Major Shareholders. Please state below the names of persons or groups known by you to own beneficially1 more than 5% of the Company’s Common Stock. Answer:
Major Shareholders. 7.1 To the extent known to NATIXIS, state whether NATIXIS is directly or indirectly owned or controlled and by whom, and describe the nature of such control, and describe the measures in place to ensure that such control is not abused: Pages 450 and 453 of the 2017 NATIXIS Registration Document
Major Shareholders. As of February 7, 2002, the only persons who owned of record or were known by the Fund to own of record 5% or more of the Fund's outstanding shares were: Unified Fund Services, Inc., 000 Xxxxx Xxxxxxxxxxxx Xxxxxx, Xxxxxxxxxxxx, Xxxxxxx 00000-0000, which owned for the benefit of its clients 1,616,830.318 Class A shares (representing 5.01% of the Class A shares then outstanding); Xxxxxxx Xxxxx Xxxxxx Xxxxxx & Xxxxx, Inc., 0000 Xxxx Xxxx Xxxxx Xxxx, Xxxxx 0, Xxxxxxxxxxxx, Xxxxxxx 00000-0000, which owned for the benefit of its clients 949,677.263 Class B shares (representing 5.17% of the Class B shares then outstanding); Xxxxxxx Xxxxx Xxxxxx Xxxxxx & Xxxxx, Inc., 0000 Xxxx Xxxx Xxxxx Xxxx, Xxxxx 0, Xxxxxxxxxxxx, Xxxxxxx, 00000-0000, which owned for the benefit of its clients 343,534.199 Class C shares (representing 6.92% of the Class C shares then outstanding); RPSS TR, VML Inc. 401k Plan, 000 XX Xxxxxxxxxx Road, Kansas City, MO 64116-4272, which owned for the benefit of its clients 47,267.046 Class N shares (representing 15.89% of the Class N shares then outstanding); RPSS TR, Xxxx Farms, 000 Xxxxxx Xxxxxx, Xxxxxxxx, XX 00000-0000, which owned for the benefit of its clients 28,121.705 Class N shares (representing 9.45% of the Class N shares then outstanding); RPSS TR, Salem Heating & Sheet Metal Inc., X.X. Xxx 00000, Xxxxx, XX 00000-0000, which owned for the benefit of its clients 27,836.199 Class N shares (representing 9.35% of the Class N shares then outstanding); Reliance Trust Company TR, 0000 Xxxxxxxxx Xxxx, Xxxxx 000, Xxxxxxx, XX 00000, which owned for the benefit of Mesa Industries Inc. 20,047.400 Class N shares (representing 6.74% of the Class N shares then outstanding); Circle Trust Company, 0 Xxxxxxx Xxxxx, Xxxxxxxx, XX 00000-0000, which owned for the benefit of Xxxxx Machinery Company 18,894.282 Class N shares (representing 6.35% of the Class N shares then outstanding); RPSS TR, Xxxx Group 401k PSP, X.X. Xxx 0000, Xxxxxxxx, XX 00000-0000, which owned for the benefit of its clients 16,639.045 Class N shares (representing 5.59% of the Class N shares then outstanding); MassMutual Life Insurance Co., 0000 Xxxxx Xxxxxx, Xxxxxxxxxxx, Xxxxxxxxxxxxx 00000-0000, which owned for the benefit of its clients 1,179,256.932 Class Y shares (representing 87.93% Class Y shares then outstanding); and Persumma Financial Services, Mass Mutual Financial Group, which owned for the benefit of its clients 125,280.922 Class Y shares (representing 9.34% of the Class Y shares...
Major Shareholders. As of March 1, 2002 , the only persons who owned of record or was known by the Fund to own beneficially 5% or more of the Fund's outstanding securities of any class were: Xxxxxxx Xxxxx, Xxxxxx Xxxxxx & Xxxxx, 0000 Xxxx Xxxx Xxxxx, Xxxx, Xxxxxxxxxxxx, Xxxxxxx 00000, which owned 9,986,415.908 Class A shares (representing approximately 26.95% of the Class A shares then outstanding), 1,438,654.160 Class B shares (representing approximately 9.08% of the Class B shares then outstanding) and 1,215,164.229 Class C shares (representing approximately 14.90% of the Class C shares then outstanding), which it advised the Fund that it held for the benefit of its customers, Sterling Trust Co. TR Zomba Recording 401(k), 0000 Xxxxxxxx Xxxxxx, Denver, CO 80204-2060, which owned 57,153.397 Class N shares (representing approximately 12.50% of the Class N shares then outstanding) and Sterling Trust CO XX Xxxxxx Reliable Tool & Manufact., 0000 Xxxxxxxx Street, Denver, CO 80204-2060, which owned 35,657.141 Class N shares (representing approximately 7.80% of the Class N shares then outstanding), Xxxxxxx Di Xxxxx TR, TJH Medical Services PC 401(k), 0000 000xx Xxxxxx, Xxxxxxx, XX 00000-0000, which owned 29,315.095 Class N shares (representing approximately 6.41% of the Class N shares then outstanding), RPSS TR, KAZ, Inc. 401(k) Plan, 0000 Xxxxxxxx, Xxx Xxxx, XX 00000, which owned 27,472.798 Class N shares (representing approximately 6.01% of the Class N shares then outstanding). The Manager. The Manager is wholly-owned by Xxxxxxxxxxx Acquisition Corp., a holding company controlled by Massachusetts Mutual Life Insurance Company.
Major Shareholders. As of February 1, 2002, the only people who owned of record or was known by the Fund to beneficially own 5% or more of any class of the Fund's outstanding Class A, Class B, Class C, Class N or Class Y shares were: Xxxxxxx XxXxxxx TR, TJH Medical Services PC 401k, 0000 000xx Xxxxxx, Xxxxx 0X, Xxxxxxx, Xxx Xxxx 00000-0000, which owned 285,952.713 Class N shares, (56.77% of the Class N shares then outstanding). Xxxxx Xxxxx TR, Jamaica Psychiatric Services PC 401k, 0000 000xx Xxxxxx, Xxxxx 0X, Xxxxxxx, Xxx Xxxx 00000-2834, which owned 42,243.173 Class N shares, (8.38% of the Class N shares then outstanding). Persumma Financial Services, Mass Mutual Financial Group, 0000 Xxxxx Xxxxxx, # X000, Xxxxxxxxxxx, Xxxxxxxxxxxxx 00000-0000, which owned 367,158.141 Class Y shares, (99.97% of the Class Y shares then outstanding). The Manager. The Manager is wholly-owned by Xxxxxxxxxxx Acquisition Corp., a holding company controlled by Massachusetts Mutual Life Insurance Company.
Major Shareholders. As of February 1, 2002, the only persons who owned of record or were known by the Fund to own beneficially 5% or more of any class of the Fund's outstanding shares were: Xxxxxxx Xxxxxx & Co, Inc., Attn: Mutual Funds, 000 Xxxxxxxxxx Xxxxxx, San Francisco, California 94101-4122, which owned for the benefit of its customers 708,493.184 Class A shares (representing 7.30% of the Class A shares then outstanding);
Major Shareholders. As of November 5, 2001, the only persons who owned of record or who were known by the Fund to own beneficially 5% or more of the Fund's outstanding Class A, Class B or Class C shares were: Xxxxxxx Xxxxx Xxxxxx Xxxxxx & Xxxxx, Inc., for the Sole Benefit of its Customers, Attn: Fund Admin./#97BH8, 0000 Xxxx Xxxx Xxxxx Xxxx, Xxxxx 0, Xxxxxxxxxxxx, Xxxxxxx 00000-0000, which owned 736,901.304 Class B shared (5.70% of the Class B shares then still outstanding), for the benefit of its customers. Xxxxxxx Xxxxx Xxxxxx Xxxxxx & Xxxxx, Inc. for the Sole Benefit of its Customers, Attn: Fund Admin./#97HU7, 0000 Xxxx Xxxx Xxxxx Xxxx, Xxxxx 0, Xxxxxxxxxxxx, Xxxxxxx 00000-0000, which owned 245,386.888 Class C shares, (11.89% of the Class C shares then still outstanding), for the benefit of its customers. The Manager. The Manager is wholly-owned by Xxxxxxxxxxx Acquisition Corp., a holding company controlled by Massachusetts Mutual Life Insurance Company. The Manager and the Fund have a Code of Ethics. It is designed to detect and prevent improper personal trading by certain employees, including portfolio managers, that would compete with or take advantage of the Fund's portfolio transactions. Compliance with the Code of Ethics is carefully monitored and strictly enforced by the Manager. The portfolio managers of the Fund are principally responsible for the day-to-day management of the Fund's investment portfolio. Other members of the Manager's fixed-income portfolio department, particularly security analysts, traders and other portfolio managers have broad experience with fixed-income securities. They provide the Fund's portfolio managers with research and support in managing the Fund's investments.
Major Shareholders. As of January 3, 2002, the only persons who owned of record or who were known by the Fund to own beneficially 5% or more of the Fund's outstanding Class A, Class B or Class C shares were: Xxxxxxx Xxxxx Xxxxxx Xxxxxx & Xxxxx Inc. (which advised the Fund that such shares were held beneficially for its customers); Attn. Fund Admin/#97A90, 0000 Xxxx Xxxx Xxxxx Xxxx, Xxxxx 0, Xxxxxxxxxxxx, XX 00000, which owned 339,189.712 Class B shares (approximately 9.90% of the Class B shares then outstanding) and 95,332.131 Class C shares (approximately 13.91% of the Class C shares then outstanding). The Manager. The Manager is wholly-owned by Xxxxxxxxxxx Acquisition Corp., a holding company controlled by Massachusetts Mutual Life Insurance Company. The portfolio manager of the Fund is principally responsible for the day-to-day management of the Fund's investment portfolio. Other members of the Manager's fixed-income portfolio department, provide the Fund's portfolio manager with research and support in managing the Fund's portfolio.
Major Shareholders. As of February 8, 2002, the only people who owned of record or was known by the Fund to own beneficially 5% or more of any class of the Fund's outstanding Class A, Class B, Class C, Class N or Class Y shares were: Xxxxxxx Xxxxxx & Company Inc., Special Custody Account for the Exclusive Benefit of Customers, Attn Mutual Funds, 000 Xxxxxxxxxx Street, San Francisco, California 94104-4122, which owned 3,178,919.492 Class A shares (8.99% of the Class A shares then outstanding). Xxxxxxx Di Xxxxx TR, TJH Medical Services PC 401k, 0000 000xx Xxxxxx, Xxxxx 0X, Xxxxxxx, Xxx Xxxx 00000-0000, which owned 52,656.698 Class N shares (15.87% of the Class N shares then outstanding). RPSS TR, VML Inc 401k Plan, Attn Xxxxx Xxxxxxx, 000 XX Xxxxxxxx Road, Kansas City, Missouri 64116-4272, which owned 27,589.035 Class N shares (8.31% of the Class N shares then outstanding). Mass Mutual Life Insurance Company, Attn Xxxxxx Xxxxxxxx N-328, Separate Investment Account, 0000 Xxxxx Xxxxxx, Xxxxxxxxxxx, Xxxxxxxxxxxxx 00000-0000, which owned 223,468.034 Class Y shares (62.83% of the Class Y shares then outstanding). Persumma Financial Services, Mass Mutual Financial Group, 0000 Xxxxx Xxxxxx, #X000, Xxxxxxxxxxx, Xxxxxxxxxxxxx 00000-0000, which owned 120,020.494 Class Y shares (33.74% of the Class Y shares then outstanding). The Manager. The Manager is wholly-owned by Xxxxxxxxxxx Acquisition Corp., a holding company controlled by Massachusetts Mutual Life Insurance Company. |X| Code of Ethics. The Fund, the Manager and the Distributor have a Code of Ethics. It is designed to detect and prevent improper personal trading by certain employees, including portfolio managers, that would compete with or take advantage of the Fund's portfolio transactions. Covered persons include persons with knowledge of the investments and investment intentions of the Fund and other funds advised by the Manager. The Code of Ethics does permit personnel subject to the Code to invest in securities, including securities that may be purchased or held by the Fund, subject to a number of restrictions and controls. Compliance with the Code of Ethics is carefully monitored and enforced by the Manager.
Major Shareholders. As of February 1, 2002, the only persons who owned of record or were known by the Fund to own beneficially 5% or more of any class of the Fund's outstanding shares were: Xxxxxxx Xxxxx Xxxxxx Xxxxxx & Xxxxx, Attn: Fund Admin./#97HX7, 0000 Xxxx Xxxx Xxxxx Xxxx, Xxxxx 0, Xxxxxxxxxxxx Xxxxxxx 00000-0000, which owned 694,835.576 Class C shares (representing 8.19% of the Class C shares then outstanding), for the benefit of its customers; PECO Foods Inc., Attn: M Xxxxxxx & X. Xxxxxx, P.O. Box # 1760, Tuscaloosa, AL 35403-1760, which owned 60,987.517 Class N shares (representing 25.42% of the Class N shares then outstanding); Xxxxxxx Xxxxxx Inc, Attn: Xxxxx Xxxxxxx, 000 Xxxxxxx Xxxx Road, W.Greenwich, RI 02817-1709, which owned 20,769.700 Class N shares (representing 8.66% of the Class N shares then outstanding); Kaz, Inc., Attn: Xxxxxx Xxxxxxx, 0000 Xxxxxxxx, Xxxxx 0000 Xxx Xxxx, XX 00000-1903, which owned 15.066.735 Class N shares (representing 6.28% of the Class N shares then outstanding); Capital Communications Federal, 00 Xxxxxxxx Xxxxx, Xxxxxx, XX 00000-1111, which owned 12,378.805 Class N shares (representing 5.16% of the Class N shares than outstanding); Mass Mutual Life Insurance Co, Attn: Xxxxxx Xxxxxxxx, 0000 Xxxxx Xxxxxx, Xxxxxxxxxxx Xxxxxxxxxxxxx 0000-0000, which owned 743,662.625 Class Y shares (representing 83.42% of the Class Y shares then outstanding); and Persumma Financial Services, 0000 Xxxxx Xxxxxx, # X000, Xxxxxxxxxxx, XX 00000-0000, which owned 112,113.303 Class Y shares (representing 12.57% of the Class Y shares then outstanding). The Manager. The Manager is wholly-owned by Xxxxxxxxxxx Acquisition Corp., a holding company controlled by Massachusetts Mutual Life Insurance Company. |X| Code of Ethics. The Fund, the Manager and the Distributor have a Code of Ethics. It is designed to detect and prevent improper personal trading by certain employees, including portfolio managers, that would compete with or take advantage of the Fund's portfolio transactions. Covered persons include persons with knowledge of the investments and investment intentions of the Fund and other funds advised by the Manager. The Code of Ethics does permit personnel subject to the Code to invest in securities, including securities that may be purchased or held by the Fund, subject to a number of restrictions and controls. Compliance with the Code of Ethics is carefully monitored and enforced by the Manager.
