investment SVC | 76,323 | 8.85% | |||||||
Class C | LPL Financial | 45,174 | 5.24% | |||||||
Institution | National Financial Services LLC, FEBO Customers Mutual Funds | 26,025,404 | 33.94% | |||||||
Institution | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 9,414,597 | 12.28% | |||||||
Institution | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 9,284,078 | 12.11% | |||||||
Institution | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 8,395,489 | 10.95% | |||||||
Institution | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 7,938,093 | 10.35% | |||||||
Service | National Financial Services LLC, FEBO Customers Mutual Funds | 10,868 | 95.93% | |||||||
Investor | LPL Financial | 4,285,527 | 45.02% | |||||||
Investor | American Enterprise Investment SVC | 4,087,131 | 42.93% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 842,803 | 8.85% |
B-73
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Goldman Sachs Direct Ex DLR Accounts, Rocky Fun Family Medicine, Goldman Sachs/ADP 401(k) Plan, ADP Plan #100645, 5645 Stone Rd., Centreville, VA 20120-1618 | 343,104.05 | 7.45% | ||||||||
Goldman Sachs Direct Ex DLR Account, StracQ Inc. DBA Stryka Botanics, Goldman Sachs/ADP 401(k) Plan, ADP Plan #170019, 239 Homestead Rd., Hillsborough,NJ 08844-1913 | 240,322.70 | 5.22% | ||||||||
Morgan Stanley Smith Barney LLC, Garrod trust, ADP Plan #100504, Goldman Sachs/ADP 401(k) Plan, 22600 Mount Eden Rd., Saratoga, CA 95070-9758 | 230,621.07 | 5.01% | ||||||||
CAPITAL SHARES | SEI Private trust Company, C/O Regions Bank, One Freedom Valley Drive, Oaks, PA 19456-9989 | 360,773,550.05 | 24.17% | |||||||
MSCS Financial Services LLC, Stratevest & Co., P.O. Box 2499, Brattleboro,VT 05303-2499 | 186,017,016.34 | 12.46% | ||||||||
Hare & Co., C/O The Bank Of New York STIF Department 2nd Fl., 111 Sanders Creek Pkwy., East Syracuse, NY 13057-1382 | 147,279,456.68 | 9.87% | ||||||||
Raymond James Trust NA, Charitable Endowment Fund, P.O. Box 23559, St. Petersburg, FL 33742-3559 | 79,213,146.28 | 5.31% | ||||||||
CASH MANAGEMENT SHARES | Pershing LLC, BNY Mellon NA, FBO Bank of Custody Solution, Attn: Cash Management, 1 Pershing Plz., Jersey City, NJ 07399-0001 | 99,936,260.07 | 79.67% | |||||||
Pershing LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 25,501,446.31 | 20.33% | ||||||||
DREXEL HAMILTON CLASS SHARES | GSAM Holdings LLC Seed Accounts,Attn: IMD-India-SAOS, Crystal Downs Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 30,000.00 | 99.99% | |||||||
INSTITUTIONAL SHARES | Hare & Co., C/O The Bank Of New York STIF Department 2nd Fl., 111 Sanders Creek Pkwy., East Syracuse, NY 13057-1382 | 9,291,949,291.01 | 9.96% | |||||||
Goldman Sachs & Co., 295 Chipeta Way Fl. 4, Salt Lake City, UT 84108-1285 | 4,908,249,160.87 | 5.26% | ||||||||
PREFERRED SHARES | M&T Bank, Tice & Co., C/O M&T Trust Co., P.O. Box 1377, Buffalo, NY 14240-1377 | 451,456,431.51 | 38.99% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R6 | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 35,312,342 | 63.15% | |||||||
Class R6 | MSCS Financial Services LLC, C/O Truist Bank ID 866, Atttn: Mutual Fund Admin, PO Box 22037, Green Bay, WI 54305-2037 | 17,190,606 | 30.74% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 423,464,995 | 99.22% | |||||||
Goldman Sachs Short-Term Conservative Income Fund | Class A | American Enterprise Investment SVC | 1,584,346 | 48.72% | ||||||
Class A | LPL Financial | 10,667,066 | 40.50% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 339,841 | 10.45% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 208,596 | 6.41% | |||||||
Class A | Stifel Nicolaus & Co. | 206,289 | 6.34% | |||||||
Administration | GSAM Holdings LLC Seed Account | 2,809 | 100.00% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 31,575,469 | 32.43% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 12,122,330 | 12.45% | |||||||
Institutional | Lingand Pharmaceuticals Incorporated, 3911 Sorrento Valley Blvd, Ste 110, San Diego, CA 92121-1457 | 8,263,961 | 8.49% | |||||||
Institutional | BOKF, NA., Chickasaw Holding Company, Attn: Larry Jones, PO Box 460, Sulphur, OK 73086-0460 | 7,235,779 | 7.43% | |||||||
Institutional | BOFA Securities, Inc., The Patrick J. McGovern Foundation Inc., PO Box 171536, Boston, MA 02117-3375 | 5,475,836 | 5.62% | |||||||
Investor | American Enterprise Investment SVC | 14,279,784 | 54.22% | |||||||
Investor | LPL Financial | 613,530 | 18.87% | |||||||
Preferred | GSAM Holdings LLC Seed Account | 2,799 | 100.00% | |||||||
Class R6 | Goldman Sachs Trust, GS CT Tactical Exposure Fund | 7,307,247 | 99.91% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 68,427,177 | 99.83% | |||||||
Goldman Sachs Small Cap Equity Insights Fund | Class A | Edward D. Jones & Co. | 216,079 | 18.32% | ||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 84,339 | 7.15% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 76,102 | 6.45% | |||||||
Class A | Pershing LLC, PO Box 2052 | 74,031 | 6.28% |
B-74
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CIBC Bank USA, Attn: Wealth Management Operations, 70 W Madison St. STE 800, Chicago, IL 60602-4282 | 202,193,853.17 | 17.46% | ||||||||
Commerce Bank of Kansas City, NA, Mori & Co., Commerce Bank of Kansas City Attn: Trust Operations, 911 Main St. STE 201, Kansas City, MO 64105-5304 | 110,175,554.18 | 9.51% | ||||||||
Commerce Bank – SE MO, Post Holding Inc., 2503 S Hanley Rd., St. Louis, MO 63144-2503 | 100,338,168.67 | 8.67% | ||||||||
Pershing LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 80,440,100.35 | 6.95% | ||||||||
PREMIER SHARES | Bank of Oklahoma, Nabank & Co., C/O Bank of Oklahoma, Attn: Trust Securities, P.O. Box 2180, Tulsa, OK 74101-2180 | 127,762,012.26 | 73.13% | |||||||
Commerce Bank – Lenxa, Beacon House LLC, 1055 Broadway Fl. 12, Kansas City, MO 64105-1591 | 10,190,241.19 | 5.83% | ||||||||
RESOURCE SHARES | Pershing LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 62,310,233.25 | 85.95% | |||||||
American United Life Insurance Co., FBO Unit Investment Trust, Attn: Separate Accounts, P.O. Box 368, Indianapolis, IN 46206-0368 | 5,599,884.72 | 7.72% | ||||||||
American United Life Insurance Co., FBO Group Retirement Account, Attn: Separate Accounts, P.O. Box 368, Indianapolis, IN 46206-0368 | 4,587,317.52 | 6.33% | ||||||||
CLASS R6 SHARES | Goldman Sachs Trust, GS Multi Manager, Global Equity Fund, 200 West St., New York, NY 10282-2102 | 44,541,183.76 | 52.95% | |||||||
Goldman Sachs Trust, Goldman Sachs Income Builder Fund, C/O Goldman Sachs & Co., 200 West St., New York, NY 10282-2198 | 18,681,537.85 | 22.21% | ||||||||
SELECT SHARES | Bank of Oklahoma NA, Brazos Delaware II LLC, 3017 W 17th St STE 300, Fort Worth, TX 76107-2223 | 72,583,350.83 | 17.02% | |||||||
Bank of Oklahoma NA, Craft Capital LLC, 1717 S Boulder Ave. STE 400, Tulsa, OK 74119-4833 | 51,245,570.20 | 12.01% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class A | American Enterprise Investment SVC | 67,535 | 5.73% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 65,272 | 5.53% | |||||||
Class A | State Street Bank and TR TTEE/Cust. | 63,934 | 5.42% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 63,020 | 5.34% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 60,948 | 5.17% | |||||||
Class C | Pershing LLC, PO Box 2052 | 50,116 | 20.62% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 27,585 | 11.35% | |||||||
Class C | Stifel Nicolaus & Co. | 19,303 | 7.94% | |||||||
Class C | American Enterprise Investment SVC | 17,927 | 7.38% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 15,271 | 6.28% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 2,809,666 | 60.89% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 337,896 | 7.32% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 331,987 | 7.19% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 255,266 | 5.53% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 249,765 | 5.41% | |||||||
Service | MSCS Financial Services, LLC, Trustees of Pima Federal Credit Uni, 717 17th St., Ste 1300, Denver, CO 80202-3304 | 60,947 | 64.59% | |||||||
Service | Empower Financial Services, Inc. | 8,125 | 8.61% | |||||||
Investor | LPL Financial | 847,065 | 61.21% | |||||||
Investor | American Enterprise Investment SVC | 429,756 | 31.05% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 74,611 | 47.63% | |||||||
Class R | Acensus Trust Company FBO, Dakom Service, Inc. 401(K) Plan 21834 | 14,748 | 9.42% | |||||||
Class R | GWFS Equities Inc, Ellen Meyer & Joseph Nocilla TTEE F, C/O Fascore, Plaza Family Care PC 401K Plan | 11,064 | 7.06% | |||||||
Class R6 | Goldman Sachs & Co LLC, GS Enhanced Div Global EQ Portfolio, C/O Fund Management, 200 West St., 37th Floor, New York, NY 10282-2102 | 1,297,539 | 41.49% | |||||||
Class R6 | Principal Securities Inc. | 320,580 | 10.25% |
B-75
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Bank Leumi USA, INRE Aggrenox Antitrust, Litigation Indirect Purchaser, QSF Escrow Account, 600 AB Data Dr., Milwaukee, WI 53217-4931 | 50,612,876.10 | 11.87% | ||||||||
Wells Fargo Bank NA, Wells Fargo Bank Account FBO Customers, Attn: Money Funds, 1525 West WT Harris BLVD, Charlotte, NC 28288-1076 | 42,369,444.36 | 9.93% | ||||||||
Band & Co. C/O US Bank, Attn: ACM Dept., P.O. Box 1787 Milwaukee, WI 53201-1787 | 27,990,142.14 | 6.56% | ||||||||
SERVICE SHARES | MSCS Financial Services LLC, Stratevest & Co., P.O. Box 2499, Brattleboro,VT 05303-2499 | 321,770,758.54 | 46.59% | |||||||
SEI Private trust Company, C/O City National Bank, One Freedom Valley Drive, Oaks, PA 19456-9989 | 40,792,292.89 | 5.91% | ||||||||
Laba & Co., 135 S Lasalle St. IL4 135 18 11, Chicago, IL 60603 | 39,264,301.43 | 5.69% | ||||||||
Security National Bank of Omaha, P.O. Box 31400, Omaha, NE 68131-0400 | 36,798,160.86 | 5.33% | ||||||||
FINANCIAL SQUARE MONEY MARKET FUND ADMINISTRATION SHARES | Bank Leumi USA, 16047 Collins Ave., Apt. 2803, Sunny Island Beach, FL 33160-5581 | 1,101,461.70 | 24.52% | |||||||
Bank Leumi USA, 322 W. 57th St., Apt. 50B, New York, NY 10019-8803 | 1,005,658.48 | 22.39% | ||||||||
Bank Leumi USA, 1705 Cochrane Rd., Morgan Hill, CA 95037-9311 | 1,002,863.40 | 22.33% | ||||||||
Bank Leumi USA, 199 Liberty Ave., Mineola, NY 11501-3513 | 252,452.37 | 5.62% | ||||||||
Bank Leumi USA, 28 Carriage Rd., Great Neck, NY 11024-1446 | 252,452.37 | 5.62% | ||||||||
CAPITAL SHARES | BB&T Capital Markets, Lucky Four LLC, 11505 Brittany Oaks Dr., Charlotte, NC 28277-2406 | 4,859,427.94 | 41.48% | |||||||
Bank Leumi USA, FBO Trust, 22 Cherry Lane, Kings Point, NY 11024-1153 | 4,440,116.78 | 37.90% | ||||||||
BB&T Capital Markets, Rock Corner Properties LLC, 1419 Rock Corner Rd., Forrest City, NC 28043-7668 | 1,205,038.41 | 10.29% | ||||||||
BB&T Capital Markets, Atlantic Coast Contractors, 7680 Townsend Dr., Denver, NC 28037-9206 | 1,008,283.26 | 8.61% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R6 | Goldman Sachs Trust, GS Dynamic Global Equity Fund | 289,692 | 9.26% | |||||||
Class R6 | Goldman Sachs Trust, GS Growth Strategy Portfolio | 180,996 | 5.79% | |||||||
Class R6 | Goldman Sachs Trust, GS Growth and Income Strategy Portfolio | 165,706 | 5.30% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 4,817,917 | 99.05% | |||||||
Goldman Sachs Small Cap Growth Fund | Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 68,798 | 75.96% | ||||||
Class A | LPL Financial | 11,866 | 13.10% | |||||||
Class A | Pershing LLC, PO Box 2052 | 5,342 | 5.90% | |||||||
Class C | GSAM Holdings LLC Seed Account | 5,988 | 62.22% | |||||||
Class C | LPL Financial | 2,991 | 31.09% | |||||||
Class C | TD Ameritrade Clearing Inc. | 488 | 5.07% | |||||||
Institution | Pershing LLC, PO Box 2052 | 788,551 | 43.89% | |||||||
Institution | National Financial Services LLC, FEBO Customers Mutual Funds | 674,333 | 37.54% | |||||||
Institution | GSAM Holdings LLC Seed Account | 277,259 | 15.43% | |||||||
Investor | LPL Financial | 410,348 | 98.56% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 68,798 | 75.96% | |||||||
Class A | LPL Financial | 11,866 | 13.10% | |||||||
Class A | Pershing LLC, PO Box 2052 | 5,342 | 5.90% | |||||||
Class R6 | GSAM Holdings LLC Seed Account | 5,992 | 91.60% | |||||||
Class R6 | Acensus Trust Company FBO, Runyon Design, LLC 401(K) Plan 27069 | 549 | 8.40% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 1,042,229 | 99.43% | |||||||
Goldman Sachs Small Cap Growth Insights Fund | Class A | LPL Financial | 121,267 | 5.02% | ||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 121,483 | 5.03% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 15,855 | 9.74% | |||||||
Class C | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 14,215 | 8.73% | |||||||
Class C | LPL Financial | 13,152 | 8.08% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 12,499 | 7.68% | |||||||
Class C | UBS WM USA | 11,417 | 7.01% | |||||||
Class C | National Financial Services LLC, FEBO Customers Mutual Funds | 8,530 | 5.24% |
B-76
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CASH MANAGEMENT SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,027.35 | 99.99% | |||||||
INSTITUTIONAL SHARES | Hare & Co., C/O The Bank of New York, STIF Department, Fl. 2, 111 Sanders Creek Parkway, East Syracuse, NY 13057-1382 | 2,575,774,535.61 | 15.97% | |||||||
BofA Securities, Inc., 200 N. College St., Fl. 3, Charlotte, NC 28202-2191 | 1,416,752,087.45 | 8.78% | ||||||||
Wells Fargo Bank NA, Account FBO Customers, Attn: Money Funds, 1525 W. WT Harris Blvd., Charlotte, NC 28288-1076 | 1,054,189,997.90 | 6.54% | ||||||||
Micron Technology, Inc., Attn: Treasury Investments MS1-109, 8000 S. Federal Way, Boise, ID 83716-7128 | 850,279,927.12 | 5.27% | ||||||||
PREFERRED SHARES | BB&T Capital Markets, Thermal Technologies, Inc., 130 Northpoint Center, Blythewood, SC 29016-8875 | 2,826,671.28 | 51.83% | |||||||
BB&T Capital Markets, Atsko, Inc., 2664 Russel St., Orangeburg, SC 29115-3900 | 1,211,535.73 | 22.21% | ||||||||
BB&T Capital Markets, Petree & Stoudt Assoc., Inc., PO Box 4069, High Point, NC 27263-4069 | 442,899.23 | 8.12% | ||||||||
BB&T Capital Markets, Susan P. Byrnes Health Education Center, Inc., 515 S. George St., York, PA 17401-2723 | 361,389.23 | 6.63% | ||||||||
BB&T Capital Markets, United Way of S. Hampton, RDS Investments, 2515 Walmer Ave., Norfolk, VA 23513-2604 | 322,283.56 | 5.91% | ||||||||
PREMIER SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,039.51 | 99.99% | |||||||
RESOURCE SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,031.74 | 99.99% | |||||||
SELECT SHARES | BB&T Capital Markets, Advanced Home Care, Inc., PO Box 18049, Greensboro, NC 27419-8049 | 15,197,326.42 | 44.56% | |||||||
BB&T Capital Markets, High Point University, 1 University Parkway, High Point, NC 27268-0002 | 8,429,453.77 | 24.72% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institution | MSCS Financial Services LLC, Matrix Trust Company Custodian FBO, Flushing Savings Bank NQ Plans Mast, PO Box 52129, Phoenix, AZ 85072-2129 | 281,576 | 14.75% | |||||||
Institution | National Financial Services LLC, FEBO Customers Mutual Funds | 494,253 | 25.90% | |||||||
Institution | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 336,338 | 17.62% | |||||||
Institution | TD Ameritrade Clearing Inc. | 149,418 | 7.83% | |||||||
Investor | LPL Financial | 801,980 | 62.58% | |||||||
Investor | American Enterprise Investment SVC | 325,345 | 25.39% | |||||||
Class R | GWFS Equities Inc, Pediatric Assoc of Lancaster TTEE F, C/O Fascore | 24,758 | 7.66% | |||||||
Class R | Kestra Investment Services, Mid Atlantic Trust Company FBO, CS2 Design Group LLC 401K Profit, 1251 Waterfront Pl, Ste 525, Pittsburgh, PA 15222-4228 | 21,767 | 6.74% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 180,494 | 55.86% | |||||||
Class R6 | Principal Securities Inc. | 66,044 | 17.97% | |||||||
Class R6 | State Street Bank and TR TTEE/Cust. | 54,140 | 14.73% | |||||||
Class R6 | Edward D. Jones & Co. | 53,737 | 14.62% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 47,076 | 12.81% | |||||||
Class R6 | Empower Financial Services, Inc. | 39,028 | 10.62% | |||||||
Class R6 | Empower Financial Services, Inc. | 22,159 | 6.03% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 262,258 | 100.00% | |||||||
Goldman Sachs Small Cap Value Fund | Class A | Edward D. Jones & Co. | 1,693,748 | 25.33% | ||||||
Class A | State Street Bank and TR TTEE/Cust. | 795,093 | 11.89% | |||||||
Class A | Hartford Life Insurance Company | 696,070 | 10.41% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 397,649 | 5.95% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 376,206 | 5.63% | |||||||
Class C | UBS WM USA | 7,539 | 13.84% | |||||||
Class C | Principal Securities Inc. | 6,194 | 11.37% | |||||||
Class C | Pershing LLC, PO Box 2052 | 5,603 | 10.29% | |||||||
Class C | American Enterprise Investment SVC | 5,585 | 10.25% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 5,169 | 9.49% |
B-77
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
BB&T Capital Markets, Bonray Investments LLC, 929 E. Britton Rd., Oklahoma City, OK 73114-7802 | 3,923,657.72 | 11.51% | ||||||||
SERVICE SHARES | BB&T Capital Markets, The Lawson Companies, Inc., 373 Edwin Dr., Virginia Beach, VA 23462-4522 | 5,070.05 | 65.81% | |||||||
Goldman Sachs Direct EX DLR Accounts, 30 Moreno Point Rd., PH 701C, Destin, FL 32541-3186 | 1,095.27 | 14.22% | ||||||||
GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,035.96 | 13.45% | ||||||||
One Bank & Trust NA, Treadway Properties Building Fund, 300 W. Capitol Ave., Little Rock, AR 72201-3544 | 500.61 | 6.50% | ||||||||
FINANCIAL SQUARE PRIME OBLIGATIONS ADMINISTRATION SHARES | Amalgamated Bank of Chicago, 30 N. LaSalle St., Fl. 38, Chicago, IL 60602-2590 | 75,287,092.72 | 91.70% | |||||||
CAPITAL SHARES | BB&T Capital Markets, Alpha Omega Construction Group, PO Box 3196, Matthews, NC 28106-3196 | 3,766,157.39 | 60.34% | |||||||
BB&T Capital Markets, Hope International, 277 Granite Run Dr., Suite 250, Lancaster, PA 17601 | 796,559.42 | 12.76% | ||||||||
Bank of Oklahoma NA, Actus Holdings LLC, 3100 Norge Rd., Chickasha, OK 73018-6169 | 563,163.97 | 9.02% | ||||||||
CASH MANAGEMENT SHARES | �� | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,027.51 | 99.99% | ||||||
DREXEL HAMILTON CLASS SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 29,982.01 | 99.99% | |||||||
INSTITUTIONAL SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 1,009,279,001.67 | 16.43% | |||||||
Hare & Co., C/O The Bank of New York, STIF Department, Fl. 2, 111 Sanders Creek Parkway, East Syracuse, NY 13057-1382 | 649,906,625.59 | 10.58% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds, Acensus Trust Company FBO YMCA of Huntington WV Retirement Plan 218534, PO Box 10758, Fargo, ND 58106-0758 | 3,569 | 6.55% | |||||||
Class C | Centaurus Financial Inc., Ascensus Trust Company FBO, Law Office of Warren A Forstall, LLC, Po Box 10758, Fargo, ND 58106-0758 | 3,552 | 6.52% | |||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 3,194 | 5.86% | |||||||
Class C | Acensus Trust Company FBO, Kidd Plumbing 401(K) Plan 231980 | 3,013 | 5.53% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 5,318,913 | 30.82% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 4,089,585 | 23.70% | |||||||
Institutional | Principal Securities Inc. | 1,160,365 | 6.72% | |||||||
Service | American United Life Insurance Co | 154,906 | 37.55% | |||||||
Service | American United Life Insurance Co | 43,821 | 10.62% | |||||||
Service | Empower Financial Services, Inc. | 37,267 | 9.03% | |||||||
Investor | TIAA Trust, N.A. as CUST/TTEE of Retirement Plans Recordkept by TIAA, Attn: Fund Operations, 8500 Andrew Carnegie Blvd., Charlotte, NC 28262-5800 | 597,936 | 31.51% | |||||||
Investor | John Hancock Trust Company LLC, 200 Berkeley St., Ste 7, Boston, MA 02116-5038 | 329,418 | 17.36% | |||||||
Investor | GWFS Equities Inc, Empower Trust FBO, Employee Benefits Clients 401K | 113,636 | 5.99% | |||||||
Investor | National Financial Services LLC, FEBO Customers Mutual Funds | 103,190 | 5.44% | |||||||
Investor | State Street Bank and TR TTEE/Cust. | 103,738 | 5.47% | |||||||
Class R | Hartford Life Insurance Company | 372,984 | 37.63% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 249,402 | 25.16% | |||||||
Class R | GWFS Equities Inc, Massachusetts Mutual Life Insurance, 1295 State St., MIP M200-INVST, Springfield, MA 01111-0001 | 154,285 | 15.57% | |||||||
Class R | Principal Securities Inc. | 53,759 | 5.42% | |||||||
Class R6 | Edward D. Jones & Co. | 2,469,945 | 22.08% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 2,116,205 | 18.92% | |||||||
Class R6 | JP Morgan Securities, LLC, FEBO Customers, Mutual Fund Dept. | 1,545,130 | 13.81% |
B-78
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
BofA Securities, Inc., 200 N. College St., Fl. 3, Charlotte, NC 28202-2191 | 488,276,188.39 | 7.95% | ||||||||
PREFERRED SHARES | BB&T Capital Markets, O’Neal, Inc., 10 Falcon Crest Dr., Suite 300, Greenville, SC 29607-1586 | 2,322,564.00 | 60.61% | |||||||
BB&T Capital Markets, American Civil Liberties Union Capital Improvement Fund, Foundation, Inc. – John Adams Fund, Attn: Accounting Department, 125 Broad St., New York, NY 10004-2427 | 993,674.67 | 25.93% | ||||||||
Bank of Oklahoma NA, West Texas Automation, Inc., PO Box 1610, Joshua, TX 76058-1610 | 503,769.24 | 13.15% | ||||||||
PREMIER SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,039.12 | 99.99% | |||||||
RESOURCE SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,030.57 | 99.99% | |||||||
SELECT SHARES | M&T Bank, Tice & Co., C/O M&T Trust Co. Reinvest, PO Box 1377, Buffalo,NY 14240-1377 | 25,769,334.06 | 26.26% | |||||||
Bank of Oklahoma NA, Southwest Energy LP, 1869 E. 71st St., Tulsa, OK 74136-3922 | 24,817,623.93 | 25.29% | ||||||||
Wells Fargo Bank NA, Account FBO Customers, Attn: Money Funds, 1525 W. WT Harris Blvd., Charlotte, NC 28288-1076 | 16,404,120.71 | 16.72% | ||||||||
Bank of Oklahoma NA, The DKJ LAJ Family Trust, 1869 E. 71st St, Tulsa, OK 74136-3922 | 6,832,430.80 | 6.96% | ||||||||
Bank of Oklahoma NA, Strat Land Exploration Co., 15 E. 5th St., Suite 2020, Tulsa, OK 74103-4318 | 6,247,886.90 | 6.37% | ||||||||
SERVICE SHARES | Delaware Trust Company, CSC Trust Company of Delaware, 251 Little Falls Dr., Wilmington, DE 19808-1674 | 3,362.08 | 94.84% | |||||||
FINANCIAL SQUARE TREASURY INSTRUMENTS FUND ADMINISTRATION SHARES | Hare & Co., C/O The Bank of New York, STIF Department, Fl. 2, 111 Sanders Creek Parkway, East Syracuse, NY 13057-1382 | 495,000,784.56 | 25.89% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R6 | TIAA Trust, N.A. as CUST/TTEE of Retirement Plans Recordkept by TIAA, Attn: Fund Operations, 8500 Andrew Carnegie Blvd., Charlotte, NC 28262-5800 | 982,690 | 8.78% | |||||||
Class R6 | MSCS Financial Services LLC, Matrix Trust Company as Agent for Newport Trust Company, The sisters of the Third Order of St. Francis Employees Ret Svgs Plan, 35 Iron point Circle, Folsom, CA 95630-8587 | 729,389 | 6.52% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 5,926,657 | 98.69% | |||||||
Goldman Sachs Small Cap Value Insights Fund | Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 256,836 | 7.62% | ||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 225,230 | 6.68% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 216,874 | 6.44% | |||||||
Class A | Pershing LLC, PO Box 2052 | 188,397 | 5.59% | |||||||
Class C | American Enterprise Investment SVC | 33,033 | 18.14% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 27,245 | 14.96% | |||||||
Class C | LPL Financial | 19,513 | 10.72% | |||||||
Class C | Stifel Nicolaus & Co. | 18,760 | 10.30% | |||||||
Class C | Fortune Financial SVC Inc., Mark Mathieu, 22 Brighton A, Boca Raton, Fl 33434-2985 | 12,195 | 6.70% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 12,178 | 6.69% | |||||||
Class C | Pershing LLC, PO Box 2052 | 11,539 | 6.34% | |||||||
Class C | National Financial Services LLC, FEBO Customers Mutual Funds | 9,526 | 5.23% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 2,303,353 | 38.59% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 589,433 | 9.87% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 529,901 | 8.88% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 326,532 | 6.18% |
B-79
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
BMO Harris Bank NA, BMO Harris Bank NA GS Investment, Acct FBO BMO Harris Bank NA GS, 111 W. Monroe St., Fl. 9, Chicago, IL 60603-4096 | 116,353,551.18 | 6.09% | ||||||||
Union Bank, Union Bank Tr. Nominee FBO Cash Management Sweeps, PO Box 85484, San Diego, CA 92186-5484 | 114,031,939.47 | 5.97% | ||||||||
CAPITAL SHARES | Goldman Sachs & Co. LLC, FBO AL03, 30 Hudson St., Fl. 5, Jersey City,NJ 07302-4600 | 440,157,681.78 | 46.61% | |||||||
Goldman Sachs & Co. LLC, FBO ALYX, 30 Hudson St., Fl. 5, Jersey City,NJ 07302-4600 | 68,658,943.20 | 7.27% | ||||||||
Goldman Sachs & Co. LLC, FBO AR75, 30 Hudson St., Fl. 5, Jersey City,NJ 07302-4600 | 51,620,015.94 | 5.47% | ||||||||
CASH MANAGEMENT SHARES | Pershing LLC, BNY Mellon NA, FBO Bank of Custody Solution, Attn: Cash Management, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 6,829,815.03 | 63.21% | |||||||
Jefferies LLC, FBO Triple S Fund LP, 101 Hudson St., Fl. 11, Jersey City,NJ 07302-3915 | 3,924,526.61 | 36.32% | ||||||||
INSTITUTIONAL SHARES | Hare & Co., C/O The Bank of New York, STIF Department, Fl. 2, 111 Sanders Creek Parkway, East Syracuse, NY 13057-1382 | 15,774,834,359.54 | 30.15% | |||||||
Goldman Sachs & Co., 295 Chipeta Way, Fl. 4, Salt Lake City, UT 84108-1285 | 4,229,882,380.71 | 8.08% | ||||||||
Wells Fargo Bank NA, Attn: Cash Sweep Department – MACN9310-130, 550 S. 4th St., Minneapolis, MN 55415-1529 | 3,292,951,039.90 | 6.29% | ||||||||
PREFERRED SHARES | Pershing LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 53,470,664.50 | 63.54% | |||||||
Goldman Sachs & Co. LLC, FBO 7MBP, 30 Hudson St., Fl. 5, Jersey City,NJ 07302-4600 | 10,760,141.79 | 12.79% | ||||||||
Goldman Sachs & Co. LLC, FBO ALXT, 30 Hudson St., Fl. 5, Jersey City, NJ 07302-4600 | 4,373,223.94 | 5.20% | ||||||||
PREMIER SHARES | Bank of Oklahoma, NA Bank & Co., C/O Bank Of Oklahoma, Attn: Trust Securities, PO Box 2180, Tulsa,OK 74101-2180 | 148,841,352.04 | 99.99% | |||||||
RESOURCE SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,022.00 | 100.00% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | MSCS Financial Services LLC, SEI Private Trust Company, C/O Franklin St Trust ID 701, Attn: Mutual Fund Admin, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 350,034 | 5.86% | |||||||
Investor | American Enterprise Investment SVC | 3,433,661 | 65.00% | |||||||
Investor | LPL Financial | 357,610 | 6.77% | |||||||
Investor | Pershing LLC, PO Box 2052 | 326,532 | 6.18% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 58,425 | 10.26% | |||||||
Class R6 | T Rowe Price Retirement Plan Svcs, Reliance Trust Company, FBO T Rowe Price Retirement Plan Clients, PO Box 78446, Atlanta, GA 30357 | 983,918 | 18.49% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 832,203 | 15.69% | |||||||
Class R6 | Principal Securities Inc. | 568,886 | 10.69% | |||||||
Class R6 | Empower Financial Services, Inc. | 367,613 | 6.91% | |||||||
Class R6 | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 356,289 | 6.70% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 770,575 | 99.68% | |||||||
Goldman Sachs Small/Mid Cap Growth Fund | Class A | Edward D. Jones & Co. | 2,062,812 | 14.39% | ||||||
Class A | American Enterprise Investment SVC | 1,364,138 | 9.51% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,348,305 | 9.40% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 1,235,551 | 8.62% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 1,028,163 | 7.17% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 1,009,285 | 7.04% | |||||||
Class A | Morgan Stanley Smith Barney LLC, U.S. Bank FBO, SISC GASB 45 Trust A, 1555 N. Rivercenter Dr., Ste 302, Milwaukee, WI 53212-3958 | 868,691 | 6.06% | |||||||
Class A | UBS WM USA | 866,872 | 6.05% | |||||||
Class A | LPL Financial | 786,267 | 5.48% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 722,844 | 5.04% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 2,225,158 | 46.19% |
B-80
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
SELECT SHARES | Deutsche Bank Trust Co., Horseshoe Re II Ltd., Segregated Account LC02100 RTA, Wessex House 45 Reid St., Hamiliton, Bermuda HM 12 | 78,081,012.12 | 55.19% | |||||||
Deutsche Bank Trust Co., Horseshoe Re II Ltd., Segregated Account LC1100, Wessex House 45 Reid St., Hamiliton, Bermuda HM 12 | 35,032,397.49 | 24.76% | ||||||||
Deutsche Bank Trust Co., Horseshoe Re II Ltd., Insurance Trust, Wessex House 45 Reid St., Hamiliton, Bermuda HM 12 | 15,195,602.20 | 10.74% | ||||||||
SERVICE SHARES | Hare & Co., C/O The Bank of New York, STIF Department, Fl. 2, 111 Sanders Creek Parkway, East Syracuse, NY 13057-1382 | 9,755,213.92 | 42.93% | |||||||
Cenco, Compass Bank, Sweep Coordinator, 701 32nd St. S., Birmingham, AL 35233-3515 | 6,588,480.12 | 28.99% | ||||||||
Western Alliance Bank, Attn: Finance, One East Washington St., Suite 600, Phoenix, AZ 85004-2580 | 4,107,416.18 | 18.07% | ||||||||
SEI Private Trust Company, C/O BBVA Compass Bank, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 1,590,756.25 | 7.00% | ||||||||
FINANCIAL SQUARE TREASURY OBLIGATIONS FUND ADMINISTRATION SHARES | MSCS Financial Services LLC, Stratevest & Co., PO Box 2499, Brattleboro,VT 05303-2499 | 448,331,991.97 | 19.81% | |||||||
Hare & Co., C/O The Bank of New York, STIF Department, Fl. 2, 111 Sanders Creek Parkway, East Syracuse, NY 13057-1382 | 304,742,754.16 | 13.47% | ||||||||
Fulton Bank, The Fulton Company, PO Box 3215, Lancaster, PA 17604-3215 | 234,584,191.80 | 10.37% | ||||||||
M&T Bank, Tice & Co., C/O M&T Trust Co., PO Box 1377, Buffalo, NY 14240-1377 | 218,482,548.96 | 9.66% | ||||||||
GreatBanc Trust Company, Anbee & Co., C/O GreatBanc Trust Company, 801 Warrenville Rd., Suite 500, Lisle,IL 60532-4347 | 188,518,084.59 | 8.33% | ||||||||
TD Banknorth NA, Attn: Deposit AccountingME091-31N, PO Box 1377, Lewiston, ME 04243-1377 | 115,615,997.49 | 5.11% | ||||||||
CAPITAL SHARES | First National Capital Markets, Inc., Applied Underwriters Captive Risk Assurance, PO Box 3646, Omaha, NE 68103-0646 | 85,924,072.46 | 15.45% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | American Enterprise Investment SVC | 580,918 | 12.06% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 550,109 | 11.42% | |||||||
Class C | UBS WM USA | 323,290 | 6.71% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 252,005 | 5.23% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 9,014,748 | 24.14% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 7,170,039 | 19.20% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 3,859,279 | 10.33% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 3,346,411 | 8.96% | |||||||
Institutional | UBS WM USA | 2,566,970 | 6.87% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 2,421,896 | 6.49% | |||||||
Institutional | TD Ameritrade Clearing Inc. | 2,138,408 | 5.73% | |||||||
Service | Empower Financial Services, Inc. | 14,132 | 19.46% | |||||||
Service | Devon Bank, 6445 N Western Ave., Ste 300, Chicago, IL 60645-5452 | 13,495 | 18.58% | |||||||
Service | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 13,266 | 18.26% | |||||||
Service | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 8,066 | 11.11% | |||||||
Service | Empower Financial Services, Inc. | 6,915 | 9.52% | |||||||
Service | TCA Trustcorp America | 3,730 | 5.14% | |||||||
Investor | American Enterprise Investment SVC | 9,498,253 | 53.42% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 3,434,163 | 19.31% | |||||||
Investor | LPL Financial | 2,423,826 | 13.63% | |||||||
Investor | National Financial Services LLC, FEBO Customers Mutual Funds | 1,447,643 | 8.14% | |||||||
Class R | Hartford Life Insurance Company | 151,526 | 28.57% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 28,868 | 5.44% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 2,810,195 | 38.70% | |||||||
Class R6 | Edward D. Jones & Co. | 616,889 | 8.49% |
B-81
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Goldman Sachs & Co. LLC, FBO AR98, 30 Hudson St., Fl. 5, Jersey City,NJ 07302-4600 | 48,204,870.36 | 8.67% | ||||||||
Goldman Sachs & Co. LLC, FBO 7TLN, 30 Hudson St., Fl. 5, Jersey City,NJ 07302-4600 | 42,625,714.36 | 7.66% | ||||||||
Goldman Sachs & Co. LLC, FBO AHPR, 30 Hudson St., Fl. 5, Jersey City,NJ 07302-4600 | 37,058,767.57 | 6.66% | ||||||||
First National Capital Markets, Inc., Continental Indemnity Co., 10805 Old Mill Rd., Omaha, NE 68154-2607 | 34,160,462.10 | 6.14% | ||||||||
CASH MANAGEMENT SHARES | Pershing LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 12,056,703.37 | 50.02% | |||||||
Pershing LLC, BNY Mellon NA, FBO Bank of Custody Solution, Attn: Cash Management, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 10,671,503.02 | 44.28% | ||||||||
Jefferies LLC, FBO Cavatina Capital LLC, 101 Hudson St., Fl. 11, Jersey City,NJ 07302-3915 | 1,372,845.82 | 5.70% | ||||||||
INSTITUTIONAL SHARES | Hare & Co., C/O The Bank of New York, STIF Department, Fl. 2, 111 Sanders Creek Parkway, East Syracuse, NY 13057-1382 | 3,935,006,022.22 | 29.82% | |||||||
PREFERRED SHARES | Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 122,860,419.45 | 28.03% | |||||||
BBC Partnership, 1401 Avenue Q, Lubbock, TX 79401-3819 | 105,591,712.71 | 24.09% | ||||||||
M&T Bank, Tice & Co., C/O M&T Trust Co., PO Box 1377, Buffalo, NY 14240-1377 | 104,065,651.03 | 23.74% | ||||||||
Union Bank & Trust Co., Industricorp & Co., 312 Central Ave. S.E., Suite 508, Minneapolis, MN 55414-1166 | 43,818,539.73 | 10.00% | ||||||||
Pershing LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 24,477,656.04 | 5.58% | ||||||||
Enterprise Bank & Trust, 1281 N. Warson Rd., Saint Louis, MO 63132-1805 | 23,107,327.33 | 5.27% | ||||||||
PREMIER SHARES | Commerce Bank – Lenexa, Cement Masons And Plasterers Local 518, Health Care Fund Holding Account, 2156 W. 2200 S., Salt Lake City, UT 84119-1326 | 4,822,767.68 | 25.98% | |||||||
Commerce Bank – SE MO, C&E Investment Properties, Inc., 5845 Crystal Tree Cors, Saint Louis, MO 63128-3207 | 3,368,597.95 | 18.14% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R6 | Prudential PIMS/Retirement, as Nominee for the TTEE/CUST PL 719, SIKA Corporation 401(K), 201 Polito Ave., Lyndhurst, NJ 07071-3601 | 611,316 | 8.42% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 15,261,494 | 98.97% | |||||||
Goldman Sachs Small/Mid Cap Value Fund | Class A | American Enterprise Investment SVC | 55,062 | 34.05% | ||||||
Class A | Stifel Nicolaus & Co. | 20,339 | 12.58% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 12,138 | 7.51% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 10,439 | 6.46% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 8,431 | 5.21% | |||||||
Class C | American Enterprise Investment SVC | 29,304 | 43.79% | |||||||
Class C | Stifel Nicolaus & Co. | 17,260 | 25.79% | |||||||
Class C | LPL Financial | 14,107 | 21.08% | |||||||
Institutional | TD Ameritrade Clearing Inc. | 575,522 | 35.17% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 449,389 | 27.47% | |||||||
Institutional | MSCS Financial Services LLC, SEI Private Trust Company, C/O Principal Financial ID 636, Attn: Mutual Fund Administrator, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 287,805 | 17.59% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 129,388 | 7.91% | |||||||
Investor | American Enterprise Investment SVC | 412,939 | 66.57% | |||||||
Investor | LPL Financial | 152,829 | 24.64% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 53,918 | 8.69% | |||||||
Class R | Pai Trust Company Inc., River Falls Eye Surgery & Laser Center, 1300 Enterprise Dr., De Pere, WI 54115-4934 | 4,048 | 54.26% | |||||||
Class R | GWFS Equities Inc, BRN Burden Emrik Nero SCHZ Bibbey S, Yellowstone Pathology 401K PSP, C/O Fascore LLC | 1,303 | 17.47% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 957 | 12.83% | |||||||
Class R | GSAM Holdings LLC Seed Account | 669 | 8.97% | |||||||
Class R6 | Voya Institutional Plan Services LLC, 1 Heritage Dr., North Quincy, MA 02171-2105 | 4,563,870 | 73.13% | |||||||
Class R6 | Vanguard Fiduciary Trust Company, Attn: Outside Funds K22, PO Box 2600, Valley Forge, PA 19482-2600 | 1,589,857 | 25.47% |
B-82
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Commerce Bank – Lenexa, Tower Properties Company, 1000 Walnut St., Suite 900, Kansas City, MO 64106-2161 | 3,351,882.23 | 18.05% | ||||||||
Commerce Bank – SE MO, Ladue Chapel Presbyterian Church, 9450 Clayton Rd., Saint Louis, MO 63124-1568 | 989,587.14 | 5.33% | ||||||||
RESOURCE SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,023.80 | 100.00% | |||||||
SELECT SHARES | Bank of Oklahoma NA, Texas Oncology PA, 12221 Merit Dr., Suite 500, Dallas, TX 75251-3100 | 38,143,211.03 | 74.17% | |||||||
Deutsche Bank Trust Co., Bayonne Water Joint Venture LLC, Revenue Account, C/O Kohlberg Kravis Roberts & Co., 9 W. 57th St., Suite 4200, New York,NY 10019-2707 | 5,131,669.35 | 9.98% | ||||||||
J.P. Morgan Chase Bank NA, FBO Third Party TS Link, 10410 Highland Manor Dr., Fl. 3, Tampa, FL 33610-9128 | 5,006,244.35 | 9.73% | ||||||||
SERVICE SHARES | MSCS Financial Services LLC, Stratevest & Co., PO Box 2499, Brattleboro,VT 05303-2499 | 356,237,860.91 | 42.49% | |||||||
SEI Private Trust Company, C/O Regions Bank, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 220,641,762.57 | 26.32% | ||||||||
Hare & Co., C/O The Bank of New York, STIF Department, Fl. 2, 111 Sanders Creek Parkway, East Syracuse, NY 13057-1382 | 121,545,344.52 | 14.50% | ||||||||
FINANCIAL SQUARE TREASURY SOLUTIONS FUND ADMINISTRATION SHARES | Harris Associates, LP, The Oakmark Funds, Attn: Mutual Fund Operations, C/O Harris Associates, 111 S. Wacker Dr., Suite 4600, Chicago, IL 60606-4319 | 60,152,634.76 | 16.90% | |||||||
Commerce Bank of Kansas City, NA, Mori & Co., Commerce Bank of Kansas City, Attn: Trust Operations, 911 Main St., Suite 201, Kansas City, MO 64105-5304 | 38,390,279.14 | 10.78% | ||||||||
Jefferies LLC, FBO Karsub 1 LLC, 101 Hudson St., Fl. 11, Jersey City,NJ 07302-3915 | 34,890,272.70 | 9.80% | ||||||||
Jefferies LLC, FBO Venrock Healthcare Capital, 101 Hudson St., Fl. 11, Jersey City, NJ 07302-3915 | 29,172,636.56 | 8.19% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 6,364,234 | 99.94% | |||||||
Goldman Sachs Strategic Factor Allocation Fund | Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 1,317,873 | 98.41% | ||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 206,368,547 | 100.00% | |||||||
Goldman Sachs Strategic Growth Fund | Class A | National Financial Services LLC, FIIOC FBO, F J Neil + Inter-Mares Trading Co., Profit Sharing & 401K Plan, 100 Magellan way (KW1C), Covington , KY 41015-1987 | 283,771 | 6.88% | ||||||
Class A | Edward D. Jones & Co. | 709,308 | 17.19% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 643,215 | 15.59% | |||||||
Class A | Pershing LLC, PO Box 2052 | 283,224 | 6.86% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 280,092 | 6.79% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 271,591 | 6.58% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 260,965 | 6.32% | |||||||
Class C | Equitable Advisors LLC, UMB Bank NA, Cust Non DFI Simple FBO Charles Russell, 108 Lotus St., Oceanside, CA 92054-3730 | 10,675 | 5.42% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 63,394 | 32.19% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 24,847 | 12.62% | |||||||
Class C | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 22,350 | 11.35% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 15,643 | 7.94% | |||||||
Class C | American Enterprise Investment SVC | 14,461 | 7.34% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 2,588,155 | 67.28% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 316,343 | 8.22% | |||||||
Institutional | UBS WM USA | 264,626 | 6.88% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 230,657 | 6.00% |
B-83
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Simmons Bank, C/O Simmons Bank, 501 S. Main St., Pine Bluff, AR 71601-4327 | 23,849,187.98 | 6.70% | ||||||||
Goldman Sachs & Co. LLC, FBO AR2R, 30 Hudson St., Fl. 5, Jersey City,NJ 07302-4600 | 19,152,307.25 | 5.38% | ||||||||
Jefferies LLC, FBO NIS Preferred Stock Fund II LLC, 101 Hudson St., Fl. 11, Jersey City, NJ 07302-3915 | 18,912,868.97 | 5.31% | ||||||||
CAPITAL SHARES | Commerce Bank – Lenexa, Skaggs Community Hospital Assoc., DBA Cox Medical Center Branson, 1423 N. Jefferson Ave., Springfield, MO 65802-1917 | 14,622,648.79 | 11.37% | |||||||
Commerce Bank – Lenexa, Massman Construction Co., 4400 W. 109th St., Suite 300, Overland Park, KS 66211-1319 | 10,491,843.52 | 8.16% | ||||||||
Commerce Bank – Lenexa, The Pembroke Hill School, 400 W. 51st St., Kansas City, MO 64112-3407 | 10,337,045.78 | 8.04% | ||||||||
Commerce Bank of Kansas City, BKD LLP, PO Box 1900, Springfield, MO 65801-1900 | 7,862,143.38 | 6.11% | ||||||||
Commerce Bank – Lenexa, Ridewell Corporation, PO Box 4586, Springfield, MO 65808-4586 | 6,657,656.53 | 5.18% | ||||||||
CASH MANAGEMENT SHARES | MSCS Financial Services LLC, Stratevest & Co., PO Box 2499, Brattleboro,VT 05303-2499 | 247,677,261.53 | 89.07% | |||||||
Pershing LLC, BNY Mellon NA, FBO Bank of Custody Solution, Attn: Cash Management, 1 Pershing Plz., Jersey City, NJ 07399-0001 | 29,168,268.48 | 10.49% | ||||||||
INSTITUTIONAL SHARES | Goldman Sachs & Co. LLC, 295 Chipeta Way, Fl. 4, Salt Lake City, UT 84108-1285 | 3,544,955,053.84 | 43.80% | |||||||
Goldman Sachs & Co. LLC, NRMA LLC, 767 3rd Ave., Fl. 16, New York,NY 10017-9017 | 408,464,083.20 | 5.05% | ||||||||
PREFFERED SHARES | Pershing LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 18,687,428.01 | 39.66% | |||||||
Jefferies LLC, 101 Hudson St., Fl. 11, Jersey City, NJ 07302-3915 | 9,886,974.81 | 20.98% | ||||||||
Band & Co., C/O US Bank, Attn: ACM Department, PO Box 1787, Milwaukee, WI 53201-1787 | 8,147,025.56 | 17.29% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Service | Lincoln Financial Advisors, Lincoln Financial Group Trust Co., FBO Rollover IRA Plan, PO Box 21008, Greensboro, NC 27420-1008 | 35,906 | 33.85% | |||||||
Service | Lincoln Financial Advisors, Lincoln Financial Group Trust Co., FBO Traditional IRA Plan, PO Box 21008, Greensboro, NC 27420-1008 | 22,203 | 20.93% | |||||||
Service | Lincoln Financial Advisors, Lincoln Financial Group Trust Co., FBO Rollover SS IRA Plan, PO Box 21008, Greensboro, NC 27420-1008 | 5,963 | 5.62% | |||||||
Service | National Financial Services LLC, FEBO Customers Mutual Funds | 33,555 | 31.64% | |||||||
Investor | American Enterprise Investment SVC | 443,850 | 84.18% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 51,915 | 9.85% | |||||||
Class R | GWFS Equities Inc, Alejandro Onofrio TTEE FBO, Ocasa Inc 401K, C/O Fascore | 18,923 | 73.45% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 4,641 | 18.01% | |||||||
Class R | GSAM Holdings LLC Seed Account | 2,201 | 8.54% | |||||||
Class R6 | Empower Financial Services, Inc. | 340,800 | 86.99% | |||||||
Class R6 | Edward D. Jones & Co. | 34,941 | 8.92% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 5,551,455 | 98.24% | |||||||
Goldman Sachs Strategic Income Fund | Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 2,520,175 | 19.60% | ||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 1,946,330 | 15.13% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 1,621,241 | 12.61% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 1,260,225 | 9.80% | |||||||
Class A | TD Ameritrade Clearing Inc. | 981,944 | 7.64% | |||||||
Class A | American Enterprise Investment SVC | 743,238 | 5.78% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 746,053 | 5.80% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 189,226 | 26.63% | |||||||
Class C | LPL Financial | 135,761 | 19.11% | |||||||
Class C | UBS WM USA | 98,868 | 13.91% |
B-84
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Commerce Bank of Kansas City, NA, Mori & Co., Commerce Bank of Kansas City, Attn: Trust Operations, 911 Main St., Suite 201, Kansas City, MO 64105-5304 | 5,983,281.78 | 12.70% | ||||||||
Jefferies LLC, FBO Langdon Street Capital LP, 101 Hudson St., Fl. 11, Jersey City, NJ 07302-3915 | 3,801,871.46 | 8.07% | ||||||||
PREMIER SHARES | Bank of Oklahoma, NA Bank & Co., C/O Bank Of Oklahoma, Attn: Trust Securities, PO Box 2180, Tulsa,OK 74101-2180 | 102,111,260.82 | 81.30% | |||||||
RESOURCE SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,022.35 | 100.00% | |||||||
SELECT SHARES | Commerce Bank of Kansas City, Special Account, PO Box 782050, Wichita, KS 67278-2050 | 5,502,634.81 | 66.11% | |||||||
Commerce Bank of Kansas City, Jabara Ventures Group LP, PO Box 782050, Wichita, KS 67278-2050 | 2,512,042.92 | 30.18% | ||||||||
SERVICE SHARES | MidAmerica National Bank, PO Box 1300, Macomb, IL 61455-5600 | 34,610,699.19 | 28.24% | |||||||
Charlevoix State Bank, PO Box 217, Charlevoix, MI 49720-0217 | 31,684,500.01 | 25.85% | ||||||||
AMG National Trust Bank, Haws & Co., 6295 Greenwood Plaza Blvd, Greenwood Village, CO 80111-4968 | 21,188,758.47 | 17.29% | ||||||||
Commerce Bank – Lenexa, Henderson Engineers, Inc., DBA Henderson Building Solutions LLC, 8345 Lenexa Dr., Suite 110, Lenexa, KS 66214-1654 | 11,079,870.90 | 9.04% | ||||||||
Cenco, Compass Bank, Sweep Coordinator, 701 32nd St. S., Birmingham, AL 35233-3515 | 8,305,000.00 | 6.78% | ||||||||
INVESTOR MONEY MARKET FUND CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 155,631,277.50 | 85.99% | |||||||
RBC Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus Processing, Attn: Mutual Fund Ops. Manager, 60 S. 6th St., Suite 700 # P08, Minneapolis, MN 55402-4413 | 14,016,544.92 | 7.74% | ||||||||
Stifel Nicolaus & Co., FBO Customers, 501 N. Broadway, St. Louis, MO 63102-2188 | 9,942,484.07 | 5.49% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 69,507 | 9.78% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 60,127 | 8.46% | |||||||
Class C | National Financial Services LLC, FEBO Customers Mutual Funds | 37,312 | 5.25% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 6,637,547 | 20.27% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 5,792,928 | 17.69% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 4,619,344 | 14.10% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 4,433,872 | 13.54% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 2,795,779 | 8.54% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 2,187,730 | 6.68% | |||||||
Institutional | TD Ameritrade Clearing Inc. | 1,637,813 | 5.00% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 607,288 | 38.91% | |||||||
Investor | LPL Financial | 486,220 | 31.15% | |||||||
Investor | American Enterprise Investment SVC | 123,404 | 7.91% | |||||||
Class R | GWFS Equities Inc, Massachusetts Mutual Life Insurance, 1295 State St., MIP M200-INVST, Springfield, MA 01111-0001 | 53,846 | 16.36% | |||||||
Class R | Pershing LLC, PO Box 2052 | 91,562 | 27.83% | |||||||
Class R | The Hartford Plz., Hartford Ct 06155-0001 | 70,677 | 21.48% | |||||||
Class R | Ascensus Trust Company | 38,476 | 11.69% | |||||||
Class R | Principal Securities Inc. | 28,698 | 8.72% | |||||||
Class R6 | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 2,137,496 | 55.24% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 1,417,037 | 36.62% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 16,878,839 | 99.75% | |||||||
Goldman Sachs Strategic Volatility Premium Fund | Institutional | GSAM Holdings LLC Comp Hedge, Attn IMD-INDA-SAOS-2022 | 5,778 | 17.75% | ||||||
Institutional | GSAM Holdings LLC Seed Account, The Goldman Sachs Group LP, ILA Money Market CM Seed Account, Attn: IMD-INDIA-SAOS, Helios Business Park, 150 Outer Ring Rd., Kadubeesanahalli | 5,057 | 15.54% |
B-85
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
ADMINISTRATION SHARES | Pershing LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 27,651,097.19 | 90.62% | |||||||
Union Bank & Trust Co., Industricorp & Co., 312 Central Ave. S.E., Suite 508, Minneapolis, MN 55414-1166 | 2,850,398.60 | 9.34% | ||||||||
CLASS C SHARES | AXA Advisors LLC, 2535 Roaring Run Rd., Goode, VA 24556-2565 | 14,843.73 | 58.94% | |||||||
GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 10,337.14 | 41.04% | ||||||||
CASH MANAGEMENT SHARES | Pershing LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 23,109,451.92 | 99.95% | |||||||
CLASS I SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 922,679,168.08 | 66.04% | |||||||
LPL Financial Corporation, FBO Customers, Attn: Mutual Fund Operations, PO Box 509046, San Diego, CA 92150-9046 | 142,377,499.70 | 10.19% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 136,260,482.95 | 9.75% | ||||||||
RESOURCE SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 10,592.93 | 100.00% | |||||||
SERVICE SHARES | Pershing LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 25,968,946.78 | 99.96% | |||||||
INVESTORTAX-EXEMPT MONEY MARKET FUND CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 10,418,149.69 | 85.34% | |||||||
RBC Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus Processing, Attn: Mutual Fund Ops. Manager, 60 S. 6th St., Suite 700 # P08, Minneapolis, MN 55402-4413 | 1,095,252.46 | 8.97% | ||||||||
ADMINISTRATION SHARES | James I. Black & Co., 7037 Pelican Island Dr., Tampa, FL 33634-7422 | 298,189.02 | 99.99% | |||||||
CLASS C SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 9,044.24 | 100.00% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | GSAM Holdings LLC Comp Hedge, Attn IMD-INDA-SAOS-2023 | 2,850 | 8.76% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 18,867 | 57.96% | |||||||
Class P | Goldman Sachs & Co, 295 Chipeta Way, Fl 4, Salt Lake City, UT 84108-1285 | 45,559,128 | 100.00% | |||||||
Goldman Sachs Tactical Tilt Overlay Fund | Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 1,648,272 | 68.42% | ||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 681,215 | 28.28% | |||||||
Class R6 | Goldman Sachs Asset Management LP, Deloitte Pension Plan for Partners, Multi Asset Class, 695 E main St., Stamford, CT 06901-2141 | 10,293,115 | 18.38% | |||||||
Class R6 | Goldman Sachs Asset Management LP, KPMG Partner Pension Plan, 3 Chestnut Ridge Rd., Montvale, NJ 07645-1842 | 8,407,254 | 15.01% | |||||||
Class R6 | Goldman Sachs Asset Management LP, KPMG Partner Pension Plan, 3 Chestnut Ridge Rd., Montvale, NJ 07645-1842 | 6,655,718 | 11.88% | |||||||
Class R6 | Goldman Sachs Asset Management LP, Deloitte Pension Plan for Partners, Princ and Dir Multi Asset Class, Attn: Chris Mattoni, Senior Mgr Total Rewards COE Talent, 695 E main St., Stamford, CT 06901-2141 | 6,290,765 | 11.23% | |||||||
Class R6 | Goldman Sachs Asset Management LP, Cargill SUP Goldman Sachs Tactical Tilt Overlay Fund 332215, 9320 Excelsior Blvd., MS 15-6-9320, Hopkins, MN 55343-9469 | 4,682,982 | 8.36% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 395,197,611 | 100.00% | |||||||
Goldman Sachs Tax-Advantaged Global Equity Portfolio | Class A | Band & CO Institutional Trust, C/O US Bank NA, 1555 N Rivercenter Dr. Ste 203, Milwaukee, WI 532123958 | 15,363 | 52.12% | ||||||
Class A | Stifel Nicolaus & Co. | 6,586 | 22.35% | |||||||
Class A | TD Ameritrade Clearing Inc. | 6,293 | 21.35% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 875,017 | 44.53% | |||||||
Institutional | UBS WM USA | 470,866 | 23.96% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 173,601 | 8.84% | |||||||
Institutional | Pershing LLC | 151,989 | 7.74% |
B-86
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CAPITAL SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,026.15 | 100.00% | |||||||
CASH MANAGEMENT SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,009.49 | 99.99% | |||||||
CLASS I SHARES | The Glenmede Trust Company NA, 1650 Market St., Suite 1200, Philadelphia, PA 19103-7391 | 756,204,923.70 | 52.60% | |||||||
MSCS Financial Services LLC, Zions First National Bank, PO Box 30880, Salt Lake City, UT 84130-0880 | 142,777,474.58 | 9.93% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 132,504,224.92 | 9.22% | ||||||||
SEI Private Trust Company, C/O BMO Harris SWP, 1 Freedom Valley Dr., Oaks,PA 19456-9989 | 93,500,279.96 | 6.50% | ||||||||
First Premier Bank, Unifalls & Co., C/O First Premier Bank, PO Box 2640, Sioux Falls, SD 57101-2640 | 90,872,334.86 | 6.32% | ||||||||
PREFERRED SHARES | Band & Co. Institutional Trust, C/O US Bank, Attn: ACM Department, PO Box 1787, Milwaukee, WI 53201-1787 | 60,604.20 | 98.33% | |||||||
PREMIER SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,020.43 | 100.00% | |||||||
RESOURCE SHARES | Pershing LLC, FBO Customers, 1 Pershing Plz., Jersey City, NJ 07399-0002 | 2,103,474.26 | 99.95% | |||||||
SELECT SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,030.01 | 99.97% | |||||||
SERVICE SHARES | SEI Private Trust Company, C/O City National Bank, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 1,612,801.81 | 75.45% | |||||||
Bank of Oklahoma NA, 4280 Kings Place, Springdale, AR 72762-0160 | 518,004.53 | 24.23% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 102,984 | 5.24% | |||||||
Class R6 | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 407,544 | 99.83% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 172,719,862 | 97.63% | |||||||
Goldman Sachs Technology Opportunities Fund | Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 2,806,616 | 16.40% | ||||||
Class A | TD Ameritrade Clearing Inc. | 1,448,883 | 8.46% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,298,736 | 7.59% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 1,098,851 | 6.42% | |||||||
Class A | American Enterprise Investment SVC | 921,798 | 5.39% | |||||||
Class A | State Street Bank and TR TTEE/Cust. | 874,600 | 5.11% | |||||||
Class C | Pershing LLC, PO Box 2052 | 293,949 | 18.69% | |||||||
Class C | National Financial Services LLC, FEBO Customers Mutual Funds | 232,129 | 14.76% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 187,219 | 11.90% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 138,349 | 8.80% | |||||||
Class C | American Enterprise Investment SVC | 94,823 | 6.03% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 837,659 | 24.05% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 402,318 | 11.55% | |||||||
Institutional | American United Life Insurance Co | 354,564 | 10.18% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 200,407 | 5.75% | |||||||
Institutional | American United Life Insurance Co | 194,410 | 5.58% | |||||||
Institutional | TD Ameritrade Clearing Inc. | 177,622 | 5.10% | |||||||
Service | MSCS Financial Services LLC, Vantagepoint Traditional IRA, C/O Missionsquare Retirement, 777 North Capital Street, NE, Washington, DC 20002-4239 | 116,240 | 23.78% |
B-87
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
FISCAL YEAR END 10/31 | ||||||||||
ASIA EQUITY FUND (EFFECTIVE NOVEMBER 20, 2019, CHINA EQUITY FUND) CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 173,014.39 | 33.11% | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 52,868.88 | 10.12% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 41,466.01 | 7.94% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 36,609.65 | 7.01% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 32,183.05 | 6.16% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 30,702.12 | 5.88% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customers, 2801 Market St., Saint Louis, MO 63103-2523 | 7,333.17 | 18.95% | |||||||
Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 3,720.26 | 9.62% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 3,677.29 | 9.50% | ||||||||
Cambridge Investment Research, UMB Bank NA, FBO P.R.F., 3165 E Fur Hollow Dr., Sandy, UT 84092-4227 | 2,892.22 | 7.48% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 2,871.86 | 7.42% | ||||||||
Cambridge Investment Research, UMB Bank NA, FBO J.M.F., 3165 E Fur Hollow Dr., Sandy, UT 84092-4227 | 2,854.43 | 7.38% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Service | MSCS Financial Services LLC, Vantagepoint Roth IRA, C/O Missionsquare Retirement, 777 North Capital Street, NE, Washington, DC 20002-4239 | 93,767 | 19.18% | |||||||
Service | American United Life Insurance Co | 82,048 | 16.79% | |||||||
Service | American United Life Insurance Co | 55,022 | 11.26% | |||||||
Investor | American Enterprise Investment SVC | 475,927 | 50.19% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 244,292 | 25.76% | |||||||
Investor | LPL Financial | 131,238 | 13.84% | |||||||
Class R6 | Goldman Sachs Direct Accts., Mac & Co A/C 47034, FBO GS 529 Plan, Mutual Fund Operations, 500 Grant Street, Room 151-1010, Pittsburgh, PA 15219-2502 | 2,190,223 | 90.08% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 2,801,667 | 98.80% | |||||||
Goldman Sachs U.S. Equity Dividend and Premium Fund | Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 2,021,713 | 17.97% | ||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 1,364,433 | 12.13% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,226,314 | 10.90% | |||||||
Class A | American Enterprise Investment SVC | 1,217,304 | 10.82% | |||||||
Class A | LPL Financial | 973,646 | 8.66% | |||||||
Class A | Pershing LLC, PO Box 2052 | 826,974 | 7.35% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 687,591 | 6.11% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 619,270 | 5.51% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 1,117,481 | 22.35% | |||||||
Class C | American Enterprise Investment SVC | 891,846 | 17.84% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 669,623 | 13.39% | |||||||
Class C | Pershing LLC, PO Box 2052 | 426,665 | 8.53% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 387,648 | 7.75% | |||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 366,799 | 7.34% |
B-88
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 2,690.65 | 6.95% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 2,556.48 | 6.61% | ||||||||
TD Ameritrade Clearing Inc., 822 Ida St., New Orleans, LA 70119-3840 | 1,990.12 | 5.14% | ||||||||
INSTITUTIONAL SHARES | Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 84,674.59 | 35.85% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 69,200.87 | 29.30% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 18,226.21 | 7.72% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 15,935.99 | 6.75% | ||||||||
INVESTOR SHARES | Raymond James & Associates, Omnibus for Mutual Funds, 880 Carillon Parkway, St. Petersburg, FL 33716-1100 | 4,989.33 | 60.71% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 1,696.46 | 20.64% | ||||||||
GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,264.19 | 15.38% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 1,919,318.04 | 99.98% | |||||||
CLASS R6 SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 15,673.14 | 97.83% | |||||||
EMERGING MARKETS EQUITY FUND CLASS A SHARES | Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 7,226,834.12 | 63.53% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | LPL Financial | 320,106 | 6.40% | |||||||
Class C | National Financial Services LLC, FEBO Customers Mutual Funds | 280,554 | 5.61% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 22,181,057 | 25.68% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 12,442,053 | 14.40% | |||||||
Institutional | TD Ameritrade Clearing Inc. | 12,208,705 | 14.13% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 10,434,338 | 12.08% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 8,363,422 | 9.68% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 5,963,999 | 6.90% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 5,136,380 | 5.95% | |||||||
Investor | American Enterprise Investment SVC | 15,616,101 | 49.35% | |||||||
Investor | LPL Financial | 10,254,837 | 32.41% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 4,698,194 | 14.85% | |||||||
Class R6 | Goldman Sachs & Co LLC, GS Enhanced Div Global EQ Portfolio, C/O Fund Management, 200 West St., 37th Floor, New York, NY 10282-2102 | 14,906,717 | 67.33% | |||||||
Class R6 | Saxon & Co., PO Box 94597, Cleveland, OH 44101-4597 | 4,963,767 | 22.42% | |||||||
Class R6 | Wells Fargo Bank NA FBO Omnibus Cash, PO Box 1533, Minneapolis, MN 55480-1533 | 1,112,172 | 5.02% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 45,261,588 | 97.17% | |||||||
Goldman Sachs U.S. Equity ESG Fund | Class A | Edward D. Jones & Co. | 180,887 | 40.43% | ||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 96,831 | 21.65% | |||||||
Class A | LPL Financial | 35,203 | 7.87% | |||||||
Class C | LPL Financial | 20,576 | 33.22% | |||||||
Class C | Stifel Nicolaus & Co. | 6,969 | 11.25% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 25,038 | 40.43% | |||||||
Institutional | GSAM Holdings LLC Comp Hedge, Attn IMD-INDA-SAOS-2022 | 13,658 | 13.71% | |||||||
Institutional | GSAM Holdings LLC Comp Hedge, Attn IMD-INDA-SAOS-2021 | 9,638 | 9.67% |
B-89
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 630,034.81 | 5.54% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 570,508.11 | 5.02% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 572,462.24 | 5.03% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 424,241.80 | 25.58% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 299,388.33 | 18.06% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ #97TE1 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 219,888.53 | 13.26% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 156,646.91 | 9.45% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 90,544.86 | 5.46% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 13,712,752.02 | 32.02% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 7,168,512.43 | 16.74% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 5,048,372.50 | 11.79% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 3,540,383.64 | 8.27% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | GSAM Holdings LLC Comp Hedge, Attn IMD-INDA-SAOS-2023 | 6,532 | 6.56% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 24,264 | 24.35% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 17,212 | 17.28% | |||||||
Institutional | TD Ameritrade Clearing Inc. | 16,230 | 16.29% | |||||||
Investor | MSCS Financial Services LLC, Attn: Mutual Funds, C/O ID 337, SEI Private Trust Company, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 13,545 | 33.84% | |||||||
Investor | MSCS Financial Services LLC, Matrix Trust Company as Agent for TD Ameritrade Clearing Inc. Trust Company TDARP, Pegasus Elite Aviation 401K Plan, PO Box 17749, Denver, CO 80217-0749 | 2,025 | 5.06% | |||||||
Investor | LPL Financial | 19,221 | 48.02% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 4,684 | 11.70% | |||||||
Class R | GWFS Equities Inc, Charles Hermes & Nancy Lyons TTEES, C/O Fascore, Clockwork Active Media Systems 401K | 12,660 | 75.48% | |||||||
Class R | GWFS Equities Inc, Kym Harrington TTEE FBO, C/O Fascore, Salesedge LLC 401K Profit Sharing P | 2,109 | 12.58% | |||||||
Class R | GSAM Holdings LLC Seed Account | 1,654 | 9.86% | |||||||
Class R6 | Edward D. Jones & Co. | 71,508 | 98.96% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 593,376 | 99.83% | |||||||
Goldman Sachs U.S. Equity Insights Fund | Class A | Edward D. Jones & Co. | 935,532 | 16.73% | ||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 526,413 | 9.41% | |||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 302,844 | 5.42% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 94,116 | 31.84% | |||||||
Class C | American Enterprise Investment SVC | 29,948 | 10.13% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 17,115 | 5.79% | |||||||
Class C | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 16,744 | 5.66% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 3,519,736 | 76.94% |
B-90
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Mt. Whitney Securities LLC, 477 Martinsville Rd., Liberty Corner, NJ 07938 | 2,846,789.97 | 6.65% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 2,257,718.03 | 5.27% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis, MN 55402-2405 | 3,206,526.51 | 52.21% | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 1,457,740.34 | 23.74% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 1,403,347.02 | 22.85% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 17,638,919.66 | 99.79% | |||||||
CLASS R6 SHARES | Goldman Sachs Trust, State Street Bank & Trust Co., GS Satellite Strategies Portfolio, Emerging Markets Equity Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 687,821.64 | 59.80% | |||||||
Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 280,029.25 | 24.35% | ||||||||
SERVICE SHARES | Security Benefit Life Insurance Co., UMB Bank NA, FBO Tax Deferred Accounts, 1 SW. Security Benefit Pl., Topeka, KS 66636-1000 | 1,028,062.25 | 83.78% | |||||||
Security Benefit Life Insurance Co., SBL Variable Annuity Account XIV, 1 SW. Security Benefit Pl., Topeka, KS 66636-1000 | 136,933.18 | 11.16% | ||||||||
EMERGING MARKETS EQUITY INSIGHTS FUND CLASS A SHARES | Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 2,038,152.03 | 24.96% | |||||||
ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 956,522.32 | 11.72% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Service | Empower Financial Services, Inc. | 41,121 | 41.08% | |||||||
Service | Empower Financial Services, Inc. | 18,986 | 18.97% | |||||||
Service | Empower Financial Services, Inc. | 14,871 | 14.86% | |||||||
Service | American United Life Insurance Co | 8,405 | 8.40% | |||||||
Investor | LPL Financial | 540,344 | 42.25% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 247,721 | 19.37% | |||||||
Investor | American Enterprise Investment SVC | 237,205 | 18.55% | |||||||
Investor | American United Life Insurance Co | 129,229 | 10.10% | |||||||
Class R | State Street Bank and TR TTEE/Cust. | 46,699 | 32.66% | |||||||
Class R | The Hartford., 1 Hartford Plz., Hartford, CT 06155-0001 | 22,953 | 16.05% | |||||||
Class R | GWFS Equities Inc, Jason Dorris TTEE FBO, Dorris & Assoc International 401K &, C/O Fascore LLC | 12,469 | 8.72% | |||||||
Class R | Mid Atlantic Trust Company | 10,530 | 7.36% | |||||||
Class R6 | Empower Financial Services, Inc. | 88,671 | 20.30% | |||||||
Class R6 | Empower Trust | 51,991 | 11.90% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 47,547 | 10.89% | |||||||
Class R6 | Charles Schwab Trust Bank. TTEE, Safariland LLC 401(K) Ret. Plan 106062, 2423 E Lincoln Dr. Phoenix, AZ 85016-1215 | 45,306 | 10.37% | |||||||
Class R6 | Charles Schwab Trust Bank. Trust, Rothschild & Co North America, Inc. 401(K) and Profit SHA 101903, 2423 E. Lincoln Dr. Phoenix, AZ 85016-1215 | 42,219 | 9.67% | |||||||
Class R6 | Edward D. Jones & Co. | 32,909 | 7.53% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 4,587,272 | 98.22% | |||||||
Goldman Sachs U.S. Mortgages Fund | Class A | Pershing LLC, PO Box 2052 | 442,060 | 27.04% | ||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 163,088 | 9.98% | |||||||
Class A | Wright – Falcon International Bank, 19230 Stone Oak Parkway, San Antonio, Tx 78258-3282 | 174,155 | 10.65% | |||||||
Class A | First National Huntsville Company, 1300 11th Street, Huntsville, TX 77340-3802 | 145,588 | 8.91% | |||||||
Class A | State Street Bank and TR TTEE/Cust. | 145,198 | 8.88% | |||||||
Class A | Wright Investors’ SVC Distributors, Essa Bank and Trust, 744 Main St. Ste. 1, Stroudsburg, PA 18360-2268 | 112,186 | 6.86% | |||||||
Class A | TD Ameritrade Clearing Inc. | 83,662 | 5.12% |
B-91
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Security Benefit Life Insurance Co., UMB Bank NA Customer, FBO Security Financial Resources, 1 SW. Security Benefit Pl., Topeka, KS 66636-1000 | 815,372.70 | 9.99% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 649,580.54 | 7.96% | ||||||||
CLASS C SHARES | Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 207,280.10 | 21.92% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 197,598.66 | 20.89% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 143,921.51 | 15.22% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 105,820.69 | 11.19% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 87,159.20 | 9.22% | ||||||||
Stifel Nicolaus & Co., FBO Customers, 501 N. Broadway, St. Louis, MO 63102-2188 | 81,624.61 | 8.63% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 66,299.43 | 7.01% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 25,557,379.16 | 24.69% | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 25,002,625.73 | 24.15% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 19,336,496.06 | 18.68% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 7,311,664.78 | 48.96% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Investor | American Enterprise Investment SVC | 2,231,374 | 76.31% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 259,888 | 8.89% | |||||||
Investor | State Street Bank and TR TTEE/Cust. | 147,460 | 5.04% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 3,720,697 | 55.89% | |||||||
Institutional | Empower Financial Services, Inc. | 1,125,351 | 16.90% | |||||||
Institutional | MSCS Financial Services LLC, Attn: Mutual Funds, C/O ID 861, SEI Private Trust Company, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 672,889 | 10.11% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 971,632 | 55.18% | |||||||
Class R6 | Edward D. Jones & Co. | 230,144 | 13.07% | |||||||
Class R6 | State Street Bank and TR TTEE/Cust. | 210,375 | 11.95% | |||||||
Class R6 | Empower Financial Services, Inc. | 208,567 | 11.84% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 764,172 | 99.85% | |||||||
Separate Account | GS PWM INSTL Class, FBO Acct# 021117601 | 2,002,833 | 19.10% | |||||||
Separate Account | GS PWM INSTL Class, FBO Acct# 021117726 | 1,454,318 | 13.87% | |||||||
Separate Account | GS PWM INSTL Class, FBO Acct# 054043385 | 1,023,898 | 9.77% | |||||||
Separate Account | GS PWM INSTL Class, FBO Acct# 021113246 | 908,438 | 8.67% | |||||||
Separate Account | GS PWM INSTL Class, FBO Acct# 021094826 | 805,459 | 7.68% | |||||||
Goldman Sachs U.S. Tax-Managed Equity Fund | Class A | Edward D. Jones & Co. | 499,436 | 21.00% | ||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 302,834 | 12.74% | |||||||
Class A | Pershing LLC, PO Box 2052 | 278,855 | 11.73% | |||||||
Class A | American Enterprise Investment SVC | 242,131 | 10.18% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 174,283 | 7.33% | |||||||
Class A | LPL Financial | 163,995 | 6.90% | |||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 141,145 | 5.94% | |||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 126,993 | 5.34% |
B-92
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 3,524,145.86 | 23.60% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 3,073,752.07 | 20.58% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 3,260,966.57 | 99.99% | |||||||
CLASS R SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 2,005,480.62 | 64.47% | |||||||
CLASS R6 SHARES | Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank NA, GS Tax Advantaged Global Equity Portfolio, Structured Emerging Markets Equity, 1 Beacon St., Fl. 18, Boston, MA 02108-3107 | 15,357,765.08 | 29.68% | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 7,483,625.34 | 14.46% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GSS Growth Strategy Omnibus A/C GS Emerging Markets Equity Insights Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 5,510,231.68 | 10.65% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Trust Growth & Income, Structured Emerging Markets Equity Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 4,569,729.54 | 8.83% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Dynamic Global Equity Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 3,364,729.20 | 6.50% | ||||||||
Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank NA, GS Enhanced Dividend Global Equity Portfolio, Structured Emerging Markets Equity, 1 Beacon St., Fl. 18, Boston, MA 02108-3107 | 3,327,911.03 | 6.43% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 185,322 | 37.83% | |||||||
Class C | American Enterprise Investment SVC | 96,631 | 19.73% | |||||||
Class C | Stifel Nicolaus & Co. | 94,237 | 19.24% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 35,017 | 7.15% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 296,129 | 19.27% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 264,136 | 17.19% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 217,497 | 14.16% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 164,553 | 10.71% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 106,066 | 6.90% | |||||||
Institutional | MSCS Financial Services LLC, Zeel & Co., Attn: Trust Ops, 141 E 8th St., Holland, MI 49423-3503 | 98,168 | 6.39% | |||||||
Service | National Financial Services LLC, FEBO Customers Mutual Funds | 90,172 | 100.00% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 243,175 | 47.58% | |||||||
Investor | American Enterprise Investment SVC | 149,875 | 29.32% | |||||||
Investor | LPL Financial | 97,631 | 19.10% | |||||||
Class R6 | Goldman Sachs & Co LLC, GS Tax-Adv Global Equity Portfolio, C/O Fund Management, 200 West St., 37th Floor, New York, NY 10282-2102 | 61,972,400 | 99.94% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 5,497,525 | 97.15% |
Goldman Sachs Trust II
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Goldman Sachs GQG Partners International Opportunities Fund | Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 5,440,829 | 24.05% | ||||||
Class A | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 3,083,146 | 13.63% | |||||||
Class A | National Financial Services LLC, FEBO Customers Mutual Funds | 2,779,050 | 12.28% |
B-93
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
ESG EMERGING MARKETS EQUITY FUND CLASS A SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 5,012.14 | 99.57% | |||||||
CLASS C SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 47,400 | 100.00% | |||||||
INSTITUTIONAL SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 678,342.23 | 97.97% | |||||||
INVESTOR SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 5,020.21 | 100.00% | |||||||
CLASS R SHARES | MSCS Financial Services LLC, Matrix Trust Company, FBO Township High SD #113 (IL) 403(B), 717 17th St., Suite 1300, Denver, CO 80202-3304 | 7,388.95 | 49.27% | |||||||
GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 5,004.07 | 33.37% | ||||||||
MSCS Financial Services LLC, Matrix Trust Company, FBO New Trier High School District 203 403B, 717 17th St., Suite 1300, Denver, CO 80202-3304 | 1,604.74 | 10.70% | ||||||||
MSCS Financial Services LLC, Matrix Trust Company, FBO Mundelein Elementary SD 75 (IL) 403, 717 17th St., Suite 1300, Denver, CO 80202-3304 | 972.33 | 6.48% | ||||||||
CLASS R6 SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 5,025.06 | 100.00% | |||||||
IMPRINT EMERGING MARKETS OPPORTUNITIES FUND CLASS A SHARES | TD Ameritrade Clearing Inc., FBO Clients, PO Box 2226, Omaha, NE 68103-2226 | 144,217.81 | 32.99% | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 72,408.98 | 16.56% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 2,112,801 | 9.34% | |||||||
Class A | TD Ameritrade Clearing Inc. | 2,087,852 | 9.23% | |||||||
Class A | Raymond James, 92500015, Omnibus for Mutual Funds | 1,721,766 | 7.61% | |||||||
Class A | American Enterprise Investment SVC | 1,133,273 | 5.01% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 1,041,275 | 19.17% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 1,003,989 | 18.48% | |||||||
Class C | American Enterprise Investment SVC | 741,778 | 13.66% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 711,894 | 13.11% | |||||||
Class C | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 533,065 | 9.81% | |||||||
Class C | LPL Financial | 471,978 | 8.69% | |||||||
Class C | National Financial Services LLC, FEBO Customers Mutual Funds | 290,852 | 5.35% | |||||||
Class C | Stifel Nicolaus & Co. | 273,681 | 5.04% | |||||||
Institutional | Pershing LLC, PO Box 2052 | 53,459,835 | 5.29% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 215,554,783 | 21.35% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 213,007,884 | 21.10% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 144,837,887 | 14.34% | |||||||
Institutional | Merrill Lynch Pierce Fenner & Smith, For the Sole Benefit of its Customers, Goldman Sachs Funds | 129,312,468 | 12.81% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 53,386,141 | 5.29% | |||||||
Investor | American Enterprise Investment SVC | 139,262,737 | 41.70% | |||||||
Investor | LPL Financial | 118,062,446 | 35.35% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 63,194,923 | 18.92% | |||||||
Class R | Pershing LLC, PO Box 2052 | 71,079 | 36.82% | |||||||
Class R | State Street Bank and TR TTEE/Cust | 44,976 | 23.30% | |||||||
Class R | GWFS Equities Inc., Empower Trust Company LLC, TTEE F Employee Benefits Clients 401K | 30,792 | 15.95% |
B-94
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 41,011.40 | 9.38% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 38,891.66 | 8.90% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 30,312.00 | 6.93% | ||||||||
CLASS C SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 50,959.89 | 31.35% | |||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 26,754.38 | 16.46% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 22,724.75 | 13.98% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 16,342.48 | 10.05% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 15,030.93 | 9.25% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 12,572.24 | 7.73% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 170,208.38 | 33.90% | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 144,768.03 | 28.83% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 35,298.84 | 7.03% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R | Lincoln Financial Advisors, Lincoln Retirement Services Company, FBO Life University 401(K) Savings, PO BOX 7876, Fort Wayne, IN 46801-7876 | 29,943 | 15.51% | |||||||
Class R6 | National Financial Services LLC, FEBO Customers Mutual Funds | 10,939,291 | 14.25% | |||||||
Class R6 | MSCS Financial Services, The Trust Company of Tennessee, 4823 Old Kingston Pike, Ste 100, Knoxville, TN 37919-6499 | 7,814,161 | 10.18% | |||||||
Class R6 | Wells Fargo Bank NA FBO Omnibus Cash, PO Box 1533, Minneapolis, MN 55480-1533 | 8,044,987 | 10.48% | |||||||
Class R6 | Nationwide Investment Services | 6,805,665 | 8.86% | |||||||
Class R6 | TIAA Trust, N.A. as CUST/TTEE of Retirement Plans Recordkept by TIAA, Attn: Fund Operations, 8500 Andrew Carnegie Blvd., Charlotte, NC 28262-5800 | 4,561,657 | 5.94% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 142,387,718 | 98.77% | |||||||
Goldman Sachs Multi-Manager Alternatives Fund | Class A | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 193,369 | 27.35% | ||||||
Class A | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 93,129 | 13.17% | |||||||
Class A | American Enterprise Investment SVC | 78,877 | 11.16% | |||||||
Class A | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 73,963 | 10.46% | |||||||
Class A | UBS WM USA | 71,001 | 10.04% | |||||||
Class A | TD Ameritrade Clearing Inc. | 41,670 | 5.89% | |||||||
Class C | Raymond James, 92500015, Omnibus for Mutual Funds | 33,916 | 42.41% | |||||||
Class C | American Enterprise Investment SVC | 12,745 | 15.93% | |||||||
Class C | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 9,908 | 12.38% | |||||||
Class C | UBS WM USA | 6,274 | 7.84% | |||||||
Class C | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 5,626 | 7.03% | |||||||
Institutional | National Financial Services LLC, FEBO Customers Mutual Funds | 507,320 | 20.18% | |||||||
Institutional | Wells Fargo Clearing Services, LLC., Special Custody Acct for the Exclusive Benefit of Customer | 453,863 | 18.05% | |||||||
Institutional | Morgan Stanley Smith Barney LLC, For the Exclusive Benefit of its Customers | 351,042 | 13.96% |
B-95
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
RBC Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus Processing, Attn: Mutual Fund Ops. Manager, 60 S. 6th St., Suite 700 # P08, Minneapolis, MN 55402-4413 | 28,616.75 | 5.70% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 26,276.53 | 5.23% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 76,291.74 | 43.78% | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 48,734.64 | 27.97% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 36,901.30 | 21.18% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 1,604,940.83 | 99.94% | |||||||
CLASS R6 SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 973.14 | 99.99% | |||||||
INCOME BUILDER FUND CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 2,203,339.74 | 16.58% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 2,160,576.55 | 16.26% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 2,125,352.60 | 15.99% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 1,035,680.52 | 7.79% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | RBC Capital Markets Corporation | 319,719 | 12.71% | |||||||
Institutional | Charles Schwab & Co, Inc., Special Custody AC FBO Customers | 236,451 | 9.40% | |||||||
Institutional | UBS WM USA | 227,072 | 9.03% | |||||||
Investor | American Enterprise Investment SVC | 259,831 | 53.58% | |||||||
Investor | Raymond James, 92500015, Omnibus for Mutual Funds | 128,660 | 26.53% | |||||||
Investor | LPL Financial | 75,258 | 15.52% | |||||||
Class R | GSAM Holdings LLC Seed Account | 2,600 | 99.03% | |||||||
Class R6 | JP Morgan Securities, LLC, FEBO Customers, Mutual Fund Dept. | 2,235 | 69.22% | |||||||
Class R6 | GSAM Holdings LLC Seed Account | 994 | 30.78% | |||||||
Class P | Goldman Sachs & Co., FBO Omnibus 6600 | 7,782,602 | 98.56% | |||||||
Goldman Sachs Multi-Manager Global Equity Fund | Class R6 | Goldman Sachs Asset Management LP, Motorola Solutions Retirement Trust, 2000 Progress Pkwy, Schaumburg, IL 60196-4000 | 18,313,869 | 32.29% | ||||||
Class R6 | Goldman Sachs Asset Management LP, Bombardier Trust US Master Trust, 1 Learjet Way, Wichita, KS 67209-2924 | 10,183,756 | 17.95% | |||||||
Class R6 | Goldman Sachs Asset Management LP, The Timkensteel Corporation, Bargaining Unit Pension Plan, 1835 Dueber Ave SW, Canton, OH 44706-2728 | 4,502,857 | 7.94% | |||||||
Class R6 | Goldman Sachs Asset Management LP, Chick-fil-a Inc., Amended and Restated Defined Benefit Pension Plan Trust, 5200 Buffington Rd., Atlanta, GA 30349-2945 | 3,819,968 | 6.73% | |||||||
Class R6 | Goldman Sachs Asset Management LP, Star Tribune Retirement Plans, Master Trust, 650 3rd Ave., S Ste 1300, Minneapolis, MN 55402-1947 | 3,630,816 | 6.40% | |||||||
Class R6 | Goldman Sachs Asset Management LP, Christian School Pension TR Fund, 2969 Prairie St. SW, Ste 102, Grandville, MI 49418-2008 | 313,3907 | 5.53% | |||||||
Goldman Sachs Multi-Manager Non-Core Fixed Income Fund | Class R6 | Goldman Sachs Asset Management LP, Motorola Solutions Retirement Trust, 2000 Progress Pkwy, Schaumburg, IL 60196-4000 | 22,261,536 | 16.46% | ||||||
Class R6 | Goldman Sachs Asset Management LP, Thomson Reuters Group Pension Plan, 610 Opperman Dr., Eagan, MN 55123-1340 | 12,167,961 | 9.00% |
B-96
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 916,886.77 | 6.90% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 813,340.76 | 6.12% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 6,152,113.13 | 30.70% | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 3,376,009.58 | 16.85% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 2,966,785.22 | 14.81% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ #97RT4 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 1,901,733.39 | 9.49% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 1,237,933.38 | 6.18% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 1,177,987.77 | 5.88% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 1,035,153.33 | 5.17% | ||||||||
INSTITUTIONAL SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 5,908,826.75 | 24.43% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 4,645,501.78 | 19.21% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 4,335,830.20 | 17.93% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Class R6 | Goldman Sachs Asset Management LP, Cargill Sup Goldman Sachs Multi-Manager Non Core Fixed Income Fund 332214, 9230 Excelsior Blvd, MS 15-6-9320, Hopkins, MN 55343-9469 | 11,500,819 | 8.50% | |||||||
Class R6 | Goldman Sachs Asset Management LP, Christian School Pension Tr Fund, 2969 Prairie St. SW, Ste 102, Grandville, MI 49418-2008 | 10,914,879 | 8.07% | |||||||
Class R6 | Goldman Sachs Asset Management LP, Whirlpool Corp and Subsidiary, Employees Retirement Trust, 2000 N M 63, Benton Harbor, MI 49022-2692 | 7,129,532 | 5.27% | |||||||
Goldman Sachs Multi-Manager Real Assets Strategy Fund | Class R6 | Goldman Sachs Asset Management LP, Motorola Solutions Retirement Trust, 2000 Progress Pkwy, Schaumburg, IL 10112-0015 | 11,282,644 | 20.03% | ||||||
Class R6 | Goldman Sachs Asset Management LP, Sprint Master Trust, 6200 Sprint Pkwy #HF0202-2BDTX, Overland Park, KS 66251-6117 | 8,418,939 | 14.95% | |||||||
Class R6 | Goldman Sachs Asset Management LP, Christian School Pension TR Fund, 2969 Prairie St. SW, Ste 102, Grandville, MI 49418-2008 | 4,983,408 | 8.85% | |||||||
Class R6 | Goldman Sachs Asset Management LP, Deloitte LLP Master Pension Trust, 30 Rockefeller Plaza, New York, NY 10112-0015 | 4,512,120 | 8.01% | |||||||
Class R6 | Goldman Sachs Asset Management LP, Deloitte Pension Plan for Partners, Prin and Dir Multi Asset Class, 30 Rockefeller Plaza, New York, NY 10112-0015 | 3,926,940 | 6.97% | |||||||
Multi-Manager International Equity Fund | Class P | Goldman Sachs & Co, 295 Chipeta Way, Fl 4, Salt Lake City, UT 84108-1285 | 97,387,686 | 100.00% | ||||||
Multi-Manager U.S. Small Cap Equity Fund | Class P | Goldman Sachs & Co, 295 Chipeta Way, Fl 4, Salt Lake City, UT 84108-1285 | 60,546,762 | 100.00% |
Goldman Sachs Variable Insurance Trust
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Goldman Sachs Buffered S&P 500 Fund – Jan/Jul, | Institutional | GSAM Holdings LLC Seed Account | 495,000 | 100% | ||||||
Service | GSAM Holdings LLC Seed Account | 5,000 | 100% |
B-97
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,981,322.46 | 8.19% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 1,972,312.81 | 8.15% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 1,299,163.64 | 5.37% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 6,206,950.05 | 59.18% | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 2,030,651.15 | 19.36% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 1,939,002.04 | 18.49% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 525,524.73 | 99.91% | |||||||
CLASS R6 SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 408,725.66 | 98.73% | |||||||
INTERNATIONAL EQUITY ESG FUND CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 631,311.91 | 36.69% | |||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 164,117.69 | 9.54% | ||||||||
ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 163,148.19 | 9.48% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 110,785.21 | 6.44% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Goldman Sachs Buffered S&P 500 Fund – Mar/Sep | Institutional | GSAM Holdings LLC Seed Account | 495,000 | 100% | ||||||
Service | GSAM Holdings LLC Seed Account | 5,000 | 100% | |||||||
Goldman Sachs Buffered S&P 500 Fund – May/Nov | Institutional | GSAM Holdings LLC Seed Account | 495,000 | 100% | ||||||
Service | GSAM Holdings LLC Seed Account | 5,000 | 100% | |||||||
Goldman Sachs Core Fixed Income Fund | Institutional | Lombard International Life Assurance Company, One Liberty Place, 1650 Market St., 53th Fl., 1 Liberty Place, Fl 54, Philadelphia, PA 19103-4201 | 2,535,349 | 56.05% | ||||||
Institutional | Protective Life Insurance, Co. | 1,384,768 | 30.61% | |||||||
Institutional | AIG Life Insurance Co., 27 Richmond, Rd., PO Box HM 152, Hamilton HM, AX, Bermuda | 313,130 | 6.92% | |||||||
Service | Thrivent Financial for Lutherans, 600 Portland Ave, Ste. 100, Minneapolis, MN 55415-4402 | 4,859,140 | 56.98% | |||||||
Service | Protective Life Insurance, Co. | 2,816,343 | 33.02% | |||||||
Goldman Sachs Government Money Market Fund | Institutional | Valic Financial Advisors, Inc., Variable Annuity Life Insurance Co, 2727-A Allen Parkway, 4-D1, Houston, TX 77019-2107 | 537,303,612 | 33.01% | ||||||
Institutional | Nationwide Investment Services, Nationwide Insurance Co., Cust FBO NWPP | 432,360,209 | 26.56% | |||||||
Institutional | Nationwide Investment Services | 357,196,758 | 21.95% | |||||||
Service | American General Life Insurance CO., 2727A Allen Pkwy., # -D1 MSC 4, Houston, TX 77019-2107 | 360,656,026 | 45.49% | |||||||
Service | Commonwealth Annuity & Life, Annuity Company to Commonwealth Annuity and Life Ins. Co | 194,697,103 | 24.56% | |||||||
Service | Life of Virginia, GE Life & Annuity Assurance Co., Attn: Variable Accounting, 6620 W Broad St., Bldg 2, Richmond, VA 23230-1721 | 144,751,904 | 18.26% | |||||||
Goldman Sachs International Equity Insights Fund | Institutional | Lombard International Life Assurance Company, One Liberty Place, 1650 Market St., 53th Fl., 1 Liberty Place, Fl 54, Philadelphia, PA 19103-4201 | 1,700,781 | 21.99% | ||||||
Institutional | Kemper Inv Life Insurance Co., Zurich American Life Ins Co., Separate Accounts, 2801 Highway 280 S, Birmingham, AL 35223-2479 | 1,070,236 | 13.84% | |||||||
Institutional | Protective Life Insurance, Co. | 2,053,244 | 26.54% | |||||||
Institutional | Providence Life Assurance Company Bermuda Ltd., 7 Par-La-Ville Rd., Hamilton HM 11, Bermuda | 847,656 | 10.96% |
B-98
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 88,910.83 | 5.17% | ||||||||
CLASS C SHARES | UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 420,488.14 | 74.07% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 39,125.59 | 6.89% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 188,481.08 | 52.63% | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 40,174.19 | 11.22% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 21,311.88 | 5.95% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 19,674.28 | 5.49% | ||||||||
INVESTOR SHARES | Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 13,302.30 | 61.69% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 4,927.49 | 22.85% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 1,550.31 | 7.19% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 1,531.15 | 7.10% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 3,260,966.57 | 99.86% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | Protective Life Insurance, Co. | 778,985 | 10.07% | |||||||
Institutional | AIG Life Insurance Co., 27 Richmond, Rd., PO Box HM 152, Hamilton HM, AX, Bermuda | 569,046 | 7.36% | |||||||
Service | Protective Life Insurance, Co. | 3,683,079 | 83.81% | |||||||
Service | Protective Life Insurance, Co. | 337,050 | 7.67% | |||||||
Service | Commonwealth Annuity & Life, First Allmerica Financial Life Insurance Company | 286,017 | 6.51% | |||||||
Goldman Sachs Large Cap Value Fund | Institutional | Ohio National Life Insurance, Co. | 7,412,640 | 46.06% | ||||||
Institutional | Protective Life Insurance, Co. | 3,520,859 | 21.88% | |||||||
Institutional | Protective Life Insurance, Co. | 1,588,371 | 9.87% | |||||||
Institutional | Lombard International Life Assurance Company, One Liberty Place, 1650 Market St., 53th Fl., 1 Liberty Place, Fl 54, Philadelphia, PA 19103-4201 | 1,159,440 | 7.20% | |||||||
Service | The Lincoln National Life Ins. Co., 1300 S. Clinton St., Fort Wayne, IN 46802-3506 | 12,730,120 | 46.62% | |||||||
Service | Protective Life Insurance, Co. | 9,245,266 | 33.86% | |||||||
Service | Ohio National Life Insurance, Co. | 4,167,195 | 15.26% | |||||||
Goldman Sachs Mid Cap Growth Fund | Institutional | Lombard International Life Assurance Company, 1 Liberty Place, Fl 54, Philadelphia, PA 19103-4201 | 10,6216 | 83.44% | ||||||
Institutional | Prudential Investment Management Services, LLC, Atten: Separate Accounts Trade Confirms, 213 Washington St. Fl. 7, Newark, NJ 07102-2917 | 7,630 | 5.99% | |||||||
Institutional | Kemper Inv Life Insuranc Co., Zurich American Life Ins Co., Attn: Paul Narsingh, 165 Broadway, 21st Fl, New York, NY 10006-1454 | 6,731 | 5.29% | |||||||
Institutional | GSAM Holdings LLC Seed Account | 6,712 | 5.27% | |||||||
Service | Protective Life Insurance, Co. | 4,704,691 | 76.75% | |||||||
Service | Commonwealth Annuity & Life, First Allmerica Financial Life Insurance Company | 608,984 | 9.94% | |||||||
Goldman Sachs Mid Cap Value Fund | Institutional | Riversource Life Insurance CO of NY, A/C 1 Investment Acctg – Managed Assets, 1646 AXP Financial Ctr, Minneapolis, MN 55474-0001 | 12,186,810 | 60.56% | ||||||
Institutional | Life of Virginia, GE Life & Annuity Assurance Co., Attn: Variable Accounting, 6620 W Broad St., Bldg 2, Richmond, VA 23230-1721 | 1,875,380 | 9.32% | |||||||
Service | Protective Life Insurance, Co. | 6,449,491 | 82.41% | |||||||
Service | Protective Life Insurance, Co. | 449,730 | 5.75% |
B-99
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS R6 SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 22,052.18 | 97.30% | |||||||
SERVICE SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 130.40 | 68.43% | |||||||
GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 60.17 | 31.57% | ||||||||
INTERNATIONAL EQUITY INCOME FUND CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 99,588.42 | 8.25% | |||||||
CLASS C SHARES | Morgan Stanley Smith Barney LLC, Ascensus Trust Co., FBO Family Medicine Associates 401(k)/P, PO Box 10758, Fargo,ND 58106-0758 | 23,889.62 | 17.52% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 16,225.15 | 11.90% | ||||||||
AXA Advisors LLC, Ascensus Trust Co., FBO 401(k) Plan – 192619, PO Box 10758, Fargo, ND 58106-0758 | 10,598.82 | 7.77% | ||||||||
EFC Financial Services LLC, Ascensus Trust Co., FBO L.W. Real Estate Services, PO Box 10758, Fargo, ND 58106-0758 | 8,394.95 | 6.16% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 97,877.85 | 39.56% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 66,053.64 | 26.70% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 59,461.24 | 24.03% | ||||||||
INVESTOR SHARES | TIAA CREF Individual & TIAA, FBO Retirement Plans for Which TIAA Acts as Recordkeeper, Attn: Trust Operations, 211 N. Broadway, Suite 1000, Saint Louis, MO 63102-2748 | 10,268.89 | 46.33% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Goldman Sachs Multi-Strategy Alternatives Portfolio | Advisor | Riversource Life Insurance CO of NY, A/C 1 Investment Acctg – Managed Assets, 1646 AXP Financial Ctr, Minneapolis, MN 55474-0001 | 1,245,571 | 47.59% | ||||||
Advisor | Nationwide Investment Services, Jefferson National Life Insurance | 710,372 | 27.14% | |||||||
Advisor | The Lincoln National Life Ins. Co., 1300 S. Clinton St., Fort Wayne, IN 46802-3506 | 365,503 | 13.97% | |||||||
Institutional | The Lincoln National Life Ins. Co., 1300 S. Clinton St., Fort Wayne, IN 46802-3506 | 177,796 | 83.43% | |||||||
Institutional | Lombard International Life Assurance Company, One Liberty Place, 1650 Market St., 53th Fl., 1 Liberty Place, Fl 54, Philadelphia, PA 19103-4201 | 2,8261 | 13.26% | |||||||
Service | Nationwide Investment Services | 782,878 | 61.57% | |||||||
Service | Nationwide Investment Services | 198,750 | 15.63% | |||||||
Service | Riversource Life Insurance CO of NY, 1646 AXP Financial Ctr, Minneapolis, MN 55474-0001 | 92,124 | 7.25% | |||||||
Service | Principal Securities Inc. | 66,031 | 5.19% | |||||||
Goldman Sachs Small Cap Equity Insights Fund | Institutional | Protective Life Insurance, Co. | 1,532,751 | 18.70% | ||||||
Institutional | Riversource Life Insurance CO of NY, A/C 1 Investment Acctg – Managed Assets, 1646 AXP Financial Ctr, Minneapolis, MN 55474-0001 | 907,098 | 11.07% | |||||||
Institutional | Protective Life Insurance, Co. | 782,230 | 9.54% | |||||||
Institutional | Mid Atlantic Trust Company | 747,849 | 9.12% | |||||||
Institutional | Providence Life Assurance Company Bermuda Ltd., 7 Par-La-Ville Rd., Hamilton HM 11, Bermuda | 575,428 | 7.02% | |||||||
Institutional | Prudential Investment Management Services, LLC, Atten: Separate Accounts Trade Confirms, 213 Washington St. Fl. 7, Newark, NJ 07102-2917 | 563,111 | 6.87% | |||||||
Institutional | Mid Atlantic Trust Company | 431,076 | 5.26% | |||||||
Institutional | Midland National Life Insurance Co., 1 Midland Plz, Sioux Falls, SD 57193-0001 | 429,896 | 5.24% | |||||||
Service | Protective Life Insurance, Co. | 885,016 | 39.56% | |||||||
Service | Thrivent Financial for Lutherans, 600 Portland Ave, Ste. 100, Minneapolis, MN 55415-4402 | 874,115 | 39.07% | |||||||
Goldman Sachs Strategic Growth Fund | Institutional | Protective Life Insurance, Co. | 2,467,596 | 19.39% | ||||||
Institutional | Farmers New World Life – Vul, Attn: Heather Smith, 3120 139th Ave. SE, Ste 300, Bellevue, WA 98005-4491 | 2,212,901 | 17.39% | |||||||
Institutional | Protective Life Insurance, Co. | 1,381,550 | 10.86% |
B-100
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 5,471.50 | 24.69% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 3,132.23 | 14.13% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 1,908.25 | 8.61% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 2,324,844.24 | 99.26% | |||||||
CLASS R SHARES | Morgan Stanley Smith Barney LLC, Ascensus Trust Co., FBO Bryan Electric, Inc. 401(k) Plan 2, PO Box 10758, Fargo, ND58106-0758 | 2,624.37 | 50.26% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 1,421.74 | 27.23% | ||||||||
GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 794.54 | 15.22% | ||||||||
Ameriprise Financial Services, Inc., Ascensus Trust Co., FBO Morris Auto Plaza Safe Harbor 401(k), PO Box 10758, Fargo, ND 58106-0758 | 381.29 | 7.30% | ||||||||
CLASS R6 SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 9,261.97 | 59.46% | |||||||
EFC Financial Services LLC, Ascensus Trust Co., FBO Infinity Conference Group, Inc. 401(k), PO Box 10758, Fargo, ND58106-0758 | 5,304.34 | 34.05% | ||||||||
GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,010.41 | 6.49% | ||||||||
INTERNATIONAL EQUITY INSIGHTS FUND CLASS A SHARES | Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 8,866,795.25 | 45.93% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Institutional | Ohio National Life Insurance, Co. | 1,128,811 | 8.87% | |||||||
Institutional | The Lincoln National Life Ins. Co., 1300 S. Clinton St., Fort Wayne, IN 46802-3506 | 1,030,174 | 8.10% | |||||||
Institutional | Mass Mutual Life Insurance, Attn: RS Fund Operations, 1295 State St., MIP C105, Springfield, MA 01111-0001 | 923,951 | 7.26% | |||||||
Institutional | Metlife Insurance Company of Connecticut, Attn: Shareholder Accounting, PO Box 990027, Hartford, CT 06199-0027 | 716,936 | 5.63% | |||||||
Service | Protective Life Insurance, Co. | 12,899,260 | 74.99% | |||||||
Service | Ohio National Life Insurance, Co. | 1,859,171 | 10.81% | |||||||
Service | Commonwealth Annuity & Life, First Allmerica Financial Life Insurance Company | 1,267,305 | 7.37% | |||||||
Goldman Sachs Trend Driven Allocation Fund | Institutional | Lombard International Life Assurance Company, 1 Liberty Place, Fl 54, Philadelphia, PA 19103-4201 | 23,669 | 61.25% | ||||||
Institutional | Pacific Life Insurance Company, 700 Newport Center Dr., Newport Beach, CA 92660-6307 | 11,800 | 30.54% | |||||||
Institutional | GSAM Holdings LLC Seed Account | 3,172 | 8.21% | |||||||
Service | Securian Financial Services Inc., Minnesota Life Insurance Company, 400 Robert St. N Ste A, Saint Paul, MN 55101-2099 | 14,121,172 | 55.75% | |||||||
Service | Ohio National Life Insurance, Co. | 9,030,146 | 35.65% | |||||||
Goldman Sachs U.S. Equity Insights Fund | Institutional | Riversource Life Insurance CO of NY, A/C 1 Investment Acctg – Managed Assets, 1646 AXP Financial Ctr, Minneapolis, MN 55474-0001 | 7,963,958 | 53.33% | ||||||
Institutional | Protective Life Insurance, Co. | 1,278,277 | 8.56% | |||||||
Institutional | Ohio National Life Insurance, Co. | 1,109,509 | 7.43% | |||||||
Institutional | Lombard International Life Assurance Company, One Liberty Place, 1650 Market St., 53th Fl., 1 Liberty Place, Fl 54, Philadelphia, PA 19103-4201 | 976,066 | 6.54% | |||||||
Service | Commonwealth Annuity & Life, Annuity Company to Commonwealth Annuity and Life Insurance Company | 1,048,145 | 44.00% | |||||||
Service | Ohio National Life Insurance, Co. | 518,586 | 21.77% | |||||||
Service | Commonwealth Annuity & Life, First Allmerica Financial Life Insurance | 272,068 | 11.42% | |||||||
Service | Delaware Life Insurance Company, 1601 Trapelo Rd., Ste 30, Waltham, MA 02451-7360 | 12,8821 | 5.41% |
B-101
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 2,695,139.40 | 13.96% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97RT0 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 1,764,278.95 | 9.14% | ||||||||
Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 1,321,188.58 | 6.84% | ||||||||
CLASS C SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 492,402.96 | 25.64% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 267,482.23 | 13.93% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ #97RT3 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 246,790.99 | 12.85% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 246,675.61 | 12.85% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 161,455.50 | 8.41% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 127,384.75 | 6.63% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 121,229.93 | 6.31% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 28,680,796.55 | 28.79% | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 9,013,709.58 | 9.05% |
B-102
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 8,599,248.53 | 8.63% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 36,440,232.84 | 73.95% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 4,411,406.63 | 8.95% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 29,308,411.46 | 100.00% | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 2,516,188.02 | 5.11% | ||||||||
CLASS R SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 497,649.09 | 63.82% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 107,293.83 | 13.76% | ||||||||
CLASS R6 SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 7,614,675.52 | 16.02% | |||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Growth Strategy, GS International Equity Insights Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 7,077,045.38 | 14.88% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Growth & Income Strategy, GS International Equity Insights Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 5,999,779.86 | 12.62% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Dynamic Global Equity Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 5,483,477.86 | 11.53% |
B-103
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 4,396,401.76 | 9.25% | ||||||||
SERVICE SHARES | American United Life Insurance Co., FBO Group Retirement Account, Attn: Separate Accounts, PO Box 368, Indianapolis, IN 46206-0368 | 114,385.21 | 26.86% | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 88,977.26 | 20.90% | ||||||||
MML Distributors LLC, Reliance Trust Company, FBO MassMutual Registered Product, PO Box 28004, Atlanta,GA 30358-0004 | 57,909.36 | 13.60% | ||||||||
Lincoln Financial Advisors, Lincoln Financial Group Trust Co., FBO Rollover SS IRA Plan, 1 Granite Pl., Concord, NH 03301-3271 | 35,333.25 | 8.30% | ||||||||
American United Life Insurance Co., FBO Unit Investment Trust, Attn: Separate Accounts, PO Box 368, Indianapolis, IN 46206-0368 | 29,714.45 | 6.98% | ||||||||
INTERNATIONAL SMALL CAP INSIGHTS FUND CLASS A SHARES | Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 5,528,596.65 | 39.39% | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 2,047,870.05 | 14.59% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 1,008,406.28 | 7.18% | ||||||||
CLASS C SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 1,346,371.93 | 28.46% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 926,977.88 | 19.59% |
B-104
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 636,331.43 | 13.45% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 412,266.73 | 8.71% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 358,191.70 | 7.57% | ||||||||
Stifel Nicolaus & Co., FBO Customers, 501 N. Broadway, St. Louis, MO 63102-2188 | 255,878.31 | 5.41% | ||||||||
INSTITUTIONAL SHARES | Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 50,339,147.36 | 27.65% | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 40,577,229.85 | 22.29% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 31,732,385.08 | 17.43% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | �� | 12,017,523.62 | 47.98% | ||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 5,399,335.84 | 21.56% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 3,878,815.55 | 15.49% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 1,920,097.43 | 7.67% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 6,771,015.54 | 99.61% | |||||||
CLASS R6 SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 60,894,733.91 | 60.02% |
B-105
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank NA, GS Tax Advantaged Global Equity Portfolio, Structured International Small Cap, 1 Beacon St., Fl. 18, Boston, MA 02108-3107 | 8,970,088.65 | 8.84% | ||||||||
LARGE CAP GROWTH INSIGHTS FUND CLASS A SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97P45 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 1,864,001.23 | 18.18% | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,350,817.90 | 13.17% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 787,813.08 | 7.68% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 325,066.65 | 21.04% | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 214,310.86 | 13.87% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 200,671.71 | 12.99% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 198,672.46 | 12.86% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 125,255.09 | 8.11% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ #97RS1 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 108,184.27 | 7.00% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 84,662.36 | 5.48% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 4,440,992.43 | 18.57% |
B-106
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 2,526,881.83 | 10.56% | ||||||||
Reliance Trust Company, FBO BancorpSouth C/C, PO Box 28004, Atlanta, GA 30358-0004 | 1,641,195.21 | 6.86% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 1,229,129.61 | 5.14% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 4,202,046.01 | 31.78% | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 2,411,509.53 | 18.24% | ||||||||
American United Life Insurance Co., 1 American Sq., Indianapolis, IN 46282-0002 | 1,878,170.73 | 14.21% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 1,568,548.70 | 11.86% | ||||||||
Goldman Sachs Direct Accounts, John Hancock Trust Company LLC, 690 Canton St., Suite 100, Westwood, MA 02090-2324 | 800,329.10 | 6.05% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 1,512,411.82 | 99.96% | |||||||
CLASS R SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 377,379.36 | 32.25% | |||||||
ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 74,135.72 | 6.33% | ||||||||
CLASS R6 SHARES | MML Distributors LLC, Reliance Trust Company, FBO MassMutual Registered Product, PO Box 28004, Atlanta,GA 30358-0004 | 1,644,368.78 | 17.00% |
B-107
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Dynamic Global Equity Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 1,620,496.91 | 16.75% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,030,277.22 | 10.65% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 944,952.45 | 9.77% | ||||||||
American United Life Insurance Co., FBO Group Retirement Account, Attn: Separate Accounts, PO Box 368, Indianapolis, IN 46206-0368 | 928,082.73 | 9.60% | ||||||||
GWFS Equities, Inc., Great-West Trust Company LLC, FBO Employee Benefits Clients 401(k), 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 537,886.09 | 5.56% | ||||||||
SERVICE SHARES | American United Life Insurance Co., FBO Group Retirement Account, Attn: Separate Accounts, PO Box 368, Indianapolis, IN 46206-0368 | 972,335.42 | 59.77% | |||||||
Devon Bank, Attn: Trust Operations, 6445 N. Western Ave., Suite 300, Chicago,IL 60645-5494 | 361,788.07 | 22.24% | ||||||||
American United Life Insurance Co., FBO Unit Investment Trust, Attn: Separate Accounts, PO Box 368, Indianapolis, IN 46206-0368 | 141,537.10 | 8.70% | ||||||||
LARGE CAP VALUE INSIGHTS FUND CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 571,077.40 | 18.15% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 450,771.76 | 14.32% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 227,388.32 | 7.23% | ||||||||
TD Ameritrade Clearing Inc., FBO Clients, PO Box 2226, Omaha, NE 68103-2226 | 219,285.32 | 6.97% |
B-108
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 199,217.18 | 6.33% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 187,810.95 | 5.97% | ||||||||
ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 179,913.36 | 5.72% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 157,677.20 | 5.01% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 100,037.58 | 16.67% | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 98,054.86 | 16.34% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 64,568.25 | 10.76% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 49,618.69 | 8.27% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 46,712.14 | 7.79% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 42,545.86 | 7.09% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,915,819.83 | 32.76% | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 1,383,214.38 | 23.65% |
B-109
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 433,631.69 | 7.41% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 418,663.04 | 7.16% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 312,781.26 | 5.35% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 3,593,551.52 | 56.40% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 1,380,766.98 | 21.67% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 514,896.15 | 8.08% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 1,586,404.27 | 99.33% | |||||||
CLASS R SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 197,862.17 | 78.20% | |||||||
GWFS Equities, Inc., Great-West Trust Company LLC, FBO Employee Benefits Clients 401(k), 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 13,843.67 | 5.47% | ||||||||
CLASS R6 SHARES | Goldman Sachs Trust, State Street Bank & Trust Co., GS Dynamic Global Equity Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 2,516,505.53 | 69.84% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 192,321.95 | 5.34% | ||||||||
SERVICE SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 208,605.92 | 57.52% |
B-110
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Prudential PIMS/Retirement, Questex LLC 401(k) Plan, 275 Grove St., Suite2-130, Newton, MA 02466-2275 | 88,606.44 | 24.43% | ||||||||
American United Life Insurance Co., FBO Group Retirement Account, Attn: Separate Accounts, PO Box 368, Indianapolis, IN 46206-0368 | 54,565.77 | 15.05% | ||||||||
RISING DIVIDEND GROWTH FUND CLASS A SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 3,152,336.56 | 16.69% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 2,763,665.94 | 14.64% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 1,689,596.34 | 8.95% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 1,620,273.54 | 8.58% | ||||||||
Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 1,562,747.89 | 8.28% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 1,217,688.80 | 6.45% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 1,108,239.41 | 5.87% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 1,075,738.33 | 5.70% | ||||||||
CLASS C SHARES | Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 3,261,760.96 | 18.52% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 3,047,589.98 | 17.31% |
B-111
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 3,042,209.05 | 17.27% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 1,979,986.38 | 11.24% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 1,232,504.76 | 7.00% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 1,150,904.50 | 6.54% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 1,070,833.99 | 6.08% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 968,180.19 | 5.50% | ||||||||
INSTITUTIONAL SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 3,127,677.72 | 18.68% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 3,086,855.54 | 18.44% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 2,975,092.50 | 17.77% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 1,592,060.73 | 9.51% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 1,421,829.35 | 8.49% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 1,303,971.51 | 7.79% |
B-112
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 4,241,544.70 | 45.21% | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 2,529,010.92 | 26.96% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 1,972,769.94 | 21.03% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 295 Chipeta Way, Salt Lake City, UT 84108-1285 | 1,834,066.68 | 99.41% | |||||||
CLASS R SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 34,521.44 | 14.75% | |||||||
Stifel Nicolaus & Co., FBO Customers, 501 N. Broadway, St. Louis, MO 63102-2188 | 26,945.83 | 11.52% | ||||||||
TD Ameritrade Clearing Inc., TD Ameritrade Trust Company, CO# 00C6B, PO Box 17748, Denver, CO 80217-0748 | 25,582.33 | 10.93% | ||||||||
Goldman Sachs Direct Accounts, Ascensus Trust Co., FBO My Plastic Surgery Group – Sando & AK, PO Box 10758, Fargo, ND 58106-0758 | 15,902.58 | 6.80% | ||||||||
GWFS Equities, Inc., Capital Bank & Trust Co., FBO Gyk Antler 401(k), 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 12,954.82 | 5.54% | ||||||||
GWFS Equities, Inc., FBO Gift Services, Inc. 401(k), C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 12,676.22 | 5.42% | ||||||||
ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 12,150.68 | 5.19% | ||||||||
CLASS R6 SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 203,234.44 | 99.53% |
B-113
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
SMALL CAP EQUITY INSIGHTS FUND CLASS A SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 392,355.13 | 18.49% | |||||||
Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 211,297.02 | 9.96% | ||||||||
USI Securities, Inc., Patterson & Co., FBO Knox County EE RET & AAP 6055899734, 1525 West WT Harris Blvd., Charlotte, NC 28288-1076 | 138,823.60 | 6.54% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 124,545.91 | 5.87% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 107,147.05 | 5.05% | ||||||||
CLASS C SHARES | Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 68,841.12 | 19.36% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 44,477.24 | 12.51% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 32,429.85 | 9.12% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 32,370.74 | 9.10% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 26,555.62 | 7.47% | ||||||||
INSTITUTIONAL SHARES | Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 7,390,040.24 | 68.37% | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,117,526.84 | 10.34% |
B-114
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 752,487.00 | 6.96% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 652,122.76 | 6.03% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 1,528,932.34 | 56.62% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 1,013,492.24 | 37.53% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 3,905,035.92 | 98.17% | |||||||
CLASS R SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 147,685.67 | 22.29% | |||||||
CLASS R6 SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 2,206,903.73 | 38.41% | |||||||
Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank NA, GS Enhanced Dividend Global Equity Portfolio, Structured Small Cap Equity, 1 Beacon St., Fl. 18, Boston, MA 02108-3107 | 1,871,263.97 | 32.57% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Dynamic Global Equity Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 687,995.95 | 11.98% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 333,488.24 | 5.80% | ||||||||
SERVICE SHARES | GWFS Equities, Inc., Great-West Trust Company LLC, FBO Great West IRA Advantage, C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village,CO 80111-5002 | 21,955.11 | 18.19% |
B-115
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
GWFS Equities, Inc., Capital Bank & Trust Company, AHH, Inc. 401(k) Plan, C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 16,372.27 | 13.57% | ||||||||
GWFS Equities, Inc., Now Plastics, Inc., FBO Now Plastics, Inc. 401(k) Plan, C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 10,110.08 | 8.38% | ||||||||
GWFS Equities, Inc., Capital Bank & Trust Company, FBO ManageAmerica Integrated Billing Services, C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village,CO 80111-5002 | 8,816.44 | 7.31% | ||||||||
GWFS Equities, Inc., MJI, Inc. Profit Sharing & 401(k) Plan, C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 6,892.11 | 5.71% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 6,620.21 | 5.49% | ||||||||
GWFS Equities, Inc., FBO Probity Products 401(k), C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 6,520.99 | 5.40% | ||||||||
GWFS Equities, Inc., Capital Bank & Trust Company, FBO Everist Materials LLC 401(k), C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 6,036.91 | 5.00% | ||||||||
SMALL CAP GROWTH INSIGHTS FUND CLASS A SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 423,591.33 | 17.43% | |||||||
GWFS Equities, Inc., Great-West Trust Company LLC, FBO Employee Benefits Clients 401(k), C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village,CO 80111-5002 | 130,977.27 | 5.39% | ||||||||
Voya Financial Partners LLC, Voya Retirement Insurance & Annuity Company, 1 Orange Way, Windsor, CT 06095-4773 | 126,195.65 | 5.19% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 43,321.50 | 13.59% |
B-116
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Stifel Nicolaus & Co., FBO Customers, 501 N. Broadway, St. Louis, MO 63102-2188 | 31,812.23 | 9.98% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 30,526.95 | 9.58% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 24,677.88 | 7.74% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 23,858.81 | 7.49% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 19,410.84 | 6.09% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 17,849.71 | 5.60% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 2,305,337.87 | 27.18% | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 1,180,627.10 | 13.92% | ||||||||
Nationwide Investment Services, Nationwide Trust Company, FBO Participating Retirement Plans,NTC-PLNS, C/O IPO Portfolio Accounting, PO Box 182029, Columbus, OH 43218-2029 | 988,861.85 | 11.66% | ||||||||
GWFS Equities, Inc., Wells Fargo Bank NA, FBO State of Kansas Public Employee Def. Comp. A, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 697,210.76 | 8.22% | ||||||||
INVESTOR SHARES | LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 9,380,037.83 | 90.07% | |||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 312,688.89 | 99.92% |
B-117
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS R SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 340,192.59 | 57.69% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 64,086.44 | 10.87% | ||||||||
CLASS R6 SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,898,814.24 | 25.63% | |||||||
MML Distributors LLC, Reliance Trust Company, FBO MassMutual Registered Product, PO Box 28004, Atlanta,GA 30358-0004 | 913,943.39 | 12.33% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 637,466.29 | 8.60% | ||||||||
Prudential PIMS/Retirement, PL 960 Kelsey-Seybold 401(k) Plan, 11511 Shadow Creek Parkway, Pearland, TX 77584-7298 | 501,943.64 | 6.77% | ||||||||
GWFS Equities, Inc., Great-West Trust Company LLC, FBO Recordkeeping for Various Benefit Plans, C/O Mutual Fund Trading, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 413,140.04 | 5.58% | ||||||||
T. Rowe Price Retirement Plan Services, Inc., FBO Retirement Plan Clients, 4515 Painters Mill Rd., Owings Mills, MD 21117-4903 | 371,074.01 | 5.01% | ||||||||
SMALL CAP VALUE INSIGHTS FUND CLASS A SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 507,479.76 | 15.10% | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 215,343.45 | 6.41% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 174,921.42 | 5.20% |
B-118
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 62,086.34 | 21.48% | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 32,771.53 | 11.34% | ||||||||
Stifel Nicolaus & Co., FBO Customers, 501 N. Broadway, St. Louis, MO 63102-2188 | 32,212.28 | 11.14% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 27,434.74 | 9.49% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 20,624.82 | 7.13% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 751,974.93 | 24.23% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 529,996.94 | 17.08% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 407,568.97 | 13.13% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 339,752.00 | 10.95% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 290,245.91 | 9.35% | ||||||||
SEI Private Trust Company, C/O Franklin Street Trust ID 701, Attn: Mutual Fund Administrator, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 193,818.75 | 6.25% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 437,691.32 | 29.88% |
B-119
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 412,824.22 | 28.18% | ||||||||
GWFS Equities, Inc., Wells Fargo Bank NA, FBO State of New Hampshire Public Employees, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 249,962.47 | 17.06% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 196,775.48 | 13.43% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 906,839.20 | 99.98% | |||||||
CLASS R SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 18,884.40 | 24.34% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 6,773.55 | 8.73% | ||||||||
GWFS Equities, Inc., Capital Bank & Trust Company, FBO Advanced Payroll Solutions, Inc. 401(k), 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 5,348.84 | 6.89% | ||||||||
GWFS Equities, Inc., FBO John T. Given M.D., Inc. Employees PSP, C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 5,110.92 | 6.59% | ||||||||
MSCS Financial Services LLC, Matrix Trust Company, FBO Shuffield Lowman 401(k) Profit Sharing, 717 17th St., Suite 1300, Denver, CO 80202-3304 | 4,783.43 | 6.17% | ||||||||
GWFS Equities, Inc., FBO First Cumberland Properties 401(k) PS, C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 4,058.00 | 5.23% | ||||||||
CLASS R6 SHARES | T. Rowe Price Retirement Plan Services, Inc., FBO Retirement Plan Clients, 4515 Painters Mill Rd., Owings Mills, MD 21117-4903 | 424,288.30 | 21.39% | |||||||
Wells Fargo Bank NA, FBO Modesto Irrig Basic GS Small Cap, PO Box 1533, Minneapolis, MN 55480-1533 | 279,086.45 | 14.07% |
B-120
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 271,039.63 | 13.66% | ||||||||
MML Distributors LLC, Reliance Trust Company, FBO MassMutual Registered Product, PO Box 28004, Atlanta,GA 30358-0004 | 163,231.94 | 8.23% | ||||||||
Principal Securities, Inc., FBO PLIC Various Retirement Plans, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 129,772.28 | 6.54% | ||||||||
Nationwide Investment Services, Nationwide Trust Company, FBO Participating Retirement Plans,NTC-PLNS, C/O IPO Portfolio Accounting, PO Box 182029, Columbus, OH 43218-2029 | 119,214.41 | 6.01% | ||||||||
Prudential PIMS/Retirement, PL 763 Archer & Greiner, 1 Centennial Sq., Haddonfield, NJ 08033-2454 | 103,175.31 | 5.20% | ||||||||
U.S. EQUITY INSIGHTS FUND CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 853,962.41 | 13.78% | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 627,700.23 | 10.13% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 356,742.66 | 5.76% | ||||||||
CLASS C SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 69,691.60 | 19.33% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 53,130.21 | 14.74% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 27,467.58 | 7.62% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 21,136.98 | 5.86% |
B-121
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 19,415.68 | 5.39% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 3,923,606.96 | 65.37% | |||||||
SEI Private Trust Company, C/O Glens Falls Bank ID 963, Attn: Mutual Fund Administrator, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 409,333.25 | 6.82% | ||||||||
INVESTOR SHARES | Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 778,068.35 | 31.07% | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 479,872.07 | 19.16% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 463,170.41 | 18.50% | ||||||||
Goldman Sachs Direct Accounts, John Hancock Trust Company LLC, 690 Canton St., Suite 100, Westwood, MA 02090-2324 | 256,962.35 | 10.26% | ||||||||
American United Life Insurance Co., FBO Group Retirement Account, Attn: Separate Accounts, PO Box 368, Indianapolis, IN 46206-0368 | 170,614.02 | 6.81% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 4,399,877.92 | 99.99% | |||||||
CLASS R SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 72,714.89 | 7.70% | |||||||
CLASS R6 SHARES | GWFS Equities, Inc., SunTrust Bank, FBO Various SunTrust Omnibus Accounts, 8515 E. Orchard Rd., Greenwood Village, CO80111-5002 | 46,357.41 | 19.90% | |||||||
Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 46,233.39 | 19.85% |
B-122
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
GWFS Equities, Inc., Great-West Trust Company LLC, FBO Employee Benefits Clients 401(k), 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 27,753.13 | 11.91% | ||||||||
ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 26,136.79 | 11.22% | ||||||||
MML Distributors LLC, Reliance Trust Company, FBO MassMutual Registered Product, PO Box 28004, Atlanta,GA 30358-0004 | 17,300.00 | 7.43% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 15,438.61 | 6.63% | ||||||||
MML Distributors LLC – MM Aviator, MassMutual Life Insurance Co., 1295 State St., Springfield, MA 01111-0001 | 12,561.46 | 5.39% | ||||||||
SERVICE SHARES | GWFS Equities, Inc., Capital Bank & Trust Co., FBO Hathaway-Sycamores Child & Family Services, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 30,725.00 | 22.47% | |||||||
American United Life Insurance Co., FBO Unit Investment Trust, Attn: Separate Accounts, PO Box 368, Indianapolis, IN 46206-0368 | 27,606.04 | 20.19% | ||||||||
American United Life Insurance Co., FBO Group Retirement Account, Attn: Separate Accounts, PO Box 368, Indianapolis, IN 46206-0368 | 21,272.82 | 15.56% | ||||||||
MML Distributors LLC, Reliance Trust Company, FBO MassMutual Registered Product, PO Box 28004, Atlanta,GA 30358-0004 | 20,116.57 | 14.71% | ||||||||
GWFS Equities, Inc., Great-West Trust Company LLC, FBO Employee Benefits Clients 401(k), 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 15,821.41 | 11.57% | ||||||||
GWFS Equities, Inc., Capital Bank & Trust Co., FBO PAC Machine Company, Inc. 401(k) PSP, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 10,958.59 | 8.01% |
B-123
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
FISCAL YEAR END 11/30 | ||||||||||
MLP ENERGY INFRASTRUCTURE FUND CLASS A SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 2,856,897.39 | 23.74% | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 1,535,770.54 | 12.76% | ||||||||
Morgan Stanley Smith Barney LLC, U.S. Bank, FBO SISC GASB 45 Trust A, 1555 N. Rivercenter Dr., Suite 302, Milwaukee, WI 53212-3958 | 1,150,421.82 | 9.56% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 986,726.52 | 8.20% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 959,131.23 | 7.97% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 905,881.18 | 7.53% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 788,639.50 | 6.55% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 649,666.51 | 5.40% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 623,653.21 | 5.18% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 3,313,493.75 | 26.36% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 2,609,200.70 | 20.75% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 1,982,039.89 | 15.77% |
B-124
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 1,485,174.47 | 11.81% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 858,919.97 | 6.83% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 800,648.47 | 6.37% | ||||||||
INSTITUTIONAL SHARES | Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 30,147,170.57 | 32.52% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 9,513,969.80 | 10.26% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 8,956,633.45 | 9.66% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 8,715,344.05 | 9.40% | ||||||||
MSCS Financial Services LLC, SEI Private Trust Company, C/O Rockland SWP, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 8,700,604.10 | 9.39% | ||||||||
Vanguard Brokerage Services,A/C 8031-2347, PO Box 1170, Valley Forge, PA 19482-1170 | 7,498,168.19 | 8.09% | ||||||||
Pershing LLC, 1 Pershing Plz., Jersey City, NJ 07399-0001 | 5,132,788.18 | 5.54% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 7,469,666.82 | 42.04% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 6,342,624.02 | 35.70% |
B-125
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 3,343,508.00 | 18.82% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 163,430,181.77 | 98.53% | |||||||
CLASS R SHARES | Lincoln Financial Advisors, Lincoln Retirement Services Company, FBO Int’l Church Foursquare 403B, PO Box 7876, Fort Wayne, IN 46801-7876 | 99,003.53 | 51.31% | |||||||
EFC Financial Services LLC, Ascensus Trust Co., FBO Rankin & Rankin, Inc. 401(k) Plan, PO Box 10758, Fargo, ND 58106-0758 | 24,383.30 | 12.64% | ||||||||
EFC Financial Services LLC, Ascensus Trust Co., FBO Modern Glass, Paint & Tile Company, PO Box 10758, Fargo,ND 58106-0758 | 13,957.09 | 7.23% | ||||||||
CLASS R6 SHARES | Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank NA, GS Tax Advantaged Global Equity Portfolio, GS MLP Energy Infrastructure, 1 Beacon St., Fl. 18, Boston, MA 02108-3107 | 10,080,865.67 | 42.74% | |||||||
Goldman Sachs Trust, GS Tactical Tilt Implementation Fund, 200 West St., Fl. 36, New York, NY 10282-2102 | 9,108,996.10 | 38.62% | ||||||||
Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank NA, GS Enhanced Dividend Global Equity Portfolio, GS MLP Energy Infrastructure, 1 Beacon St., Fl. 18, Boston, MA 02108-3107 | 2,195,299.50 | 9.31% | ||||||||
Goldman Sachs Trust, GS Collective Trust Tactical Exposure Fund, 200 West St., Fl. 36, New York, NY 10282-2102 | 1,588,743.50 | 6.74% | ||||||||
MLP & ENERGY FUND CLASS A SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 5,278.06 | 84.97% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 933.59 | 15.03% | ||||||||
CLASS C SHARES | Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 12,327.42 | 70.30% |
B-126
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 5,208.49 | 29.70% | ||||||||
INSTITUTIONAL SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 292,159.36 | 99.95% | |||||||
INVESTOR SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 5,299.10 | 100.00% | |||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 6,203,116.19 | 99.08% | |||||||
CLASS R SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 5,254.05 | 94.78% | |||||||
MSCS Financial Services LLC, PAi Trust Company, Inc., Cantor Novak Beaver & Pike PC 401(k), 1300 Enterprise Dr., De Pere, WI 54115-4934 | 289.09 | 5.22% | ||||||||
CLASS R6 SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 5,312.96 | 100.00% | |||||||
FISCAL YEAR END 12/31 | ||||||||||
ABSOLUTE RETURN TRACKER FUND CLASS A SHARES | Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 3,556,994.75 | 44.32% | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 975,740.91 | 12.16% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 604,109.39 | 7.53% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 491,957.52 | 6.13% |
B-127
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 417,106.90 | 5.20% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 412,440.11 | 5.14% | ||||||||
CLASS C SHARES | Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 647,914.28 | 34.62% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97RS0 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 356,643.41 | 19.05% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 172,486.51 | 9.22% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 159,429.41 | 8.52% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 139,393.41 | 7.45% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 134,714.49 | 7.20% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 131,656.46 | 7.03% | ||||||||
INSTITUTIONAL SHARES | Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 59,804,455.58 | 24.10% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 59,720,893.95 | 24.07% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 40,339,175.38 | 16.26% |
B-128
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 31,938,484.16 | 12.87% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 17,000,063.72 | 49.16% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 9,585,383.95 | 27.72% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 4,338,982.95 | 12.55% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 20,262,996.45 | 99.99% | |||||||
CLASS R SHARES | Hartford Life Insurance Company, Separate Account 401(k), 1 Griffin Rd. N., Windsor, CT 06095-1512 | 86,229.40 | 33.64% | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 46,805.71 | 18.26% | ||||||||
MSCS Financial Services LLC, Matrix Trust Company, FBO Miscor Group 401(k) Plan & Trust, 717 17th St., Suite 1300, Denver, CO 80202-3304 | 22,518.83 | 8.78% | ||||||||
MML Distributors LLC – MM Aviator, MassMutual Life Insurance Co., 1295 State St., Springfield, MA 01111-0001 | 17,365.44 | 6.77% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 14,008.29 | 5.46% | ||||||||
MSCS Financial Services LLC, Matrix Trust Company, FBO 401(k) Goncalves & Alves, Inc., 539 Sport Hill Rd., Easton,CT 06612-1715 | 13,623.77 | 5.31% | ||||||||
CLASS R6 SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 288,296.21 | 35.68% |
B-129
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
MSCS Financial Services LLC, Matrix Trust Company, Newport Trust Company Viejas Retirement Program, 35 Iron Point Cir., Suite 300, Folsom, CA 95630-8589 | 245,501.35 | 30.38% | ||||||||
Goldman Sachs & Co. LLC, GS Variable Insurance Trust, GS Multi-Strategy Alternatives Portfolio, 70 Fargo St., Boston, MA 02210-2126 | 122,423.21 | 15.15% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 77,422.35 | 9.58% | ||||||||
ALTERNATIVE PREMIA FUND CLASS A SHARES | Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 217,839.12 | 21.19% | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 122,561.13 | 11.92% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 112,541.17 | 10.95% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 102,746.38 | 10.00% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 102,038.53 | 9.93% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 87,876.16 | 8.55% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 86,876.91 | 8.45% | ||||||||
CLASS C SHARES | Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 146,135.73 | 21.10% | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 126,935.78 | 18.33% |
B-130
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 113,741.29 | 16.42% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 91,855.19 | 13.26% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 72,848.26 | 10.52% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 38,229.26 | 5.52% | ||||||||
INSTITUTIONAL SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 305,287.29 | 28.40% | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 165,835.50 | 15.43% | ||||||||
Goldman Sachs Asset Management LP, AST GS Global Growth Portfolio, Gateway Center Three, 100 Mulberry St., Newark,NJ 07102-4056 | 113,736.06 | 10.58% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 81,080.48 | 7.54% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 64,118.61 | 5.96% | ||||||||
INVESTOR SHARES | RBC Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus Processing, Attn: Mutual Fund Ops. Manager, 60 S. 6th St., Suite 700 # P08, Minneapolis, MN 55402-4413 | 525,092.25 | 49.01% | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 272,516.11 | 25.44% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 185,464.11 | 17.31% |
B-131
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 74,100.36 | 6.92% | ||||||||
CLASS P SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,191.28 | 72.75% | |||||||
Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 446.12 | 27.25% | ||||||||
CLASS R SHARES | Principal Securities, Inc., FBO PLIC Various Retirement Plans, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 4,925.73 | 75.22% | |||||||
GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,623.07 | 24.78% | ||||||||
CLASS R6 SHARES | Goldman Sachs Trust, State Street Bank & Trust Co., GS Growth & Income Strategy, GS Dynam. Alloc. Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 1,677,199.46 | 30.62% | |||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Balanced Strategy, GS Dynam. Alloc. Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 1,222,483.34 | 22.32% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Growth Strategy Omnibus A/C GS Dynam. Alloc. Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 1,157,935.35 | 21.14% | ||||||||
Goldman Sachs Asset Management LP, KPMG Partner Pension Plan, 3 Chestnut Ridge Rd., Montvale, NJ 07645-1842 | 770,303.31 | 14.06% | ||||||||
Goldman Sachs Asset Management LP, KPMG Pension Plan, 3 Chestnut Ridge Rd., Montvale, NJ 07645-1842 | 457,367.59 | 8.35% | ||||||||
BALANCED STRATEGY PORTFOLIO CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 3,315,455.97 | 35.66% |
B-132
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 802,982.50 | 8.64% | ||||||||
ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 663,734.50 | 7.14% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ #97TL7 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 570,034.31 | 6.13% | ||||||||
CLASS C SHARES | Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 185,147.97 | 18.23% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 147,779.84 | 14.55% | ||||||||
Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 84,763.50 | 8.34% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 69,136.78 | 6.81% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ #97TL5 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 56,075.61 | 5.52% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 53,679.57 | 5.28% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 25,667,536.59 | 98.07% | |||||||
INVESTOR SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 159,651.30 | 50.35% |
B-133
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 45,124.87 | 14.23% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 38,890.98 | 12.26% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 28,256.34 | 8.91% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 24,185.58 | 7.63% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 3,642,867.74 | 99.94% | |||||||
CLASS R SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 340,971.10 | 39.21% | |||||||
The Strategic Financial Alliance, Tapia Quality Products 401(k) Plan & Defined Benefit Plan, 1291 Thurston Ave., Los Altos, CA 94024-6865 | 247,196.67 | 28.42% | ||||||||
The Strategic Financial Alliance, California Waterproofing Supply Cash Balance Plan, 14855 Wicks Blvd., San Leandro,CA 94577-6605 | 177,903.84 | 20.46% | ||||||||
The Strategic Financial Alliance, De Vore Packaging, Inc. Defined Benefit Pension Plan, 1010 Calle Cordillera, Suite 107, San Clemente, CA 92673-6243 | 80,049.71 | 9.20% | ||||||||
CLASS R6 SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 107,121.11 | 64.27% | |||||||
Voya Financial Partners LLC, Voya Retirement & Annuity Company, ING Fund Operations TN41, 1 Orange Way, Windsor, CT 06095-4773 | 28,765.68 | 17.26% |
B-134
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
EFC Financial Services, LLC Ascensus Trust Co., FBO Gary’s Tree & Landscape Safe Harbor, PO Box 10758, Fargo,ND 58106-0758 | 28,252.59 | 16.95% | ||||||||
SERVICE SHARES | TCA TrustCorp America, 5301 Wisconsin Ave. N.W., Fl. 4, Washington,D.C. 20015-2047 | 32,397.82 | 55.34% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 14,514.74 | 24.79% | ||||||||
MidFirst Trust, 1760 S. Monaco Parkway, Denver, CO 80224-2170 | 10,170.70 | 17.37% | ||||||||
COMMODITY STRATEGY FUND CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 994,544.33 | 44.25% | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 305,543.17 | 13.59% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 179,246.36 | 7.98% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 148,035.47 | 6.59% | ||||||||
CLASS C SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 83,719.18 | 35.37% | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 33,191.68 | 14.02% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 26,746.26 | 11.30% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 23,968.00 | 10.13% |
B-135
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Principal Securities, Inc., FBO PLIC Various Retirement Plans, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 17,154.41 | 7.25% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ #97RR1 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 17,044.75 | 7.20% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 4,942,069.24 | 30.83% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 3,607,488.27 | 22.51% | ||||||||
Band & Co. Institutional Trust, C/O U.S. Bank NA, PO Box 1787, Milwaukee, WI 53201-1787 | 2,289,659.36 | 14.28% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 1,160,173.32 | 7.24% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 396,627.42 | 63.44% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 147,190.50 | 23.54% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 145,083.62 | 99.42% | |||||||
CLASS R SHARES | Mid Atlantic Capital Corp., Mid Atlantic Trust Company, FBO Myval LLC 401(k) Profit Sharing Plan, 1251 Waterfront Pl., Suite 525, Pittsburgh, PA 15222-4228 | 28,820.58 | 13.79% | |||||||
Principal Securities, Inc., FBO PLIC Various Retirement Plans, Attn: NPIO Trade Desk, 711 High St., Des Moines, IA 50392-0001 | 26,756.48 | 12.80% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 24,891.02 | 11.91% |
B-136
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
MML Distributors LLC – MM Aviator, MassMutual Life Insurance Co., 1295 State St., Springfield, MA 01111-0001 | 24,007.71 | 11.49% | ||||||||
KMS Financial Services, Inc., Ascensus Trust Co., FBO UIDC 401(k) Plan 005253, PO Box 10758, Fargo, ND 58106-0758 | 17,121.28 | 8.19% | ||||||||
GWFS Equities, Inc., Capital Bank & Trust Company, FBO J&R Dairy Service / Joe & RSS Ice Cream, C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village,CO 80111-5002 | 13,283.22 | 6.35% | ||||||||
GWFS Equities, Inc., Capital Bank & Trust Company, FBO NJ Festival of Ballooning 401(k) PSP, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 13,135.44 | 6.28% | ||||||||
CLASS R6 SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 7,589,791.41 | 99.50% | |||||||
DYNAMIC GLOBAL EQUITY FUND CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 1,278,658.87 | 15.74% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 960,379.88 | 11.82% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 756,284.99 | 9.31% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team 97TM6 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 624,861.02 | 7.69% | ||||||||
ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 524,551.36 | 6.46% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 199,944.54 | 20.55% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 73,523.23 | 7.56% |
B-137
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team 97TM4 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 71,823.77 | 7.38% | ||||||||
Goldman Sachs Direct EX DLR Accounts, Sweeney & Associates, Inc., ADP Plan #600486—Goldman Sachs 401(k) Plan, 38730 Sky Canyon Dr., Suite C, Murrieta, CA 92563-2560 | 58,426.82 | 6.01% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 172,649.71 | 29.34% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 141,689.82 | 24.08% | ||||||||
TD Ameritrade Clearing Inc., FBO Clients, PO Box 2226, Omaha, NE 68103-2226 | 61,180.84 | 10.40% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 60,795.75 | 10.33% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 33,623.27 | 5.71% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 29,793.01 | 5.06% | ||||||||
INVESTOR SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 155,584.36 | 63.95% | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 34,957.84 | 14.37% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 29,965.59 | 12.32% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 15,888.11 | 6.53% |
B-138
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 6,235,496.43 | 99.99% | |||||||
CLASS R SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 303,278.51 | 99.49% | |||||||
CLASS R6 SHARES | Goldman Sachs Trust, State Street Bank & Trust Co., GS Trust Growth Strategy, GS Financial Square Government Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 10,404,068.07 | 41.88% | |||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Trust Growth & Income Strategy, GS Financial Square Government Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 10,080,594.95 | 40.58% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Trust Balanced Strategy, GS Financial Square Government Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 4,090,039.75 | 16.47% | ||||||||
SERVICE SHARES | MidFirst Trust, MidFirst Bank, FBO M.G.F. IRA, 7559 S. Emerson St., Centennial, CO 80122-3069 | 11,882.31 | 35.39% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 5,799.27 | 17.27% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 4,209.41 | 12.54% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 3,855.68 | 11.48% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 2,347.66 | 6.99% | ||||||||
GLOBAL INFRASTRUCTURE FUND CLASS A SHARES | Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 84,237.36 | 97.42% | |||||||
CLASS C SHARES | Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 219,916.25 | 98.30% |
B-139
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
INSTITUTIONAL SHARES | Goldman Sachs Asset Management LP, AST GS Global Growth Portfolio, Gateway Center Three, 100 Mulberry St., Newark,NJ 07102-4056 | 58,112.62 | 61.10% | |||||||
GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 33,044.03 | 34.75% | ||||||||
INVESTOR SHARES | Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 55,671.01 | 95.37% | |||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 266,425.26 | 99.63% | |||||||
CLASS R SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,660.07 | 100.00% | |||||||
CLASS R6 SHARES | Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank NA, GS Tax Advantaged Global Equity Portfolio, Structured Tax Managed Equity, 1 Beacon St., Fl. 18, Boston, MA 02108-3107 | 5,455,390.00 | 35.99% | |||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Satellite Strategies Portfolio, GS Global Infrastructure Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 3,735,152.24 | 24.64% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Trust Growth & Income Strategy, GS Global Infrastructure Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 1,572,501.46 | 10.37% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Growth Strategy, GS Global Infrastructure Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 1,343,837.35 | 8.87% | ||||||||
Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank NA, GS Enhanced Dividend Global Equity Portfolio, Structured Small Cap Equity, 1 Beacon St., Fl. 18, Boston, MA 02108-3107 | 1,195,167.66 | 7.88% |
B-140
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Equity Growth Strategy Portfolio, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 1,081,256.33 | 7.13% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Trust Balanced Strategy, GS Global Infrastructure Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 770,299.05 | 5.08% | ||||||||
GLOBAL REAL ESTATE SECURITIES FUND CLASS A SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,806.74 | 61.76% | |||||||
Goldman Sachs Direct EX DLR Accounts, 2222 Denbeigh Dr., Jamison, PA 18929-1445 | 656.01 | 14.43% | ||||||||
Goldman Sachs Direct Accounts, UMB Bank NA, 43 Wandsworth Bridge Way, Lutherville Timonium, MD 21093-3963 | 505.50 | 11.12% | ||||||||
Lincoln Investment Planning, UMB Bank NA, 1860 Hill Chase, Alpharetta, GA 30022-4464 | 273.25 | 6.01% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 255.44 | 5.62% | ||||||||
CLASS C SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,736.86 | 49.16% | |||||||
TD Ameritrade Clearing, Inc., S.I.B. IRA, 48 Greenway Lane, Rye Brook, NY 10573-1516 | 1,853.93 | 33.30% | ||||||||
TD Ameritrade Clearing, Inc., J.B. IRA, 1767 Central Park Ave., Suite 1, Yonkers, NY 10710-2828 | 976.57 | 17.54% | ||||||||
INSTITUTIONAL SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 174,175.54 | 95.30% | |||||||
INVESTOR SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,843.92 | 100.00% | |||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 3,603,394.50 | 99.97% |
B-141
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS R SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,789.07 | 100.00% | |||||||
CLASS R6 SHARES | Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank NA, GS Tax Advantaged Global Equity Portfolio, Structured Tax Managed Equity, 1 Beacon St., Fl. 18, Boston, MA 02108-3107 | 5,618,612.03 | 33.83% | |||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Satellite Strategies Portfolio, GS Global Real Estate Securities Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 5,021,831.76 | 30.24% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Trust Growth & Income Strategy, GS Global Real Estate Securities Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 1,500,437.47 | 9.03% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Growth Strategy, GS Global Real Estate Securities Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 1,294,938.99 | 7.80% | ||||||||
Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank NA, GS Enhanced Dividend Global Equity Portfolio, Structured Small Cap Equity, 1 Beacon St., Fl. 18, Boston, MA 02108-3107 | 1,230,650.27 | 7.41% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Dynamic Global Equity Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 1,110,689.99 | 6.69% | ||||||||
GROWTH & INCOME STRATEGY PORTFOLIO CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 7,181,029.81 | 35.36% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 1,809,748.52 | 8.91% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team 97TM0 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 1,302,479.88 | 6.41% |
B-142
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 1,257,566.81 | 6.19% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 321,252.63 | 21.45% | |||||||
Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 134,036.77 | 8.95% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team 97TL8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 123,845.59 | 8.27% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 88,253.96 | 5.89% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 76,806.55 | 5.13% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 75,634.93 | 5.05% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 22,170,286.68 | 91.45% | |||||||
INVESTOR SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 181,938.02 | 34.23% | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 150,094.93 | 28.24% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 119,044.88 | 22.40% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 69,097.09 | 13.00% |
B-143
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 14,347,688.23 | 99.13% | |||||||
CLASS R SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 307,276.44 | 88.00% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 20,067.66 | 5.75% | ||||||||
CLASS R6 SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 367,799.35 | 72.51% | |||||||
GWFS Equities, Inc., Great-West Trust Company LLC, FBO Employee Benefits Clients 401(k), 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 74,982.01 | 14.78% | ||||||||
Voya Financial Partners LLC, Voya Retirement & Annuity Company, ING Fund Operations TN41, 1 Orange Way, Windsor, CT 06095-4773 | 26,034.39 | 5.13% | ||||||||
SERVICE SHARES | TCA TrustCorp America, 5301 Wisconsin Ave. N.W., Fl. 4, Washington,D.C. 20015-2047 | 158,315.31 | 75.13% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 16,024.33 | 7.60% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 10,696.65 | 5.08% | ||||||||
GROWTH STRATEGY PORTFOLIO CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 3,920,757.23 | 18.90% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 2,539,843.91 | 12.24% |
B-144
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team 97TM3 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 1,566,501.95 | 7.55% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 1,513,305.40 | 7.29% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 1,316,073.95 | 6.34% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,173,552.69 | 5.66% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 234,245.19 | 12.69% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team 97TM1 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 130,793.31 | 7.08% | ||||||||
Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 110,257.97 | 5.97% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 99,908.51 | 5.41% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 96,525.44 | 5.23% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 10,492,855.79 | 89.24% | |||||||
INVESTOR SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 166,647.17 | 37.75% | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 120,519.93 | 27.30% |
B-145
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 67,098.44 | 15.20% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 36,993.79 | 8.38% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 10,662,010.85 | 98.89% | |||||||
CLASS R SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 344,226.85 | 82.86% | |||||||
Mid Atlantic Capital Corp., Mid Atlantic Trust Company, FBO Vantage Partners LLC 401(k), 1251 Waterfront Pl., Suite 525, Pittsburgh, PA 15222-4228 | 26,293.44 | 6.33% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 21,532.38 | 5.18% | ||||||||
CLASS R6 SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 139,664.99 | 25.96% | |||||||
Voya Financial Partners LLC, Voya Retirement & Annuity Company, ING Fund Operations TN41, 1 Orange Way, Windsor, CT 06095-4773 | 126,448.34 | 23.50% | ||||||||
Voya Financial Partners LLC, Voya Retirement & Annuity Company, 1 Orange Way, Windsor, CT 06095-4773 | 80,693.58 | 15.00% | ||||||||
ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 43,686.54 | 8.12% | ||||||||
EFC Financial Services LLC, Ascensus Trust Co., FBO Buffini & Company 401(k) Profit Sharing Plan, PO Box 10758, Fargo, ND 58106-0758 | 41,989.45 | 7.80% |
B-146
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
EFC Financial Services, LLC Ascensus Trust Co., FBO Gary’s Tree & Landscape Safe Harbor, PO Box 10758, Fargo,ND 58106-0758 | 29,738.44 | 5.53% | ||||||||
SERVICE SHARES | TCA TrustCorp America, 5301 Wisconsin Ave. N.W., Fl. 4, Washington,D.C. 20015-2047 | 104,476.72 | 77.22% | |||||||
American United Life Insurance Co., FBO Unit Investment Trust, Attn: Separate Accounts, PO Box 368, Indianapolis, IN 46206-0368 | 10,776.33 | 7.97% | ||||||||
American United Life Insurance Co., FBO Group Retirement Account, Attn: Separate Accounts, PO Box 368, Indianapolis, IN 46206-0368 | 8,678.38 | 6.41% | ||||||||
INTERNATIONAL EQUITY DIVIDEND & PREMIUM FUND CLASS A SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 86,761.96 | 24.81% | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 57,499.42 | 16.44% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 45,693.90 | 13.07% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 40,210.12 | 11.50% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 32,669.04 | 9.34% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 24,300.51 | 6.95% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 19,888.09 | 5.69% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 33,849.80 | 26.27% |
B-147
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 19,534.60 | 15.16% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 15,253.51 | 11.84% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 10,100.82 | 7.84% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 9,755.95 | 7.57% | ||||||||
EFC Financial Services LLC, Ascensus Trust Co., FBO Dr. J.M.C. 401(k) 214194, PO Box 10758, Fargo, ND 58106-0758 | 7,634.56 | 5.93% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 725,036.84 | 43.90% | |||||||
MSCS Financial Services LLC, Mori & Co., 922 Walnut St., Mailstop TBTS 2, Kansas City, MO 64106-1802 | 277,594.49 | 16.81% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 178,237.01 | 10.79% | ||||||||
First Tennessee Bank National Association, SEI Private Trust Company, C/O First Tennessee ID 683, Attn: Mutual Fund Administrator, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 121,416.23 | 7.35% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 712,596.41 | 46.92% | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 313,090.73 | 20.61% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 287,732.78 | 18.95% |
B-148
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 176,594.97 | 11.63% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 20,632,014.75 | 99.27% | |||||||
CLASS R6 SHARES | Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank NA, GS Enhanced Dividend Global Equity Portfolio, International Equity Dividend & Premium Fund, 1 Beacon St., Fl. 18, Boston, MA 02108-3107 | 19,546,544.33 | 99.99% | |||||||
INTERNATIONAL REAL ESTATE SECURITIES FUND CLASS A SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 101,777.73 | 23.11% | |||||||
Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 88,213.20 | 20.03% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 37,338.11 | 8.48% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 26,927.97 | 6.12% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 25,001.23 | 5.68% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 24,632.58 | 5.59% | ||||||||
CLASS C SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 5,416.34 | 24.01% | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 5,164.33 | 22.89% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 3,002.50 | 13.31% |
B-149
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
RBC Capital Markets Corporation, RBC Capital Markets LLC, Mutual Fund Omnibus Processing, Attn: Mutual Fund Ops. Manager, 60 S. 6th St., Suite 700 # P08, Minneapolis, MN 55402-4413 | 2,333.89 | 10.34% | ||||||||
Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 1,923.13 | 8.52% | ||||||||
GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,689.76 | 7.49% | ||||||||
Goldman Sachs Direct EX DLR Accounts, UMB Bank NA, FBO Customer Roth IRA, 2720 White Barn Rd., Aurora, IL 60502-6332 | 1,177.02 | 5.22% | ||||||||
INSTITUTIONAL SHARES | GS PWM Institutional Class, State Street Bank & Trust Co., FBO American Bureau of Shipping, 801 Pennsylvania Ave., Kansas City, MO 64105-1307 | 528,259.06 | 51.74% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 186,279.25 | 18.25% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 166,969.68 | 16.35% | ||||||||
INVESTOR SHARES | Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 4,378.95 | 26.61% | |||||||
MSCS Financial Services LLC, Matrix Trust Company, FBO Graham & Jensen LLP, 717 17th St., Suite 1300, Denver, CO 80202-3304 | 4,027.38 | 24.47% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 3,557.36 | 21.62% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 2,230.32 | 13.55% | ||||||||
GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,549.98 | 9.42% |
B-150
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 10,940,422.88 | 99.71% | |||||||
CLASS R6 SHARES | Goldman Sachs Trust, GS Absolute Return Multi-Asset Fund, 200 West St., Fl. 36, New York, NY 10282-2102 | 3,366.81 | 64.76% | |||||||
GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 1,831.88 | 35.24% | ||||||||
INTERNATIONALTAX-MANAGED EQUITY FUND CLASS A SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 212,070.20 | 25.09% | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 122,090.89 | 14.44% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 108,847.14 | 12.88% | ||||||||
Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 98,971.76 | 11.71% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 72,048.01 | 8.52% | ||||||||
TD Ameritrade Clearing Inc., FBO Clients, PO Box 2226, Omaha, NE 68103-2226 | 67,079.77 | 7.93% | ||||||||
CLASS C SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 40,763.64 | 28.54% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 23,463.81 | 16.43% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 22,492.05 | 15.74% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 12,289.62 | 8.60% |
B-151
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 470,856.78 | 28.67% | |||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 228,544.03 | 13.92% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 218,123.75 | 13.28% | ||||||||
TD Ameritrade Clearing Inc., FBO Clients, PO Box 2226, Omaha, NE 68103-2226 | 147,923.49 | 9.01% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 126,153.63 | 7.68% | ||||||||
Goldman Sachs Direct Accounts, FIIOC FBO Belle Tire Distributors, Inc. 401(k) Salary Reduction Plan, 100 Magellan Way, #KW1C, Covington, KY 41015-1999 | 87,125.91 | 5.30% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 873,978.91 | 50.50% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 428,032.76 | 24.73% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 273,734.19 | 15.82% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 118,160.46 | 6.83% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 6,605,673.90 | 99.99% | |||||||
CLASS R6 SHARES | Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank NA, GS Tax Advantaged Global Equity Portfolio, International Tax Managed Equity, 1 Beacon St., Fl. 18, Boston, MA 02108-3107 | 62,215,475.22 | 99.41% | |||||||
MANAGED FUTURES STRATEGY FUND CLASS A SHARES | Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 366,685.40 | 43.99% |
B-152
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 131,778.81 | 15.81% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 125,169.98 | 15.02% | ||||||||
TD Ameritrade Clearing Inc., FBO Clients, PO Box 2226, Omaha, NE 68103-2226 | 71,701.14 | 8.60% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 52,072.90 | 6.25% | ||||||||
CLASS C SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 187,819.47 | 54.02% | |||||||
Stifel Nicolaus & Co., FBO Customers, 501 N. Broadway, St. Louis, MO 63102-2188 | 76,508.22 | 22.00% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 64,990.92 | 18.69% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 5,768,723.37 | 70.71% | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 923,162.07 | 11.32% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 520,443.55 | 6.38% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 9,078,744.88 | 83.51% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 1,529,178.29 | 14.07% |
B-153
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 19,604.68 | 95.39% | |||||||
CLASS R SHARES | ADP / Broker Dealer, Inc., State Street Bank and Trust, Trustee/Customer, FBO ADP Access Product, 1 Lincoln St., Boston, MA 02111-2900 | 12,116.53 | 21.63% | |||||||
GWFS Equities, Inc., Health Care Technology, FBO Health Care Technology 401(k) PSP, C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village,CO 80111-5002 | 10,437.54 | 18.63% | ||||||||
National Financial Services LLC, FIIOC FBO Mori Associates, Inc. 401(k) Plan & Trust, 100 Magellan Way, #KW1C, Covington, KY 41015-1987 | 9,128.04 | 16.30% | ||||||||
GWFS Equities, Inc., FBO Greenville Pathology PA PSP, C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village,CO 80111-5002 | 6,997.58 | 12.49% | ||||||||
Crown Capital Securities LP, Matrix Trust Company, FBO M.C.T. 401(k) Plan, 717 17th St., Suite 1300, Denver, CO 80202-3304 | 5,544.85 | 9.90% | ||||||||
MSCS Financial Services LLC, Matrix Trust Company, FBO BFABC 401(k) Plan, 717 17th St., Suite 1300, Denver, CO 80202-3304 | 4,608.31 | 8.23% | ||||||||
CLASS R6 SHARES | Goldman Sachs Trust, State Street Bank & Trust Co., GS Growth & Income Strategy, Managed Futures Strategy Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 1,829,622.15 | 41.15% | |||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Balanced Strategy, Managed Futures Strategy Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 1,226,332.25 | 27.58% | ||||||||
Goldman Sachs Trust, State Street Bank & Trust Co., GS Growth Strategy, Managed Futures Strategy Fund, C/O State Street Corporation, 2 Avenue De Lafayette, Fl. 6, Boston, MA 02111-1888 | 1,162,215.71 | 26.14% | ||||||||
REAL ESTATE SECURITIES FUND CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 395,645.93 | 21.33% |
B-154
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 178,185.38 | 9.61% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 172,481.14 | 9.30% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 161,322.74 | 8.70% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 121,545.53 | 6.55% | ||||||||
CLASS C SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 44,164.04 | 22.47% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 31,868.74 | 16.21% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 26,509.44 | 13.49% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 11,353.38 | 5.78% | ||||||||
INSTITUTIONAL SHARES | Goldman Sachs Foundation, Attn: GS Foundation Team, 200 West St., Fl. 29, New York, NY 10282-2198 | 1,042,501.98 | 55.41% | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 359,924.66 | 19.13% | ||||||||
State Treasurer – Nebraska Investment Council, State of Nebraska, 1526 K. St., Suite 420, Lincoln, NE 68508-2734 | 113,454.97 | 6.03% |
B-155
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 237,775.61 | 59.68% | |||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 68,076.83 | 17.09% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 44,589.07 | 11.19% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 5,922,893.19 | 99.64% | |||||||
CLASS R SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 37,993.99 | 33.29% | |||||||
National Financial Services LLC, FIIOC FBO F.E.E. M.D. PA 401(k) Plan, 100 Magellan Way, #KW1C, Covington, KY 41015-1987 | 14,271.74 | 12.51% | ||||||||
GWFS Equities, Inc., Great-West Trust Company LLC, FBO Employee Benefits Clients 401(k), 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 12,596.28 | 11.04% | ||||||||
National Financial Services LLC, FIIOC Demitri Chesapeake Sales, Inc. 401(k) Plan, 100 Magellan Way, #KW1C, Covington, KY 41015-1987 | 7,930.07 | 6.95% | ||||||||
CLASS R6 SHARES | Goldman Sachs & Co. LLC, GS Variable Insurance Trust, GS Multi-Strategy Alternatives Portfolio, 70 Fargo St., Boston, MA 02210-2126 | 37,693.13 | 90.87% | |||||||
SERVICE SHARES | Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 56,283.94 | 49.67% | |||||||
GWFS Equities, Inc., FBO Blue Ridge Pediatrics LLP PSP, C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 11,720.99 | 10.34% |
B-156
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
GWFS Equities, Inc., FBO D.B.L. D.D.S. P.C. Cash Def., C/O Fascore LLC, 8515 E. Orchard Rd., Greenwood Village,CO 80111-5002 | 7,300.26 | 6.44% | ||||||||
SATELLITE STRATEGIES PORTFOLIO CLASS A SHARES | Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 1,324,290.40 | 23.62% | |||||||
Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 966,043.07 | 17.23% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 819,894.20 | 14.63% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 404,875.36 | 7.22% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ #97RR1 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 357,407.03 | 6.38% | ||||||||
CLASS C SHARES | Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 542,704.57 | 24.18% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEQ #97RR1 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 396,300.08 | 17.66% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 280,517.31 | 12.50% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 172,741.53 | 7.70% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 164,271.90 | 7.32% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 141,977.01 | 6.33% |
B-157
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 125,548.25 | 5.59% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 10,347,648.33 | 44.39% | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 3,897,953.96 | 16.72% | ||||||||
SEI Private Trust Company, C/O Hills Bank & Trust ID 533, Attn: Mutual Fund Administrator, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 1,505,895.84 | 6.46% | ||||||||
Reliance Trust Company, FIS / Vallee & Co., 480 Pilgrim Way, Suite 1000, Green Bay, WI 54304-5280 | 1,248,946.76 | 5.36% | ||||||||
INVESTOR SHARES | Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 1,147,809.54 | 45.93% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 578,858.75 | 23.16% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 550,219.65 | 22.02% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 445,171.50 | 99.72% | |||||||
CLASS R SHARES | Hartford Life Insurance Company, Separate Account 401(k), 1 Griffin Rd. N., Windsor, CT 06095-1512 | 61,323.54 | 44.36% | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 34,053.47 | 24.64% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 28,394.15 | 20.54% |
B-158
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
CLASS R6 SHARES | MSCS Financial Services LLC, Associated Trust Company, PO Box 22037, Green Bay, WI 54305-2037 | 4,102,114.05 | 70.43% | |||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 1,212,498.41 | 20.82% | ||||||||
SERVICE SHARES | MSCS Financial Services LLC, BankPlus Wealth Management Group, 1200 Eastover Dr., Suite 300, Jackson, MS 39211-6325 | 15,699.73 | 52.27% | |||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 6,229.65 | 20.74% | ||||||||
American United Life Insurance Co., FBO Group Retirement Account, Attn: Separate Accounts, PO Box 368, Indianapolis, IN 46206-0368 | 2,514.53 | 8.37% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 1,601.73 | 5.33% | ||||||||
SEI Private Trust Company, C/O Trustmark, 1 Freedom Valley Dr., Oaks, PA 19456-9989 | 1,507.84 | 5.02% | ||||||||
U.S.TAX-MANAGED EQUITY FUND CLASS A SHARES | Edward D. Jones & Co., FBO Customers, 12555 Manchester Rd., Saint Louis, MO 63131-3710 | 358,677.03 | 13.69% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 346,591.25 | 13.23% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 291,996.83 | 11.15% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 237,094.61 | 9.05% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 230,626.78 | 8.80% | ||||||||
National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 188,740.51 | 7.21% |
B-159
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 179,355.31 | 6.85% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 140,569.78 | 5.37% | ||||||||
CLASS C SHARES | Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 202,937.83 | 28.67% | |||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 163,735.47 | 23.13% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 85,359.78 | 12.06% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 48,703.21 | 6.88% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 37,379.04 | 5.28% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 809,068.96 | 50.05% | |||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 168,832.94 | 10.44% | ||||||||
MSCS Financial Services, Zeel & Co., Attn: Trust Ops., 141 E. 8th St., Holland,MI 49423-3503 | 160,804.91 | 9.95% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 141,855.17 | 8.77% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 90,957.10 | 5.63% |
B-160
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
INVESTOR SHARES | Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 340,018.70 | 42.05% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 226,996.73 | 28.07% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 222,104.77 | 27.46% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 5,295,670.00 | 99.93% | |||||||
CLASS R6 SHARES | Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank NA, GS Tax Advantaged Global Equity Portfolio, Structured Tax Managed Equity, 1 Beacon St., Fl. 18, Boston, MA 02108-3107 | 60,628,342.10 | 99.94% | |||||||
SERVICE SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 62,372.29 | 99.99% | |||||||
U.S. EQUITY DIVIDEND & PREMIUM FUND CLASS A SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 4,432,760.49 | 30.72% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 1,652,113.00 | 11.45% | ||||||||
Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 1,181,982.51 | 8.19% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 1,141,971.07 | 7.91% | ||||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 1,136,555.89 | 7.88% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 1,067,144.58 | 7.39% |
B-161
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 781,489.99 | 5.42% | ||||||||
CLASS C SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 1,888,518.69 | 18.05% | |||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 1,838,540.26 | 17.57% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 1,564,717.17 | 14.95% | ||||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 1,348,779.45 | 12.89% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 1,029,946.70 | 9.84% | ||||||||
Pershing LLC, PO Box 2052, Jersey City, NJ 07303-2052 | 692,321.08 | 6.62% | ||||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 565,982.84 | 5.41% | ||||||||
INSTITUTIONAL SHARES | National Financial Services LLC, FBO Customers Mutual Funds, Attn: Mutual Funds Dept. 4th Floor, 499 Washington Blvd., Jersey City, NJ 07310-1995 | 17,792,505.52 | 19.58% | |||||||
Morgan Stanley Smith Barney LLC, FBO Customers, 1 New York Plz., Fl. 12, New York, NY 10004-1965 | 12,286,527.87 | 13.52% | ||||||||
TD Ameritrade Clearing Inc., FBO Clients, PO Box 2226, Omaha, NE 68103-2226 | 12,042,704.05 | 13.25% | ||||||||
Merrill Lynch Pierce Fenner & Smith, FBO Customers, Attn: Service Team SEC #97PR8 Goldman Sachs Funds, 4800 Deer Lake Dr. East, 3rd Fl., Jacksonville, FL 32246-6484 | 8,004,875.79 | 8.81% |
B-162
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
Charles Schwab & Co., Inc., Special Custody Account FBO Customers, Attn: Mutual Funds, 211 Main St., San Francisco, CA 94105-1905 | 7,984,610.34 | 8.79% | ||||||||
Wells Fargo Clearing Services LLC, A/C 1699-0135, Special Custody Account FBO Customer, 2801 Market St., Saint Louis, MO 63103-2523 | 7,657,922.24 | 8.43% | ||||||||
Saxon & Co., FBO 40400904099990, PO Box 7780-1888, Philadelphia, PA 19182-0001 | 7,566,805.32 | 8.33% | ||||||||
UBS Financial Services, Inc., UBS WM USA, OMNI Account M/F, Special Custody Account FBO UBSFSI, 1000 Harbor Blvd., Weehawken, NJ 07086-6761 | 4,735,013.63 | 5.21% | ||||||||
INVESTOR SHARES | Ameriprise Financial Services, Inc., American Enterprise Investment Svc, FBO # 41999970, 707 2nd Ave. S., Minneapolis,MN 55402-2405 | 14,947,069.92 | 43.47% | |||||||
LPL Financial Corporation, Omnibus Customer Account, Attn: Mutual Fund Trading, 4707 Executive Dr., San Diego, CA 92121-3091 | 13,146,889.34 | 38.24% | ||||||||
Raymond James & Associates, Omnibus for Mutual Funds, 92500015, 880 Carillon Parkway, St. Petersburg, FL 33716-1102 | 4,549,297.21 | 13.23% | ||||||||
CLASS P SHARES | Goldman Sachs & Co., FBO Omnibus 6600, C/O Mutual Fund Ops., 222 S. Main St., Salt Lake City, UT 84101-2199 | 49,163,117.34 | 99.69% | |||||||
CLASS R6 SHARES | Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank NA, GS Enhanced Dividend Global Equity Portfolio, U.S. Equity Dividend & Premium, 1 Beacon St., Fl. 18, Boston, MA 02108-3107 | 20,470,164.06 | 99.99% | |||||||
VIT CORE FIXED INCOME FUND INSTITUTIONAL SHARES | Lombard International Life Assurance Company, One Liberty Place, 1650 Market St., Fl. 54, Philadelphia, PA 19103-4201 | 449,533.36 | 61.20% | |||||||
AIG Life Insurance Co., AIG Life of Bermuda Ltd., In Respect of SEG Acct. BermudaVL-U-II, 27 Richmond Rd., PO Box HM 152, Hamilton HM AX, Bermuda | 237,300.01 | 32.31% | ||||||||
Members Life Insurance Company, 2000 Heritage Way, Waverly, IA 50677-9208 | 5.72% |
B-163
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
SERVICE SHARES | Protective Life Insurance Co., Protective VAR Annuity Sep. Account, Attn: Annuity Operational Accounting, 2801 Highway 280 S., Birmingham, AL 35223-2479 | 2,591,298.82 | 75.55% | |||||||
Commonwealth Annuity & Life Insurance Company, First Allmerica Financial Life Insurance Co., Attn: Separate AccountS-291, 440 Lincoln St., Worcester, MA 01653-0002 | 283,388.89 | 8.26% | ||||||||
Commonwealth Annuity & Life Insurance Company, Attn: Separate AccountS-291, 440 Lincoln St., Worcester, MA 01653-0002 | 243,903.10 | 7.11% | ||||||||
Forethought Life Insurance Co., 10 W. Market St., Suite 2300, Indianapolis, IN 46204-2954 | 185,974.07 | 5.42% | ||||||||
VIT EQUITY INDEX FUND SERVICE SHARES | Commonwealth Annuity & Life Insurance Company, Attn: Separate AccountS-291, 440 Lincoln St., Worcester, MA 01653-0002 | 8,893,401.36 | 91.13% | |||||||
Commonwealth Annuity & Life Insurance Company, First Allmerica Financial Life Insurance Co., Attn: Separate AccountS-291, 440 Lincoln St., Worcester, MA 01653-0002 | 682,317.29 | 6.99% | ||||||||
VIT GLOBAL TRENDS ALLOCATION FUND INSTITUTIONAL SHARES | Lombard International Life Assurance Company, One Liberty Place, 1650 Market St., Fl. 54, Philadelphia, PA 19103-4201 | 18,692.74 | 88.30% | |||||||
GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 2,477.40 | 11.70% | ||||||||
SERVICE SHARES | Securian Financial Services, Inc., Minnesota Life Insurance Company, 400 Robert St. N., Suite A, Saint Paul, MN 55101-2099 | 13,056,791.00 | 48.33% | |||||||
Ohio National Life Insurance Co., FBO Separate Accounts, One Financial Way, Cincinnati, OH 45242-5800 | 11,462,731.46 | 42.43% | ||||||||
VIT GOVERNMENT MONEY MARKET FUND INSTITUTIONAL SHARES | Nationwide Investment Services, Nationwide Life Insurance Company, FBO NWPP, C/O IPO Portfolio Accounting, PO Box 182029, Columbus, OH 43218-2029 | 220,262,984.65 | 65.24% | |||||||
Connecticut General Life Insurance Co., J.P. Morgan Chase Bank NA, FBO Connecticut General Life Insurance Co. – P69279, 4 Chase, Metrotech Center, Fl. 6, Brooklyn, NY 11245-0003 | 76,176,087.26 | 22.56% |
B-164
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
SERVICE SHARES | Life of Virginia, GE Life & Annuity Assurance Co., Attn: Variable Accounting, 660 W. Broad St., Building 2, Richmond, VA 23230-1721 | 132,643,623.60 | 36.44% | |||||||
AIG Life Insurance Co., American General Life Insurance Co., Variable Separate Account (VSA), Attn: Variable Products Accounting, 2727A Allen Parkway, Houston,TX 77019-2107 | 99,462,681.65 | 27.32% | ||||||||
Commonwealth Annuity & Life Insurance Company, Attn: Separate AccountS-291, 440 Lincoln St., Worcester, MA 01653-0002 | 65,289,463.27 | 17.94% | ||||||||
Lincoln Financial Distributors, Lincoln National Life Insurance Co., 1300 S. Clinton St., Fort Wayne, IN 46802-3506 | 29,406,495.43 | 8.08% | ||||||||
VIT GROWTH OPPORTUNITIES FUND INSTITUTIONAL SHARES | GSAM Holdings LLC Seed Account,Attn: IMD-India-SAOS, Crystal Downs, Fl. 3, Embassy Golf Links Business Park, Bangalore 560071 India | 3,721.15 | 60.19% | |||||||
Kemper Investors Life Insurance Company, Zurich American Life Insurance Company, 165 Broadway, Fl. 21, New York,NY 10006-1454 | 2,460.40 | 39.80% | ||||||||
SERVICE SHARES | Protective Life Insurance Co., Protective VAR Annuity Sep. Account, Attn: Annuity Operational Accounting, 2801 Highway 280 S., Birmingham, AL 35223-2479 | 4,557,112.73 | 81.70% | |||||||
Commonwealth Annuity & Life Insurance Company, First Allmerica Financial Life Insurance Co., Attn: Separate AccountS-291, 440 Lincoln St., Worcester, MA 01653-0002 | 499,570.02 | 8.96% | ||||||||
VIT HIGH QUALITY FLOATING RATE FUND ADVISOR SHARES | Nationwide Investment Services, Nationwide Life Insurance Company, FBO NWVA4, C/O IPO Portfolio Accounting, PO Box 182029, Columbus, OH 43218-2029 | 625,590.25 | 97.91% | |||||||
INSTITUTIONAL SHARES | AIG Life Insurance Co., AIG Life of Bermuda Ltd., In Respect of SEG Acct. BermudaVL-U-II, 27 Richmond Rd., PO Box HM 152, Hamilton HM AX, Bermuda | 245,973.50 | 54.08% | |||||||
Lombard International Life Assurance Company, One Liberty Place, 1650 Market St., Fl. 54, Philadelphia, PA 19103-4201 | 206,300.80 | 45.35% |
B-165
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
SERVICE SHARES | Securian Financial Services, Inc., Minnesota Life Insurance Company, 400 Robert St. N., Suite A, Saint Paul, MN 55101-2099 | 4,178,583.44 | 60.71% | |||||||
Commonwealth Annuity & Life Insurance Company, Attn: Separate AccountS-291, 440 Lincoln St., Worcester, MA 01653-0002 | 1,826,084.46 | 26.53% | ||||||||
Nationwide Investment Services, Nationwide Life Insurance Company, FBO NWPP, C/O IPO Portfolio Accounting, PO Box 182029, Columbus, OH 43218-2029 | 744,608.03 | 10.82% | ||||||||
VIT INTERNATIONAL EQUITY INSIGHTS FUND INSTITUTIONAL SHARES | Protective Life Insurance Co., Protective VAR Annuity Sep. Account, Attn: Annuity Operational Accounting, 2801 Highway 280 S., Birmingham, AL 35223-2479 | 3,691,323.68 | 71.64% | |||||||
Kemper Investors Life Insurance Company, Zurich American Life Insurance Company, 165 Broadway, Fl. 21, New York,NY 10006-1454 | 531,135.08 | 10.31% | ||||||||
SERVICE SHARES | Protective Life Insurance Co., Protective VAR Annuity Sep. Account, Attn: Annuity Operational Accounting, 2801 Highway 280 S., Birmingham, AL 35223-2479 | 5,170,971.92 | 90.28% | |||||||
Commonwealth Annuity & Life Insurance Company, First Allmerica Financial Life Insurance Co., Attn: Separate AccountS-291, 440 Lincoln St., Worcester, MA 01653-0002 | 356,584.32 | 6.23% | ||||||||
VIT LARGE CAP VALUE FUND INSTITUTIONAL SHARES | Ohio National Life Insurance Co., FBO Separate Accounts, One Financial Way, Cincinnati, OH 45242-5800 | 9,534,228.75 | 54.35% | |||||||
Protective Life Insurance Co., Protective VAR Annuity Sep. Account, Attn: Annuity Operational Accounting, 2801 Highway 280 S., Birmingham, AL 35223-2479 | 5,755,718.89 | 32.81% | ||||||||
SERVICE SHARES | Lincoln Financial Distributors, Lincoln National Life Insurance Co., 1300 S. Clinton St., Fort Wayne, IN 46802-3506 | 15,251,910.76 | 46.08% | |||||||
Protective Life Insurance Co., Protective VAR Annuity Sep. Account, Attn: Annuity Operational Accounting, 2801 Highway 280 S., Birmingham, AL 35223-2479 | 11,867,601.58 | 35.85% | ||||||||
Ohio National Life Insurance Co., FBO Separate Accounts, One Financial Way, Cincinnati, OH 45242-5800 | 4,672,594.20 | 14.12% |
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Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
VIT MID CAP VALUE FUND INSTITUTIONAL SHARES | RiverSource Life Insurance Co., RiverSource Life Insurance Co. of New York, A/C 1 Investment Accounting Managed Assets, 1646 AXP Financial Center, Minneapolis, MN 55474-0001 | 12,916,131.57 | 63.23% | |||||||
Life of Virginia, GE Life & Annuity Assurance Co., Attn: Variable Accounting, 660 W. Broad St., Building 2, Richmond, VA 23230-1721 | 2,233,696.94 | 10.94% | ||||||||
SERVICE SHARES | Protective Life Insurance Co., Protective VAR Annuity Sep. Account, Attn: Annuity Operational Accounting, 2801 Highway 280 S., Birmingham, AL 35223-2479 | 9,526,099.35 | 89.15% | |||||||
VIT MULTI-STRATEGY ALTERNATIVES PORTFOLIO ADVISOR SHARES | RiverSource Life Insurance Co., RiverSource Life Insurance Co. of New York, A/C 1 Investment Accounting Managed Assets, 1646 AXP Financial Center, Minneapolis, MN 55474-0001 | 813,196.23 | 49.36% | |||||||
Lincoln Financial Distributors, Lincoln National Life Insurance Co., 1300 S. Clinton St., Fort Wayne, IN 46802-3506 | 257,504.93 | 15.63% | ||||||||
Jefferson National Life Insurance Co., 10350 Ormsby Park Place, Louisville,KY 40223-6178 | 243,938.33 | 14.81% | ||||||||
GWFS Equities, Inc., Great-West Life & Annuity, FBO Variable Annuity 2 SmartTrack I, 8515 E. Orchard Rd., Greenwood Village, CO 80111-5002 | 142,532.63 | 8.65% | ||||||||
AIG Life Insurance Co., American General Life Insurance Co., Variable Separate Account (VSA), Attn: Variable Products Accounting, 2727A Allen Parkway, Houston,TX 77019-2107 | 90,244.18 | 5.48% | ||||||||
INSTITUTIONAL SHARES | Lincoln Financial Distributors, Lincoln National Life Insurance Co., 1300 S. Clinton St., Fort Wayne, IN 46802-3506 | 56,843.86 | 47.20% | |||||||
Kemper Investors Life Insurance Company, Zurich American Life Insurance Company, 165 Broadway, Fl. 21, New York,NY 10006-1454 | 36,187.49 | 30.05% | ||||||||
Lombard International Life Assurance Company, One Liberty Place, 1650 Market St., Fl. 54, Philadelphia, PA 19103-4201 | 26,083.56 | 21.66% |
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Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
SERVICE SHARES | Nationwide Investment Services, Nationwide Life Insurance Company, FBO NWVAII, C/O IPO Portfolio Accounting, PO Box 182029, Columbus, OH 43218-2029 | 161,017.40 | 57.33% | |||||||
Nationwide Investment Services, Nationwide Life Insurance Company, FBO NWVA4, C/O IPO Portfolio Accounting, PO Box 182029, Columbus, OH 43218-2029 | 86,888.71 | 30.94% | ||||||||
VIT STRATEGIC GROWTH FUND INSTITUTIONAL SHARES | Protective Life Insurance Co., Protective VAR Annuity Sep. Account, Attn: Annuity Operational Accounting, 2801 Highway 280 S., Birmingham, AL 35223-2479 | 3,578,723.67 | 36.25% | |||||||
Farmers New World Life Insurance Co., 3120 139th Ave. S.E., Suite 300, Bellevue, WA 98005-4491 | 1,618,841.75 | 16.40% | ||||||||
Ohio National Life Insurance Co., FBO Separate Accounts, One Financial Way, Cincinnati, OH 45242-5800 | 951,373.60 | 9.64% | ||||||||
Lincoln Financial Distributors, Lincoln National Life Insurance Co., 1300 S. Clinton St., Fort Wayne, IN 46802-3506 | 923,767.64 | 9.36% | ||||||||
MassMutual Life Insurance, Attn: RS Fund Operations, 1295 State St., MIP C105, Springfield, MA 01111-0001 | 685,338.46 | 6.94% | ||||||||
MetLife Investors Insurance Co., MetLife Insurance Company of Connecticut, Attn: Shareholder Accounting, PO Box 990027, Hartford, CT 06199-0027 | 520,418.72 | 5.27% | ||||||||
SERVICE SHARES | Protective Life Insurance Co., Protective VAR Annuity Sep. Account, Attn: Annuity Operational Accounting, 2801 Highway 280 S., Birmingham, AL 35223-2479 | 14,993,680.78 | 78.47% | |||||||
Ohio National Life Insurance Co., FBO Separate Accounts, One Financial Way, Cincinnati, OH 45242-5800 | 2,077,333.21 | 10.87% | ||||||||
Commonwealth Annuity & Life Insurance Company, First Allmerica Financial Life Insurance Co., Attn: Separate AccountS-291, 440 Lincoln St., Worcester, MA 01653-0002 | 1,094,386.91 | 5.73% | ||||||||
VIT SMALL CAP EQUITY INSIGHTS FUND INSTITUTIONAL SHARES | Protective Life Insurance Co., Protective VAR Annuity Sep. Account, Attn: Annuity Operational Accounting, 2801 Highway 280 S., Birmingham, AL 35223-2479 | 2,531,100.25 | 40.85% |
B-168
Fund/Class | Shareholder Name and Address* | Number of Shares | Percentage of Class | |||||||
RiverSource Life Insurance Co., RiverSource Life Insurance Co. of New York, A/C 1 Investment Accounting Managed Assets, 1646 AXP Financial Center, Minneapolis, MN 55474-0001 | 994,519.24 | 16.05% | ||||||||
Principal Securities, Inc., Principal Life Insurance Co., FBO Principal Investment Plus Variable Annuity, Attn: Individual Life Accounting, 711 High St., Des Moines, IA 50392-0001 | 451,228.46 | 7.28% | ||||||||
Midland National Life Insurance Co., 1 Midland Plaza, Sioux Falls, SD 57193-0001 | 360,995.15 | 5.83% | ||||||||
SERVICE SHARES | Protective Life Insurance Co., Protective VAR Annuity Sep. Account, Attn: Annuity Operational Accounting, 2801 Highway 280 S., Birmingham, AL 35223-2479 | 1,058,857.61 | 83.49% | |||||||
VIT U.S. EQUITY INSIGHTS FUND INSTITUTIONAL SHARES | RiverSource Life Insurance Co., RiverSource Life Insurance Co. of New York, A/C 1 Investment Accounting Managed Assets, 1646 AXP Financial Center, Minneapolis, MN 55474-0001 | 8,866,239.61 | 63.09% | |||||||
Protective Life Insurance Co., Protective VAR Annuity Sep. Account, Attn: Annuity Operational Accounting, 2801 Highway 280 S., Birmingham, AL 35223-2479 | 1,535,928.12 | 10.93% | ||||||||
Ohio National Life Insurance Co., FBO Separate Accounts, One Financial Way, Cincinnati, OH 45242-5800 | 1,519,605.53 | 10.81% | ||||||||
SERVICE SHARES | Commonwealth Annuity & Life Insurance Company, Attn: Separate AccountS-291, 440 Lincoln St., Worcester, MA 01653-0002 | 1,318,254.75 | 42.79% | |||||||
Ohio National Life Insurance Co., FBO Separate Accounts, One Financial Way, Cincinnati, OH 45242-5800 | 1,036,864.68 | 33.65% | ||||||||
Commonwealth Annuity & Life Insurance Company, First Allmerica Financial Life Insurance Co., Attn: Separate AccountS-291, 440 Lincoln St., Worcester, MA 01653-0002 | 254,138.98 | 8.25% |
Fund Name | Class | Name/Address* | Number of Shares | Percentage of Class | ||||||
Service | Forethought Life Insurance Co, 10 W Market St., Ste 2300, Indianapolis, IN 46204-2954 | 149,782 | 6.29% |
* | The entities set forth in this column for each table are the shareholders of record and may be deemed to be the beneficial owners of certain of the shares listed for certain purposes under the securities laws. However, these entities generally do not have an economic interest in these shares and would ordinarily disclaim any beneficial ownership therein. |
B-169
GOVERNANCE AND NOMINATING COMMITTEE CHARTER
GOLDMAN SACHS TRUST
GOLDMAN SACHS VARIABLE INSURANCE TRUST
Organization and Purpose
The Trustees of Goldman Sachs Trust and Goldman Sachs Variable Insurance Trust (together the “Trusts” and the series thereof, the “Funds”) have established a Governance and Nominating Committee (the “Committee”), comprising all of the independent Trustees. “Independent Trustees” are those Trustees who: (a) are independent of the management of Goldman Sachs & Co. LLC; (b) are not “interested persons” of the Funds or any investment adviser or principal underwriter of the Funds within the meaning of Section 2(a)(19) of the Investment Company Act of 1940 (the “1940 Act”); and (c) do not accept any consulting, advisory or other compensatory fee from the Funds except in their capacities as members of the Board of Trustees or committees thereof (Board and committee members serving the Trusts in additional capacities, e.g., as Chairman of the Board or as Audit Committee Financial Expert, may receive additional compensation). The Committee has been established for the following purposes: (1) assisting the Board of Trustees in matters involving mutual fund governance and industry best practices; (2) with respect to the selection and nomination of independent Trustees, satisfying certain regulatory requirements adopted by the Securities and Exchange Commission (the “SEC”); and (3) advising the Board of Trustees from time to time on ways to improve its effectiveness.
Statement of Policy
The mission of the Board of Trustees is to represent and protect the interests of the Funds and their shareholders. In doing so, the Board has the legal responsibility for overseeing the affairs of the Funds. It is the policy of the Board of Trustees that in fulfilling its mission and meeting its responsibilities, the Trustees will seek high standards of integrity, commitment and independence of thought and judgment in a manner that is consistent with best practices of mutual fund governance.
Summary of Responsibilities
The Committee will have the following responsibilities:
Making recommendations to the Board of Trustees with respect to the effectiveness of the Board in carrying out its responsibilities in governing the Funds and overseeing their management.
Monitoring the governance policies set forth in the Trustee Charter adopted by the Board of Trustees, and recommending such changes to those policies as the Committee deems appropriate from time to time.
Making recommendations to the Board of Trustees regarding its size, structure and composition as well as qualifications for Board membership.
Making recommendations to the Board of Trustees with respect to the Board’s committee structure, committee membership and chairmanship.
Monitoring the Trusts’ standards of Trustee independence.
Overseeing and reviewing the Board and committee evaluations performed from time to time in accordance with the Trustee Charter and, based on its review, recommending such actions as the Committee deems appropriate.
Keeping informed of regulatory changes and industry practices relating to mutual fund governance and recommending such changes as the Committee deems appropriate.
C-1
Oversee the process for setting independent Trustee compensation.
Overseeing the continuing education of incumbent and new independent Trustees.
Reviewing periodically the investments made by the Trustees in the Funds pursuant to the policies set forth in the Trustee Charter.
Selecting and nominating candidates for election or appointment asnon-interested members of the Board of Trustees and the retention of such members, as discussed below.
In carrying out its responsibilities under this Charter, the policies and procedures of the Committee should remain flexible in order to best react to changing conditions and to provide assurance to the full Board of Trustees and shareholders that the Trusts’ governance practices are in accordance with applicable requirements and are of the highest quality.
The Committee performs its functions under this Governance and Nominating Committee Charter on the basis of information and advice provided or representations made to it by the management of the Funds, or by service providers, or by legal counsel or other experts or consultants, without independent verification. Nothing in this charter is intended to impose, or should be interpreted as imposing, on any member of the Committee any additional duties or responsibilities over and above those placed on the member in his or her capacity as a Trustee of the Trusts under applicable federal and state law.
Selection, Nomination and Retention of Independent Trustees
The Committee will be responsible for the selection and nomination of the candidates for election or appointment as independent Trustees of the Trusts. In connection with the selection and nomination of candidates to the Board of Trustees, the Committee will evaluate the qualifications of candidates for Board membership and their independence from the Trusts’ investment advisers, principal underwriter(s), and other principal service providers. Persons selected must be independent under the provisions of the 1940 Act. The Committee will also consider the effect of any relationships beyond those delineated in the 1940 Act that might impair independence (for example, business, financial or family relationships with the investment advisers or other service providers). Candidates should have the capacity to address financial and legal issues and to exercise reasonable business judgment. Without limiting the foregoing, the Committee will also consider, among other criteria, a candidate’s:
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The Committee will also consider the diversity of the Board’s composition as part of the selection and nomination process.
In considering the selection and nomination of independent Trustee candidates, it is expected that the Committee will consult with the interested Trustees and Officers of the Trusts and such other persons as the Committee deems appropriate.
C-2
In addition, the Committee shall work to retain high performing independent Trustees, once elected or appointed as the case may be.
Additional Matters
The Committee will meet at such times as it deems appropriate. The Committee will set its agenda and the places of its meetings. The Committee may meet alone and outside the presence of management personnel.
The Committee will submit the minutes of all meetings of the Committee to, or discuss the matters discussed at each Committee meeting with, the full Board of Trustees.
The Committee may delegate any portion of its authority to a subcommittee of one or more members. Any decision of the subcommittee shall be presented to the full Committee at its next regularly scheduled meeting.
The Committee is authorized to investigate any matter brought to its attention within the scope of its duties, and is authorized to meet with the compliance personnel of management as the committee deems appropriate in connection with the performance of its responsibilities.
The Committee is authorized to engage independent counsel and other advisers as it deems necessary to carry out its duties.
The Funds will provide for appropriate funding, as determined by the Committee, for payment of compensation to any advisers employed by the Committee as described above.
Except as otherwise provided by the Board of Trustees or required by applicable law, the Committee shall act by a vote of a majority of the Committee members at a Committee meeting, including a meeting held by conference telephone, teleconference or other electronic media or communication equipment, or by written consent of a majority of Committee members without a meeting. Any written consent or waiver may be provided and delivered to the Committee bye-mail, facsimile or other similar electronic mechanism.
The Committee will periodically review the provisions of this Governance and Nominating Committee Charter.
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February 12, 2013
February 11, 2014
February 12, 2015
February 11, 2016 (approved without change)
February 13, 2019
C-3
GSTVITPRXY20
[Form of Proxy]
GOLDMAN SACHS TRUST
GOLDMAN SACHS VARIABLE INSURANCE TRUST71 SOUTH WACKER DRIVE
PROXY TABULATORSUITE 1200
P.O. BOX 9112CHICAGO, IL 60606
FARMINGDALE, NY 11735
To vote by Internet
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1) | Read the Joint Proxy Statement and have the proxy card below at hand. | |||
2) | Go to website www.proxyvote.com or scan the QRBarcode above | |||
3) | Follow the instructions provided on the website. | |||
4) | To attend and vote at the meeting, please register by going to Virtual Shareholder Meeting at https://www.viewproxy.com/ goldmansachs/broadridgevsm/. | |||
To vote by Telephone | ||||
1) | Read the Joint Proxy Statement and have the proxy card below at hand.
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3) | Follow the instructions. | |||
To vote by Mail
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1) | Read the Joint Proxy Statement. | |||
2) | Check the appropriate box on the proxy card below. | |||
3) | Sign and date the proxy card. | |||
4) | Return the proxy card in the envelope provided. |
If you vote by Telephone or Internet, you do not need to mail your proxy. |
TO VOTE, MARK BLOCKS BELOW IN BLUE OR BLACK INK AS FOLLOWS:
V21872-S72456-S72457 KEEP THIS PORTION FOR YOUR RECORDS
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Please sign exactly as your name(s) appear(s) hereon. When signing as attorney, executor, administrator, or other fiduciary, please give full title as such. Joint owners should each sign personally. All holders must sign. If a corporation or partnership, please sign in full corporate or partnership name by authorized officer.
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[Form of Proxy]
Important Notice Regarding the Availability of Proxy Materials for the Special Meeting:
The Joint Proxy Statement is available at www.proxyvote.com.
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E86251-S92930DETACH AND RETURN THIS PORTION ONLY
GOLDMAN SACHS TRUST
GOLDMAN SACHS VARIABLE INSURANCE TRUST
(each a “TRUST”)
THIS PROXY IS SOLICITED ON BEHALF OF THE BOARD OF TRUSTEES
The undersigned shareholder of the Fund(s), revoking prior proxies, hereby appoints Caroline Kraus, Secretary of the Trusts, and Joseph F. DiMaria, Treasurer, Principal Financial Officer, and Principal Accounting Officer of the Trusts, and each of them, the proxies of the undersigned, with full power of substitution, to vote, as indicated herein, all of the shares of the Fund(s) standing in the name of the undersigned at the close of business on November 4, 2019 at a Special Meeting to be held at the offices of Goldman Sachs Asset Management, L.P., located at 30 Hudson Street, Jersey City, NJ 07302, Room 21L on the 21st Floor at 10:30 a.m. (Eastern) on January 23, 2020, and at any and all adjournments thereof, with all of the powers the undersigned would possess if then and there personally present and especially (but without limiting the general authorization and power hereby given) to vote as indicated on the proposal, as more fully described in the Joint Proxy Statement for the Special meeting.
PLEASE SIGN AND DATE ON THE REVERSE SIDE
THIS PROXY, WHEN PROPERLY EXECUTED, WILL BE VOTED IN THE MANNER DIRECTED BY THE UNDERSIGNED SHAREHOLDER. IF NO DIRECTION IS MADE, THIS PROXY WILL BE VOTED FOR THE PROPOSAL. THE PROXIES ARE ALSO AUTHORIZED, IN THEIR DISCRETION, TO VOTE UPON SUCH OTHER MATTERS AS MAY COME BEFORE THE SPECIAL MEETING OR ANY POSTPONEMENTS OR ADJOURNMENTS.
[Form of Proxy]
GOLDMAN SACHS TRUST
PROXY TABULATOR
P.O. BOX 9112
FARMINGDALE, NY 11735
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| For All | Withhold All | For All Except | To withhold authority to vote for any individual nominee(s), mark “For All Except” and write the name(s) of the nominee(s) on the line below. | ||||||||||||||||||
| The Board of Trustees unanimously recommends a vote FOR each nominee | |||||||||||||||||||||
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1. To Elect 9 nominees to the Board of Trustees of the Trust | ☐ | ☐ | ☐ | |||||||||||||||||||
Nominees: | ||||||||||||||||||||||
01) Cheryl K. Beebe | 06) Steven D. Krichmar | |||||||||||||||||||||
02) John G. Chou | 07) Michael Latham | |||||||||||||||||||||
03) Eileen H. Dowling | 08) Lawrence W. Stranghoener | |||||||||||||||||||||
04) 05) John F. Killian | 09) Paul C. Wirth |
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2. To transact such other business as may properly come before the | ||||||||||||||||||||||||||||||
YOUR VOTE IS IMPORTANT Please complete, sign and return this card as soon as possible. | ||||||||||||||||||||||||||||||
Please sign this proxy exactly as your name appears on the books of the Trust. Joint owners should each sign personally. Trustees and other fiduciaries should indicate the capacity in which they sign, and where more than one name appears, a majority must sign. If a corporation, this signature should be that of an authorized officer who should state his or her title. |
Please sign exactly as your name(s) appear(s) hereon. When signing as attorney, executor, administrator, or other fiduciary, please give full title as such. Joint owners should each sign personally. All holders must sign. If a corporation or partnership, please sign in full corporate or partnership name by authorized officer.
Signature [PLEASE SIGN WITHIN BOX] | Date | Signature [Joint Owners] | Date |
[Form of Proxy]
Important Notice Regarding the Availability of Proxy Materials for the Special Meeting:Joint Meeting of Shareholders:
The Notice of Special Joint Meeting of Shareholders and Joint Proxy Statement isare available at www.proxyvote.com.
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E86253-S92930
V21873-S72456-S72457 |
GOLDMAN SACHS TRUST PROXY FOR A SPECIAL JOINT MEETING OF SHAREHOLDERS ON NOVEMBER 16, 2023 This proxy is solicited by the Board of Trustees of Goldman Sachs Trust for use at a Special Joint Meeting to be held at 10:30 a.m. Eastern Time, on November 16, 2023. The Special Joint Meetingwill beconducted as a virtual meeting hosted by means of a live webcast at the following website: https://www.viewproxy.com/goldmansachs/broadridgevsm/. The undersigned hereby appoints Joseph F. DiMaria, Treasurer, Principal Financial Officer and Principal Accounting Officer, Caroline L. Kraus, Secretary, and Robert Griffith, Assistant Secretary, and each of them separately, with full power of substitution to each, as proxies of the undersigned, to represent the undersigned, and to vote, as designated on the reverse side of this proxy card, at the above-stated Special Joint Meeting and at any and all adjournments and postponements thereof, all shares of the Fund that the undersigned is entitled to vote at the Special Joint Meeting, and at any and all adjournments and postponements thereof, on the matter listed on the reverse side of this proxy card and in their discretion on any other matter which may come before the Special Joint Meeting, and at any and all adjournments and postponements thereof. In a case where the undersigned fails to designate a choice on the matter listed on the reverse side of this proxy card, the proxies will vote in favor of the matter at the Special Joint Meeting, and at any and all adjournments and postponements thereof. PLEASE VOTE, SIGN AND DATE THIS PROXY AND RETURN IT IN THE ENCLOSED POSTAGE-PAID ENVELOPE |
[Form of Notice of Internet Availability of Proxy Materials]
*** Exercise YourRight
You invested in GOLDMAN SACHS TRUST and it’s time to Vote ***vote!
ImportantYou have the right to vote on proposals being presented at the Special Joint Meeting. This is an important notice regarding the availability of proxy material for the shareholder meeting to be held on November 16, 2023.
Get informed before you vote
View the Joint Proxy Statement online OR you can receive a free paper or email copy of the material(s) by requesting prior to November 2, 2023. If you would like to request a copy of the material(s) for this and/or future shareholder meetings, you may (1) visit www.ProxyVote.com, (2) call 1-800-579-1639 or (3) send an email to sendmaterial@proxyvote.com. If sending an email, please include your control number (indicated below) in the subject line. Unless requested, you will not otherwise receive a paper or email copy.
Smartphone users | Vote Virtually at the Meeting* | |||||||
Point your camera here and | November 16, 2023 | |||||||
vote without entering a | 10:30 a.m., Eastern Time | |||||||
control number | ||||||||
| Virtually at: https://viewproxy.com/goldmansachs/broadridgevsm/ |
* | Please check the meeting materials for any special requirements for meeting attendance. |
V1.2
[Form of Notice Regarding theof Internet Availability of Proxy Materials for theMaterials]
Shareholder Meeting to Be Held on January 23, 2020.Vote at www.ProxyVote.com
THIS IS NOT A VOTABLE BALLOT This is an overview of the proposals being presented at the upcoming shareholder meeting. Please follow the instructions on the reverse side to vote these important matters. | ||||||
Voting Items | Board Recommends | |||
1. | To Elect 9 nominees to the Board of Trustees of the Trust | |||
Nominees: 01) Cheryl K. Beebe 06) Steven D. Krichmar 02) John G. Chou 07) Michael Latham 03) Eileen H. Dowling 08) Lawrence W. Stranghoener 04) Lawrence Hughes 09) Paul C. Wirth 05) John F. Killian | For | |||
2. | To transact such other business as may properly come before the Meeting or any adjournment(s) or postponement(s) thereof. | |||
Prefer to receive an email instead? While voting on www.ProxyVote.com, be sure to click “Delivery Settings”. |
V21891-S72456-S72457
[Form of Voting Instruction Card]
GOLDMAN SACHS
71 SOUTH WACKER DRIVE
SUITE 1200
CHICAGO, IL 60606
THREE EASY WAYS TO VOTE YOUR
VOTING INSTRUCTION CARD
To vote by Internet | ||||
1) | Read the Joint Proxy Statement and have the Voting Instruction Card below at hand. | |||
2) | Go to website www.proxyvote.com or scan the QR Barcode above | |||
3) | Follow the instructions provided on the website. | |||
To vote by Telephone | ||||
1) | Read the Joint Proxy Statement and have the Voting Instruction Card below at hand. | |||
2) | Call 1-800-690-6903 | |||
3) | Follow the instructions. | |||
To vote by Mail | ||||
1) | Read the Joint Proxy Statement. | |||
2) | Check the appropriate box on the Voting Instruction Card below. | |||
3) | Sign and date the Voting Instruction Card. | |||
4) | Return the Voting Instruction Card in the envelope provided. |
TO VOTE, MARK BLOCKS BELOW IN BLUE OR BLACK INK AS FOLLOWS:
V22771-Z86041 KEEP THIS PORTION FOR YOUR RECORDS
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DETACH AND RETURN THIS PORTION ONLY
For All | Withhold All | For All Except | To withhold authority to vote for any individual nominee(s), mark “For All Except” and write the name(s) of the nominee(s) on the line below. | |||||||||||||||||||
The Board of Trustees unanimously recommends a vote FOR each nominee | ||||||||||||||||||||||
1. To Elect 9 nominees to the Board of Trustees of the Trust | ☐ | ☐ | ☐ | |||||||||||||||||||
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01) Cheryl K. Beebe | |||||||||||||||||
06) Steven D. Krichmar | |||||||||||||||||
—– Before You Vote —–
How to Access the Proxy Materials
02) John G. Chou |
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| 03) Eileen H. Dowling | 08) Lawrence W. Stranghoener | ||||||||||||||||||||
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—– How To Vote —–
Please Choose One of the Following Voting Methods
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05) John F. Killian | 09) Paul C. Wirth |
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2. | To transact such other business as may properly come before the | |||||||||||||||||||||||||||||||
YOUR VOTE IS IMPORTANT Please complete, sign and return this card as soon as possible. | ||||||||||||||||||||||||||||||||
Signature(s) should be exactly as name or names appear(s) on this Voting Instruction Card. If shares are held jointly, each shareholder is requested to sign, but only one Signature is required. If signing is by attorney, executor, administrator, trustee or guardian, please give full title. By signing this Voting Instruction Card, receipt of the accompanying Notice of Special Joint Meeting of Shareholders and Proxy Statement is acknowledged. |
Signature [PLEASE SIGN WITHIN BOX] | ||||||||||||||||||||||
Date | Signature [Joint Owners] | Date |
[Form of Voting Instruction Card]
Important Notice Regarding the Availability of Proxy Materials for the Special Joint Meeting of Shareholders:
The Notice of Special Joint Meeting of Shareholders and Joint Proxy Statement are available at www.proxyvote.com.
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V22772-Z86041 |
GOLDMAN SACHS TRUST VOTING INSTRUCTION CARD FOR A SPECIAL JOINT MEETING OF SHAREHOLDERS ON NOVEMBER 16, 2023 The undersigned hereby appoints the Company mentioned on the reverse side of this Voting Instruction Card and hereby authorizes them to represent and to vote, as designated on the reverse, at the Special Joint Meeting of Shareholders to be held on November 16, 2023, and at any and all adjournments and postponements thereof, all shares of the Fund attributable to his or her contract or interest therein as directed on the reverse side of this Card. IF THIS VOTING INSTRUCTION CARD IS SIGNED AND RETURNED WITH NO CHOICE INDICATED, THE SHARES WILL BE VOTED “FOR” THE PROPOSAL. If you fail to return this Voting Instruction Card, depending on the separate account, the Company will either not vote all shares attributable to the account value, or will vote all shares attributable to the account value in proportion to all voting instructions for the Fund actually received from contract holders in the separate account. PLEASE DATE AND SIGN NAME OR NAMES AS PRINTED ON THE REVERSE SIDE TO AUTHORIZE THE VOTING OF THE SHARES AS INDICATED. IF SIGNING AS A REPRESENTATIVE, PLEASE INCLUDE CAPACITY. PLEASE SIGN AND DATE ON THE REVERSE SIDE |
[Form of Underlying Company Notice of Internet Availability of Proxy Materials]
GOLDMAN SACHS
71 SOUTH WACKER DRIVE SUITE 1200
CHICAGO, IL 60606
V22764-Z86055
You invested in GOLDMAN SACHS TRUST and it’s time to vote!
You have the right to vote on proposals being presented at the Special Joint Meeting. This is an important notice regarding the availability of proxy material for the shareholder meeting to be held on November 16, 2023.
Get informed before you vote
View the Joint Proxy Statement online OR you can receive a free paper or email copy of the material(s) by requesting prior to November 2, 2023. If you would like to request a copy of the material(s) for this and/or future shareholder meetings, you may (1) visit www.ProxyVote.com, (2) call 1-800-579-1639 or (3) send an email to sendmaterial@proxyvote.com. If sending an email, please include your control number (indicated below) in the subject line. Unless requested, you will not otherwise receive a paper or email copy.
Smartphone users | Vote Virtually at the Meeting* | |||||||
Point your camera here and | November 16, 2023 | |||||||
vote without entering a | 10:30 a.m., Eastern Time | |||||||
control number | ||||||||
| Virtually at: https://www.viewproxy.com/goldmansachs/broadridgevsm/ |
* | Please check the meeting materials for any special requirements for meeting attendance. |
V1.2
[Form of Underlying Company Notice of Internet Availability of Proxy Materials]
Vote at www.ProxyVote.com
THIS IS NOT A VOTABLE BALLOT This is an overview of the proposals being presented at the upcoming shareholder meeting. Please follow the instructions on the reverse side to vote these important matters. | ||||||
Voting Items | Board Recommends | |||
1. | To Elect 9 nominees to the Board of Trustees of the Trust | |||
Nominees: 01) Cheryl K. Beebe 06) Steven D. Krichmar 02) John G. Chou 07) Michael Latham 03) Eileen H. Dowling 08) Lawrence W. Stranghoener 04) Lawrence Hughes 09) Paul C. Wirth 05) John F. Killian | For | |||
2. | To transact such other business as may properly come before the Meeting or any adjournment(s) or postponement(s) thereof. | |||
Prefer to receive an email instead? While voting on www.ProxyVote.com, be sure to click “Delivery Settings”. |
V22765-Z86055