REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 |
[ X ]
|
|||
Pre-Effective Amendment No.
|
[ ]
|
[ ]
|
||
Post-Effective Amendment No.
|
210
|
[ X ]
|
||
and/or
|
||||
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 |
[ X ]
|
|||
Amendment No.
|
165
|
[ X ]
|
|
Class A
|
|
Class C
|
|
Institutional
Class |
Neuberger Berman Guardian Fund
|
NGDAX
|
|
NGDCX
|
|
NGDLX
|
Neuberger Berman Small Cap Growth Fund
|
NSNAX
|
|
NSNCX
|
|
NBSMX
|
|
Class A
|
Class C
|
Institutional Class
|
|
Shareholder Fees
(fees paid directly from your investment)
|
|
|
|
|
Maximum initial sales charge on purchases (as a % of offering price)
|
5.75
|
None
|
None
|
|
Maximum contingent deferred sales charge (as a % of the lower of original purchase price or current market value)
1
|
None
|
1.00
|
None
|
|
Annual Fund Operating Expenses
(expenses that you pay each year as a % of the value of your investment)
|
|
|
|
|
Management fees
|
||||
Distribution and/or shareholder service (12b-1) fees
|
0.25
|
1.00
|
None
|
|
Other expenses
|
||||
Total annual operating expenses
|
|
|||
1
|
For Class A shares, a contingent deferred sales charge (“CDSC”) of 1.00% applies on certain redemptions made within 18 months following purchases of $1 million or more made without an initial sales charge. For Class C shares, the CDSC is eliminated one year after purchase.
|
|
1 Year
|
3 Years
|
5 Years
|
10 Years
|
Class A
|
||||
Class C (assuming redemption)
|
|
|||
Class C (assuming no redemption)
|
|
|||
Institutional Class
|
Guardian Fund
|
1 Year
|
5 Years
|
10 Years
|
Institutional Class Return Before Taxes
|
|
|
|
Institutional Class Return After Taxes on Distributions
|
|
|
|
Institutional Class Return After Taxes on Distributions and Sale of Fund Shares
|
|
|
|
Class A Return Before Taxes
|
|
|
|
Class C Return Before Taxes
|
|
|
|
S&P 500
®
Index (reflects no deduction for fees, expenses or taxes)
|
|
|
|
After-tax returns are shown for Institutional Class shares only and after-tax returns for other classes may vary. After-tax returns are calculated using the historical highest individual federal marginal income tax rates and do not reflect the impact of state and local taxes. Actual after-tax returns depend on an investor’s tax situation and may differ from those shown. After-tax returns are not relevant to investors who hold their Fund shares through tax-deferred arrangements, such as 401(k) plans or individual retirement accounts. Return After Taxes on Distributions and Sale of Fund Shares may be higher than other returns for the same period due to a tax benefit of realizing a capital loss upon the sale of Fund shares.
|
|
Class A
|
Class C
|
Institutional Class
|
||
Shareholder Fees
(fees paid directly from your investment)
|
|
|
|
||
Maximum initial sales charge on purchases (as a % of offering price)
|
5.75
|
None
|
None
|
||
Maximum contingent deferred sales charge (as a % of the lower of original purchase price or current market value)
1
|
None
|
1.00
|
None
|
||
Annual Fund Operating Expenses
(expenses that you pay each year as a % of the value of your investment)
|
|
|
|
||
Management fees
|
|||||
Distribution and/or shareholder service (12b-1) fees
|
0.25
|
1.00
|
None
|
||
Other expenses
|
|||||
Total annual operating expenses
|
|||||
Fee waiver and/or expense reimbursement
|
|||||
Total annual operating expenses after fee waiver and/or expense reimbursement
2
|
|||||
1
|
For Class A shares, a contingent deferred sales charge (“CDSC”) of 1.00% applies on certain redemptions made within 18 months following purchases of $1 million or more made without an initial sales charge. For Class C shares, the CDSC is eliminated one year after purchase.
|
||||
2
|
Neuberger Berman Investment Advisers LLC (“Manager”) has contractually undertaken to waive and/or reimburse certain fees and expenses of Class A, Class C and Institutional Class so that the total annual operating expenses (excluding interest, taxes, brokerage commissions, acquired fund fees and expenses, dividend and interest expenses relating to short sales, and extraordinary expenses, if any) of each class are limited to [1.26]%, [2.01]% and [0.90]% of average net assets, respectively. Each of these undertakings lasts until [8/31/2021] and may not be terminated during its term without the consent of the Board of Trustees. The Fund has agreed that each of Class A, Class C and Institutional Class will repay the Manager for fees and expenses waived or reimbursed for the class provided that repayment does not cause annual operating expenses to exceed [1.26]%, [2.01]% and [0.90]% of the class’ average net assets, respectively. Any such repayment must be made within three years after the year in which the Manager incurred the expense.
|
|
1 Year
|
3 Years
|
5 Years
|
10 Years
|
Class A
|
||||
Class C (assuming redemption)
|
||||
Class C (assuming no redemption)
|
||||
Institutional Class
|
§
|
Underappreciated Growth:
Companies with underappreciated, and potentially transformative, near-term catalysts that the Portfolio Managers believe are capable of advancing the development of underlying corporate fundamentals or, in the case of early development-stage companies, initiating a path to revenue and eventually earnings growth
|
§
|
Strengthening Growth:
More established companies that are endeavoring to expand their product offerings, broaden operational depth and strengthen top- and bottom-line consistency
|
§
|
Opportunistic Growth:
Companies that the Portfolio Managers believe represent an opportunistic valuation play because their potential has yet to be unlocked, they are raising capital or they have fallen out of favor due to what the Portfolio Managers believe is a shorter-term and correctable issue
|
Small Cap Growth Fund
|
1 Year
|
5 Years
|
10 Years
|
Institutional Class Return Before Taxes
|
|
|
|
Institutional Class Return After Taxes on Distributions
|
|
|
|
Institutional Class Return After Taxes on Distributions and Sale of Fund Shares
|
|
|
|
Class A Return Before Taxes
|
|
|
|
Class C Return Before Taxes
|
|
|
|
Russell 2000
®
Growth Index (reflects no deduction for fees, expenses or taxes)
|
|
|
|
Russell 2000
®
Index (reflects no deduction for fees, expenses or taxes)
|
|
|
|
After-tax returns are shown for Institutional Class shares only and after-tax returns for other classes may vary. After-tax returns are calculated using the historical highest individual federal marginal income tax rates and do not reflect the impact of state and local taxes. Actual after-tax returns depend on an investor’s tax situation and may differ from those shown. After-tax returns are not relevant to investors who hold their Fund shares through tax-deferred arrangements, such as 401(k) plans or individual retirement accounts.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
14.21
|
15.08
|
11.92
|
10.82
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(4)
|
0.09
|
0.06
|
0.03
|
0.06
|
|
||
Net gains (losses)—realized and unrealized
|
2.79
|
(0.45)
|
0.82
|
1.55
|
|
||
Subtotal: income (loss) from investment operations
|
2.88
|
(0.39)
|
0.85
|
1.61
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Income dividends
|
0.10
|
0.14
|
0.09
|
0.10
|
|
||
Capital gain distributions
|
1.91
|
2.63
|
1.86
|
1.85
|
|
||
Subtotal: distributions to shareholders
|
2.01
|
2.77
|
1.95
|
1.95
|
|
||
Equals:
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
15.08
|
11.92
|
10.82
|
10.48
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense reimbursement/repayment and/or offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses - actual
|
1.09
|
1.07
|
1.07
|
1.09
|
|
||
Gross expenses
|
1.08
(1)
|
1.07
|
1.07
|
1.10
(1)
|
|
||
Net investment income (loss)—actual
|
0.64
|
0.46
|
0.27
|
0.56
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
(5)
|
21.62
(3)
|
(3.23)
|
8.32
|
17.28
|
|
||
Net assets at end of year (in millions of dollars)
|
73.8
|
79.3
|
6.6
|
5.6
|
|
||
Portfolio turnover rate (%)
|
37
|
31
|
99
|
37
|
|
||
(1)
|
Shows what this ratio would have been if there had been no expense reimbursement/repayment.
|
||||||
(2)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(3)
|
Would have been lower/higher if the Manager had not reimbursed/recouped certain expenses.
|
||||||
(4)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
||||||
(5)
|
Does not include the effect of sales charges.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
15.96
|
17.18
|
13.97
|
13.03
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(4)
|
(0.03)
|
(0.05)
|
(0.04)
|
(0.02)
|
|
||
Net gains (losses)—realized and unrealized
|
3.16
|
(0.53)
|
0.96
|
1.93
|
|
||
Subtotal: income (loss) from investment operations
|
3.13
|
(0.58)
|
0.92
|
1.91
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Income dividends
|
0.00
|
—
|
—
|
0.03
|
|
||
Capital gain distributions
|
1.91
|
2.63
|
1.86
|
1.85
|
|
||
Subtotal: distributions to shareholders
|
1.91
|
2.63
|
1.86
|
1.88
|
|
||
Equals:
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
17.18
|
13.97
|
13.03
|
13.06
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense reimbursement/repayment and/or offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses - actual
|
1.86
|
1.83
|
1.85
|
1.84
|
|
||
Gross expenses
|
1.84
(1)
|
1.83
|
1.85
|
1.84
(1)
|
|
||
Net investment income (loss)—actual
|
(0.15)
|
(0.30)
|
(0.34)
|
(0.20)
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
(5)
|
20.71
(3)
|
(4.01)
|
7.47
|
16.53
|
|
||
Net assets at end of year (in millions of dollars)
|
2.9
|
2.4
|
2.4
|
1.6
|
|
||
Portfolio turnover rate (%)
|
37
|
31
|
99
|
37
|
|
||
(1)
|
Shows what this ratio would have been if there had been no expense reimbursement/repayment.
|
||||||
(2)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(3)
|
Would have been lower/higher if the Manager had not reimbursed/recouped certain expenses.
|
||||||
(4)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
||||||
(5)
|
Does not include the effect of sales charges.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
18.62
|
20.47
|
17.17
|
16.50
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(4)
|
0.20
|
0.16
|
0.12
|
0.15
|
|
||
Net gains (losses)—realized and unrealized
|
3.70
|
(0.65)
|
1.22
|
2.50
|
|
||
Subtotal: income (loss) from investment operations
|
3.90
|
(0.49)
|
1.34
|
2.65
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Income dividends
|
0.14
|
0.18
|
0.15
|
0.14
|
|
||
Capital gain distributions
|
1.91
|
2.63
|
1.86
|
1.85
|
|
||
Subtotal: distributions to shareholders
|
2.05
|
2.81
|
2.01
|
1.99
|
|
||
Equals:
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
20.47
|
17.17
|
16.50
|
17.16
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense reimbursement/repayment and/or offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses—actual
|
0.71
|
0.71
|
0.72
|
0.71
|
|
||
Gross expenses
|
0.71
|
0.71
|
0.72
|
0.72
(1)
|
|
||
Net investment income (loss)—actual
|
1.01
|
0.82
|
0.73
|
0.94
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
|
22.03
|
(2.84)
|
8.68
|
17.72
|
|
||
Net assets at end of year (in millions of dollars)
|
129.4
|
94.1
|
59.0
|
70.2
|
|
||
Portfolio turnover rate (%)
|
37
|
31
|
99
|
37
|
|
||
(1)
|
Shows what this ratio would have been if there had been no expense reimbursement/repayment.
|
||||||
(2)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(3)
|
Would have been lower/higher if the Manager had not reimbursed/recouped certain expenses.
|
||||||
(4)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
26.36
|
29.92
|
32.15
|
29.53
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(4)
|
(0.28)
|
(0.33)
|
(0.25)
|
(0.30)
|
|
||
Net gains (losses)—realized and unrealized
|
3.84
|
2.56
|
(0.82)
|
6.76
|
|
||
Subtotal: income (loss) from investment operations
|
3.56
|
2.23
|
(1.07)
|
6.46
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Capital gain distributions
|
—
|
—
|
1.55
|
—
|
|
||
Subtotal: distributions to shareholders
|
—
|
—
|
1.55
|
—
|
|
||
Equals:
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
29.92
|
32.15
|
29.53
|
35.99
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense reimbursement and/or offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses—actual
|
1.26
|
1.26
|
1.26
|
1.26
|
|
||
Gross expenses
(1)
|
1.81
|
1.83
|
1.95
|
1.90
|
|
||
Net investment income (loss)—actual
|
(0.96)
|
(1.01)
|
(0.88)
|
(0.93)
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
(3)(5)
|
13.51
|
7.45
|
(3.18)
|
21.88
|
|
||
Net assets at end of year (in millions of dollars)
|
4.4
|
5.1
|
3.5
|
3.3
|
|
||
Portfolio turnover rate (%)
|
284
|
336
|
164
|
215
|
|
||
(1)
|
Shows what this ratio would have been if there had been no expense reimbursement.
|
||||||
(2)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(3)
|
Would have been lower if the Manager had not reimbursed certain expenses.
|
||||||
(4)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
||||||
(5)
|
Does not include the effect of sales charges.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
17.01
|
19.16
|
20.44
|
18.05
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(4)
|
(0.32)
|
(0.36)
|
(0.28)
|
(0.33)
|
|
||
Net gains (losses)—realized and unrealized
|
2.47
|
1.64
|
(0.56)
|
4.12
|
|
||
Subtotal: income (loss) from investment operations
|
2.15
|
1.28
|
(0.84)
|
3.79
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Capital gain distributions
|
—
|
—
|
1.55
|
—
|
|
||
Subtotal: distributions to shareholders
|
—
|
—
|
1.55
|
—
|
|
||
Equals:
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
19.16
|
20.44
|
18.05
|
21.84
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense reimbursement and/or offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses—actual
|
2.01
|
2.01
|
2.01
|
2.01
|
|
||
Gross expenses
(1)
|
2.57
|
2.58
|
2.68
|
2.63
|
|
||
Net investment income (loss)—actual
|
(1.68)
|
(1.76)
|
(1.63)
|
(1.68)
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
(3)(5)
|
12.64
|
6.68
|
(3.92)
|
21.00
|
|
||
Net assets at end of year (in millions of dollars)
|
1.8
|
2.3
|
1.8
|
2.0
|
|
||
Portfolio turnover rate (%)
|
284
|
336
|
164
|
215
|
|
||
(1)
|
Shows what this ratio would have been if there had been no expense reimbursement.
|
||||||
(2)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(3)
|
Would have been lower if the Manager had not reimbursed certain expenses.
|
||||||
(4)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
||||||
(5)
|
Does not include the effect of sales charges.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
24.51
|
27.92
|
30.11
|
27.66
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(4)
|
(0.15)
|
(0.20)
|
(0.14)
|
(0.17)
|
|
||
Net gains (losses)—realized and unrealized
|
3.56
|
2.39
|
(0.76)
|
6.34
|
|
||
Subtotal: income (loss) from investment operations
|
3.41
|
2.19
|
(0.90)
|
6.17
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Capital gain distributions
|
—
|
—
|
1.55
|
—
|
|
||
Subtotal: distributions to shareholders
|
—
|
—
|
1.55
|
—
|
|
||
Equals:
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
27.92
|
30.11
|
27.66
|
33.83
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense reimbursement and/or offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses—actual
|
0.90
|
0.90
|
0.90
|
0.90
|
|
||
Gross expenses
(1)
|
1.48
|
1.44
|
1.55
|
1.50
|
|
||
Net investment income (loss)—actual
|
(0.54)
|
(0.65)
|
(0.53)
|
(0.57)
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
(3)
|
13.91
|
7.84
|
(2.82)
|
22.31
|
|
||
Net assets at end of year (in millions of dollars)
|
19.0
|
20.7
|
9.4
|
11.8
|
|
||
Portfolio turnover rate (%)
|
284
|
336
|
164
|
215
|
|
||
(1)
|
Shows what this ratio would have been if there had been no expense reimbursement.
|
||||||
(2)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(3)
|
Would have been lower if the Manager had not reimbursed certain expenses.
|
||||||
(4)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
■
|
how long you expect to own the shares
|
■
|
how much you intend to invest
|
■
|
total expenses associated with owning shares of each class
|
■
|
whether you qualify for any reduction or waiver of sales charges (for example, Class A shares may be a less expensive option than Class C shares over time, particularly if you qualify for a sales charge reduction or waiver)
|
■
|
whether you plan to take any distributions in the near future
|
■
|
availability of (and eligibility for) share classes.
|
Class A Shares
|
|
Initial sales charge
|
Up to 5.75% (reduced for purchases of $50,000 or more and eliminated for purchases of $1 million or more)
|
Contingent deferred sales charge
|
None (except that a charge of 1.00% applies to certain redemptions made within 18 months following purchases of $1 million or more without an initial sales charge)
|
12b-1 fees
|
0.25% annually
|
Dividends
|
Generally higher than Class C due to lower annual expenses and lower than Institutional Class due to higher annual expenses
|
Purchase maximum
|
None
|
Conversion
|
None
|
Class C Shares
|
|
Initial sales charge
|
None
|
Contingent deferred sales charge
|
1.00% if shares are sold within one year after purchase
|
12b-1 fees
|
1.00% annually
|
Dividends
|
Generally lower than Class A and Institutional Class due to higher annual expenses
|
Purchase maximum
|
See the discussion regarding purchase minimums and maximums in “Maintaining Your Account”
|
Conversion
|
None
|
Institutional Class Shares
|
|
Initial sales charge
|
None
|
Contingent deferred sales charge
|
None
|
12b-1 fees
|
None
|
Dividends
|
Generally higher than Class A and Class C due to lower annual expenses
|
Purchase maximum
|
None
|
Conversion
|
None
|
■
|
both accounts must have the same registration
|
■
|
you will need to observe any eligibility requirements, including minimum investment and minimum account balance requirements for the fund accounts involved
|
■
|
because an exchange is treated as a sale (redemption) of the exchanged shares for federal income tax purposes, consider any tax consequences before placing your order.
|
■
|
in unusual circumstances where the law allows additional time if needed
|
■
|
if a check you wrote to buy shares has not cleared by the time you sell those shares; clearance may take up to 15 calendar days from the date of purchase.
|
■
|
suspend the offering of shares
|
■
|
reject any exchange or purchase order
|
■
|
suspend or reject future purchase orders from any investor who has not provided timely payment to settle a purchase order
|
■
|
change, suspend, or revoke the exchange privilege
|
■
|
suspend the telephone order privilege
|
■
|
satisfy an order to sell Fund shares with securities rather than cash
|
■
|
suspend or postpone investors’ ability to sell Fund shares or postpone payments on redemptions for more than seven days, on days when trading on the New York Stock Exchange (“Exchange”) is restricted, or as otherwise permitted by the Securities and Exchange Commission (“SEC”)
|
■
|
change its investment minimums or other requirements for buying and selling, or waive any minimums or requirements for certain investors
|
■
|
remain open and process orders to purchase or sell Fund shares when the Exchange is closed.
|
|
Sales charges as a percentage of:
|
|
|
Investment
|
Offering Price
|
Net amount
invested |
Dealer commission
as a percentage of offering price |
Less than $50,000
|
5.75%
|
6.10%
|
5.00%
|
$50,000 or more but less than $100,000
|
4.75%
|
4.99%
|
4.00%
|
$100,000 or more but less than $250,000
|
3.75%
|
3.90%
|
3.00%
|
$250,000 or more but less than $500,000
|
2.75%
|
2.83%
|
2.25%
|
$500,000 or more but less than $1 million
|
2.00%
|
2.04%
|
1.75%
|
$1 million or more and certain other investments described below
|
None
|
None
|
See below
|
1.
|
current or retired directors, trustees, and officers of the Neuberger Berman Funds, current or retired employees and partners of NB Group and any affiliates, or of any entity controlling, controlled by or under common control with a Neuberger Berman Fund, NB Group and any affiliates;
|
2.
|
current employees of firms, including wholesalers, that have entered into selling agreements to distribute shares of the Neuberger Berman Funds;
|
3.
|
current employees of registered investment advisers that invest in the Neuberger Berman Funds either for proprietary accounts or on behalf of clients;
|
4.
|
immediate family members of persons listed in (1) through (3) above (as “immediate family” is defined below);
|
5.
|
companies exchanging securities with a Fund through a merger, acquisition or exchange offer;
|
6.
|
insurance company separate accounts;
|
7.
|
NB Group and its affiliated companies;
|
8.
|
an individual or entity with a substantial client relationship with NB Group and its affiliated companies, or an individual or entity related or relating to such individual or entity that holds its shares directly with a Fund;
|
9.
|
financial intermediaries (including but not limited to registered investment advisors and financial planners) that have entered into an agreement with the Distributor or one of its affiliates, purchasing shares on behalf of clients participating in a fund supermarket or in a wrap program, asset allocation program or other program in which the clients pay an asset-based fee;
|
10.
|
Employer-sponsored qualified retirement plans, including 401(k) plans, 457 plans, group 403(b) plans and individual 403(b) accounts, maintained at a financial intermediary that has an agreement with the Distributor, the Manager or the Administrator, profit-sharing and money purchase pension plans, defined benefit plans and non-qualified deferred compensation plans; and individual retirement account (“IRA”) rollovers involving retirement plan assets invested in the Funds and transferred in-kind to an IRA held at a financial intermediary that has an agreement with the Distributor, the Manager or the Administrator to service such accounts;
|
11.
|
Employee benefit and retirement plans sponsored by NB Group and any affiliates and any entity controlling, controlled by or under common control with NB Group and any affiliates;
|
12.
|
Certain IRAs that are part of an IRA platform sponsored by or maintained at a financial intermediary that has an agreement with the Distributor, the Manager or the Administrator which specifically provides that the Funds' shares are offered at NAV on such IRA platform; and
|
13.
|
Qualified Tuition Programs under Section 529 of the Code.
|
■
|
trust accounts established by you or your immediate family (for trusts with only one primary beneficiary, upon the trustor’s death the trust account may be aggregated with such beneficiary’s own accounts; for trusts with multiple primary beneficiaries, upon the trustor’s death the trustees of the trust may instruct the Fund’s transfer agent to establish separate trust accounts for each primary beneficiary; each primary beneficiary’s separate trust account may then be aggregated with such beneficiary’s own accounts);
|
■
|
business accounts solely controlled by you or your immediate family (for example, you own the entire business);
|
■
|
individual retirement plans, such as an IRA, individual 403(b) plan (see exception in “Purchases by certain 403(b) plans” under “Sales Charges”) or single-participant Keogh-type plan ;
|
■
|
endowments or foundations established and controlled by you or your immediate family; or
|
■
|
529 accounts, which will be aggregated at the account owner level.
|
■
|
for a single trust estate or fiduciary account, including employee benefit plans other than the individual-type employee benefit plans described above;
|
■
|
made for two or more employee benefit plans of a single employer or of affiliated employers as defined in the 1940 Act, excluding the individual-type employee benefit plans described above;
|
■
|
for a diversified common trust fund or other diversified pooled account not specifically formed for the purpose of accumulating Fund shares;
|
■
|
for nonprofit, charitable or educational organizations, or any endowments or foundations established and controlled by such
|
|
organizations, or any employer-sponsored retirement plans established for the benefit of the employees of such organizations, their endowments, or their foundations; or
|
■
|
for individually established participant accounts of a 403(b) plan that is treated similarly to an employer-sponsored plan for sales charge purposes (see “Purchases by certain 403(b) plans” under “Sales Charges” above), or made for two or more such 403(b) plans that are treated similarly to employer-sponsored plans for sales charge purposes, in each case of a single employer or affiliated employers as defined in the 1940 Act.
|
■
|
permitted exchanges of shares, except if shares acquired by exchange are then redeemed within the period during which contingent deferred sales charge would apply to the initial shares purchased
|
■
|
tax-free returns of excess contributions to IRAs
|
■
|
redemptions due to death or post-purchase disability of the shareholder (this generally excludes accounts registered in the names of trusts and other entities). In the case of joint tenant accounts, if one joint tenant dies, a surviving joint tenant, at the time he or she notifies the Fund’s transfer agent of the other joint tenant’s death and removes the decedent’s name from the account, may redeem shares from the account without incurring a CDSC. Redemptions made after the date of such notification will be subject to a CDSC.
|
■
|
distributions from an IRA upon the shareholder’s attainment of age 59½
|
■
|
the following types of transactions, if together they do not exceed 12% of the value of an “account” (defined below) annually (the 12% limit):
|
■
|
purchases where no commission or transaction fee is paid by the Distributor to authorized dealers at the time of purchase.
|
Method
|
Things to know
|
Instructions
|
Sending us a check
|
Grandfathered Investors:
Your first investment must be at least $1,000
Additional investments can be as little as $100
Eligible Investors:
Your first investment must be at least $1 million
Direct Investors:
We cannot accept cash, money orders, starter checks, travelers checks, or other cash equivalents
We do accept Bank Checks and Cashier’s Checks from U.S. Financial Institutions
You will be responsible for any losses or fees resulting from a bad check; if necessary, we may sell other shares belonging to you in order to cover these losses
All checks must be made out to “Neuberger Berman Funds”; we cannot accept checks made out to you or other parties and signed over to us
|
Fill out the application and enclose your check
If regular first-class mail, send to:
Neuberger Berman Funds
Boston Service Center P.O. Box 8403 Boston, MA 02266-8403
If express delivery, registered mail, or certified mail, send to:
Neuberger Berman Funds
c/o State Street Bank and Trust Company 30 Dan Road Canton, MA 02021 |
Wiring money
|
Grandfathered Investors:
All wires must be for at least $1,000
Eligible Investors:
Your first investment must be at least $1 million
|
Grandfathered Investors:
Before wiring any money, call 800-877-9700 for an order confirmation
Eligible Investors:
Before wiring any money, call 800-366-6264 for an order confirmation.
Direct Investors:
Have your financial institution send your wire to State Street Bank and Trust Company
Include your name, the Fund name, your account number and other information as requested
|
Exchanging from another fund
|
All exchanges must be for at least $1,000
Both accounts involved must be registered in the same name, address and taxpayer identification number
An exchange order cannot be cancelled or changed once it has been placed
|
If you are an individual retail investor, please call 800-877-9700 to place your order
If you are an institution or a financial intermediary, please call 800-366-6264 to place your order
|
By telephone
|
We do not accept phone orders for a first investment
Additional shares will be purchased when your order is received in proper form
Not available on retirement accounts
|
If you are an individual retail investor, please call 800-877-9700 to notify us of your purchase
If you are an institution or a financial intermediary, please call 800-366-6264 to notify us of your purchase
Immediately follow up with a wire or electronic transfer
|
Setting up systematic investments
|
All investments must be at least $100 (and for Institutional Class, in addition to an initial minimum investment of at least $1 million)
|
If you are an individual retail investor, please call 800-877-9700 for instructions
If you are an institution or a financial intermediary, please call 800-366-6264 for instructions
|
■
|
Employer-sponsored retirement plans (e.g., 401(k) plans, 457 plans, employer-sponsored 403(b) plans, profit sharing and money purchase pension plans and defined benefit plans). For purposes of this provision, employer-sponsored retirement plans do not include SEP IRAs, Simple IRAs or SAR-SEPs.
|
|
|
■
|
Shares purchased through an Ameriprise Financial investment advisory program (if an Advisory or similar share class for such investment advisory program is not available).
|
|
|
■
|
Shares purchased by third party investment advisors on behalf of their advisory clients through Ameriprise Financial’s platform (if an Advisory or similar share class for such investment advisory program is not available).
|
|
|
■
|
Shares purchased through reinvestment of capital gains distributions and dividend reinvestment when purchasing shares of the same Fund (but not any other fund within the same fund family).
|
|
|
■
|
Shares exchanged from Class C shares of the same fund in the month of or following the 10-year anniversary of the purchase date. To the extent that this prospectus elsewhere provides for a waiver with respect to such shares following a shorter holding period, that waiver will apply to exchanges following such shorter period. To the extent that this prospectus elsewhere provides for a waiver with respect to exchanges of Class C shares for load waived shares, that waiver will also apply to such exchanges.
|
|
|
■
|
Employees and registered representatives of Ameriprise Financial or its affiliates and their immediate family members.
|
|
|
■
|
Shares purchased by or through qualified accounts (including IRAs, Coverdell Education Savings Accounts, 401(k)s, 403(b) TSCAs subject to ERISA and defined benefit plans) that are held by a covered family member, defined as an Ameriprise financial advisor and/or the advisor’s spouse, advisor’s lineal ascendant (mother, father, grandmother, grandfather, great grandmother, great grandfather), advisor’s lineal descendant (son, step-son, daughter, step-daughter, grandson, granddaughter, great grandson, great granddaughter) or any spouse of a covered family member who is a lineal descendant.
|
|
|
■
|
Shares purchased from the proceeds of redemptions within the same fund family, provided (1) the repurchase occurs within 90 days following the redemption, (2) the redemption and purchase occur in the same account, and (3) redeemed shares were subject to a front-end or deferred sales load (i.e. Rights of Reinstatement).
|
■
|
Employer-sponsored retirement, deferred compensation and employee benefit plans (including health savings accounts) and trusts used to fund those plans, provided that the shares are not held in a commission-based brokerage account and shares are held for the benefit of the plan
|
|
|
■
|
Shares purchased by or through a 529 Plan
|
|
|
■
|
Shares purchased through a Merrill Lynch affiliated investment advisory program
|
|
|
■
|
Shares purchased by third party investment advisors on behalf of their advisory clients through Merrill Lynch’s platform
|
|
|
■
|
Shares of funds purchased through the Merrill Edge Self-Directed platform (if applicable)
|
|
|
■
|
Shares purchased through reinvestment of capital gains distributions and dividend reinvestment when purchasing shares of the same fund (but not any other fund within the fund family)
|
|
|
■
|
Shares exchanged from Class C (
i.e.
level-load) shares of the same fund in the month of or following the 10-year anniversary of the purchase date
|
|
|
■
|
Employees and registered representatives of Merrill Lynch or its affiliates and their family members
|
|
|
■
|
Directors or Trustees of the Fund, and employees of the Fund’s investment adviser or any of its affiliates, as described in the this prospectus
|
|
|
■
|
Shares purchased from the proceeds of redemptions within the same fund family, provided (1) the repurchase occurs within 90 days following the redemption, (2) the redemption and purchase occur in the same account, and (3) redeemed shares were subject to a front-end or deferred sales load (known as Rights of Reinstatement)
|
■
|
Death or disability of the shareholder
|
|
|
■
|
Shares sold as part of a systematic withdrawal plan as described in the Fund’s prospectus
|
|
|
■
|
Return of excess contributions from an IRA Account
|
|
|
■
|
Shares sold as part of a required minimum distribution for IRA and retirement accounts due to the shareholder reaching age 70½
|
|
|
■
|
Shares sold to pay Merrill Lynch fees but only if the transaction is initiated by Merrill Lynch
|
|
|
■
|
Shares acquired through a right of reinstatement
|
|
|
■
|
Shares held in retirement brokerage accounts, that are exchanged for a lower cost share class due to transfer to a fee based account or platform (applicable to A and C shares only)
|
■
|
Breakpoints as described in this prospectus.
|
|
|
■
|
Rights of Accumulation (ROA) which entitle shareholders to breakpoint discounts will be automatically calculated based on the aggregated holding of fund family assets held by accounts within the purchaser’s household at Merrill Lynch. Eligible fund family assets not held at Merrill Lynch may be included in the ROA calculation only if the shareholder notifies his or her financial advisor about such assets
|
|
|
■
|
Letters of Intent (LOI) which allow for breakpoint discounts based on anticipated purchases within a fund family, through Merrill Lynch, over a 13-month period of time (if applicable)
|
■
|
Employer-sponsored retirement plans (e.g., 401(k) plans, 457 plans, employer-sponsored 403(b) plans, profit sharing and money purchase pension plans and defined benefit plans). For purposes of this provision, employer-sponsored retirement plans do not include SEP IRAs, Simple IRAs, SAR-SEPs or Keogh plans
|
|
|
■
|
Morgan Stanley employee and employee-related accounts according to Morgan Stanley’s account linking rules
|
|
|
■
|
Shares purchased through reinvestment of dividends and capital gains distributions when purchasing shares of the same fund
|
|
|
■
|
Shares purchased through a Morgan Stanley self-directed brokerage account
|
|
|
■
|
Class C (i.e., level-load) shares that are no longer subject to a contingent deferred sales charge and are converted to Class A shares of the same fund pursuant to Morgan Stanley Wealth Management’s share class conversion program
|
|
|
■
|
Shares purchased from the proceeds of redemptions within the same fund family, provided (i) the repurchase occurs within 90 days following the redemption, (ii) the redemption and purchase occur in the same account, and (iii) redeemed shares were subject to a front-end or deferred sales charge.
|
■
|
a discussion by the Portfolio Managers about strategies and market conditions that significantly affected the Fund’s performance during the last fiscal year or fiscal period
|
■
|
Fund performance data and financial statements
|
■
|
portfolio holdings.
|
■
|
various types of securities and practices, and their risks
|
■
|
investment limitations and additional policies
|
■
|
information about the Fund’s management and business structure.
|
|
Class R3
|
Neuberger Berman Guardian Fund
|
NGDRX
|
Neuberger Berman Small Cap Growth Fund
|
NSNRX
|
Shareholder Fees
(fees paid directly from your investment)
|
None
|
|
Annual Fund Operating Expenses
(expenses that you pay each year as a % of the value of your investment)
|
|
|
Management fees
|
||
Distribution and/or shareholder service (12b-1) fees
|
0.50
|
|
Other expenses
|
||
Total annual operating expenses
|
||
Fee waiver and/or expense reimbursement
|
||
Total annual operating expenses after fee waiver and/or expense reimbursement
1
|
||
1
|
Neuberger Berman Investment Advisers LLC (“Manager”) has contractually undertaken to waive and/or reimburse certain fees and expenses of Class R3 so that the total annual operating expenses (excluding interest, taxes, brokerage commissions, acquired fund fees and expenses, dividend and interest expenses relating to short sales, and extraordinary expenses, if any) are limited to [1.36]% of average net assets. This undertaking lasts until [8/31/2021] and may not be terminated during its term without the consent of the Board of Trustees. The Fund has agreed that Class R3 will repay the Manager for fees and expenses waived or reimbursed for that class provided that repayment does not cause annual operating expenses to exceed [1.36]% of its average net assets. Any such repayment must be made within three years after the year in which the Manager incurred the expense.
|
|
1 Year
|
3 Years
|
5 Years
|
10 Years
|
Class R3
|
Guardian Fund
|
1 Year
|
5 Years
|
10 Years
|
Return Before Taxes
|
|||
Return After Taxes on Distributions
|
|||
Return After Taxes on Distributions and Sale of Fund Shares
|
|||
S&P 500
®
Index (reflects no deduction for fees, expenses or taxes)
|
|||
After-tax returns are calculated using the historical highest individual federal marginal income tax rates and do not reflect the impact of state and local taxes. Actual after-tax returns depend on an investor’s tax situation and may differ from those shown. After-tax returns are not relevant to investors who hold their Fund shares through tax-deferred arrangements, such as 401(k) plans or individual retirement accounts. Return After Taxes on Distributions and Sale of Fund Shares may be higher than other returns for the same period due to a tax benefit of realizing a capital loss upon the sale of Fund shares.
|
Shareholder Fees
(fees paid directly from your investment)
|
None
|
|
Annual Fund Operating Expenses
(expenses that you pay each year as a % of the value of your investment)
|
|
|
Management fees
|
|
|
Distribution and/or shareholder service (12b-1) fees
|
0.50
|
|
Other expenses
|
|
|
Total annual operating expenses
|
|
|
Fee waiver and/or expense reimbursement
|
||
Total annual operating expenses after fee waiver and/or expense reimbursement
1
|
||
1
|
Neuberger Berman Investment Advisers LLC (“Manager”) has contractually undertaken to waive and/or reimburse certain fees and expenses of Class R3 so that the total annual operating expenses (excluding interest, taxes, brokerage commissions, acquired fund fees and expenses, dividend and interest expenses relating to short sales, and extraordinary expenses, if any) are limited to [1.51]% of average net assets. This undertaking lasts until [8/31/2021] and may not be terminated during its term without the consent of the Board of Trustees. The Fund has agreed that Class R3 will repay the Manager for fees and expenses waived or reimbursed for that class provided that repayment does not cause annual operating expenses to exceed [1.51]% of its average net assets. Any such repayment must be made within three years after the year in which the Manager incurred the expense.
|
|
1 Year
|
3 Years
|
5 Years
|
10 Years
|
Class R3
|
§
|
Underappreciated Growth:
Companies with underappreciated, and potentially transformative, near-term catalysts that the Portfolio Managers believe are capable of advancing the development of underlying corporate fundamentals or, in the case of early development-stage companies, initiating a path to revenue and eventually earnings growth
|
|
§
|
Strengthening Growth:
More established companies that are endeavoring to expand their product offerings, broaden operational depth and strengthen top- and bottom-line consistency
|
|
§
|
Opportunistic Growth:
Companies that the Portfolio Managers believe represent an opportunistic valuation play because their potential has yet to be unlocked, they are raising capital or they have fallen out of favor due to what the Portfolio Managers believe is a shorter-term and correctable issue
|
Small Cap Growth Fund
|
1 Year
|
5 Years
|
10 Years
|
Return Before Taxes
|
|||
Return After Taxes on Distributions
|
|||
Return After Taxes on Distributions and Sale of Fund Shares
|
|||
Russell 2000
®
Growth Index (reflects no deduction for fees, expenses or taxes)
|
|||
Russell 2000
®
Index (reflects no deduction for fees, expenses or taxes)
|
|||
After-tax returns are calculated using the historical highest individual federal marginal income tax rates and do not reflect the impact of state and local taxes. Actual after-tax returns depend on an investor’s tax situation and may differ from those shown. After-tax returns are not relevant to investors who hold their Fund shares through tax-deferred arrangements, such as 401(k) plans or individual retirement accounts.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
16.25
|
17.54
|
14.31
|
13.42
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(4)
|
0.06
|
0.02
|
0.02
|
0.04
|
|
||
Net gains (losses)—realized and unrealized
|
3.21
|
(0.54)
|
0.99
|
1.99
|
|
||
Subtotal: income (loss) from investment operations
|
3.27
|
(0.52)
|
1.01
|
2.03
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Income dividends
|
0.07
|
0.08
|
0.04
|
0.05
|
|
||
Capital gain distributions
|
1.91
|
2.63
|
1.86
|
1.85
|
|
||
Subtotal: distributions to shareholders
|
1.98
|
2.71
|
1.90
|
1.90
|
|
||
Equals:
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
17.54
|
14.31
|
13.42
|
13.55
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense reimbursement and/or offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses—actual
|
1.36
|
1.36
|
1.36
|
1.36
|
|
||
Gross expenses
(1)
|
1.38
|
1.37
|
1.39
|
1.38
|
|
||
Net investment income (loss)—actual
|
0.37
|
0.15
|
0.15
|
0.28
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
(3)
|
21.29
|
(3.53)
|
8.00
|
17.02
|
|
||
Net assets at end of year (in millions of dollars)
|
0.7
|
0.5
|
0.6
|
0.5
|
|
||
Portfolio turnover rate (%)
|
37
|
31
|
99
|
37
|
|
||
(1)
|
Shows what this ratio would have been if there had been no expense reimbursement.
|
||||||
(2)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(3)
|
Would have been lower if the Manager had not reimbursed certain expenses.
|
||||||
(4)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
17.37
|
19.67
|
21.09
|
18.77
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(4)
|
(0.22)
|
(0.27)
|
(0.20)
|
(0.24)
|
|
||
Net gains (losses)—realized and unrealized
|
2.52
|
1.69
|
(0.57)
|
4.29
|
|
||
Subtotal: income (loss) from investment operations
|
2.30
|
1.42
|
(0.77)
|
4.05
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Capital gain distributions
|
—
|
—
|
1.55
|
—
|
|
||
Subtotal: distributions to shareholders
|
—
|
—
|
1.55
|
—
|
|
||
Equals:
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
19.67
|
21.09
|
18.77
|
22.82
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense reimbursement and/or offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses—actual
|
1.51
|
1.51
|
1.51
|
1.51
|
|
||
Gross expenses
(1)
|
2.16
|
2.15
|
2.24
|
2.19
|
|
||
Net investment income (loss)—actual
|
(1.15)
|
(1.25)
|
(1.12)
|
(1.17)
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
(3)
|
13.24
|
7.22
|
(3.44)
|
21.58
|
|
||
Net assets at end of year (in millions of dollars)
|
0.5
|
1.0
|
1.1
|
1.0
|
|
||
Portfolio turnover rate (%)
|
284
|
336
|
164
|
215
|
|
||
(1)
|
Shows what this ratio would have been if there had been no expense reimbursement.
|
||||||
(2)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(3)
|
Would have been lower if the Manager had not reimbursed certain expenses.
|
||||||
(4)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
■
|
suspend the offering of shares
|
■
|
reject any exchange or purchase order
|
■
|
suspend or reject future purchase orders from any investor who has not provided timely payment to settle a purchase order
|
■
|
change, suspend, or revoke the exchange privilege
|
■
|
satisfy an order to sell Fund shares with securities rather than cash
|
■
|
suspend or postpone investors’ ability to sell Fund shares or postpone payments on redemptions for more than seven days, on days when trading on the New York Stock Exchange (“Exchange”) is restricted, or as otherwise permitted by the Securities and Exchange Commission (“SEC”)
|
■
|
remain open and process orders to purchase or sell Fund shares when the Exchange is closed.
|
■
|
a discussion by the Portfolio Managers about strategies and market conditions that significantly affected the Fund’s performance during the last fiscal year
|
■
|
Fund performance data and financial statements
|
■
|
portfolio holdings.
|
■
|
various types of securities and practices, and their risks
|
■
|
investment limitations and additional policies
|
■
|
information about the Fund’s management and business structure.
|
|
Investor Class
|
Neuberger Berman Guardian Fund
|
NGUAX
|
Neuberger Berman Small Cap Growth Fund
|
NBMIX
|
Shareholder Fees
(fees paid directly from your investment)
|
None
|
Annual Fund Operating Expenses
(expenses that you pay each year as a % of the value of your investment)
|
|
Management fees
|
|
Distribution and/or shareholder service (12b-1) fees
|
None
|
Other expenses
|
|
Total annual operating expenses
|
|
1 Year
|
3 Years
|
5 Years
|
10 Years
|
Investor Class
|
Guardian Fund
|
1 Year
|
5 Years
|
10 Years
|
Return Before Taxes
|
|||
Return After Taxes on Distributions
|
|||
Return After Taxes on Distributions and Sale of Fund Shares
|
|||
S&P 500
®
Index (reflects no deduction for fees, expenses or taxes)
|
|||
After-tax returns are calculated using the historical highest individual federal marginal income tax rates and do not reflect the impact of state and local taxes. Actual after-tax returns depend on an investor’s tax situation and may differ from those shown. After-tax returns are not relevant to investors who hold their Fund shares through tax-deferred arrangements, such as 401(k) plans or individual retirement accounts. Return After Taxes on Distributions and Sale of Fund Shares may be higher than other returns for the same period due to a tax benefit of realizing a capital loss upon the sale of Fund shares.
|
Shareholder Fees
(fees paid directly from your investment)
|
None
|
|
Annual Fund Operating Expenses
(expenses that you pay each year as a % of the value of your investment)
|
|
|
Management fees
|
|
|
Distribution and/or shareholder service (12b-1) fees
|
None
|
|
Other expenses
|
||
Total annual operating expenses
|
|
|
Fee waiver and/or expense reimbursement
|
||
Total annual operating expenses after fee waiver and/or expense reimbursement
1
|
||
1
|
Neuberger Berman Investment Advisers LLC (“Manager”) has contractually undertaken to waive and/or reimburse certain fees and expenses of Investor Class so that the total annual operating expenses (excluding interest, taxes, brokerage commissions, acquired fund fees and expenses, dividend and interest expenses relating to short sales, and extraordinary expenses, if any) are limited to [1.30]% of average net assets. This undertaking lasts until [8/31/2022] and may not be terminated during its term without the consent of the Board of Trustees. The Fund has agreed that Investor Class will repay the Manager for fees and expenses waived or reimbursed for that class provided that repayment does not cause annual operating expenses to exceed [1.30]% of its average net assets. Any such repayment must be made within three years after the year in which the Manager incurred the expense.
|
|
1 Year
|
3 Years
|
5 Years
|
10 Years
|
Investor Class
|
§
|
Underappreciated Growth:
Companies with underappreciated, and potentially transformative, near-term catalysts that the Portfolio Managers believe are capable of advancing the development of underlying corporate fundamentals or, in the case of early development-stage companies, initiating a path to revenue and eventually earnings growth
|
|
§
|
Strengthening Growth:
More established companies that are endeavoring to expand their product offerings, broaden operational depth and strengthen top- and bottom-line consistency
|
|
§
|
Opportunistic Growth:
Companies that the Portfolio Managers believe represent an opportunistic valuation play because their potential has yet to be unlocked, they are raising capital or they have fallen out of favor due to what the Portfolio Managers believe is a shorter-term and correctable issue
|
Small Cap Growth Fund
|
1 Year
|
5 Years
|
10 Years
|
Return Before Taxes
|
|||
Return After Taxes on Distributions
|
|||
Return After Taxes on Distributions and Sale of Fund Shares
|
|||
Russell 2000
®
Growth Index (reflects no deduction for fees, expenses or taxes)
|
|||
Russell 2000
®
Index (reflects no deduction for fees, expenses or taxes)
|
|||
After-tax returns are calculated using the historical highest individual federal marginal income tax rates and do not reflect the impact of state and local taxes. Actual after-tax returns depend on an investor’s tax situation and may differ from those shown. After-tax returns are not relevant to investors who hold their Fund shares through tax-deferred arrangements, such as 401(k) plans or individual retirement accounts.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
18.58
|
20.43
|
17.13
|
16.45
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(2)
|
0.16
|
0.12
|
0.09
|
0.12
|
|
||
Net gains (losses)—realized and unrealized
|
3.70
|
(0.64)
|
1.21
|
2.51
|
|
||
Subtotal: income (loss) from investment operations
|
3.86
|
(0.52)
|
1.30
|
2.63
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Income dividends
|
0.10
|
0.15
|
0.12
|
0.11
|
|
||
Capital gain distributions
|
1.91
|
2.63
|
1.86
|
1.85
|
|
||
Subtotal: distributions to shareholders
|
2.01
|
2.78
|
1.98
|
1.96
|
|
||
Equals:
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
20.43
|
17.13
|
16.45
|
17.12
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses—actual
|
0.88
|
0.87
|
0.93
|
0.89
|
|
||
Gross expenses
|
0.88
|
0.87
|
0.93
|
0.90
(3)
|
|
||
Net investment income (loss)—actual
|
0.83
|
0.65
|
0.58
|
0.77
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
|
21.87
|
(3.03)
|
8.45
|
17.60
|
|
||
Net assets at end of year (in millions of dollars)
|
1,165.1
|
1,034.9
|
993.3
|
1,052.4
|
|
||
Portfolio turnover rate (%)
|
37
|
31
|
99
|
37
|
|
||
(1)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(2)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
||||||
(3)
|
Shows what this ratio would have been if there had been no expense reimbursement.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
24.16
|
27.44
|
29.50
|
26.97
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(4)
|
(0.23)
|
(0.28)
|
(0.21)
|
(0.26)
|
|
||
Net gains (losses)—realized and unrealized
|
3.51
|
2.34
|
(0.77)
|
6.19
|
|
||
Subtotal: income (loss) from investment operations
|
3.28
|
2.06
|
(0.98)
|
5.93
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Capital gain distributions
|
—
|
—
|
1.55
|
—
|
|
||
Subtotal: distributions to shareholders
|
—
|
—
|
1.55
|
—
|
|
||
Equals:
|
|
|
|
|
|
||
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
27.44
|
29.50
|
26.97
|
32.90
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense reimbursement and/or offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses—actual
|
1.21
|
1.21
|
1.21
|
1.20
|
|
||
Gross expenses
(1)
|
1.67
|
1.67
|
1.87
|
1.78
|
|
||
Net investment income (loss)—actual
|
(0.85)
|
(0.96)
|
(0.83)
|
(0.86)
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
(3)
|
13.58
|
7.51
|
(3.16)
|
21.99
|
|
||
Net assets at end of year (in millions of dollars)
|
50.7
|
49.3
|
44.0
|
49.8
|
|
||
Portfolio turnover rate (%)
|
284
|
336
|
164
|
215
|
|
||
(1)
|
Shows what this ratio would have been if there had been no expense reimbursement.
|
||||||
(2)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(3)
|
Would have been lower if the Manager had not reimbursed certain expenses.
|
||||||
(4)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
■
|
Grandfathered Investors may purchase Investor Class shares of Neuberger Berman Focus Fund, Neuberger Berman Guardian Fund, Neuberger Berman International Equity Fund, Neuberger Berman Large Cap Value Fund (formerly Neuberger Berman Partners Fund), Neuberger Berman Mid Cap Growth Fund, Neuberger Berman Mid Cap Intrinsic Value Fund (formerly Neuberger Berman Regency Fund), Neuberger Berman Small Cap Growth Fund and Neuberger Berman Socially Responsive Fund. “Grandfathered Investors” are investors in any fund in the Neuberger Berman family of funds who hold their shares directly with Neuberger Berman, who established accounts in Investor Class or Trust Class shares prior to March 1, 2008, and who have continuously maintained an account directly with Neuberger Berman since that date. A Grandfathered Investor's “immediate family” (his or her spouse—or equivalent if recognized under local law—and his or her children under the age of 21) are also deemed “Grandfathered Investors.” A Grandfathered Investor's mother, father, sister, or brother may open a
|
|
custodial account for the Grandfathered Investor's minor children. Grandfathered Investors do not include any financial intermediaries who have accounts with a Fund or shareholders who invest through such financial intermediaries.
|
■
|
both accounts must have the same registration
|
■
|
you will need to observe any eligibility requirements, including minimum investment and minimum account balance requirements for the fund accounts involved
|
■
|
because an exchange is treated as a sale (redemption) of the exchanged shares for federal income tax purposes, consider any tax consequences before placing your order.
|
■
|
in unusual circumstances where the law allows additional time if needed
|
■
|
if a check you wrote to buy shares has not cleared by the time you sell those shares; clearance may take up to 15 calendar days from the date of purchase.
|
■
|
suspend the offering of shares
|
■
|
reject any exchange or purchase order
|
■
|
suspend or reject future purchase orders from any investor who has not provided timely payment to settle a purchase order
|
■
|
change, suspend, or revoke the exchange privilege
|
■
|
suspend the telephone order privilege
|
■
|
satisfy an order to sell Fund shares with securities rather than cash
|
■
|
suspend or postpone investors’ ability to sell Fund shares or postpone payments on redemptions for more than seven days, on days when trading on the Exchange is restricted, or as otherwise permitted by the Securities and Exchange Commission (“SEC”)
|
■
|
change its investment minimums or other requirements for buying and selling, or waive any minimums or requirements for certain investors
|
■
|
remain open and process orders to purchase or sell Fund shares when the Exchange is closed.
|
■
|
a discussion by the Portfolio Managers about strategies and market conditions that significantly affected the Fund’s performance during the last fiscal year
|
■
|
Fund performance data and financial statements
|
■
|
portfolio holdings.
|
■
|
various types of securities and practices, and their risks
|
■
|
investment limitations and additional policies
|
■
|
information about the Fund’s management and business structure.
|
|
Advisor Class
|
|
Trust Class
|
Neuberger Berman Guardian Fund
|
NBGUX
|
|
NBGTX
|
Neuberger Berman Small Cap Growth Fund
|
NBMVX
|
|
NBMOX
|
Fund Summaries
|
|
Neuberger Berman Guardian Fund
|
|
Neuberger Berman Small Cap Growth Fund
|
|
Descriptions of Certain Practices and Security Types
|
|
Additional Information about Principal Investment Risks
|
|
Information about Additional Risks
|
|
Descriptions of Indices
|
|
Management of the Funds
|
|
Financial Highlights
|
|
YOUR INVESTMENT
|
|
Maintaining Your Account
|
|
Share Prices
|
|
Distributions and Taxes
|
|
Market Timing Policy
|
|
Portfolio Holdings Policy
|
|
Fund Structure
|
|
|
Advisor Class
|
Trust Class
|
|
Shareholder Fees
(fees paid directly from your investment)
|
None
|
None
|
|
Annual Fund Operating Expenses
(expenses that you pay each year as a % of the value of your investment)
|
|
|
|
Management fees
|
|||
Distribution and/or shareholder service (12b-1) fees
|
0.25
|
0.10
|
|
Other expenses
1
|
|||
Total annual operating expenses
|
|||
1
|
The Fund has agreed that Advisor Class will repay Neuberger Berman Investment Advisers LLC (“Manager”) for fees and expenses waived or reimbursed for the class provided that repayment does not cause annual operating expenses (excluding interest, taxes, brokerage commissions, acquired fund fees and expenses, dividend and interest expenses relating to short sales, and extraordinary expenses, if any) to exceed [1.50]% of the class’ average net assets. Any such repayment must be made within three years after the year in which the Manager incurred the expense.
|
|
1 Year
|
3 Years
|
5 Years
|
10 Years
|
Advisor Class
|
||||
Trust Class
|
Guardian Fund
|
1 Year
|
5 Years
|
10 Years
|
Trust Class Return Before Taxes
|
|||
Trust Class Return After Taxes on Distributions
|
|
||
Trust Class Return After Taxes on Distributions and Sale of Fund Shares
|
|
||
Advisor Class Return Before Taxes
|
|||
S&P 500
®
Index (reflects no deduction for fees, expenses or taxes)
|
|
||
After-tax returns are shown for Trust Class shares only and after-tax returns for other classes may vary. After-tax returns are calculated using the historical highest individual federal marginal income tax rates and do not reflect the impact of state and local taxes. Actual after-tax returns depend on an investor’s tax situation and may differ from those shown. After-tax returns are not relevant to investors who hold their Fund shares through tax-deferred arrangements, such as 401(k) plans or individual retirement accounts. Return After Taxes on Distributions and Sale of Fund Shares may be higher than other returns for the same period due to a tax benefit of realizing a capital loss upon the sale of Fund shares.
|
|
Advisor Class
|
Trust Class
|
|
Shareholder Fees
(fees paid directly from your investment)
|
None
|
None
|
|
Annual Fund Operating Expenses
(expenses that you pay each year as a % of the value of your investment)
|
|
|
|
Management fees
|
|||
Distribution and/or shareholder service (12b-1) fees
|
0.25
|
0.10
|
|
Other expenses
|
|||
Total annual operating expenses
|
|||
Fee waiver and/or expense reimbursement
|
|||
Total annual operating expenses after fee waiver and/or expense reimbursement
1
|
|||
1
|
Neuberger Berman Investment Advisers LLC (“Manager”) has contractually undertaken to waive and/or reimburse certain fees and expenses of Advisor Class and Trust Class so that the total annual operating expenses (excluding interest, taxes, brokerage commissions, acquired fund fees and expenses, dividend and interest expenses relating to short sales, and extraordinary expenses, if any) of each class are limited to [1.60]% and [1.40]% of average net assets, respectively. Each of these undertakings lasts until [8/31/2022] and may not be terminated during its term without the consent of the Board of Trustees. The Fund has agreed that each of Advisor Class and Trust Class will repay the Manager for fees and expenses waived or reimbursed for the class provided that repayment does not cause annual operating expenses to exceed [1.60]% and [1.40]% of the class' average net assets, respectively. Any such repayment must be made within three years after the year in which the Manager incurred the expense.
|
|
1 Year
|
3 Years
|
5 Years
|
10 Years
|
Advisor Class
|
||||
Trust Class
|
§
|
Underappreciated Growth:
Companies with underappreciated, and potentially transformative, near-term catalysts that the Portfolio Managers believe are capable of advancing the development of underlying corporate fundamentals or, in the case of early development-stage companies, initiating a path to revenue and eventually earnings growth
|
|
§
|
Strengthening Growth:
More established companies that are endeavoring to expand their product offerings, broaden operational depth and strengthen top- and bottom-line consistency
|
|
§
|
Opportunistic Growth:
Companies that the Portfolio Managers believe represent an opportunistic valuation play because their potential has yet to be unlocked, they are raising capital or they have fallen out of favor due to what the Portfolio Managers believe is a shorter-term and correctable issue
|
Small Cap Growth Fund
|
1 Year
|
5 Years
|
10 Years
|
Trust Class Return Before Taxes
|
|||
Trust Class Return After Taxes on Distributions
|
|||
Trust Class Return After Taxes on Distributions and Sale of Fund Shares
|
|||
Advisor Class Return Before Taxes
|
|||
Russell 2000
®
Growth Index (reflects no deduction for fees, expenses or taxes)
|
|||
Russell 2000
®
Index (reflects no deduction for fees, expenses or taxes)
|
|||
After-tax returns are shown for Trust Class shares only and after-tax returns for other classes may vary. After-tax returns are calculated using the historical highest individual federal marginal income tax rates and do not reflect the impact of state and local taxes. Actual after-tax returns depend on an investor’s tax situation and may differ from those shown. After-tax returns are not relevant to investors who hold their Fund shares through tax-deferred arrangements, such as 401(k) plans or individual retirement accounts.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
16.27
|
17.55
|
14.33
|
13.47
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(4)
|
0.04
|
0.00
|
0.03
|
0.07
|
|
||
Net gains (losses)—realized and unrealized
|
3.24
|
(0.54)
|
0.99
|
2.00
|
|
||
Subtotal: income (loss) from investment operations
|
3.28
|
(0.54)
|
1.02
|
2.07
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Income dividends
|
0.09
|
0.05
|
0.02
|
0.05
|
|
||
Capital gain distributions
|
1.91
|
2.63
|
1.86
|
1.85
|
|
||
Subtotal: distributions to shareholders
|
2.00
|
2.68
|
1.88
|
1.90
|
|
||
Equals:
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
17.55
|
14.33
|
13.47
|
13.64
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense reimbursement/repayment and/or offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses
—
actual
|
1.28
|
1.50
|
1.31
|
1.18
|
|
||
Gross expenses
|
1.28
|
1.54
(1)
|
1.31
(1)
|
1.38
(1)
|
|
||
Net investment income (loss)
—
actual
|
0.25
|
0.03
|
0.20
|
0.51
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
|
21.27
|
(3.66)
(3)
|
8.03
(3)
|
17.26
|
|
||
Net assets at end of year (in millions of dollars)
|
0.4
|
0.3
|
0.2
|
0.1
|
|
||
Portfolio turnover rate (%)
|
37
|
31
|
99
|
37
|
|
||
(1)
|
Shows what this ratio would have been if there had been no expense reimbursement/repayment.
|
||||||
(2)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(3)
|
Would have been lower/higher if the Manager had not reimbursed/recouped certain expenses.
|
||||||
(4)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
14.30
|
15.20
|
12.05
|
10.96
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(2)
|
0.09
|
0.06
|
0.04
|
0.06
|
|
||
Net gains (losses)—realized and unrealized
|
2.81
|
(0.45)
|
0.82
|
1.58
|
|
||
Subtotal: income (loss) from investment operations
|
2.90
|
(0.39)
|
0.86
|
1.64
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Income dividends
|
0.09
|
0.13
|
0.09
|
0.10
|
|
||
Capital gain distributions
|
1.91
|
2.63
|
1.86
|
1.85
|
|
||
Subtotal: distributions to shareholders
|
2.00
|
2.76
|
1.95
|
1.95
|
|
||
Equals:
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
15.20
|
12.05
|
10.96
|
10.65
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses
—
actual
|
1.06
|
1.06
|
1.08
|
1.04
|
|
||
Gross expenses
|
1.06
|
1.06
|
1.08
|
1.07
(3)
|
|
||
Net investment income (loss)
—
actual
|
0.64
|
0.46
|
0.41
|
0.60
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
|
21.61
|
(3.22)
|
8.31
|
17.37
|
|
||
Net assets at end of year (in millions of dollars)
|
136.6
|
103.8
|
70.6
|
57.8
|
|
||
Portfolio turnover rate (%)
|
37
|
31
|
99
|
37
|
|
||
(1)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(2)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
||||||
(3)
|
Shows what this ratio would have been if there had been no expense reimbursement.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
17.33
|
19.63
|
21.03
|
18.72
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(4)
|
(0.22)
|
(0.26)
|
(0.20)
|
(0.24)
|
|
||
Net gains (losses)—realized and unrealized
|
2.52
|
1.66
|
(0.56)
|
4.28
|
|
||
Subtotal: income (loss) from investment operations
|
2.30
|
1.40
|
(0.76)
|
4.04
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Capital gain distributions
|
—
|
—
|
1.55
|
—
|
|
||
Subtotal: distributions to shareholders
|
—
|
—
|
1.55
|
—
|
|
||
Equals:
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
19.63
|
21.03
|
18.72
|
22.76
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense reimbursement and/or offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses—actual
|
1.51
|
1.51
|
1.51
|
1.51
|
|
||
Gross expenses
(1)
|
1.96
|
2.00
|
2.08
|
2.05
|
|
||
Net investment income (loss)—actual
|
(1.15)
|
(1.26)
|
(1.13)
|
(1.18)
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
(3)
|
13.27
|
7.13
|
(3.40)
|
21.58
|
|
||
Net assets at end of year (in millions of dollars)
|
3.5
|
2.7
|
2.1
|
1.7
|
|
||
Portfolio turnover rate (%)
|
284
|
336
|
164
|
215
|
|
||
(1)
|
Shows what this ratio would have been if there had been no expense reimbursement.
|
||||||
(2)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(3)
|
Would have been lower if the Manager had not reimbursed certain expenses.
|
||||||
(4)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
26.22
|
29.72
|
31.89
|
29.25
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(4)
|
(0.30)
|
(0.37)
|
(0.27)
|
(0.33)
|
|
||
Net gains (losses)—realized and unrealized
|
3.80
|
2.54
|
(0.82)
|
6.69
|
|
||
Subtotal: income (loss) from investment operations
|
3.50
|
2.17
|
(1.09)
|
6.36
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Capital gain distributions
|
—
|
—
|
1.55
|
—
|
|
||
Subtotal: distributions to shareholders
|
—
|
—
|
1.55
|
—
|
|
||
Equals:
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
29.72
|
31.89
|
29.25
|
35.61
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense reimbursement and/or offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses—actual
|
1.40
|
1.40
|
1.37
|
1.37
|
|
||
Gross expenses
(1)
|
1.95
|
1.86
|
1.93
|
1.88
|
|
||
Net investment income (loss)—actual
|
(1.02)
|
(1.15)
|
(0.99)
|
(1.04)
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
(3)
|
13.35
|
7.30
|
(3.27)
|
21.74
|
|
||
Net assets at end of year (in millions of dollars)
|
5.5
|
5.3
|
4.4
|
3.9
|
|
||
Portfolio turnover rate (%)
|
284
|
336
|
164
|
215
|
|
||
(1)
|
Shows what this ratio would have been if there had been no expense reimbursement.
|
||||||
(2)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(3)
|
Would have been lower if the Manager had not reimbursed certain expenses.
|
||||||
(4)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
■
|
Only financial intermediaries who established accounts in Advisor Class shares of Guardian Fund, Mid Cap Growth Fund or Small Cap Growth Fund prior to October 15, 2009, or Focus Fund or Large Cap Value Fund (formerly Partners Fund) prior to July 26, 2010, and who continuously maintain such accounts in Advisor Class shares of such Fund, may continue to purchase Advisor Class shares of that Fund.
|
■
|
Only financial intermediaries who established accounts in Trust Class shares of Guardian Fund, Mid Cap Growth Fund, Small Cap Growth Fund or Socially Responsive Fund prior to October 15, 2009, or Focus Fund, Large Cap Value Fund (formerly Partners Fund) or Mid Cap Intrinsic Value Fund (formerly Regency Fund) prior to July 26, 2010, or International Equity
|
|
Fund prior to December 20, 2010, and who continuously maintain such accounts in Trust Class shares of such Fund, may continue to purchase Trust Class shares of that Fund.
|
■
|
suspend the offering of shares
|
■
|
reject any exchange or purchase order
|
■
|
suspend or reject future purchase orders from any investor who has not provided timely payment to settle a purchase order
|
■
|
change, suspend, or revoke the exchange privilege
|
■
|
satisfy an order to sell Fund shares with securities rather than cash
|
■
|
suspend or postpone investors’ ability to sell Fund shares or postpone payments on redemptions for more than seven days, on days when trading on the New York Stock Exchange (“Exchange”) is restricted, or as otherwise permitted by the Securities and Exchange Commission (“SEC”)
|
■
|
remain open and process orders to purchase or sell Fund shares when the Exchange is closed.
|
■
|
in unusual circumstances where the law allows additional time if needed
|
■
|
if a check you wrote to buy shares has not cleared by the time you sell those shares; clearance may take up to 15 calendar days from the date of purchase.
|
■
|
a discussion by the Portfolio Managers about strategies and market conditions that significantly affected the Fund’s performance during the last fiscal year
|
■
|
Fund performance data and financial statements
|
■
|
portfolio holdings.
|
■
|
various types of securities and practices, and their risks
|
■
|
investment limitations and additional policies
|
■
|
information about the Fund’s management and business structure.
|
|
Class R6
|
Neuberger Berman Small Cap Growth Fund
|
NSRSX
|
Shareholder Fees
(fees paid directly from your investment)
|
None
|
||
Annual Fund Operating Expenses
(expenses that you pay each year as a % of the value of your investment)
|
|
||
Management fees
1
|
|||
Distribution and/or shareholder service (12b-1) fees
|
None
|
||
Other expenses
2
|
|||
Total annual operating expenses
|
|||
Fee waiver and/or expense reimbursement
|
|||
Total annual operating expenses after fee waiver and/or expense reimbursement
3
|
|||
1
|
“Management fees” include a [0.03]% contractual waiver, resulting in an administration fee of [0.05]% of average daily net assets for Class R6.
|
||
2
|
[“Other expenses” are based on estimated amounts for the current fiscal year; actual expenses may vary.]
|
||
3
|
Neuberger Berman Investment Advisers LLC (“Manager”) has contractually undertaken to waive and/or reimburse certain fees and expenses of Class R6 so that the total annual operating expenses (excluding interest, taxes, brokerage commissions, acquired fund fees and expenses, dividend and interest expenses relating to short sales, and extraordinary expenses, if any) (“annual operating expenses”) are limited to [0.80]% of average net assets. This undertaking includes the [0.03]% contractual waiver disclosed in footnote 1. This undertaking lasts until [8/31/2022] and may not be terminated during its term without the consent of the Board of Trustees. The Fund has agreed that Class R6 will repay the Manager for fees and expenses waived or reimbursed for that class provided that repayment does not cause annual operating expenses to exceed [0.80]% of its average net assets. Any such repayment must be made within three years after the year in which the Manager incurred the expense.
|
|
1 Year
|
3 Years
|
5 Years
|
10 Years
|
Class R6
|
|
§
|
Underappreciated Growth:
Companies with underappreciated, and potentially transformative, near-term catalysts that the Portfolio Managers believe are capable of advancing the development of underlying corporate fundamentals or, in the case of early development-stage companies, initiating a path to revenue and eventually earnings growth
|
|
§
|
Strengthening Growth:
More established companies that are endeavoring to expand their product offerings, broaden operational depth and strengthen top- and bottom-line consistency
|
|
§
|
Opportunistic Growth:
Companies that the Portfolio Managers believe represent an opportunistic valuation play because their potential has yet to be unlocked, they are raising capital or they have fallen out of favor due to what the Portfolio Managers believe is a shorter-term and correctable issue
|
Small Cap Growth Fund
|
1 Year
|
5 Years
|
10 Years
|
Return Before Taxes
|
|
||
Return After Taxes on Distributions
|
|||
Return After Taxes on Distributions and Sale of Fund Shares
|
|||
Russell 2000
®
Growth Index (reflects no deduction for fees, expenses or taxes)
|
|||
Russell 2000
®
Index (reflects no deduction for fees, expenses or taxes)
|
|||
After-tax returns are calculated using the historical highest individual federal marginal income tax rates and do not reflect the impact of state and local taxes. Actual after-tax returns depend on an investor’s tax situation and may differ from those shown. After-tax returns are not relevant to investors who hold their Fund shares through tax-deferred arrangements, such as 401(k) plans or individual retirement accounts.
|
YEAR ENDED AUGUST 31,
|
2014
|
2015
|
2016
|
2017
|
2018
|
||
PER-SHARE DATA ($)
|
|
|
|
|
|
||
Data apply to a single share throughout each year indicated. You can see what the Fund earned (or lost), what it distributed to investors, and how its share price changed.
|
|
|
|
|
|
||
Share price (NAV) at beginning of year
|
24.16
|
27.44
|
29.50
|
26.97
|
|
||
Plus:
|
|
|
|
|
|
||
Income from investment operations
|
|
|
|
|
|
||
Net investment income (loss)
(4)
|
(0.23)
|
(0.28)
|
(0.21)
|
(0.26)
|
|
||
Net gains (losses)—realized and unrealized
|
3.51
|
2.34
|
(0.77)
|
6.19
|
|
||
Subtotal: income (loss) from investment operations
|
3.28
|
2.06
|
(0.98)
|
5.93
|
|
||
Minus:
|
|
|
|
|
|
||
Distributions to shareholders
|
|
|
|
|
|
||
Capital gain distributions
|
—
|
—
|
1.55
|
—
|
|
||
Subtotal: distributions to shareholders
|
—
|
—
|
1.55
|
—
|
|
||
Equals:
|
|
|
|
|
|
||
|
|
|
|
|
|
||
Share price (NAV) at end of year
|
27.44
|
29.50
|
26.97
|
32.90
|
|
||
RATIOS (% OF AVERAGE NET ASSETS)
|
|
|
|
|
|
||
The ratios show the Fund's expenses and net investment income (loss)—as they actually are as well as how they would have been if certain expense reimbursement and/or offset arrangements had not been in effect.
|
|
|
|
|
|
||
Net expenses—actual
|
1.21
|
1.21
|
1.21
|
1.20
|
|
||
Gross expenses
(1)
|
1.67
|
1.67
|
1.87
|
1.78
|
|
||
Net investment income (loss)—actual
|
(0.85)
|
(0.96)
|
(0.83)
|
(0.86)
|
|
||
OTHER DATA
|
|
|
|
|
|
||
Total return shows how an investment in the Fund would have performed over each year, assuming all distributions were reinvested. The turnover rate reflects how actively the Fund bought and sold securities.
|
|
|
|
|
|
||
Total return (%)
(3)
|
13.58
|
7.51
|
(3.16)
|
21.99
|
|
||
Net assets at end of year (in millions of dollars)
|
50.7
|
49.3
|
44.0
|
49.8
|
|
||
Portfolio turnover rate (%)
|
284
|
336
|
164
|
215
|
|
||
(1)
|
Shows what this ratio would have been if there had been no expense reimbursement.
|
||||||
(2)
|
Prior to January 1, 2013, the Fund had an expense offset arrangement in connection with its custodian contract. The impact of expense reductions related to expense offset arrangements, if any, was less than .01%.
|
||||||
(3)
|
Would have been lower if the Manager had not reimbursed certain expenses.
|
||||||
(4)
|
Calculated based on the average number of shares outstanding during each fiscal period.
|
||||||
(5)
|
Unaudited.
|
||||||
(6)
|
Annualized.
|
||||||
(7)
|
Not Annualized.
|
■
|
both accounts must have the same registration
|
■
|
you will need to observe any eligibility requirements, including minimum investment and minimum account balance requirements for the fund accounts involved
|
■
|
because an exchange is treated as a sale (redemption) of the exchanged shares for federal income tax purposes, consider any tax consequences before placing your order.
|
■
|
suspend the offering of shares
|
■
|
reject any exchange or purchase order
|
■
|
suspend or reject future purchase orders from any investor who has not provided timely payment to settle a purchase order
|
■
|
change, suspend, or revoke the exchange privilege
|
■
|
satisfy an order to sell Fund shares with securities rather than cash
|
■
|
suspend or postpone investors’ ability to sell Fund shares or postpone payments on redemptions for more than seven days, on days when trading on the New York Stock Exchange (“Exchange”) is restricted, or as otherwise permitted by the Securities and Exchange Commission (“SEC”)
|
■
|
remain open and process orders to purchase or sell Fund shares when the Exchange is closed.
|
■
|
in unusual circumstances where the law allows additional time if needed
|
■
|
if a check you wrote to buy shares has not cleared by the time you sell those shares; clearance may take up to 15 calendar days from the date of purchase.
|
■
|
a discussion by the Portfolio Managers about strategies and market conditions that significantly affected the Fund’s performance during the last fiscal year or fiscal period
|
■
|
Fund performance data and financial statements
|
■
|
portfolio holdings.
|
■
|
various types of securities and practices, and their risks
|
■
|
investment limitations and additional policies
|
■
|
information about the Fund’s management and business structure.
|
Fund
|
Investor
Class
|
Trust
Class
|
Advisor
Class
|
Institutional
Class
|
Class A
|
Class C
|
Class R3
|
Class R6
|
Neuberger Berman
Dividend Growth
Fund
|
NDGIX
|
NDGAX
|
NDGCX
|
NRDGX
|
||||
Neuberger Berman
Emerging Markets Equity
Fund
|
NEMIX
|
NEMAX
|
NEMCX
|
NEMRX
|
NREMX
|
|||
Neuberger Berman
Equity Income
Fund
|
NBHIX
|
NBHAX
|
NBHCX
|
NBHRX
|
||||
Neuberger Berman
Focus
Fund
|
NBSSX
|
NBFCX
|
NBFAX
|
NFALX
|
NFAAX
|
NFACX
|
||
Neuberger Berman
Genesis
Fund
|
NBGNX
|
NBGEX
|
NBGAX
|
NBGIX
|
--
|
--
|
NRGSX
|
|
Neuberger Berman
Global Equity
Fund
|
NGQIX
|
NGQAX
|
NGQCX
|
|||||
Neuberger Berman
Global Real Estate
Fund
|
NGRIX
|
NGRAX
|
NGRCX
|
|||||
Neuberger Berman
Greater China Equity
Fund
|
NCEIX
|
NCEAX
|
NCECX
|
|||||
Neuberger Berman
Guardian
Fund
|
NGUAX
|
NBGTX
|
NBGUX
|
NGDLX
|
NGDAX
|
NGDCX
|
NGDRX
|
|
Neuberger Berman
International Equity
Fund
|
NIQVX
|
NIQTX
|
NBIIX
|
NIQAX
|
NIQCX
|
NRIQX
|
||
Neuberger Berman
International Select
Fund
|
NILTX
|
NILIX
|
NBNAX
|
NBNCX
|
NBNRX
|
NRILX
|
||
Neuberger Berman
International Small Cap
Fund
|
NIOIX
|
NIOAX
|
NIOCX
|
NIORX
|
||||
Neuberger Berman
Intrinsic Value
Fund
|
NINLX
|
NINAX
|
NINCX
|
NRINX
|
||||
Neuberger Berman
Large Cap Value
Fund
|
NPRTX
|
NBPTX
|
NBPBX
|
NBPIX
|
NPNAX
|
NPNCX
|
NPNRX
|
NRLCX
|
Fund
|
Investor Class
|
Trust Class
|
Advisor Class
|
Institutional Class
|
Class A
|
Class C
|
Class R3
|
Class R6
|
Neuberger Berman
Mid Cap Growth
Fund
|
NMANX
|
NBMTX
|
NBMBX
|
NBMLX
|
NMGAX
|
NMGCX
|
NMGRX
|
NRMGX
|
Neuberger Berman
Mid Cap Intrinsic Value
Fund
|
NBRVX
|
NBREX
|
NBRTX
|
NBRAX
|
NBRCX
|
NBRRX
|
||
Neuberger Berman
Multi-Cap Opportunities
Fund
|
NMULX
|
NMUAX
|
NMUCX
|
|||||
Neuberger Berman
Real Estate
Fund
|
NBRFX
|
NBRIX
|
NREAX
|
NRECX
|
NRERX
|
NRREX
|
||
Neuberger Berman
Small Cap Growth
Fund
|
NBMIX
|
NBMOX
|
NBMVX
|
NBSMX
|
NSNAX
|
NSNCX
|
NSNRX
|
NSRSX
|
Neuberger Berman
Socially Responsive
Fund
|
NBSRX
|
NBSTX
|
NBSLX
|
NRAAX
|
NRACX
|
NRARX
|
NRSRX
|
|
Neuberger Berman
Value
Fund
|
NLRLX
|
NVAAX
|
NVACX
|
INVESTMENT INFORMATION
|
1
|
|
Investment Policies and Limitations
|
2
|
|
Cash Management and Temporary Defensive Positions
|
11
|
|
Additional Investment Information
|
12
|
|
PERFORMANCE INFORMATION
|
72
|
|
TRUSTEES AND OFFICERS
|
72
|
|
Information about the Board of Trustees
|
73
|
|
Information about the Officers of the Trust
|
78
|
|
INVESTMENT MANAGEMENT AND ADMINISTRATION SERVICES
|
90
|
|
Investment Manager and Administrator
|
90
|
|
Management and Administration Fees
|
93
|
|
Contractual Expense Limitations
|
101
|
|
Voluntary Expense Limitations
|
106
|
|
Sub-Adviser
|
109
|
|
Portfolio Manager Information
|
110
|
|
Other Investment Companies or Accounts Managed
|
124
|
|
Codes of Ethics
|
124
|
|
Management and Control of NBIA
|
125
|
|
DISTRIBUTION ARRANGEMENTS
|
125
|
|
Distributor
|
126
|
|
Additional Payments to Financial Intermediaries
|
134
|
|
Distribution Plan (Trust Class Only)
|
136
|
|
Distribution Plan (Advisor Class Only)
|
137
|
|
Distribution Plan (Class A Only)
|
137
|
|
Distribution Plan (Class C Only)
|
139
|
|
Distribution Plan (Class R3 Only)
|
140
|
|
Distribution Plan (Trust Class, Advisor Class, Class A, Class C and Class R3)
|
141
|
|
ADDITIONAL PURCHASE INFORMATION
|
142
|
|
Share Prices and Net Asset Value
|
142
|
|
Subscriptions in Kind
|
144
|
|
Financial Intermediaries
|
144
|
|
Automatic Investing and Dollar Cost Averaging
|
145
|
|
ADDITIONAL EXCHANGE INFORMATION
|
145
|
|
ADDITIONAL REDEMPTION INFORMATION
|
146
|
|
Suspension of Redemptions
|
146
|
|
Redemptions in Kind
|
147
|
CONVERSION INFORMATION
|
147
|
|
DIVIDENDS AND OTHER DISTRIBUTIONS
|
148
|
|
ADDITIONAL TAX INFORMATION
|
149
|
|
Taxation of the Funds
|
149
|
|
Taxation of the Funds’ Shareholders
|
156
|
|
FUND TRANSACTIONS
|
161
|
|
Portfolio Turnover
|
172
|
|
PORTFOLIO HOLDINGS DISCLOSURE
|
173
|
|
Portfolio Holdings Disclosure Policy
|
173
|
|
Selective Disclosure Procedures
|
173
|
|
Portfolio Holdings Approved Recipients
|
174
|
|
REPORTS TO SHAREHOLDERS
|
175
|
|
ORGANIZATION, CAPITALIZATION AND OTHER MATTERS
|
175
|
|
CUSTODIAN AND TRANSFER AGENT
|
177
|
|
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRMS
|
178
|
|
LEGAL COUNSEL
|
178
|
|
CONTROL PERSONS AND PRINCIPAL HOLDERS OF SECURITIES
|
178
|
|
REGISTRATION STATEMENT
|
246
|
|
FINANCIAL STATEMENTS
|
247
|
|
APPENDIX A – LONG-TERM AND SHORT-TERM DEBT SECURITIES RATING DESCRIPTIONS
|
A-1
|
|
APPENDIX B – PROXY VOTING POLICY FOR GREEN COURT CAPITAL MANAGEMENT LIMITED
|
B-1
|
§ |
Environmental issues
|
§ |
Employment practices and diversity policies
|
§ |
Community relations
|
§ |
Supply chain issues
|
§ |
Product integrity (safety, quality)
|
§ |
Disclosure and sustainability reporting
|
§ |
tobacco,
|
§ |
alcohol,
|
§ |
weapons, or
|
§ |
nuclear power.
|
§ |
agricultural products companies that sell products to the alcohol industry for use in the production of alcoholic beverages (primarily grain alcohol producers);
|
§ |
companies that sell unprocessed agricultural goods, such as barley or grapes, to producers of alcoholic beverages; or
|
§ |
companies that produce products to be used in production of alcohol such as: enzymes, catalysts and fermentation agents.
|
§ |
provide specialized financial services to casinos; or
|
§ |
sell goods or services that are clearly nongaming-related to casinos or other gaming operations.
|
§ |
engineering or construction companies that are involved in the construction of a nuclear power plant or provide maintenance services to such plants in operation; or
|
§ |
electric utility companies that are purchasers and distributors of electricity that may have been generated from nuclear power plants (but are not themselves majority owners/operators of such plants).
|
§ |
have some minor military business;
|
§ |
have some contracts with the DoD for goods and services that are clearly not weapons-related; or
|
§ |
manufacture computers, electric wiring, and semiconductors or that provide telecommunications systems (in the absence of information that these products and services are specifically and exclusively weapons-related).
|
§ |
that have integrated environmental management systems;
|
§ |
have heightened awareness and are proactively addressing climate change related issues;
|
§ |
have measurably reduced their emissions to the air, land or water and/or are substantially lower than their peers;
|
§ |
continue to make progress in implementing environmental programs to increase efficiency, decrease energy and water consumption and reduce their overall impact on biodiversity;
|
§ |
have innovative processes or products that offer an environmental benefit including but not limited to clean technology, renewables, alternative energy and organic agriculture;
|
§ |
are committed to the public disclosure of environmental policies, goals, and progress toward those goals;
|
§ |
have minimized penalties, liabilities and contingencies and are operationally sustainable; and
|
§ |
participate in voluntary environmental multi-stakeholder initiatives led by government agencies such as the Environmental Protection Agency (EPA) and/or non-governmental organizations (NGOs).
|
§ |
are major manufacturers of hydrochloroflurocarbons, bromines, or other ozone-depleting chemicals;
|
§ |
are major manufacturers of pesticides or chemical fertilizers;
|
§ |
operate in the gold mining industry; or
|
§ |
design, market, own, or operate nuclear power plants (see Nuclear Power section).
|
§ |
environmental fines or penalties issued by a state or federal agency or court over the most recent three calendar years; and/or
|
§ |
highly publicized community environmental lawsuits or controversies.
|
§ |
preparing for potential regulatory changes,
|
§ |
implementing a consistent set of standards across a company’s business globally; and
|
§ |
having demonstrated consistent and sustained implementation of practices that address and remedy prior fines, censures or judgments.
|
§ |
offer benefits such as maternity leave that exceeds the 12 unpaid weeks mandated by the federal government; paid maternity leave; paternity leave; subsidized child and elder care (particularly for lower-paid staff); flexible spending accounts with dependent care options; flextime or job-sharing arrangements; phaseback for new mothers; adoption assistance; a full time work/family benefits manager; and/or health and other benefits for same-sex domestic partners of its employees;
|
§ |
have taken extraordinary steps to treat their unionized workforces fairly; and
|
§ |
have exceptional workplace safety records, particularly Occupational Safety and Health Administration Star certification for a substantial number of its facilities and/or a marked decrease in their lost time accidents and workers compensation insurance rates.
|
§ |
demonstrated a blatant disregard for worker safety; or
|
§ |
historically had poor relations with their unionized workforces, including involvement in unfair labor practices, union busting, and denying employees the right to organize.
|
§ |
have implemented innovative hiring, training, or other programs for women, people of color, and/or the disabled, or otherwise have a superior reputation in the area of diversity;
|
§ |
promote women and people of color into senior line positions;
|
§ |
appoint women and people of color to their boards of directors;
|
§ |
offer diversity training and support groups; and
|
§ |
purchase goods and services from women- and minority-owned firms.
|
§ |
that are currently involved in unsettled major class action discrimination lawsuits;
|
§ |
that are currently involved in unsettled major discrimination lawsuits involving the U.S. Department of Justice or the EEOC (Equal Employment Opportunity Commission); or
|
§ |
that have exceptional historical patterns of discriminatory practices.
|
§ |
have open communications within the communities in which they operate;
|
§ |
actively support charitable organizations, particularly multi-year commitments to local community groups; and
|
§ |
offer incentives (such as paid time off) to employees to volunteer their time with charitable organizations; and
|
§ |
earn the ‘right to operate’ and minimize business interruption through active communications with the local community.
|
§ |
have taken steps to refine their disclosure methods so that they are complete, consistent and measurable;
|
§ |
have developed or are in the process of developing a vision and human rights strategy or to formalize an already existing standard and process;
|
§ |
have identified or are in the process of identifying opportunities that will enhance their overall business and/or where they can take a leadership and advocacy role and extend principles to their suppliers, networks and stakeholders within their sphere of influence; or
|
§ |
strive to build partnerships with NGOs (non-governmental organizations), local communities, labor unions and other businesses in order to learn best practices.
|
§ |
the nature of a company’s products;
|
§ |
whether a company has significant (already accrued or settled lawsuits) or potentially significant (pending lawsuits or settlements) product liabilities;
|
§ |
if a company’s products are innovative and/or address unmet needs, with positive environmental and societal benefits;
|
§ |
whether a company is a leader in quality, ethics and integrity across the supply, production, distribution and post-consumption recycling phases; or
|
§ |
whether a company has high quality control standards in place with regards to animal welfare.
|
§ |
companies that have identified or are in the process of identifying the components of their supply chains; and
|
§ |
companies that engage suppliers to commit to an ESG standard code of conduct.
|
§ |
enhanced transparency and ESG/sustainability reporting, such as the Global Reporting Initiative (GRI); and
|
§ |
participation in voluntary multi-stakeholder initiatives relevant to their business and supply chain.
|
Name,
(Year of
Birth), and
Address
(1)
|
Position(s)
and Length
of Time
Served
(2)
|
Principal Occupation(s) (3) |
Number
of Funds
in Fund
Complex
Overseen
by
Fund
Trustee
|
Other Directorships Held Outside Fund Complex
by Fund Trustee
(3)
|
Independent Fund Trustees
|
||||
Michael J. Cosgrove (1949)
|
Trustee since 2015
|
President, Carragh Consulting USA, since 2014; formerly, Executive, General Electric Company, 1970 to 2014, including President, Mutual Funds and Global Investment Programs, GE Asset Management, 2011 to 2014, President and Chief Executive Officer, Mutual Funds and Intermediary Business, GE Asset Management, 2007 to 2011, President, Institutional Sales and Marketing, GE Asset Management, 1998 to 2007, and Chief Financial Officer, GE Asset Management, and Deputy Treasurer, GE Company, 1988 to 1993.
|
57
|
Director, America Press, Inc. (not-for-profit Jesuit publisher), since 2015; Director, Fordham University, since 2001; formerly, Director, The Gabelli Go Anywhere Trust, June 2015 to June 2016; formerly, Director, Skin Cancer Foundation (not-for-profit), 2006 to 2015; formerly, Director, GE Investments Funds, Inc., 1997 to 2014; formerly, Trustee, GE Institutional Funds, 1997 to 2014; formerly, Director, GE Asset Management, 1988 to 2014; formerly, Director, Elfun Trusts, 1988 to 2014; formerly, Trustee, GE Pension & Benefit Plans, 1988 to 2014.
|
Marc Gary (1952)
|
Trustee since 2015
|
Executive Vice Chancellor and Chief Operating Officer, Jewish Theological Seminary, since 2012; formerly, Executive Vice President and General Counsel, Fidelity Investments, 2007 to 2012; formerly, Executive Vice President and General Counsel, BellSouth Corporation, 2004 to 2007; formerly, Vice President and Associate General Counsel, BellSouth Corporation, 2000 to 2004; formerly, Associate, Partner, and National Litigation Practice Co-Chair, Mayer, Brown LLP, 1981 to 2000; formerly, Associate Independent Counsel, Office of Independent Counsel, 1990 to 1992.
|
57
|
Trustee, Jewish Theological Seminary, since 2015; Director, Counsel on Call (privately held for-profit company), since 2012; Director, Lawyers Committee for Civil Rights Under Law (not-for-profit), since 2005; formerly, Director, Equal Justice Works (not-for-profit), 2005 to 2014; formerly, Director, Corporate Counsel Institute, Georgetown University Law Center, 2007 to 2012; formerly, Director, Greater Boston Legal Services (not-for-profit), 2007 to 2012.
|
Name,
(Year of
Birth), and
Address
(1)
|
Position(s)
and Length
of Time
Served
(2)
|
Principal Occupation(s) (3) |
Number
of Funds
in Fund
Complex
Overseen
by Fund
Trustee
|
Other Directorships Held Outside Fund Complex
by Fund Trustee
(3)
|
Martha C. Goss (1949)
|
Trustee since 2007
|
President, Woodhill Enterprises Inc./Chase Hollow Associates LLC (personal investment vehicle), since 2006; formerly, Consultant, Resources Global Professionals (temporary staffing), 2002 to 2006; formerly, Chief Financial Officer, Booz-Allen & Hamilton, Inc., 1995 to 1999; formerly, Enterprise Risk Officer, Prudential Insurance, 1994 to1995; formerly, President, Prudential Asset Management Company, 1992 to 1994;
formerly, President, Prudential Power Funding (investments in electric and gas utilities and alternative energy projects), 1989 to 1992; formerly, Treasurer, Prudential Insurance
Company, 1983 to 1989.
|
57
|
Director, American Water (water utility), since 2003; Director, Allianz Life of New York (insurance), since 2005; Director, Berger Group Holdings, Inc. (engineering consulting firm), since 2013; Director, Financial Women’s Association of New York (not-for-profit association), since 2003; Trustee Emerita, Brown University, since 1998; Director, Museum of American Finance (not-for-profit), since 2013; formerly, Non-Executive Chair and Director, Channel Reinsurance (financial guaranty reinsurance), 2006 to 2010; formerly, Director, Ocwen Financial Corporation (mortgage servicing), 2005 to 2010; formerly, Director, Claire’s Stores, Inc. (retailer), 2005 to 2007; formerly, Director, Parsons Brinckerhoff Inc. (engineering consulting firm), 2007 to 2010; formerly, Director, Bank Leumi (commercial bank), 2005 to 2007; formerly, Advisory Board Member, Attensity (software developer), 2005 to 2007.
|
Michael M. Knetter (1960)
|
Trustee since 2007
|
President and Chief Executive Officer, University of Wisconsin Foundation, since October 2010; formerly, Dean, School of Business, University of Wisconsin - Madison; formerly, Professor of International Economics and Associate Dean, Amos Tuck School of Business - Dartmouth College, 1998 to 2002.
|
57
|
Board Member, American Family Insurance (a mutual company, not publicly traded), since March 2009; formerly, Trustee, Northwestern Mutual Series Fund, Inc., 2007 to 2011; formerly, Director, Wausau Paper, 2005 to 2011; formerly, Director, Great Wolf Resorts, 2004 to 2009.
|
Deborah C. McLean (1954)
|
Trustee since 2015
|
Member, Circle Financial Group (private wealth management membership practice), since 2011; Managing Director, Golden Seeds LLC (an angel investing group), since 2009; Adjunct Professor, Columbia University School of International and Public Affairs, since 2008; formerly, Visiting Assistant Professor, Fairfield University, Dolan School of Business, Fall 2007; formerly, Adjunct Associate Professor of Finance, Richmond, The American International University in London, 1999 to 2007.
|
57
|
Board member, Norwalk Community College Foundation, since 2014; Dean’s Advisory Council, Radcliffe Institute for Advanced Study, since 2014; formerly, Director and Treasurer, At Home in Darien (not-for-profit), 2012 to 2014; formerly, Director, National Executive Service Corps (not-for-profit), 2012 to 2013; formerly, Trustee, Richmond, The American International University in London, 1999 to 2013.
|
Name,
(Year of
Birth), and
Address
(1)
|
Position(s)
and Length
of Time
Served
(2)
|
Principal Occupation(s) (3) |
Number
of Funds
in Fund
Complex
Overseen
by Fund
Trustee
|
Other Directorships Held Outside Fund Complex
by Fund Trustee
(3)
|
George W. Morriss (1947)
|
Trustee since 2007
|
Adjunct Professor, Columbia University School of International and Public Affairs, since October 2012; formerly, Executive Vice President and Chief Financial Officer, People’s United Bank, Connecticut (a financial services company), 1991 to 2001.
|
57
|
Formerly, Trustee, Steben Alternative Investment Funds, Steben Select Multi-Strategy Fund, and Steben Select Multi-Strategy Master Fund, 2013 to 2017; formerly, Treasurer, National Association of Corporate Directors, Connecticut Chapter, 2011 to 2015; formerly, Manager, Larch Lane Multi-Strategy Fund complex (which consisted of three funds), 2006 to 2011; formerly, Member, NASDAQ Issuers’ Affairs Committee, 1995 to 2003.
|
Tom D. Seip (1950)
|
Trustee since 2000; Chairman of the Board since 2008; formerly Lead Independent Trustee from 2006 to 2008
|
Formerly, Managing Member, Ridgefield Farm LLC (a private investment vehicle), 2004 to 2016; formerly, President and CEO, Westaff, Inc. (temporary staffing), May 2001 to January 2002; formerly, Senior Executive, The Charles Schwab Corporation, 1983 to 1998, including Chief Executive Officer, Charles Schwab Investment Management, Inc.; Trustee, Schwab Family of Funds and Schwab Investments, 1997 to 1998; and Executive Vice President-Retail Brokerage, Charles Schwab & Co., Inc., 1994 to 1997.
|
57
|
Director, H&R Block, Inc. (tax services company), since May 2001;
formerly, Director, Talbot Hospice Inc., 2013 to 2016; formerly, Chairman, Governance and Nominating Committee, H&R Block, Inc., 2011 to 2015; formerly, Chairman, Compensation Committee, H&R Block, Inc., 2006 to 2010; formerly, Director, Forward Management, Inc. (asset management company), 1999 to 2006.
|
James G. Stavridis (1955)
|
Trustee since 2015
|
Commentator, NBC News, since
2015; Dean, Fletcher School of Law and Diplomacy, Tufts University since 2013; formerly, Admiral, United States Navy, 2006 to 2013, including Supreme Allied Commander, NATO and Commander, European Command, 2009 to 2013, and Commander, United States Southern Command, 2006 to 2009.
|
57
|
Director, American Water (water utility),
since 2018; Director, NFP Corp. (insurance
broker and consultant), since 2017; Director, Utilidata Inc., since 2015; Director, U.S. Naval Institute, since 2014; Director, Onassis Foundation USA, since 2014; Director, BMC Software Federal, LLC, since 2014; Director, Vertical Knowledge, LLC, since 2013; formerly, Director, Navy Federal Credit Union, 2000-2002.
|
Name,
(Year of
Birth), and
Address
(1)
|
Position(s)
and Length
of Time
Served
(2)
|
Principal Occupation(s) (3) |
Number
of Funds
in Fund
Complex
Overseen
by Fund
Trustee
|
Other Directorships Held Outside Fund Complex
by Fund Trustee
(3)
|
Candace L. Straight (1947)
|
Trustee since 2000
|
Private investor and consultant specializing in the insurance industry; formerly, Advisory Director, Securitas Capital LLC (a global private equity investment firm dedicated to making investments in the insurance sector), 1998 to 2003.
|
57
|
Formerly, Public Member, Board of Governors and Board of Trustees, Rutgers University, 2011 to 2016; formerly, Director, Montpelier Re Holdings Ltd. (reinsurance company), 2006 to 2015; formerly, Director, National Atlantic Holdings Corporation (property and casualty insurance company), 2004 to 2008; formerly, Director, The Proformance Insurance Company (property and casualty insurance company), 2004 to 2008; formerly, Director, Providence Washington Insurance Company (property and casualty insurance company), 1998 to 2006; formerly, Director, Summit Global Partners (insurance brokerage firm), 2000 to 2005.
|
Peter P. Trapp (1944)
|
Trustee since 2000
|
Retired; formerly, Regional Manager for Mid-Southern Region, Ford Motor Credit Company, September 1997 to 2007; formerly, President, Ford Life Insurance Company, April 1995 to August 1997.
|
57
|
None.
|
Name,
(Year of
Birth), and
Address
(1)
|
Position(s)
and Length
of Time
Served
(2)
|
Principal Occupation(s) (3) |
Number
of Funds
in Fund
Complex
Overseen
by Fund
Trustee
|
Other Directorships Held Outside Fund Complex
by Fund Trustee
(3)
|
Fund Trustees who are “Interested Persons”
|
||||
Joseph V. Amato*
(1962)
|
Chief Executive Officer and President since 2018 and Trustee since 2009
|
President and Director, Neuberger Berman Group LLC, since 2009; President and Chief Executive Officer, Neuberger Berman BD LLC (“Neuberger Berman”) and Neuberger Berman Holdings LLC (including its predecessor, Neuberger Berman Inc.), since 2007; Chief Investment Officer (Equities) and President (Equities), Neuberger Berman Investment Advisers LLC (“NBIA”) (formerly, Neuberger Berman Fixed Income LLC (“NBFI”) and including predecessor entities), since 2007, and Board Member of NBIA since 2006; formerly, Global Head of Asset Management of Lehman Brothers Holdings Inc.’s (“LBHI”) Investment Management Division, 2006 to 2009; formerly, member of LBHI’s Investment Management Division’s Executive Management Committee, 2006 to 2009; formerly, Managing Director, Lehman Brothers Inc. (“LBI”), 2006 to 2008; formerly, Chief Recruiting and Development Officer, LBI, 2005 to 2006; formerly, Global Head of LBI’s Equity Sales and a Member of its Equities Division Executive Committee, 2003 to 2005; President and Chief Executive Officer, twenty-six registered investment companies for which NBIA acts as investment manager and/or administrator.
|
57
|
Member of Board of Advisors, McDonough School of Business, Georgetown University, since 2001; Member of New York City Board of Advisors, Teach for America, since 2005; Trustee, Montclair Kimberley Academy (private school), since 2007; Member of Board of Regents, Georgetown University, since 2013.
|
Robert Conti* (1956)
|
Trustee since 2008
|
Formerly, Managing Director, Neuberger Berman, 2007 to 2018; formerly, President-Mutual Funds, NBIA, 2008 to 2018; formerly, Senior Vice President, Neuberger Berman, 2003 to 2006; formerly, Vice President, Neuberger Berman, 1999 to 2003.
|
57
|
Director, Staten Island Mental Health Society, since 1994; formerly, Chairman of the Board, Staten Island Mental Health Society, 2008 to 2011.
|
(1) |
The business address of each listed person is 1290 Avenue of the Americas, New York, NY 10104.
|
(2) |
Pursuant to the Trust’s Amended and Restated Trust Instrument, subject to any limitations on the term of service imposed by the By-Laws or any retirement policy adopted by the Fund Trustees, each Fund Trustee shall hold office for life or until his or her successor is elected or the Trust terminates; except that (a) any Fund Trustee may resign by delivering a written resignation; (b) any Fund Trustee may be removed with or without cause at any time by a written instrument signed by at least two-thirds of the other Fund Trustees; (c) any Fund Trustee who requests to be retired, or who has become unable to serve, may be retired by a written instrument
|
signed by a majority of the other Fund Trustees; and (d) any Fund Trustee may be removed at any shareholder meeting by a vote of at least two-thirds of the outstanding shares.
|
(3) |
Except as otherwise indicated, each individual has held the positions shown during at least the last five years.
|
* |
Indicates a Fund Trustee who is an “interested person” within the meaning of the 1940 Act. Mr. Amato is an interested person of the Trust by virtue of the fact that he is an officer of NBIA and/or its affiliates. Mr. Conti is an interested person of the Trust by virtue of the fact that he was an officer of NBIA and/or its affiliates until 2018.
|
Name, (Year of Birth), and
Address
(1)
|
Position(s) and Length of
Time Served (2) |
Principal Occupation(s)
(3)
|
|
Claudia A. Brandon (1956)
|
Executive Vice President since 2008
and Secretary since 1985
|
Senior Vice President, Neuberger Berman, since 2007 and Employee since 1999; Senior Vice President, NBIA, since 2008 and Assistant Secretary since 2004; formerly, Vice President, Neuberger Berman, 2002 to 2006; formerly, Vice President – Mutual Fund Board Relations, NBIA, 2000 to 2008; formerly, Vice President, NBIA, 1986 to 1999 and Employee, 1984 to 1999; Executive Vice President and Secretary, twenty-six registered investment companies for which NBIA acts as investment manager and/or administrator.
|
|
Agnes Diaz (1971)
|
Vice President since 2013
|
Senior Vice President, Neuberger Berman, since 2012; Senior Vice President, NBIA, since 2012 and Employee since 1996; formerly, Vice President, Neuberger Berman, 2007 to 2012; Vice President, ten registered investment companies for which NBIA acts as investment manager and/or administrator.
|
|
Anthony DiBernardo (1979)
|
Assistant Treasurer since 2011
|
Senior Vice President, Neuberger Berman, since 2014; Senior Vice President, NBIA, since 2014, and Employee since 2003; formerly, Vice President, Neuberger Berman, 2009 to 2014; Assistant Treasurer, ten registered investment companies for which NBIA acts as investment manager and/or administrator.
|
Name, (Year of Birth), and
Address
(1)
|
Position(s) and Length of
Time Served (2) |
Principal Occupation(s)
(3)
|
Corey A. Issing
(1978)
|
Chief Legal Officer since 2016 (only for purposes of sections 307 and 406 of the Sarbanes-Oxley Act of 2002) and Anti-Money Laundering Compliance Officer since 2016
|
General Counsel and Head of Compliance – Mutual Funds since 2016 and Managing Director, NBIA, since 2017, formerly, Associate General Counsel (2015 to 2016), Counsel (2007 to 2015), Senior Vice President (2013-2016), Vice President (2009 – 2013); Chief Legal Officer (only for purposes of sections 307 and 406 of the Sarbanes-Oxley Act of 2002), twenty-six registered investment companies for which NBIA acts as investment manager and/or administrator; Anti-Money Laundering Compliance Officer, twenty-six registered investment companies for which NBIA acts as investment manager and/or administrator.
|
Sheila R. James (1965)
|
Assistant Secretary since 2002
|
Vice President, Neuberger Berman, since 2008 and Employee since 1999; Vice President, NBIA, since 2008; formerly, Assistant Vice President, Neuberger Berman, 2007; Employee, NBIA, 1991 to 1999; Assistant Secretary, twenty-six registered investment companies for which NBIA acts as investment manager and/or administrator.
|
Brian Kerrane (1969)
|
Chief Operating Officer since 2015 and Vice President since 2008
|
Managing Director, Neuberger Berman, since 2013; Chief Operating Officer – Mutual Funds and Managing Director, NBIA, since 2015; formerly, Senior Vice President, Neuberger Berman, 2006 to 2014; Vice President, NBIA, 2008 to 2015 and Employee since 1991; Chief Operating Officer, ten
registered investment companies for which
NBIA acts as investment manager and/or
administrator; Vice President, twenty-six registered investment companies for which NBIA acts as investment manager and/or administrator.
|
Anthony Maltese (1959)
|
Vice President since 2015
|
Senior Vice President, Neuberger Berman, since 2014 and Employee since 2000; Senior Vice President, NBIA, since 2014; Vice President, ten registered investment companies for which NBIA acts as investment manager and/or administrator.
|
Josephine Marone (1963)
|
Assistant Secretary since 2017
|
Senior Paralegal, Neuberger Berman, since 2007 and Employee since 2007; Assistant Secretary, twenty-six registered investment companies for which NBIA acts as investment manager and/or administrator.
|
Name, (Year of Birth), and
Address
(1)
|
Position(s) and Length of
Time Served (2) |
Principal Occupation(s)
(3)
|
Owen F. McEntee, Jr. (1961)
|
Vice President since 2008
|
Vice President, Neuberger Berman, since 2006; Vice President, NBIA, since 2006 and Employee since 1992; Vice President, ten registered investment companies for which NBIA acts as investment manager and/or administrator.
|
John M. McGovern (1970)
|
Treasurer and Principal Financial and Accounting Officer since 2005
|
Senior Vice President, Neuberger Berman, since 2007; Senior Vice President, NBIA, since 2007 and Employee since 1993; formerly, Vice President, Neuberger Berman, 2004 to 2006; formerly, Assistant Treasurer, 2002 to 2005; Treasurer and Principal Financial and Accounting Officer, twenty-six registered investment companies for which NBIA acts as investment manager and/or administrator.
|
Frank Rosato (1971)
|
Assistant Treasurer since 2005
|
Vice President, Neuberger Berman, since 2006; Vice President, NBIA, since 2006 and Employee since 1995; Assistant Treasurer, ten registered investment companies for which NBIA acts as investment manager and/or administrator.
|
Chief Compliance Officer since 2005 | Chief Compliance Officer – Mutual Funds and Senior Vice President, NBIA, since 2006; formerly, Senior Vice President, LBI, 2007 to 2008; formerly, Vice President, LBI, 2003 to 2006; formerly, Chief Compliance Officer, Lehman Brothers Asset Management Inc., 2003 to 2007; formerly, Chief Compliance Officer, Lehman Brothers Alternative Investment Management LLC, 2003 to 2007; Chief Compliance Officer, twenty-six registered investment companies for which NBIA acts as investment manager and/or administrator. |
(1) |
The business address of each listed person is 1290 Avenue of the Americas, New York, NY 10104.
|
(2) |
Pursuant to the By-Laws of the Trust, each officer elected by the Fund Trustees shall hold office until his or her successor shall have been elected and qualified or until his or her earlier death, inability to serve, or resignation. Officers serve at the pleasure of the Fund Trustees and may be removed at any time with or without cause.
|
(3) |
Except as otherwise indicated, each individual has held the positions shown during at least the last five years.
|
Name and Position with the Trust
|
Aggregate
Compensation from the Trust |
Total Compensation from
Investment Companies in the Neuberger Berman
Fund Complex Paid to Fund Trustees
|
Independent Fund Trustees
|
||
Michael J. Cosgrove
|
[_]
|
[_]
|
Trustee
|
||
Marc Gary
|
[_]
|
[_]
|
Trustee
|
||
Martha C. Goss
Trustee
|
[_]
|
[_]
|
Michael M. Knetter
Trustee
|
[_]
|
[_]
|
Deborah C. McLean
Trustee
|
[_]
|
[_]
|
George W. Morriss
Trustee
|
[_]
|
[_]
|
Tom D. Seip
Chairman of the Board and Trustee |
[_]
|
[_]
|
James G. Stavridis
Trustee
|
[_]
|
[_]
|
Candace L. Straight
Trustee |
[_]
|
[_]
|
Peter P. Trapp
Trustee |
[_]
|
[_]
|
Fund Trustees who are “Interested Persons”
|
||
Joseph V. Amato
President, Chief Executive Officer and Trustee
|
[_]
|
[_]
|
Robert Conti
Trustee |
[_]
|
[_]
|
Dividend
Growth Fund
|
Emerging
Markets
Equity
Fund
|
Equity
Income
Fund
|
Focus
Fund
|
Genesis
Fund
|
Global
Equity
Fund
|
Global Real
Estate
Fund
|
Greater
China
Equity
Fund
|
Guardian
Fund
|
Int’l
Equity
Fund
|
Int’l Select
Fund
|
|
Independent Fund Trustees
|
|||||||||||
Michael J. Cosgrove
|
A
|
C
|
C
|
A
|
C
|
A
|
A
|
A
|
A
|
A
|
C
|
Marc Gary
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
Martha C. Goss
|
E
|
C
|
C
|
A
|
D
|
A
|
A
|
C
|
A
|
A
|
A
|
Michael M. Knetter
|
D
|
A
|
A
|
A
|
D
|
A
|
A
|
A
|
A
|
D
|
A
|
Deborah C. McLean
|
A
|
C
|
A
|
A
|
D
|
A
|
A
|
C
|
A
|
A
|
A
|
George W. Morriss
|
C
|
C
|
A
|
A
|
D
|
A
|
A
|
A
|
D
|
A
|
C
|
Tom D. Seip
|
A
|
A
|
A
|
A
|
E
|
A
|
A
|
E
|
E
|
A
|
A
|
James G. Stavridis
|
A
|
C
|
A
|
D
|
C
|
A
|
A
|
A
|
A
|
C
|
A
|
Candace L. Straight
|
A
|
A
|
C
|
A
|
E
|
A
|
A
|
A
|
E
|
E
|
A
|
Peter P. Trapp
|
A
|
E
|
A
|
A
|
C
|
A
|
A
|
A
|
A
|
A
|
C
|
Fund Trustees who are “Interested Persons”
|
|||||||||||
Joseph V. Amato
|
A
|
E
|
A
|
E
|
A
|
A
|
A
|
A
|
A
|
A
|
E
|
Robert Conti
|
A
|
A
|
E
|
A
|
D
|
A
|
A
|
A
|
E
|
A
|
A
|
Intrinsic
Value
Fund
|
Large Cap
Value Fund
|
Mid
Cap
Growth
Fund
|
Mid Cap
Intrinsic
Value
Fund
|
Multi-Cap
Opportunities
Fund
|
Real Estate
Fund
|
Small Cap
Growth
Fund
|
Socially
Responsive
Fund
|
Value
Fund
|
|
Independent Fund Trustees
|
|||||||||
Michael J. Cosgrove^
|
B
|
C
|
A
|
A
|
B
|
A
|
A
|
A
|
E
|
Marc Gary^
|
A
|
A
|
A
|
A
|
E
|
A
|
A
|
A
|
A
|
Martha C. Goss
|
A
|
A
|
C
|
A
|
A
|
A
|
A
|
A
|
A
|
Michael M. Knetter
|
C
|
A
|
C
|
A
|
D
|
D
|
A
|
A
|
E
|
Deborah C. McLean^
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
C
|
A
|
George W. Morriss
|
A
|
A
|
E
|
D
|
A
|
A
|
C
|
A
|
C
|
Tom D. Seip
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
James G. Stavridis^
|
A
|
A
|
C
|
A
|
A
|
C
|
A
|
A
|
A
|
Candace L. Straight
|
E
|
E
|
E
|
A
|
A
|
A
|
A
|
A
|
A
|
Peter P. Trapp
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
Fund Trustees who are “Interested Persons”
|
|||||||||
Joseph V. Amato
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
Robert Conti
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
A
|
Investor
Class
|
Management and Administration Fees Accrued for Fiscal
Years Ended August 31, |
||
2018
|
2017
|
2016
|
|
Focus
|
[_]
|
$5,035,241
|
$4,849,517
|
Genesis
|
[_]
|
$16,794,208
|
$16,106,079
|
Guardian
|
[_]
|
$7,726,356
|
$7,592,292
|
International Equity
|
[_]
|
$1,088,998
|
$1,189,532
|
Large Cap Value
|
[_]
|
$8,516,378
|
$7,606,852
|
Mid Cap Growth
|
[_]
|
$3,271,706
|
$3,106,427
|
Mid Cap Intrinsic Value
|
[_]
|
$320,574
|
$313,372
|
Small Cap Growth
|
[_]
|
$515,999
|
$476,515
|
Socially Responsive
|
[_]
|
$5,306,356
|
$5,369,317
|
Trust Class
|
Management and Administration Fees Accrued for Fiscal
Years Ended August 31, |
||
2018
|
2017
|
2016
|
|
Focus
|
[_]
|
$606,952
|
$742,898
|
Genesis
|
[_]
|
$17,703,799
|
$18,785,876
|
Guardian
|
[_]
|
$590,280
|
$776,335
|
International Equity
|
[_]
|
$531,049
|
$617,862
|
International Select
|
[_]
|
$73,698
|
$82,466
|
Large Cap Value
|
[_]
|
$705,550
|
$789,914
|
Mid Cap Growth
|
[_]
|
$565,220
|
$705,442
|
Mid Cap Intrinsic Value
|
[_]
|
$103,263
|
$100,102
|
Real Estate
|
[_]
|
$2,075,923
|
$2,745,454
|
Small Cap Growth
|
[_]
|
$50,611
|
$56,740
|
Socially Responsive
|
[_]
|
$2,174,744
|
$2,523,153
|
Advisor Class
|
Management and Administration Fees Accrued for Fiscal
Years Ended August 31, |
||
2018
|
2017
|
2016
|
|
Focus
|
[_]
|
$35,244
|
$43,678
|
Genesis
|
[_]
|
$2,555,526
|
$3,644,120
|
Guardian
|
[_]
|
$1,643
|
$2,826
|
Large Cap Value
|
[_]
|
$1,332,160
|
$1,309,457
|
Mid Cap Growth
|
[_]
|
$106,797
|
$99,758
|
Small Cap Growth
|
[_]
|
$22,935
|
$28,488
|
Institutional Class
|
Management and Administration Fees Accrued for Fiscal
Years Ended August 31,
|
||
2018
|
2017
|
2016
|
|
Dividend Growth
|
[_]
|
$168,456
|
$67,265*
|
Emerging Markets Equity
|
[_]
|
$4,943,391
|
$3,335,363
|
Equity Income
|
[_]
|
$7,306,225
|
$7,459,731
|
Focus
|
[_]
|
$50,164
|
$99,122
|
Genesis
|
[_]
|
$29,389,048
|
$27,659,480
|
Global Equity
|
[_]
|
$28,985
|
$28,746
|
Global Real Estate
|
[_]
|
$19,350
|
$18,876
|
Greater China Equity
|
[_]
|
$1,127,663
|
$1,128,120
|
Guardian
|
[_]
|
$426,502
|
$441,474
|
International Equity
|
[_]
|
$11,966,832
|
$9,815,538
|
International Select
|
[_]
|
$1,490,229
|
$1,497,818
|
International Small Cap
|
[_]
|
$5,325*
|
N/A^
|
Intrinsic Value
|
[_]
|
$6,402,692
|
$4,580,525
|
Large Cap Value
|
[_]
|
$483,822
|
$398,538
|
Mid Cap Growth
|
[_]
|
$1,997,801
|
$2,547,510
|
Mid Cap Intrinsic Value
|
[_]
|
$179,365
|
$188,901
|
Multi-Cap Opportunities
|
[_]
|
$11,891,454
|
$13,076,718
|
Real Estate
|
[_]
|
$2,025,508
|
$2,862,196
|
Small Cap Growth
|
[_]
|
$103,646
|
$145,316
|
Socially Responsive
|
[_]
|
$4,936,545
|
$4,412,921
|
Value
|
[_]
|
$79,812
|
$62,805
|
Class A@
|
Management and Administration Fees Accrued for Fiscal
Years Ended August 31,
|
||
2018
|
2017
|
2016
|
|
Dividend Growth
|
[_]
|
$5,872
|
$3,080*
|
Emerging Markets Equity
|
[_]
|
$506,905
|
$216,428
|
Equity Income
|
[_]
|
$1,646,194
|
$1,899,552
|
Focus
|
[_]
|
$24,766
|
$29,106
|
Global Equity
|
[_]
|
$3,335
|
$5,093
|
Global Real Estate
|
[_]
|
$4,093
|
$6,874
|
Greater China Equity
|
[_]
|
$62,133
|
$33,359
|
Guardian
|
[_]
|
$44,680
|
$171,061
|
International Equity
|
[_]
|
$834,700
|
$1,013,394
|
International Select
|
[_]
|
$36,030
|
$34,845
|
International Small Cap
|
[_]
|
$2,413*
|
N/A^
|
Intrinsic Value
|
[_]
|
$345,334
|
$506,364
|
Large Cap Value
|
[_]
|
$23,988
|
$23,191
|
Mid Cap Growth
|
[_]
|
$494,926
|
$675,319
|
Mid Cap Intrinsic Value
|
[_]
|
$93,221
|
$109,998
|
Multi-Cap Opportunities
|
[_]
|
$476,112
|
$682,829
|
Real Estate
|
[_]
|
$1,008,847
|
$1,323,028
|
Small Cap Growth
|
[_]
|
$36,206
|
$42,090
|
Socially Responsive
|
[_]
|
$882,419
|
$979,242
|
Value
|
[_]
|
$36,400
|
$36,315
|
Class C
@
|
Management and Administration Fees Accrued for Fiscal
Years Ended August 31,
|
||
2018
|
2017
|
2016
|
|
Dividend Growth
|
[_]
|
$15,546
|
$2,911*
|
Emerging Markets Equity
|
[_]
|
$70,702
|
$65,008
|
Equity Income
|
[_]
|
$2,303,762
|
$2,612,986
|
Focus
|
[_]
|
$15,705
|
$20,044
|
Global Equity
|
[_]
|
$1,110
|
$2,154
|
Global Real Estate
|
[_]
|
$2,725
|
$2,689
|
Greater China Equity
|
[_]
|
$2,365
|
$1,860
|
Guardian
|
[_]
|
$14,163
|
$18,447
|
International Equity
|
[_]
|
$142,874
|
$140,008
|
International Select
|
[_]
|
$24,126
|
$27,980
|
International Small Cap
|
[_]
|
$937*
|
N/A^
|
Intrinsic Value
|
[_]
|
$250,051
|
$278,571
|
Large Cap Value
|
[_]
|
$17,794
|
$15,614
|
Mid Cap Growth
|
[_]
|
$76,444
|
$78,915
|
Mid Cap Intrinsic Value
|
[_]
|
$23,069
|
$29,353
|
Multi-Cap Opportunities
|
[_]
|
$315,788
|
$335,970
|
Real Estate
|
[_]
|
$239,314
|
$311,974
|
Small Cap Growth
|
[_]
|
$20,337
|
$22,382
|
Socially Responsive
|
[_]
|
$400,046
|
$377,636
|
Value
|
[_]
|
$23,106
|
$3,858
|
Class R3
|
Management and Administration Fees Accrued for Fiscal
Years Ended August 31,
|
|||
2018
|
2017
|
2016
|
||
Emerging Markets Equity
|
[_]
|
$15,108
|
$11,789
|
|
Equity Income
|
[_]
|
$14,831
|
$21,226
|
|
Guardian
|
[_]
|
$4,125
|
$4,000
|
|
International Select
|
[_]
|
$35,830
|
$29,718
|
|
Large Cap Value
|
[_]
|
$750
|
$525
|
|
Mid Cap Growth
|
[_]
|
$104,060
|
$102,403
|
|
Mid Cap Intrinsic Value
|
[_]
|
$11,334
|
$10,203
|
|
Real Estate
|
[_]
|
$227,705
|
$245,680
|
|
Small Cap Growth
|
[_]
|
$11,309
|
$13,277
|
|
Socially Responsive
|
[_]
|
$270,436
|
$231,204
|
Class R6@
|
Management and Administration Fees Accrued for
Fiscal Year
Ended August 31, |
||
2018
|
2017
|
2016
|
|
Dividend Growth
|
[_]
|
$268
|
$3,957*
|
Emerging Markets Equity
|
[_]
|
$1,204,007
|
$968,846
|
Genesis
|
[_]
|
$27,206,954
|
$22,235,087
|
Class R6@
|
Management and Administration Fees Accrued for
Fiscal Year
Ended August 31, |
||
2018
|
2017
|
2016
|
|
International Equity
|
[_]
|
$492,740
|
$335,079
|
International Select
|
[_]
|
$22,607*
|
N/A^
|
International Small Cap
|
[_]
|
$1,577 *
|
N/A^
|
Mid Cap Growth
|
[_]
|
$1,317,856
|
$866,190
|
Real Estate
|
[_]
|
$382,603
|
$312,779
|
Socially Responsive
|
[_]
|
$1,827,734
|
$1,573,029
|
Fund
|
Class
|
Limitation Period
|
Expense Limitation
|
Dividend Growth
|
Institutional
|
8/31/2021
|
0.69%
|
A
|
8/31/2021
|
1.05%
|
|
C
|
8/31/2021
|
1.80%
|
|
R6
|
8/31/2021
|
0.62%
|
|
Emerging Markets Equity
|
A
|
08/31/2021
|
1.50%
|
C
|
08/31/2021
|
2.25%
|
|
Institutional
|
08/31/2021
|
1.25%
|
|
R3
|
08/31/2021
|
1.91%
|
|
R6
|
08/31/2021
|
1.18%
|
|
Equity Income
|
A
|
08/31/2021
|
1.16%
|
C
|
08/31/2021
|
1.91%
|
|
Institutional
|
08/31/2021
|
0.80%
|
|
R3
|
08/31/2021
|
1.41%
|
|
Focus
|
Trust
|
08/31/2021
|
1.50%
|
Advisor
|
08/31/2022
|
1.50%
|
|
Institutional
|
08/31/2021
|
0.75%
|
|
A
|
08/31/2021
|
1.11%
|
|
C
|
08/31/2021
|
1.86%
|
|
Genesis*
|
Trust
|
08/31/2021
|
1.50%
|
Advisor
|
08/31/2022
|
1.50%
|
|
Institutional
|
08/31/2022
|
0.85%
|
|
A
|
08/31/2021
|
1.21%
|
|
C
|
08/31/2021
|
1.96%
|
|
R6
|
08/31/2021
|
0.75%
|
|
R3
|
08/31/2021
|
1.51%
|
|
Global Equity**
|
A
|
08/31/2021
|
1.11%
|
C
|
08/31/2021
|
1.86%
|
|
Institutional
|
08/31/2021
|
0.75%
|
|
Global Real Estate
|
A
|
08/31/2021
|
1.36%
|
C
|
08/31/2021
|
2.11%
|
|
Institutional
|
08/31/2021
|
1.00%
|
|
Greater China Equity
|
A
|
08/31/2021
|
1.86%
|
C
|
08/31/2021
|
2.61%
|
|
Institutional
|
08/31/2021
|
1.50%
|
|
Guardian
|
Trust
|
08/31/2021
|
1.50%
|
Advisor
|
08/31/2022
|
1.50%
|
|
Institutional
|
08/31/2021
|
0.75%
|
|
A
|
08/31/2021
|
1.11%
|
|
C
|
08/31/2021
|
1.86%
|
|
R3
|
08/31/2021
|
1.36%
|
|
International Equity
|
Institutional
|
08/31/2022
|
0.85%
|
Investor
|
08/31/2021
|
1.40%
|
Fund
|
Class
|
Limitation Period
|
Expense Limitation
|
Trust
|
08/31/2022
|
2.00%
|
|
A
|
08/31/2021
|
1.21%
|
|
C
|
08/31/2021
|
1.96%
|
|
R6
|
08/31/2021
|
0.78%
|
|
R3
|
08/31/2021
|
1.76%
|
|
International Select***
|
Trust
|
08/31/2021
|
1.15%
|
Institutional
|
08/31/2021
|
0.80%
|
|
A
|
08/31/2021
|
1.16%
|
|
C
|
08/31/2021
|
1.91%
|
|
R3
|
08/31/2021
|
1.41%
|
|
R6
|
08/31/2021
|
0.73%
|
|
International Small Cap
|
Institutional
|
08/31/2021
|
1.05%
|
A
|
08/31/2021
|
1.41%
|
|
C
|
08/31/2021
|
2.16%
|
|
R6
|
08/31/2021
|
0.98%
|
|
Intrinsic Value
|
Institutional
|
08/31/2021
|
1.00%
|
A
|
08/31/2021
|
1.36%
|
|
C
|
08/31/2021
|
2.11%
|
|
R6
|
08/31/2021
|
0.93%
|
|
Large Cap Value
|
Trust
|
08/31/2021
|
1.50%
|
Advisor
|
08/31/2022
|
1.50%
|
|
Institutional
|
08/31/2021
|
0.70%
|
|
A
|
08/31/2021
|
1.11%
|
|
C
|
08/31/2021
|
1.86%
|
|
R3
|
08/31/2021
|
1.36%
|
|
R6
|
08/31/2021
|
0.63%
|
|
Mid Cap Growth
|
Trust
|
08/31/2021
|
1.50%
|
Advisor
|
08/31/2022
|
1.50%
|
|
Institutional
|
08/31/2021
|
0.75%
|
|
A
|
08/31/2021
|
1.11%
|
|
C
|
08/31/2021
|
1.86%
|
|
R3
|
08/31/2021
|
1.36%
|
|
R6
|
08/31/2021
|
0.68%
|
|
Mid Cap Intrinsic Value
|
Investor
|
08/31/2022
|
1.50%
|
Trust
|
08/31/2022
|
1.25%
|
|
Institutional
|
08/31/2021
|
0.85%
|
|
A
|
08/31/2021
|
1.21%
|
|
C
|
08/31/2021
|
1.96%
|
|
R3
|
08/31/2021
|
1.46%
|
|
Multi-Cap Opportunities
|
Institutional
|
08/31/2021
|
1.00%
|
A
|
08/31/2021
|
1.36%
|
Fund
|
Class
|
Limitation Period
|
Expense Limitation
|
C
|
08/31/2021
|
2.11%
|
|
Real Estate
|
Trust
|
08/31/2022
|
1.50%
|
Institutional
|
08/31/2022
|
0.85%
|
|
A
|
08/31/2021
|
1.21%
|
|
C
|
08/31/2021
|
1.96%
|
|
R3
|
08/31/2021
|
1.46%
|
|
R6
|
08/31/2021
|
0.78%
|
|
Small Cap Growth
|
Investor
|
08/31/2022
|
1.30%
|
Trust
|
08/31/2022
|
1.40%
|
|
Advisor
|
08/31/2022
|
1.60%
|
|
Institutional
|
08/31/2021
|
0.90%
|
|
A
|
08/31/2021
|
1.26%
|
|
C
|
08/31/2021
|
2.01%
|
|
R3
|
08/31/2021
|
1.51%
|
|
R6
|
08/31/2022
|
0.80%
|
|
Socially Responsive
|
Trust
|
08/31/2021
|
1.50%
|
Institutional
|
08/31/2021
|
0.75%
|
|
A
|
08/31/2021
|
1.11%
|
|
C
|
08/31/2021
|
1.86%
|
|
R3
|
08/31/2021
|
1.36%
|
|
R6
|
08/31/2021
|
0.68%
|
|
Value
|
Institutional
|
08/31/2021
|
0.75%
|
A
|
08/31/2021
|
1.11%
|
|
C
|
08/31/2021
|
1.86%
|
Expenses Reimbursed for Fiscal Years
Ended August 31,
|
|||
Fund
|
2018
|
2017
|
2016
|
Dividend Growth – Class A
|
[_]
|
$8,372
|
$9,994*
|
Dividend Growth – Class C
|
[_]
|
$20,432
|
$9,444*
|
Dividend Growth – Class R6
|
[_]
|
$484
|
$15,585*
|
Dividend Growth – Institutional Class
|
[_]
|
$258,355
|
$215,047*
|
Emerging Markets Equity – Class A
|
[_]
|
$91,792
|
$54,600
|
Emerging Markets Equity – Class C
|
[_]
|
$11,097
|
$13,399
|
Emerging Markets Equity – Class R3
|
[_]
|
$1,161
|
$1,403
|
Emerging Markets Equity – Class R6
|
[_]
|
$88,158
|
$127,742
|
Emerging Markets Equity – Institutional Class
|
[_]
|
$460,088
|
$528,129
|
Expenses Reimbursed for Fiscal Years
Ended August 31,
|
|||
Fund
|
2018
|
2017
|
2016
|
Focus – Class A
|
[_]
|
$580
|
$1,451
|
Focus – Class C
|
[_]
|
$336
|
$893
|
Focus – Institutional Class
|
[_]
|
$209
|
$755
|
Global Equity – Class A
|
[_]
|
$24,676
|
$38,361
|
Global Equity – Class C
|
[_]
|
$8,112
|
$16,073
|
Global Equity – Institutional Class
|
[_]
|
$239,590
|
$240,098
|
Global Real Estate – Class A
|
[_]
|
$38,044
|
$64,529
|
Global Real Estate – Class C
|
[_]
|
$25,661
|
$25,169
|
Global Real Estate – Institutional Class
|
[_]
|
$202,973
|
$197,159
|
Greater China Equity – Class A
|
[_]
|
$9,343
|
$7,590
|
Greater China Equity – Class C
|
[_]
|
$322
|
$320
|
Greater China Equity – Institutional Class
|
[_]
|
$164,058
|
$229,329
|
Guardian – Class R3
|
[_]
|
$88
|
$148
|
International Equity – Class A
|
[_]
|
$0
|
$10,042
|
International Equity – Class C
|
[_]
|
$0
|
$2,521
|
International Select – Class A
|
[_]
|
$3,816
|
$1,276
|
International Select – Class C
|
[_]
|
$2,278
|
$1,955
|
International Select – Class R3
|
[_]
|
$3,513
|
$2,218
|
International Select – Institutional Class
|
[_]
|
$141,368
|
$91,989
|
International Select – Trust Class
|
[_]
|
$12,594
|
$12,258
|
International Select – Class R6
|
[_]
|
$1,906
|
N/A
^
|
International Small Cap – Class A
|
[_]
|
$65,158*
|
N/A
^
|
International Small Cap – Class C
|
[_]
|
$25,270*
|
N/A
^
|
International Small Cap – Institutional
|
[_]
|
$159,342*
|
N/A
^
|
International Small Cap – Class R6
|
[_]
|
$50,711*
|
N/A
^
|
Intrinsic Value – Class A
|
[_]
|
$21,955
|
$58,200
|
Intrinsic Value – Class C
|
[_]
|
$9,376
|
$22,495
|
Intrinsic Value – Institutional
|
[_]
|
$205,715
|
$357,588
|
Large Cap Value – Class R3
|
[_]
|
$70
|
$126
|
Large Cap Value – Institutional Class
|
[_]
|
$0
|
$740
|
Mid Cap Growth – Class C
|
[_]
|
$0
|
$1,762
|
Mid Cap Growth – Class R3
|
[_]
|
$80
|
$2,657
|
Mid Cap Intrinsic Value – Class A
|
[_]
|
$4,690
|
$17,891
|
Mid Cap Intrinsic Value – Class C
|
[_]
|
$1,218
|
$4,388
|
Mid Cap Intrinsic Value – Class R3
|
[_]
|
$629
|
$1,736
|
Mid Cap Intrinsic Value – Institutional Class
|
[_]
|
$5,015
|
$24,711
|
Mid Cap Intrinsic Value – Trust Class
|
[_]
|
$0
|
$8,167
|
Real Estate – Class A
|
[_]
|
$193,727
|
$261,138
|
Real Estate – Class C
|
[_]
|
$47,102
|
$62,906
|
Real Estate – Class R3
|
[_]
|
$46,018
|
$50,219
|
Real Estate – Class R6
|
[_]
|
$85,221
|
$70,754
|
Real Estate – Institutional Class
|
[_]
|
$418,961
|
$588,136
|
Small Cap Growth – Advisor Class
|
[_]
|
$8,126
|
$10,968
|
Small Cap Growth – Class A
|
[_]
|
$20,750
|
$26,066
|
Expenses Reimbursed for Fiscal Years
Ended August 31,
|
|||
Fund
|
2018
|
2017
|
2016
|
Small Cap Growth – Class C
|
[_]
|
$11,214
|
$13,463
|
Small Cap Growth – Class R3
|
[_]
|
$6,935
|
$8,774
|
Small Cap Growth – Institutional Class
|
[_]
|
$61,816
|
$94,448
|
Small Cap Growth – Investor Class
|
[_]
|
$221,840
|
$243,435
|
Small Cap Growth – Trust Class
|
[_]
|
$19,320
|
$24,155
|
Value – Class A
|
[_]
|
$66,962
|
$87,821
|
Value – Class C
|
[_]
|
$41,187
|
$9,526
|
Value – Institutional Class
|
[_]
|
$165,002
|
$172,294
|
Expenses Repaid for Fiscal Years
Ended August 31,
|
|||
Fund
|
2018
|
2017
|
2016
|
Genesis – Class R6
|
[_]
|
$65,989
|
$32,566
|
Genesis – Institutional Class
|
[_]
|
$111,353
|
$53,485
|
Guardian – Advisor Class
|
[_]
|
$0
|
$147
|
International Equity – Class A
|
[_]
|
$7,768
|
$0
|
International Equity – Class C
|
[_]
|
$774
|
$0
|
International Equity – Class R6
|
[_]
|
$0
|
$0
|
International Equity – Institutional Class
|
[_]
|
$211,730
|
$33,116
|
Large Cap Value – Class C
|
[_]
|
$0
|
$0
|
Large Cap Value – Institutional Class
|
[_]
|
$5,448
|
$0
|
Mid Cap Growth – Class A
|
[_]
|
$12,921
|
$5,418
|
Mid Cap Growth – Class C
|
[_]
|
$625
|
$0
|
Mid Cap Growth – Class R6
|
[_]
|
$0
|
$0
|
Mid Cap Growth – Institutional Class
|
[_]
|
$0
|
$77,459
|
Mid Cap Intrinsic Value – Trust Class
|
[_]
|
$1,431
|
$0
|
Fund
|
Voluntary Expense Limitation
|
International Select – Class A
|
1.24%
|
Real Estate – Trust Class
|
1.04%
|
Small Cap Growth – Investor Class
|
1.21%
|
Small Cap Growth – Advisor Class
|
1.51%
|
Small Cap Growth – Trust Class
|
1.37%
|
Value – Institutional Class
|
0.70%
|
Value – Class A
|
1.05%
|
Value – Class C
|
1.79%
|
Fund
|
Voluntary Expense Limitation
|
Small Cap Growth – Investor Class
|
1.20%
|
Small Cap Growth – Advisor Class
|
1.44%
|
Small Cap Growth – Trust Class
|
1.29%
|
Expenses Reimbursed for Fiscal Years
Ended August 31,
|
|||
Fund
|
2018
|
2017
|
2016
|
International Select – Class A
|
[_]
|
$733
|
$2,580
|
Real Estate – Trust Class
|
[_]
|
$643,395
|
$848,017
|
Small Cap Growth – Investor Class
|
[_]
|
$41,834
|
$38,636,
|
Small Cap Growth – Trust Class
|
[_]
|
$1,215
|
$1,362
|
Small Cap Growth – Advisor Class
|
[_]
|
$1,652
|
$2,051
|
Value – Institutional Class
†
|
[_]
|
$5,703
|
$4,195
|
Value – Class A
††
|
[_]
|
$1,487
|
$901
|
Value
–
Class C
†††
|
[_]
|
$1,139
|
$157
|
Portfolio Manager
|
Fund(s) Managed
|
Chad Bruso
|
Neuberger Berman
Small Cap Growth
Fund
|
David Bunan
|
Neuberger Berman
International Equity
Fund
Neuberger Berman
International Small Cap
Fund
|
Elias Cohen
|
Neuberger Berman
International Select
Fund
|
Timothy Creedon
|
Neuberger Berman
Focus
Fund
|
Robert W. D’Alelio
|
Neuberger Berman
Genesis
Fund
|
Ingrid S. Dyott
|
Neuberger Berman
Socially Responsive
Fund
|
Michael C. Greene
|
Neuberger Berman
Mid Cap Intrinsic Value
Fund
|
William Hunter
|
Neuberger Berman
Dividend Growth
Fund
Neuberger Berman
Equity Income
Fund
|
Brian C. Jones
|
Neuberger Berman
Global Real Estate
Fund
Neuberger Berman
Real Estate
Fund
|
Charles Kantor
|
Neuberger Berman
Guardian
Fund
|
David Kiefer
|
Neuberger Berman
Dividend Growth
Fund
|
Anton Kwang
|
Neuberger Berman
Global Real Estate
Fund
|
Sajjad S. Ladiwala
|
Neuberger Berman
Socially Responsive
Fund
|
David Levine
|
Neuberger Berman
Focus
Fund
|
Richard Levine
|
Neuberger Berman
Equity Income
Fund
|
James F. McAree
|
Neuberger Berman
Intrinsic Value
Fund
|
Marco Minonne
|
Neuberger Berman
Small Cap Growth
Fund
|
Trevor Moreno
|
Neuberger Berman
Small Cap Growth
Fund
|
Richard S. Nackenson
|
Neuberger Berman
Multi-Cap Opportunities
Fund
|
Benjamin H. Nahum
|
Neuberger Berman
Intrinsic Value
Fund
|
Alexandra Pomeroy
|
Neuberger Berman
Equity Income
Fund
|
Marc Regenbaum
|
Neuberger Berman
Guardian
Fund
|
Brett S. Reiner
|
Neuberger Berman
Genesis
Fund
|
Conrad Saldanha
|
Neuberger Berman
Emerging Markets Equity
Fund
|
Eli M. Salzmann
|
Neuberger Berman
Large Cap Value
Fund
Neuberger Berman
Value
Fund
|
Benjamin Segal
|
Neuberger Berman
Global Equity
Fund
Neuberger Berman
International Equity
Fund
|
Portfolio Manager
|
Fund(s) Managed
|
|
Neuberger Berman
International
Select
Fund
Neuberger Berman
International Small Cap
Fund
|
Saurin Shah
|
Neuberger Berman
Global Equity
Fund
|
Steve Shigekawa
|
Neuberger Berman
Global Real Estate
Fund
Neuberger Berman
Real Estate
Fund
|
Amit Solomon
|
Neuberger Berman
Intrinsic Value
Fund
|
Gregory G. Spiegel
|
Neuberger Berman
Genesis
Fund
|
Lihui Tang
|
Neuberger Berman
Greater China Equity
Fund
|
Gillian Tiltman
|
Neuberger Berman
Global Real Estate
Fund
|
Kenneth J. Turek
|
Neuberger Berman
Mid Cap Growth
Fund
Neuberger Berman
Small Cap Growth
Fund
|
Judith M. Vale
|
Neuberger Berman
Genesis
Fund
|
Yulin (Frank) Yao
|
Neuberger Berman
Greater China Equity
Fund
|
Type of Account
|
Number of
Accounts
Managed
|
Total Assets
Managed
($ millions)
|
Number of Accounts
Managed for which
Advisory Fee is
Performance-Based
|
Assets Managed for
which Advisory Fee is
Performance-Based ($
millions)
|
Chad Bruso
***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
David Bunan
***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Elias Cohen
***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Timothy Creedon
***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Robert W. D’Alelio***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Type of Account
|
Number of
Accounts
Managed
|
Total Assets
Managed
($ millions)
|
Number of Accounts
Managed for which
Advisory Fee is
Performance-Based
|
Assets Managed for
which Advisory Fee is
Performance-Based ($
millions)
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Ingrid S. Dyott***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Michael C. Greene***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
William Hunter***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Brian C. Jones***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Charles Kantor***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
David Keifer
***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Anton Kwang***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Type of Account
|
Number of
Accounts
Managed
|
Total Assets
Managed
($ millions)
|
Number of Accounts
Managed for which
Advisory Fee is
Performance-Based
|
Assets Managed for
which Advisory Fee is
Performance-Based ($
millions)
|
Sajjad S. Ladiwala***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
David Levine***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Richard Levine***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
James F. McAree***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Marco Minonne
***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Trevor Moreno
***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Richard S. Nackenson***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Benjamin H. Nahum***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Type of Account
|
Number of
Accounts
Managed
|
Total Assets
Managed
($ millions)
|
Number of Accounts
Managed for which
Advisory Fee is
Performance-Based
|
Assets Managed for
which Advisory Fee is
Performance-Based ($
millions)
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Alexandra Pomeroy***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Marc Regenbaum***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Brett S. Reiner***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Conrad Saldanha***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Eli M. Salzmann***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Benjamin Segal***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Saurin Shah***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Steve Shigekawa***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Type of Account
|
Number of
Accounts
Managed
|
Total Assets
Managed
($ millions)
|
Number of Accounts
Managed for which
Advisory Fee is
Performance-Based
|
Assets Managed for
which Advisory Fee is
Performance-Based ($
millions)
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Amit Solomon***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Gregory G. Spiegel***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Lihui Tang***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Gillian Tiltman***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Kenneth J. Turek***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Judith M. Vale***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Yulin (Frank) Yao***
|
||||
Registered Investment Companies*
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Pooled Investment Vehicles
|
[_]
|
[_]
|
[_]
|
[_]
|
Other Accounts**
|
[_]
|
[_]
|
[_]
|
[_]
|
Portfolio Manager
|
Fund(s) Managed
|
Dollar Range of
Equity Securities
Owned in the Fund
|
Chad Bruso
|
Neuberger Berman
Small Cap Growth
Fund
|
[_]
|
David Bunan
|
Neuberger Berman
International
Equity
Fund
|
[_]
|
Neuberger Berman
International Small Cap
Fund
|
[_]
|
Portfolio Manager
|
Fund(s) Managed
|
Dollar Range of
Equity Securities
Owned in the Fund
|
Elias Cohen
|
Neuberger Berman
International
Select
Fund
|
[_]
|
Timothy Creedon
|
Neuberger Berman
Focus
Fund
|
[_]
|
Robert W. D’Alelio
|
Neuberger Berman
Genesis
Fund
|
[_]
|
Ingrid S. Dyott
|
Neuberger Berman
Socially Responsive
Fund
|
[_]
|
Michael C. Greene
|
Neuberger Berman
Mid Cap Intrinsic Value
Fund
|
[_]
|
William Hunter
|
Neuberger Berman
Dividend Growth
Fund
|
[_]
|
Neuberger Berman
Equity Income
Fund
|
[_]
|
|
Brian C. Jones
|
Neuberger Berman
Global Real Estate
Fund
|
[_]
|
Neuberger Berman
Real Estate
Fund
|
[_]
|
|
Charles Kantor
|
Neuberger Berman
Guardian
Fund
|
[_]
|
David Kiefer
|
Neuberger Berman
Dividend Growth
Fund
|
[_]
|
Anton Kwang
|
Neuberger Berman
Global Real Estate
Fund
|
[_]
|
Sajjad S. Ladiwala
|
Neuberger Berman
Socially Responsive
Fund
|
[_]
|
David Levine
|
Neuberger Berman
Focus
Fund
|
[_]
|
Richard Levine
|
Neuberger Berman
Equity Income
Fund
|
[_]
|
James F. McAree
|
Neuberger Berman
Intrinsic Value
Fund
|
[_]
|
Marco Minonne
|
Neuberger Berman
Small Cap Growth
Fund
|
[_]
|
Trevor Moreno
|
Neuberger Berman
Small Cap Growth
Fund
|
[_]
|
Richard S. Nackenson
|
Neuberger Berman
Multi-Cap Opportunities
Fund
|
[_]
|
Benjamin H. Nahum
|
Neuberger Berman
Intrinsic Value
Fund
|
[_]
|
Alexandra Pomeroy
|
Neuberger Berman
Equity Income
Fund
|
[_]
|
Marc Regenbaum
|
Neuberger Berman
Guardian
Fund
|
[_]
|
Brett S. Reiner
|
Neuberger Berman
Genesis
Fund
|
[_]
|
Conrad Saldanha
|
Neuberger Berman
Emerging Markets Equity
Fund
|
[_]
|
Eli M. Salzmann
|
Neuberger Berman
Large Cap Value
Fund
|
[_]
|
Neuberger Berman
Value
Fund
|
[_]
|
|
Benjamin Segal
|
Neuberger Berman
Global Equity
Fund
|
[_]
|
Neuberger Berman
International Equity
Fund
|
[_]
|
|
Neuberger Berman
International
Select
Fund
|
[_]
|
|
Neuberger Berman
International Small Cap
Fund
|
[_]
|
|
Saurin Shah
|
Neuberger Berman Global Equity Fund
|
[_]
|
Steve Shigekawa
|
Neuberger Berman
Global Real Estate
Fund
|
[_]
|
Neuberger Berman
Real Estate
Fund
|
[_]
|
|
Amit Solomon
|
Neuberger Berman
Intrinsic Value
Fund
|
[_]
|
Gregory G. Spiegel
|
Neuberger Berman
Genesis
Fund
|
[_]
|
A = None
|
E = $100,001-$500,000
|
|
B = $1-$10,000
|
F = $500,001-$1,000,000
|
|
C = $10,001-$50,000
|
G = Over $1,000,001
|
|
D =$50,001-$100,000
|
Fund
|
Investor Class
|
Trust Class
|
Advisor Class
|
Institutional Class
|
Class A
|
Class C
|
Class R3
|
Class R6
|
Dividend Growth
|
X
|
X
|
X
|
X
|
||||
Emerging Markets Equity
|
X
|
X
|
X
|
X
|
X
|
|||
Equity Income
|
X
|
X
|
X
|
X
|
||||
Focus
|
X
|
X
|
X
|
X
|
X
|
X
|
||
Genesis
|
X
|
X
|
X
|
X
|
X
|
X
|
X
|
|
Global Equity
|
X
|
X
|
X
|
|||||
Global Real Estate
|
X
|
X
|
X
|
|||||
Greater China Equity
|
X
|
X
|
X
|
|||||
Guardian
|
X
|
X
|
X
|
X
|
X
|
X
|
X
|
|
International Equity
|
X
|
X
|
X
|
X
|
X
|
X
|
||
International Select
|
X
|
X
|
X
|
X
|
X
|
X
|
||
International Small Cap
|
X
|
X
|
X
|
X
|
||||
Intrinsic Value
|
X
|
X
|
X
|
X
|
||||
Large Cap Value
|
X
|
X
|
X
|
X
|
X
|
X
|
X
|
X
|
Fund
|
Investor Class
|
Trust Class
|
Advisor Class
|
Institutional Class
|
Class A
|
Class C
|
Class R3
|
Class R6
|
Mid Cap Growth
|
X
|
X
|
X
|
X
|
X
|
X
|
X
|
X
|
Mid Cap Intrinsic Value
|
X
|
X
|
X
|
X
|
X
|
X
|
||
Multi-Cap Opportunities
|
X
|
X
|
X
|
|||||
Real Estate
|
X
|
X
|
X
|
X
|
X
|
X
|
||
Small Cap Growth
|
X
|
X
|
X
|
X
|
X
|
X
|
X
|
X
|
Socially Responsive
|
X
|
X
|
X
|
X
|
X
|
X
|
X
|
|
Value
|
X
|
X
|
X
|
Sales Charge Revenue
|
Deferred Sales Charge Revenue
|
||||
Fund
|
Fiscal
Year
Ended
Aug. 31,
|
Amount Paid to
Distributor
|
Amount
Retained by
Distributor
|
Amount Paid to
Distributor
|
Amount
Retained by
Distributor
|
Dividend Growth – Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$5,510
|
$1,158
|
-
|
-
|
|
2016*
|
$50
|
$8
|
-
|
-
|
|
Dividend Growth – Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$5,376
|
-
|
|
2016*
|
-
|
-
|
-
|
-
|
|
Emerging Markets Equity – Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$42,574
|
$6,525
|
-
|
-
|
|
2016
|
$10,835
|
$1,905
|
-
|
-
|
|
Emerging Markets Equity – Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$429
|
-
|
Sales Charge Revenue
|
Deferred Sales Charge Revenue
|
||||
Fund
|
Fiscal
Year
Ended
Aug. 31,
|
Amount Paid to
Distributor
|
Amount
Retained by
Distributor
|
Amount Paid to
Distributor
|
Amount
Retained by
Distributor
|
2016
|
-
|
-
|
$961
|
-
|
|
Equity Income – Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$138,620
|
$23,386
|
-
|
-
|
|
2016
|
$171,865
|
$27,539
|
-
|
-
|
|
Equity Income – Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$15,079
|
-
|
|
2016
|
-
|
-
|
$42,446
|
-
|
|
Focus
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
|||||
2016
|
$1,800
|
$353
|
-
|
-
|
|
Focus
– Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
-
|
-
|
|
2016
|
-
|
-
|
$385
|
-
|
|
Genesis – Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
-
|
-
|
|
2016^
|
-
|
-
|
-
|
-
|
|
Genesis – Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
-
|
-
|
|
2016^
|
-
|
-
|
-
|
-
|
|
Global Equity
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$29
|
$1
|
-
|
-
|
|
2016
|
$304
|
$74
|
-
|
-
|
|
Global Equity
– Class C
|
2018
|
Sales Charge Revenue
|
Deferred Sales Charge Revenue
|
||||
Fund
|
Fiscal
Year
Ended
Aug. 31,
|
Amount Paid to
Distributor
|
Amount
Retained by
Distributor
|
Amount Paid to
Distributor
|
Amount
Retained by
Distributor
|
2017
|
-
|
-
|
$2
|
-
|
|
2016
|
-
|
-
|
$5
|
-
|
|
Global Real Estate
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
-
|
-
|
|
2016
|
-
|
-
|
-
|
-
|
|
Global Real Estate
– Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$32
|
-
|
|
2016
|
-
|
-
|
-
|
-
|
|
Greater China Equity
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$7,401
|
$1,002
|
-
|
-
|
|
2016
|
$3,285
|
$515
|
-
|
-
|
|
Greater China Equity
– Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$448
|
-
|
|
2016
|
-
|
-
|
-
|
-
|
|
Guardian
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$2,751
|
$449
|
-
|
-
|
|
2016
|
$3,330
|
$563
|
-
|
-
|
|
Guardian
– Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$7
|
-
|
|
2016
|
-
|
-
|
$80
|
-
|
|
International Equity
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$50,994
|
$9,314
|
-
|
-
|
Sales Charge Revenue
|
Deferred Sales Charge Revenue
|
||||
Fund
|
Fiscal
Year
Ended
Aug. 31,
|
Amount Paid to
Distributor
|
Amount
Retained by
Distributor
|
Amount Paid to
Distributor
|
Amount
Retained by
Distributor
|
2016
|
$45,669
|
$7,106
|
-
|
-
|
|
International Equity
– Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$2,942
|
-
|
|
2016
|
-
|
-
|
$10,574
|
-
|
|
International Select
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$90
|
$19
|
-
|
-
|
|
2016
|
$1,073
|
$206
|
-
|
-
|
|
International Select
– Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$14
|
-
|
|
2016
|
-
|
-
|
$575
|
-
|
|
International Small Cap
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017*
|
-
|
-
|
-
|
-
|
|
2016^
|
-
|
-
|
-
|
-
|
|
International Small Cap
– Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017*
|
-
|
-
|
$104
|
-
|
|
2016^
|
-
|
-
|
-
|
-
|
|
Intrinsic Value
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$38,849
|
$5,260
|
-
|
-
|
|
2016
|
$114,962
|
$19,538
|
-
|
-
|
|
Intrinsic Value
– Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$2,169
|
-
|
Sales Charge Revenue
|
Deferred Sales Charge Revenue
|
||||
Fund
|
Fiscal
Year
Ended
Aug. 31,
|
Amount Paid to
Distributor
|
Amount
Retained by
Distributor
|
Amount Paid to
Distributor
|
Amount
Retained by
Distributor
|
2016
|
-
|
-
|
$8,548
|
-
|
|
Large Cap Value
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$10,417
|
$1,749
|
-
|
-
|
|
2016
|
$424
|
$130
|
-
|
-
|
|
Large Cap Value
– Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$1,231
|
-
|
|
2016
|
-
|
-
|
$362
|
-
|
|
Mid Cap Growth
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$35,832
|
$6,449
|
-
|
-
|
|
2016
|
$128,627
|
$21,794
|
-
|
-
|
|
Mid Cap Growth
– Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$4,094
|
-
|
|
2016
|
-
|
-
|
$7,325
|
-
|
|
Mid Cap Intrinsic Value
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$10,890
|
$896
|
-
|
-
|
|
2016
|
$12,785
|
$1,850
|
-
|
-
|
|
Mid Cap Intrinsic Value
– Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$1,512
|
-
|
|
2016
|
-
|
-
|
$1,661
|
-
|
|
Multi-Cap Opportunities
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$149,914
|
$23,704
|
-
|
-
|
Sales Charge Revenue
|
Deferred Sales Charge Revenue
|
||||
Fund
|
Fiscal
Year
Ended
Aug. 31,
|
Amount Paid to
Distributor
|
Amount
Retained by
Distributor
|
Amount Paid to
Distributor
|
Amount
Retained by
Distributor
|
2016
|
$51,498
|
$12,271
|
-
|
-
|
|
Multi-Cap Opportunities
– Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$3,713
|
-
|
|
2016
|
-
|
-
|
$6,357
|
-
|
|
Real Estate
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$11,252
|
$2,304
|
-
|
-
|
|
2016
|
$35,648
|
$5,753
|
-
|
-
|
|
Real Estate
– Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$6,170
|
-
|
|
2016
|
-
|
-
|
$2,360
|
-
|
|
Small Cap Growth – Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$6,958
|
$790
|
-
|
-
|
|
2016
|
$1,585
|
$688
|
-
|
-
|
|
Small Cap Growth – Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$188
|
-
|
|
2016
|
-
|
-
|
$230
|
-
|
|
Socially Responsive
– Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$265,990
|
$41,720
|
-
|
-
|
|
2016
|
$166,221
|
$28,470
|
-
|
-
|
|
Socially Responsive – Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$8,939
|
-
|
|
2016
|
-
|
-
|
$8,955
|
-
|
Sales Charge Revenue
|
Deferred Sales Charge Revenue
|
||||
Fund
|
Fiscal
Year
Ended
Aug. 31,
|
Amount Paid to
Distributor
|
Amount
Retained by
Distributor
|
Amount Paid to
Distributor
|
Amount
Retained by
Distributor
|
Value – Class A
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
$30,085
|
$4,215
|
-
|
-
|
|
2016
|
$530
|
$129
|
-
|
-
|
|
Value – Class C
|
2018
|
[_]
|
[_]
|
[_]
|
[_]
|
2017
|
-
|
-
|
$1,251
|
-
|
|
2016
|
-
|
-
|
-
|
-
|
Trust Class
|
Fiscal Year Ended August 31,
|
||
Fund
|
2018
|
2017
|
2016
|
Focus
|
[_]
|
$65,569
|
$80,285
|
Guardian
|
[_]
|
$65,286
|
$85,993
|
International Select
|
[_]
|
$7,760
|
$8,694
|
Large Cap Value
|
[_]
|
$78,982
|
$88,012
|
Trust Class
|
Fiscal Year Ended August 31,
|
||
Fund
|
2018
|
2017
|
2016
|
Mid Cap Intrinsic Value
|
[_]
|
$10,869
|
$10,536
|
Real Estate
|
[_]
|
$172,982
|
$228,745
|
Small Cap Growth
|
[_]
|
$4,051
|
$4,539
|
Socially Responsive
|
[_]
|
$250,581
|
$290,246
|
Advisor Class
|
Fiscal Year Ended August 31,
|
||
Fund
|
2018
|
2017
|
2016
|
Focus
|
[_]
|
$9,515
|
$11,809
|
Genesis
|
[_]
|
$602,208
|
$858,342
|
Guardian
|
[_]
|
$455
|
$782
|
Large Cap Value
|
[_]
|
$372,846
|
$364,509
|
Mid Cap Growth
|
[_]
|
$29,473
|
$27,571
|
Small Cap Growth
|
[_]
|
$4,590
|
$5,697
|
Class A
@
|
Fiscal Years Ended August 31,
|
||
Fund
|
2018
|
2017
|
2016
|
Dividend Growth
|
[_]
|
$1,918
|
$1,013*
|
Emerging Markets Equity
|
[_]
|
$102,097
|
$43,200
|
Equity Income
|
[_]
|
$553,121
|
$640,983
|
Focus
|
[_]
|
$7,878
|
$9,266
|
Global Equity
|
[_]
|
$951
|
$1,261
|
Global Real Estate
|
[_]
|
$964
|
$1,621
|
Greater China Equity
|
[_]
|
$11,304
|
$6,083
|
Guardian
|
[_]
|
$14,616
|
$56,664
|
International Equity
|
[_]
|
$199,200
|
$240,040
|
International Select
|
[_]
|
$11,121
|
$10,750
|
International Small Cap
|
[_]
|
$544*
|
N/A^
|
Intrinsic Value
|
[_]
|
$81,648
|
$117,428
|
Large Cap Value
|
[_]
|
$7,956
|
$7,649
|
Mid Cap Growth
|
[_]
|
$161,685
|
$220,930
|
Mid Cap Intrinsic Value
|
[_]
|
$28,800
|
$33,944
|
Multi-Cap Opportunities
|
[_]
|
$150,943
|
$218,029
|
Real Estate
|
[_]
|
$237,986
|
$311,977
|
Small Cap Growth
|
[_]
|
$8,160
|
$9,480
|
Socially Responsive
|
[_]
|
$303,202
|
$335,606
|
Value
|
[_]
|
$11,238
|
$11,219
|
Class C
@
|
Fiscal Years Ended August 31,
|
||
Fund
|
2018
|
2017
|
2016
|
Dividend Growth
|
[_]
|
$20,378
|
$3,830*
|
Emerging Markets Equity
|
[_]
|
$57,022
|
$52,050
|
Equity Income
|
[_]
|
$3,096,231
|
$3,526,376
|
Focus
|
[_]
|
$19,990
|
$25,512
|
Global Equity
|
[_]
|
$1,277
|
$2,132
|
Global Real Estate
|
[_]
|
$2,571
|
$2,537
|
Greater China Equity
|
[_]
|
$1,734
|
$1,367
|
Class C
@
|
Fiscal Years Ended August 31,
|
||
Fund
|
2018
|
2017
|
2016
|
Greater China Equity
|
[_]
|
$1,734
|
$1,367
|
Guardian
|
[_]
|
$18,554
|
$24,138
|
International Equity
|
[_]
|
$136,354
|
$132,561
|
International Select
|
[_]
|
$29,810
|
$34,554
|
International Small Cap
|
[_]
|
$844*
|
N/A^
|
Intrinsic Value
|
[_]
|
$236,025
|
$258,391
|
Large Cap Value
|
[_]
|
$23,614
|
$20,616
|
Mid Cap Growth
|
[_]
|
$99,852
|
$103,114
|
Mid Cap Intrinsic Value
|
[_]
|
$28,524
|
$36,212
|
Multi-Cap Opportunities
|
[_]
|
$400,227
|
$428,724
|
Real Estate
|
[_]
|
$225,854
|
$294,169
|
Small Cap Growth
|
[_]
|
$18,321
|
$20,167
|
Socially Responsive
|
[_]
|
$549,440
|
$517,504
|
Value
|
[_]
|
$28,478
|
$4,759
|
Class R3
|
Fiscal Years Ended August 31,
|
||
Fund
|
2018
|
2017
|
2016
|
Emerging Markets Equity
|
[_]
|
$6,094
|
$4,706
|
Equity Income
|
[_]
|
$9,982
|
$14,336
|
Guardian
|
[_]
|
$2,701
|
$2,618
|
International Select
|
[_]
|
$22,106
|
$18,340
|
Large Cap Value
|
[_]
|
$497
|
$346
|
Mid Cap Growth
|
[_]
|
$67,964
|
$66,946
|
Mid Cap Intrinsic Value
|
[_]
|
$6,997
|
$6,291
|
Real Estate
|
[_]
|
$107,411
|
$115,770
|
Small Cap Growth
|
[_]
|
$5,094
|
$5,983
|
Socially Responsive
|
[_]
|
185,657
|
$158,393
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
Neuberger Berman
Dividend Growth Fund
Class A
|
LPL FINANCIAL
OMNIBUS CUSTOMER ACCOUNT
ATTN MUTUAL FUND TRADING
4707 EXECUTIVE DR
SAN DIEGO CA 92121-3091
|
[_]
|
|
MARTHA GOSS RETIREMENT PLAN UA
HOPEWELL NJ 08525-9735
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
||
UMB BANK NA
CUST ROLLOVER IRA FBO
BARRY J VIOLA
HO HO KUS NJ 07423-1451
|
[_]
|
||
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002
|
[_]
|
||
UMB BANK NA
CUST SEP IRA FBO
JOHN E MCVAY
LINCOLN NE 68505-1678
|
[_]
|
||
Neuberger Berman
Dividend Growth Fund
Class C
|
LPL FINANCIAL
OMNIBUS CUSTOMER ACCOUNT
ATTN MUTUAL FUND TRADING
4707 EXECUTIVE DR
SAN DIEGO CA 92121-3091
|
[_]
|
|
Neuberger Berman
Dividend Growth Fund
Class R6
|
NFS LLC FEBO
NEUBERGER BERMAN GROUP LLC
1290 AVE OF THE AMERICAS
22ND FL ATTN: JIM DEMPSEY
NEW YORK NY 10104-0002
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
Neuberger Berman
Dividend Growth Fund
Institutional Class
|
NATIONAL FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS
ATTN MUTUAL FUNDS DEPT
499 WASHINGTON BLVD FL 4
JERSEY CITY NJ 07310-1995
|
[_]
|
|
Neuberger Berman
Emerging Markets Equity Fund Class A |
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
|
MERRILL LYNCH PIERCE FENNER & SMITH
FBO THE SOLE BENEFIT OF CUSTOMERS
ATTN: FUND ADMINISTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
||
NATIONWIDE TRUST COMPANY FSB
C/O IPO PORTFOLIO ACCOUNTING
PO BOX 182029
COLUMBUS OH 43218-2029
|
[_]
|
||
Neuberger Berman
Emerging Markets Equity Fund Class C |
MERRILL LYNCH PIERCE FENNER &
SMITH INC FUND ADMINISTRATION
ATTN SERVICE TEAM
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
|
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
||
UBS WM USA
OMNI ACCOUNT M/F
SPEC CDY A/C EBOC UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761
|
[_]
|
||
Neuberger Berman
Emerging Markets Equity Fund Class R3 |
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINSTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
|
AMERICAN UNITED LIFE INS CO
ATTN SEPARATE ACCOUNTS
PO BOX 368
INDIANAPOLIS IN 46206-0368
|
[_]
|
||
Neuberger Berman
Emerging Markets Equity Fund Class R6 |
NFS LLC FEBO
ALLIANCE CAPITAL MANAGEMENT LP
1345 AVENUE OF THE AMERICAS
NEW YORK NY 10105-0302
|
[_]
|
|
MAC & CO
C/O THE BANK OF NEW YORK MELLON
500 GRANT STREET
ROOM 151-1010
PITTSBURGH PA 15219-2502
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
STRATEGIC PARTNERSHIP FUND NB LLC
NEUBERGER BERMAN INVESTMENT ADVISERS LLC AS MANAGER
ATTN: PRIVATE CLIENT SERVICE
1290 AVENUE OF THE AMERICAS
NEW YORK, NY 10104
|
[_]
|
||
J VITTA E WEBER JVISCONTI S ISRAEL
G H COTTRELL & R BRAYMAN TTEES
SOFT DRINK & BREWERY WORKERS UNION
812 RETIREMENT FUND
445 NORTHERN BLVD STE 30
GREAT NECK NY 11021-480
|
[_]
|
||
NFS LLC FEBO
FIIOC AS AGENT FOR
QUALIFIED EMPLOYEE BENEFIT
PLANS (401K) FINOPS-IC FUNDS
100 MAGELLAN WAY # KW1C
COVINGTON KY 41015-1987
|
[_]
|
||
NFS LLC FEBO
THE NORTHERN TRUST COMPANY
MUTUAL FUND SERVICE C-5-SOUTH
801 S CANAL ST
CHICAGO IL 60607-4715
|
[_]
|
||
NFS LLC FEBO
FMTC AS TRUSTEE UNITED AIRLINES
INTL EQTY
FMTC-UNITIZED
1 SPARTAN WAY # TS20
MERRIMACK NH 03054-4300
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
Neuberger Berman
Emerging Markets Equity Fund Institutional Class |
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINISTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
|
NATIONAL FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
ATTN MUTUAL FUNDS DEPT
499 WASHINGTON BLVD FL 4
JERSEY CITY, NJ 07310-2010
|
[_]
|
||
Neuberger Berman
Equity Fund Income Class A |
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
|
UBS WM USA
OMNI ACCOUNT M/F
SPEC CDY A/C EBOC UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761
|
[_]
|
||
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
||
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINISTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
||
Neuberger Berman
Equity Income Fund Class C |
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINISTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
||
UBS WM USA
OMNI ACCOUNT M/F
SPEC CDY A/C EBOC UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761
|
[_]
|
||
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG, FL 33716
|
[_]
|
||
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
Neuberger Berman
Equity Income Fund Class R3 |
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINSTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
|
NFS LLC FEBO
ALERUS FINANCIAL NA
CITY OF HOOVER DEFERRED
COMPENSATION PLAN
PO BOX 64535
SAINT PAUL MN 55164-0535
|
[_]
|
||
NFS LLC FEBO
PRUDENTIAL BANK & TRUST FSB TT
ORGILL INC 401K PLAN
FBO WILLIAM M FONDREN
GERMANTOWN TN 38138-2750
|
[_]
|
||
FIDELITY INVESTMENTS INSTITUTIONAL OPS
(FIIOC) AS AGENT FOR
JOSEPH PIETRAFITTA MD PA PSP-22446
100 MAGELLAN WAY (KWIC)
COVINGTON KY 41015-1999
|
[_]
|
||
Neuberger Berman
Equity Income Fund
Institutional Class
|
NATIONAL FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
ATTN MUTUAL FUNDS DEPT
499 WASHINGTON BLVD FL 4
JERSEY CITY NJ 07310-1995
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523
|
[_]
|
||
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINISTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
||
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
||
UBS WM USA
OMNI ACCOUNT M/F
SPEC CDY A/C EBOC UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761
|
[_]
|
||
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
||
LOCAL 804 IBT AND LOCAL 447 IAM UPS
INC MULTI EMPLOYER RETIREMENT PLAN
55 GLENLAKE PKWY
ATLANTA GA 30328-3474
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
Neuberger Berman
Focus Fund Advisor Class |
NATIONAL FINANCIAL SERV CORP
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995
|
[_]
|
|
Neuberger Berman
Focus Fund Class A |
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
|
NFS LLC FEBO
DANIEL P P PADUANO
FMTC TTEE
NEW YORK NY 10021-4193
|
[_]
|
||
MERRILL LYNCH PIERCE FENNER &
SMITH INC FUND ADMINISTRATION
ATTN SERVICE TEAM
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
||
Neuberger Berman
Focus Fund Class C |
NFS LLC FEBO
MARK NEIL AXINN
ALLEN H BRILL
NEW YORK NY 10022-6601
|
[_]
|
|
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405
|
[_]
|
||
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002
|
[_]
|
||
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
||
Neuberger Berman
Focus Fund
Investor Class
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
|
Neuberger Berman
Focus Fund
Institutional Class
|
NATIONAL FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
ATTN MUTUAL FUNDS DEPT
499 WASHINGTON BLVD FL 4
JERSEY CITY NJ 07310-1995
|
[_]
|
|
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINISTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
||
UBS WM USA
OMNI ACCOUNT M/F
SPEC CDY A/C EBOC UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
||
Neuberger Berman
Focus Fund
Trust Class
|
NATIONAL FINANCIAL SERV CORP
FOT THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995
|
[_]
|
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH STREET
DES MOINES IA 50392-0001
|
[_]
|
||
Neuberger Berman
Genesis Fund Advisor Class |
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
|
NATIONAL FINANCIAL SERV CORP
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995
|
[_]
|
||
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINISTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
||
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
||
Neuberger Berman
Genesis Fund Institutional Class |
NATIONAL FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
ATTN MUTUAL FUNDS DEPT
499 WASHINGTON BLVD FL 4
JERSEY CITY NJ 07310-1995
|
[_]
|
|
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729
|
[_]
|
||
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
||
Neuberger Berman
Genesis Fund Investor Class |
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT FIRM 92500015
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
||
NATIONAL FINANCIAL SERVICES
FOR THE EXCLUSIVE BENEFIT OF
THEIR CLIENTS
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995
|
[_]
|
||
Neuberger Berman
Genesis Fund Class R6 |
NFS LLC FEBO
FIIOC AS AGENT FOR
QUALIFIED EMPLOYEE BENEFIT
PLANS (401K) FINOPS-IC FUNDS
100 MAGELLAN WAY # KW1C
COVINGTON KY 41015-1987
|
[_]
|
|
MAC & CO
MUTUAL FUNDS OPERATIONS
PO BOX 3198
525 WILLIAM PENN PLACE
PITTSBURGH PA 15230-3198
|
[_]
|
||
MAC & CO
ATTN MUTUAL FUNDS OPS
500 GRANT STREET
PITTSBURGH PA 15219-2502
|
[_]
|
||
Neuberger Berman
Genesis Fund Trust Class |
NATIONAL FINANCIAL SERV CORP
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
NATIONWIDE LIFE INSURANCE COMPANY (DCVA)
C/O IPO PORTFOLIO ACCOUNTING
PO BOX 182029
COLUMBUS OH 43218-2029
|
[_]
|
||
NATIONWIDE LIFE INSURANCE COMPANY (NACO)
C/O IPO PORTFOLIO ACCOUNTING
PO BOX 182029
COLUMBUS OH 43218-2029
|
[_]
|
||
JOHN HANCOCK TRUST COMPANY LLC
690 CANTON ST STE 100
WESTWOOD MA 02090-2324
|
[_]
|
||
Neuberger Berman
Global Equity Fund Class A |
NFS LLC FEBO
NEUBERGER BERMAN GROUP LLC
1290 AVE OF THE AMERICAS
22ND FL ATTN: JIM DEMPSEY
NEW YORK NY 10104-0002
|
[_]
|
|
UBS WM USA
OMNI ACCOUNT M/F
SPEC CDY A/C EBOC UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761
|
[_]
|
||
LPL FINANCIAL
OMNIBUS CUSTOMER ACCOUNT
ATTN MUTUAL FUND TRADING
4707 EXECUTIVE DR
SAN DIEGO CA 92121-3091
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
FIRM 92500015
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
||
UMB BANK NA
CUST SIMPLE IRA FBO
CHRISTINA R HUNTER
NEW YORK NY 10027-3221
|
[_]
|
||
JAMES NOLAN
CRANNAGH
GORT
CO GALWAY
IRELAND
|
[_]
|
||
LOIS J SNEAD
TOMBALL TX 77375-4009
|
[_]
|
||
Neuberger Berman
Global Equity Fund Class C |
NFS LLC FEBO
NEUBERGER BERMAN GROUP LLC
1290 AVE OF THE AMERICAS
22ND FL ATTN: JIM DEMPSEY
NEW YORK NY 10104-0002
|
[_]
|
|
LPL FINANCIAL
4707 EXECUTIVE DR
SAN DIEGO CA 92121-3091
|
[_]
|
||
UBS WM USA
OMNI ACCOUNT M/F
SPEC CDY A/C EBOC UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
|
Neuberger Berman
Global Equity Fund Institutional Class |
NATIONAL FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
ATTN MUTUAL FUNDS DEPT
499 WASHINGTON BLVD FL 4
JERSEY CITY NJ 07310-1995
|
[_]
|
|
Neuberger Berman
Global Real Estate Fund Class A |
NFS LLC FEBO
NEUBERGER BERMAN ALTERNATIVE
INVESTMENT MGMT LLC
ATTN JIM DEMPSEY
1290 AVE OF THE AMERICAS
NEW YORK NY 10104-0101
|
[_]
|
|
Neuberger Berman
Global Real Estate Fund Class C |
NFS LLC FEBO
NEUBERGER BERMAN ALTERNATIVE
INVST MGMT LLC
ATTN JIM DEMPSEY
1290 AVE OF THE AMERICAS
NEW YORK NY 10104-0101
|
[_]
|
|
Neuberger Berman
Global Real Estate Fund Institutional Class |
NATIONAL FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
ATTN MUTUAL FUNDS DEPT
499 WASHINGTON BLVD FL 4
JERSEY CITY NJ 07310-1995
|
[_]
|
|
Neuberger Berman
Greater China Equity Fund Class A |
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
Neuberger Berman
Greater China Equity Fund Class C |
NFS LLC FEBO
DAVID LENEMAN
TOD BENEFICIARY ON FILE
LOS ANGELES CA 90024-5766
|
[_]
|
NFS LLC FEBO
FMT CO CUST IRA
FBO MICHAEL MUNI SCHWARTZ
CHICAGO IL 60602-4767
|
[_]
|
|
NFS LLC FEBO
NEUBERGER BERMAN GROUP LLC
1290 AVE OF THE AMERICAS
22ND FL ATTN: JIM DEMPSEY
NEW YORK NY 10104-0002
|
[_]
|
|
NFS LLC FEBO
VERNA MAE STOTHOFF
FLEMINGTON NJ 08822-5538
|
[_]
|
|
NFS LLC FEBO
FMT CO CUST IRA ROLLOVER
FBO MOISE ZAYTOUNE
BROOKLYN NY 11235-3033
|
[_]
|
|
NFS LLC FEBO
FMT CO CUST IRA ROLLOVER
FBO JOHN WOODWARD
MORGAN HILL CA 95037-7702
|
[_]
|
|
Neuberger Berman
Greater China Equity Fund Institutional Class |
JP MORGAN SECURITIES LLC
FOR THE EXCLUSIVE BENEFIT
OF OUR CUSTOMERS
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
NATIONAL FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
ATTN MUTUAL FUNDS DEPT 4TH FL
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995
|
[_]
|
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
|
BAND & CO
C/O US BANK NA
PO BOX 1787
MILWAUKEE WI 53201-1787
|
[_]
|
|
Neuberger Berman
Guardian Fund Advisor Class |
EMJAYCO
FBO SPRING VALLEY CITY BANK
PO BOX 170910
MILWAUKEE WI 53217-0909
|
[_]
|
NATIONAL FINANCIAL SERV CORP
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995
|
[_]
|
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405
|
[_]
|
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523
|
[_]
|
|
Neuberger Berman
Guardian Fund Class A |
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH STREET
DES MOINES IA 50392-0001
|
[_]
|
|
NATIONWIDE TRUST COMPANY FSB
C/O IPO PORTFOLIO ACCOUNTING
PO BOX 182029
COLUMBUS OH 43218-2029
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
|
CHURCHILL MORTGAGE CORPORATION
FBO CHURCHILL MORTGAGE CORPORATION
INCENTIVE BONUS PLAN
ATTN SHEREE BARLETT
761 OLD HICKORY BLVD STE 400
BRENTWOOD TN 37027-4519
|
[_]
|
|
Neuberger Berman
Guardian Fund Class C |
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523
|
[_]
|
|
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405
|
[_]
|
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
Neuberger Berman
Guardian Fund Class R3 |
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH STREET
DES MOINES IA 50392-0001
|
[_]
|
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINSTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
|
ROGER ANDERSON & JACK BOLKE TRUSTEE
ANDERSON ENGINEERING MINNESOTA LLC
C/O FASCORE LLC
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002
|
[_]
|
|
FIDELITY INVESTMENT INST OPS
(FIIOC) AS AGENT FOR
LEARNED, REILLY, LEARNED & HUGHES
PROFIT SHARING PLAN - 84441
100 MAGELLAN WAY (KWIC)
COVINGTON KY 41015-1999
|
[_]
|
|
Neuberger Berman
Guardian Fund Trust Class |
NATIONAL FINANCIAL SERV CORP
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
|
Neuberger Berman
International Equity Fund Investor Class |
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
NATIONAL FINANCIAL SERV CORP
FOR EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995
|
[_]
|
|
Neuberger Berman
International Equity Fund Class R6 |
NORTHERN TRUST CO CUST
GRAND RAPIDS
PO BOX 92956
CHICAGO IL 60675-2956
|
[_]
|
NORTHERN TRUST CO CUST
GRAND RAPIDS
PO BOX 92956
CHICAGO IL 60675-2956
|
[_]
|
|
NFS LLC FEBO
FIIOC AS AGENT FOR
QUALIFIED EMPLOYEE BENEFIT
PLANS (401K) FINOPS-IC FUNDS
100 MAGELLAN WAY # KW1C
COVINGTON KY 41015-1987
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
Neuberger Berman
International Equity Fund Trust Class |
NATIONAL FINANCIAL SERV CORP
FOR EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
200 LIBERTY ST - 1 WORLD FIN CTR
ATTN MUTUAL FUNDS DEPT - 5TH FLOOR
NEW YORK NY 10281
|
[_]
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN STREET
SAN FRANCISCO CA 94105-1905
|
[_]
|
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
|
Neuberger Berman
International Select Fund Class A |
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901
|
[_]
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH ST
DES MOINES IA 50392-0001
|
[_]
|
|
MERRILL LYNCH PIERCE FENNER &
SMITH INC FUND ADMINISTRATION
ATTN SERVICE TEAM
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
|
Neuberger Berman
International Select Fund Class C |
MERRILL LYNCH PIERCE FENNER &
SMITH INC FUND ADMINISTRATION
ATTN SERVICE TEAM
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
|
RBC CAPITAL MARKETS LLC
MUTUAL FUND OMNIBUS PROCESSING
OMNIBUS
ATTN MUTUAL FUND OPS MGR
60 S 6TH ST
MINNEAPOLIS MN 55402-4413
|
[_]
|
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523
|
[_]
|
|
UBS WM USA
OMNI ACCOUNT M/F
SPEC CDY A/C EBOC UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
Neuberger Berman
International Select Fund Institutional Class |
UBATCO & CO ACES TRUST FUND
6811 S 27TH ST
LINCOLN NE 68512-4823
|
[_]
|
MASSACHUSETTS LABORERS'
ANNUITY FUND
14 NEW ENGLAND EXECUTIVE PARK
STE 200
BURLINGTON MA 01803-5201
|
[_]
|
|
MASSACHUSETTS LABORERS CUST
FBO PENSION FUND
14 NEW ENGLAND EXECUTIVE PARK
STE 200
BURLINGTON MA 01803-5201
|
[_]
|
|
MAC & CO A/C
C/O THE BANK OF NEW YORK MELLON
500 GRANT STREET
ROOM 151-1010
PITTSBURGH PA 15219-2502
|
[_]
|
|
NATIONAL FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
ATTN MUTUAL FUNDS DEPT
499 WASHINGTON BLVD FL 4
JERSEY CITY NJ 07310-1995
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
Neuberger Berman
International Select Fund Class R6 |
PFIZER INC & NORTHERN TRUST CO
MASTER TRUST AGREEMENT BETWEEN
C/O PFIZER INC
235 E 42ND ST 28TH FLOOR
NEW YORK NY 10017-5703
|
[_]
|
NEUBERGER BERMAN LLC
FBO GLOBAL ALLOCATION FUND
1290 AVENUE OF THE AMERICAS ATTN FUND ADMIN
22ND FL MAIL STOP 7
NEW YORK NY 10104-4199
|
[_]
|
|
Neuberger Berman
International Select Fund Trust Class |
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002
|
[_]
|
TD AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS
PO BOX 2226
OMAHA NE 68103-2226
|
[_]
|
|
NATIONAL FINANCIAL SERV CORP
FOR EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
200 LIBERTY ST - 1 WORLD FIN CTR
ATTN MUTUAL FUNDS DEPT - 5TH FLOOR
NEW YORK NY 10281
|
[_]
|
|
Class A
|
NFS LLC FEBO
NEUBERGER BERMAN GROUP LLC
1290 AVE OF THE AMERICAS
22ND FL ATTN: JIM DEMPSEY
NEW YORK NY 10104-0002
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
|
LPL FINANCIAL
OMNIBUS CUSTOMER ACCOUNT
ATTN MUTUAL FUND TRADING
4707 EXECUTIVE DR
SAN DIEGO CA 92121-3091
|
[_]
|
|
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405
|
[_]
|
|
RBC CAPITAL MARKETS LLC
MUTUAL FUND OMNIBUS PROCESSING
OMNIBUS
ATTN MUTUAL FUND OPS MGR
60 S 6TH ST
MINNEAPOLIS MN 55402-4413
|
[_]
|
|
Neuberger Berman
Intrinsic Value Fund Class C |
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
MERRILL LYNCH PIERCE FENNER &
SMITH INC FUND ADMINISTRATION
ATTN SERVICE TEAM
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
UBS WM USA
OMNI ACCOUNT M/F
SPEC CDY A/C EBOC UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761
|
[_]
|
|
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405
|
[_]
|
|
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
|
LPL FINANCIAL
4707 EXECUTIVE DR
SAN DIEGO CA 92121-3091
|
[_]
|
|
Neuberger Berman
Intrinsic Value Fund
Institutional Class
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
NATIONAL FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
ATTN MUTUAL FUNDS DEPT
499 WASHINGTON BLVD FL 4
JERSEY CITY NJ 07310-1995
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINISTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
|
LPL FINANCIAL
OMNIBUS CUSTOMER ACCOUNT
ATTN MUTUAL FUND TRADING
4707 EXECUTIVE DR
SAN DIEGO CA 92121-3091
|
[_]
|
|
Neuberger Berman
Large Cap Value Fund Advisor Class |
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901
|
[_]
|
NATIONAL FINANCIAL SERV CORP
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995
|
[_]
|
|
Neuberger Berman
Large Cap Value Fund Class A |
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
NFS LLC FEBO
STATE STREET BANK TRUST CO
TTEE VARIOUS RETIREMENT PLANS
440 MAMARONECK AVE
HARRISON NY 10528-2418
|
[_]
|
|
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
|
NATIONWIDE TRUST COMPANY FSB
C/O IPO PORTFOLIO ACCOUNTING
PO BOX 182029
COLUMBUS OH 43218-2029
|
[_]
|
|
NFS LLC FEBO
FIIOC AS AGENT FOR
QUALIFIED EMPLOYEE BENEFIT
PLANS (401K) FINOPS-IC FUNDS
100 MAGELLAN WAY # KW1C
COVINGTON KY 41015-1987
|
[_]
|
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH STREET
DES MOINES IA 50392-0001
|
[_]
|
|
Neuberger Berman
Mid Cap Growth Fund Class C |
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY ACCT FBO CUSTOMERS
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523
|
[_]
|
|
STIFEL NICOLAUS & CO INC
EXCLUSIVE BENEFIT OF CUSTOMERS
A/C 10000793
501 N BROADWAY
SAINT LOUIS MO 63102-2188
|
[_]
|
|
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405
|
[_]
|
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
|
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
FIRM 92500015
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
|
Neuberger Berman
Mid Cap Growth Fund Class R3 |
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH STREET
DES MOINES IA 50392-0001
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002
|
[_]
|
|
Neuberger Berman
Mid Cap Growth Fund Institutional |
EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729
|
[_]
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
|
NATIONAL FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
ATTN MUTUAL FUNDS DEPT
499 WASHINGTON BLVD FL 4
JERSEY CITY NJ 07310-1995
|
[_]
|
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH STREET
DES MOINES IA 50392-0001
|
[_]
|
|
LPL FINANCIAL
OMNIBUS CUSTOMER ACCOUNT
ATTN MUTUAL FUND TRADING
4707 EXECUTIVE DR
SAN DIEGO CA 92121-3091
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
|
STIFEL NICOLAUS & CO INC
EXCLUSIVE BENEFIT OF CUSTOMERS
501 N BROADWAY
SAINT LOUIS MO 63102-2188
|
[_]
|
|
UBS WM USA
OMNI ACCOUNT M/F
SPEC CDY A/C EBOC UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761
|
[_]
|
|
Neuberger Berman
Mid Cap Intrinsic Value Fund Class R3 |
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH STREET
DES MOINES IA 50392-0001
|
[_]
|
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINSTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
|
ASCENSUS TRUST COMPANY FBO
RANKIN & RANKIN, INC. 401(K) PLAN
90687
P.O. BOX 10758
FARGO ND 58106-0758
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-190
|
[_]
|
|
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405
|
[_]
|
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
|
Neuberger Berman
Multi Cap Opportunities Fund Class C |
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405
|
[_]
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
|
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
|
MERRILL LYNCH PIERCE FENNER &
SMITH INC FUND ADMINISTRATION
ATTN SERVICE TEAM
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901
|
[_]
|
|
GREAT-WEST TRUST COMPANY LLC TTEE
EMPLOYEE BENEFITS CLIENTS 401K
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002
|
[_]
|
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN STREET
SAN FRANCISCO CA 94105-1905
|
[_]
|
|
NFS LLC FEBO
TTEE VARIOUS RETIREMENT PLANS
440 MAMARONECK AVE
HARRISON NY 10528-2418
|
[_]
|
|
Neuberger Berman
Real Estate Fund Class C |
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100
|
[_]
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
MERRILL LYNCH PIERCE FENNER &
SMITH INC FUND ADMINISTRATION
ATTN SERVICE TEAM
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
|
UBS WM USA
OMNI ACCOUNT M/F
SPEC CDY A/C EBOC UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761
|
[_]
|
|
CHARLES SCHWAB & CO INC
SPECIAL CUSTODY ACCT FBO CUSTOMERS
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523
|
[_]
|
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
|
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
Neuberger Berman
Real Estate Fund Class R3 |
VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY
TREASURY DEPARTMENT
ONE ORANGE WAY
WINDSOR CT 06095-4773
|
[_]
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH STREET
DES MOINES IA 50392-0001
|
[_]
|
|
STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901
|
[_]
|
|
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINSTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
|
CAPITAL BANK & TRUST CO TRUSTEE FBO
FAMILY MEDICINE RESIDENCY OF ID INC
C/O FASCORE LLC
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
TIAA, FSB CUST/TTEE FBO:
RETIREMENT PLANS FOR WHICH
TIAA ACTS AS RECORDKEEPER
ATTN: TRUST OPERATIONS
211 N BROADWAY STE 1000
SAINT LOUIS MO 63102-2748
|
[_]
|
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
|
MERRILL LYNCH PIERCE FENNER & SMITH
ATTN FUND ADMINISTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523
|
[_]
|
|
TAYNIK AND CO
C/O STATE STREET BANK & TRUST CO
1200 CROWN COLONY DR
QUINCY MA 02169-0938
|
[_]
|
|
Neuberger Berman
Real Estate Fund Trust Class |
NATIONAL FINANCIAL SERV CORP
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
MATRIX TRUST COMPANY CUST. FBO
PROGRESSIVE SURGICAL
717 17TH STREET
SUITE 1300
DENVER CO 80202-3304
|
[_]
|
|
STATE STREET BANK AND TRUST AS TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901
|
[_]
|
|
AMERICAN UNITED LIFE INS CO
ATTN SEPARATE ACCOUNTS
PO BOX 368
INDIANAPOLIS IN 46206-0368
|
[_]
|
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH STREET
DES MOINES IA 50392-0001
|
[_]
|
|
Neuberger Berman
Small Cap Growth Fund Investor Class |
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
Neuberger Berman
Small Cap Growth Fund Institutional Class |
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
NATIONAL FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
ATTN MUTUAL FUNDS DEPT
499 WASHINGTON BLVD FL 4
JERSEY CITY NJ 07310-1995
|
[_]
|
|
UBS WM USA
OMNI ACCOUNT M/F
SPEC CDY A/C EBOC UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761
|
[_]
|
|
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405
|
[_]
|
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
|
Neuberger Berman
Small Cap Growth Fund Trust Class |
NATIONAL FINANCIAL SERV CORP
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995
|
[_]
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN STREET
SAN FRANCISCO CA 94105-1905
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523
|
[_]
|
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002
|
[_]
|
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523
|
[_]
|
|
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINSTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
RAYMOND JAMES OMNIBUS FOR
MUTUAL FUNDS HOUSE ACCOUNT
ATTN COURTNEY WALLER
880 CARILLON PKWY
ST PETERSBURG FL 33716-11
|
[_]
|
|
UBS WM USA
OMNI ACCOUNT M/F
SPEC CDY A/C EBOC UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761
|
[_]
|
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002
|
[_]
|
|
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405
|
[_]
|
|
LPL FINANCIAL
4707 EXECUTIVE DR
SAN DIEGO CA 92121-3091
|
[_]
|
|
NFS LLC FEBO
RELIANCE TRUST CO TTEE/CUST
FOR TRS FBO VARIOUS RET PLANS
1150 S OLIVE ST STE 2700
LOS ANGELES CA 90015-2211
|
[_]
|
|
HARTFORD LIFE INSURANCE CO
SEPARATE ACCOUNT TK
ATTN UIT OPERATIONS
1 GRIFFIN RD N
WINDSOR CT 06095-1512
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
NFS LLC FEBO
STATE STREET BANK TRUST CO
TTEE VARIOUS RETIREMENT PLANS
440 MAMARONECK AVE
HARRISON NY 10528-2418
|
[_]
|
|
VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY
TREASURY DEPARTMENT
ONE ORANGE WAY
WINDSOR CT 06095-4773
|
[_]
|
|
STATE STREET BANK AND TRUST AS TRUSTEE AND/OR CUSTODIAN FBO
ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901
|
[_]
|
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH STREET
DES MOINES IA 50392-0001
|
[_]
|
|
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINSTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
Neuberger Berman
Socially Responsive Fund Class R6 |
NFS LLC FEBO
FIIOC AS AGENT FOR
QUALIFIED EMPLOYEE BENEFIT
PLANS (401K) FINOPS-IC FUNDS
100 MAGELLAN WAY # KW1C
COVINGTON KY 41015-1987
|
[_]
|
THE NORTHERN TRUST CO AS TTEE
FBO ADVOCATE HEALTH CARE EMPLOYEES
MATCHED SAVINGS PLAN TRUST
PO BOX 92994
CHICAGO IL 60675-0001
|
[_]
|
|
Neuberger Berman
Socially Responsive Fund Investor Class |
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
NATIONWIDE LIFE INSURANCE COMPANY
(DCVA)
C/O IPO PORTFOLIO ACCOUNTING
PO BOX 182029
COLUMBUS OH 43218-2029
|
[_]
|
|
NATIONWIDE LIFE INSURANCE COMPANY
(NACO)
C/O IPO PORTFOLIO ACCOUNTING
PO BOX 182029
COLUMBUS OH 43218-2029
|
[_]
|
|
NATIONAL FINANCIAL SERVICES
FOR THE EXCLUSIVE BENEFIT OF
THEIR CLIENTS
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
Neuberger Berman
Socially Responsive Fund Institutional Class |
NATIONAL FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
ATTN MUTUAL FUNDS DEPT
499 WASHINGTON BLVD FL 4
JERSEY CITY NJ 07310-1995
|
[_]
|
MLPF&S FOR THE SOLE BENEFIT OF
ITS CUSTOMERS
ATTN FUND ADMINISTRATION
4800 DEER LAKE DR E FL 2
JACKSONVILLE FL 32246-6484
|
[_]
|
|
WELLS FARGO CLEARING SERVICES LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE BENEFIT OF CUSTOMER
2801 MARKET ST
SAINT LOUIS MO 63103-2523
|
[_]
|
|
MORGAN STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER
PLAZA 2 3RD FLOOR
JERSEY CITY NJ 07311
|
[_]
|
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN ST
SAN FRANCISCO CA 94105-1905
|
[_]
|
|
LPL FINANCIAL
OMNIBUS CUSTOMER ACCOUNT
ATTN MUTUAL FUND TRADING
4707 EXECUTIVE DR
SAN DIEGO CA 92121-3091
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
UBS WM USA
OMNI ACCOUNT M/F
SPEC CDY A/C EBOC UBSFSI
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761
|
[_]
|
|
Neuberger Berman
Socially Responsive Fund Trust Class |
NATIONAL FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF
OUR CUSTOMERS
ATTN MUTUAL FUNDS DEPT
499 WASHINGTON BLVD FL 4
JERSEY CITY NJ 07310-1995
|
[_]
|
VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY
TREASURY DEPARTMENT
ONE ORANGE WAY
WINDSOR CT 06095-4773
|
[_]
|
|
DCGT AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN NPIO TRADE DESK
711 HIGH STREET
DES MOINES IA 50392-0001
|
[_]
|
|
CHARLES SCHWAB & CO INC
ATTN MUTUAL FUNDS
211 MAIN STREET
SAN FRANCISCO CA 94105-1905
|
[_]
|
|
Neuberger Berman
Value Fund Class A |
LPL FINANCIAL
OMNIBUS CUSTOMER ACCOUNT
ATTN MUTUAL FUND TRADING
4707 EXECUTIVE DR
SAN DIEGO CA 92121-3091
|
[_]
|
Fund and Class
|
Name and Address
|
Percent Owned
|
AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405
|
[_]
|
GREEN COURT CAPITAL MANAGEMENT LIMITED (“GREEN COURT CAPITAL MANAGEMENT”) PROXY VOTING POLICY
|
|
Date of Issuance:
|
May 2017
|
Policy Owner:
|
Compliance
|
Summary:
|
The Policy summarises the proxy voting guidelines and procedures for Green Court Capital Management Limited (“
GCCM
”).
|
1. PURPOSE
|
||
Proxy voting is an important right of shareholders for which reasonable care and diligence must be undertaken to ensure such rights are properly and timely exercised. GCCM, as a fiduciary for its clients, must vote proxies in each client’s best interest.
|
||
Under the Advisers Act Rule 206(4)-6, it is a fraudulent, deceptive, or manipulative act, practice or course of business within the meaning of section 206(4) of the Act, for an investment adviser registered or required to be registered under section 203 of the Act to exercise voting authority with respect to client securities, unless the adviser:
|
||
a)
|
Adopts and implement written policies and procedures that are reasonably designed to ensure that client securities are voted in the best interest of clients, which procedures must include how material conflicts that may arise between the adviser’s interests and those of the clients are addressed;
|
|
|
b)
|
Discloses to clients how information about how the advisers voted with respect to their securities may be obtained; and
|
|
c)
|
Describes to clients proxy voting policies and procedures and, upon request, furnish a copy of the policies and procedures to the requesting client.
|
2. SCOPE
|
||
This policy (the “Policy”) applies to the proxy voting for all the client securities held in the investment management activities by GCCM.
|
3. OVERVIEW OF THE POLICY
|
||
a)
|
In certain Investment Advisory Agreements, GCCM has been delegated the authority and responsibility to vote the proxies of their investment advisory clients, including both ERISA and non-ERISA clients.
|
|
|
b)
|
GCCM understands that proxy voting is an integral aspect of investment management. In the instances where GCCM has been delegated to vote proxies for its clients, proxy voting must be conducted with the same degree of prudence and loyalty accorded any fiduciary or other obligation of an investment manager.
|
|
c)
|
GCCM believes that the following policies and procedures are reasonably expected to ensure that proxy matters are conducted in the best interest of clients, in accordance with GCCM’s fiduciary duties, applicable rules under the Investment Advisers Act of 1940 and fiduciary standards and responsibilities for ERISA clients set out in Department of Labor interpretations and other laws and regulations.
|
|
d)
|
In instances where GCCM does not have authority to vote client proxies, it is the responsibility of the client to instruct the relevant custody bank or banks to mail proxy material directly to such client.
|
|
e)
|
In circumstances where an advisory client would like to retain the discretion to vote for specific proxies, GCCM will comply with the specific client directions to vote proxies, whether or not such client directions specify voting proxies is in a manner that is different from
GCCM’s policies and procedures.
|
|
f)
|
There may be circumstances under which GCCM may abstain from voting a client proxy when GCCM believes voting would not be in the clients’ best interest. GCCM understands that it must weigh the costs and benefits of voting proxy proposals relating to the securities and make an informed decision with respect to whether voting a given proxy proposal is prudent and solely in the interests of the clients and, in the case of an ERISA client, the plan’s participants and beneficiaries. GCCM’s decision in such circumstances will take into account the effect that the proxy vote, either by itself or together with other votes, is expected to have on the value of the client’s investment and whether this expected effect would outweigh the cost of voting.
|
4. RESPONSIBILITIES AND OVERSIGHT
|
|||
a)
|
GCCM has designated the Control and Oversight Group or its sub-group (“GCOG”) for managing proxy voting with the responsibility for administering and overseeing the proxy voting process, including:
|
||
i) |
Developing, authorizing, implementing and updating GCCM’s policies and procedures;
|
||
ii) |
Overseeing the proxy voting process; and
|
||
iii) |
Overseeing any third-party vendors as voting delegate to review, monitor and/or vote proxies. Glass, Lewis & Co., LLC (“Glass Lewis”) has been currently retained as the voting delegate.
|
b)
|
GCOG will meet as frequently and in such manner as necessary or appropriate to fulfill its responsibilities.
|
|
|
c)
|
The members of the GCOG will include the senior portfolio manager, senior members of Legal and Compliance, senior member of Operations and from other functions.
|
|
d)
|
In the event that one or more members of the GCOG are not independent with respect to a particular matter, the GCOG shall appoint an independent member or independent members of the GCOG, which will have full authority to act upon such matter.
|
5. PROXY VOTING GUIDELINES AND PROCEDURES
|
||
|
5.1.
|
Proxy Voting Guidelines
|
a)
|
Proxies will be generally voted in accordance with the recommendations contained in the applicable Glass Lewis Proxy Paper Voting Guidelines, as in effect from time to time. A summary of the current applicable Glass Lewis guidelines for the relevant jurisdictions are attached in the Addendum to the Policy.
|
|
|
b)
|
In the event that Glass Lewis refrains from making a recommendation, the GCOG will follow the procedures set forth in Section 6 f).
|
|
c)
|
There may be circumstances under which the GCCM portfolio manager believes that it is in the best interest of a client or clients to vote proxies in a manner inconsistent with the foregoing proxy voting guidelines or in a manner inconsistent with Glass Lewis guideline. In such event, the procedures set forth in Section 6 b) will be followed.
|
|
d)
|
Notwithstanding the Glass Lewis guidelines or recommendations made by Glass Lewis with respect to a specific annual or special meeting, GCCM will manage the proxies with “care, skill, prudence and diligence”. All routine business and non-routine corporate actions that arises, which requires the responsible portfolio manager to exercise additional due care in proxy voting exercise given each company’s circumstances, will be evaluated on a case-by-case basis.
|
|
5.2.
|
Proxy Voting Procedures
|
|
a)
|
In circumstances where an advisory client would like to retain the discretion to vote for specific proxies, GCCM will vote client proxies in accordance with a client’s specific request even if it is in a manner inconsistent with GCCM’s policies and procedures. Such specific requests must be made in writing by the advisory client or by an authorized officer, representative or named fiduciary of the advisory client.
|
||
|
b)
|
Glass Lewis as the retained voting delegate will:
|
|
1)
|
Research and make voting determinations in accordance with the proxy voting guidelines described in Section 5.1;
|
||
|
2)
|
Vote and submit proxies in a timely manner;
|
|
3)
|
Handle other administrative functions of proxy voting;
|
|
|
4)
|
Maintain records of proxy statements received in connection with proxy votes and provide copies of such proxy statements promptly upon request;
|
|
|
5)
|
Maintain records of votes cast; and
|
|
|
6)
|
Provide recommendations with respect to proxy voting matters in general.
|
|
c)
|
Except in instances where clients have retained voting authority, GCCM will instruct custodians of client accounts to forward all proxy statements and materials received in respect of client accounts to Glass Lewis.
|
||
d)
|
Notwithstanding the foregoing, GCCM retains final authority and fiduciary responsibility for proxy voting.
|
6. CONFLICTS OF INTEREST
|
||
a)
|
Glass Lewis will vote proxies in accordance with the proxy voting guidelines described in Section 5.1 or as Glass Lewis recommends. GCCM believes that this process is reasonably designed to address material conflicts of interest that may arise in conjunction with proxy voting decisions.
|
|
b)
|
In the event that a GCCM portfolio manager believes that it is in the best interest of a client or clients to vote proxies in a manner inconsistent with the proxy voting guidelines described in Section 5.1 or in a manner inconsistent with Glass Lewis recommendations, such GCCM portfolio manager will contact a member of the GCOG and complete and sign a proxy voting questionnaire in the form adopted from time to time. Such proxy voting questionnaire will require specific information, including the reasons the GCCM portfolio manager believes a proxy vote in this manner is in the best interest of a client or clients and disclosure of specific ownership, business or personal relationship or other matters that may raise a potential material conflict of interest between GCCM and the client or clients with respect to the voting of the proxy.
|
|
c)
|
The GCOG will review the proxy voting questionnaire completed by the GCCM portfolio manager and consider such other matters as it deems appropriate to determine that there is no material conflict of interest with respect to the voting of the proxy in the requested manner. The GCOG may meet with the GCCM portfolio manager to review the completed proxy voting questionnaire and consider such other matters as it deems appropriate to determine that there is no material conflict of interest with respect to the voting of the proxy in the requested manner. The GCOG shall document its consideration of such other matters in a form adopted by the GCOG from time to time.
|
|
d)
|
In the event that the GCOG determines that such vote will not present a material conflict, the GCOG will make a determination whether to vote such proxies as recommended by the GCCM portfolio manager. In the event of a determination to vote the proxy as recommended by the GCCM portfolio manager, the GCOG will instruct Glass Lewis to vote in such manner with respect to the client or clients.
|
e)
|
In the event that the GCOG determines that the voting of a proxy as recommended by the GCCM portfolio manager would not be appropriate, the GCOG will take no further action, in which case Glass Lewis shall vote such proxy in accordance with the proxy voting guidelines described in Section 5.1 or as Glass Lewis recommends.
|
|
f)
|
In the event that the proxy voting guidelines described in Section 5.1 do not address how a proxy should be voted and Glass Lewis refrains from making a recommendation as to how such proxy should be voted, the GCOG will make a determination as to how the proxy should be voted. After determining how it believes the proxy should be voted, the GCOG will consider such matters as it deems appropriate to determine that there is no material conflict of interest with respect to the voting of the proxy in that manner. The GCOG shall document its consideration of such matters in a form adopted by the GCOG from time to time, and an authorized member of the GCOG will instruct Glass Lewis to vote in such manner with respect to the client or clients.
|
|
g)
|
Material conflicts cannot be resolved by simply abstaining from voting.
|
|
7. RECORD KEEPING
|
||
GCCM will maintain records relating to the implementation of these proxy voting policies and procedures, including:
|
||
|
a) |
A copy of this policies and procedures, which shall be made available to clients upon request;
|
|
b) |
Proxy statements received regarding client securities (which will be satisfied by relying on Glass Lewis);
|
|
c) |
A copy of each questionnaire completed by any GCCM portfolio manager under Section 6 b) in the above;
|
|
d) |
A record of each vote cast (which Glass Lewis maintains on behalf of GCCM);
|
|
e) |
Any other document created by fund(s) managed by GCCM and/or GCCM that was material to making a decision how to vote proxies on behalf of a client or that memorializes the basis for that decision; and
|
|
f) |
Each written client request for proxy voting records and the fund(s)’ and/or GCCM’s written response to any client request (written or oral) for such records.
|
Such proxy voting books and records shall be maintained in an easily accessible place for a period of seven years.
|
8. DISCLOSURE
|
GCCM may disclose to any issuer or third party on how GCCM or its voting delegate voted a client’s proxy unless specifically prohibited by law or requires prior consent of the client.
|
9. ADMINISTRATION
|
||
9.1.
|
Interpretive matters – All questions regarding interpretation of this Policy shall be referred to Compliance, which, in consultation with the GCOG, is responsible for resolving interpretative questions and communicating the conclusions to the relevant recipients.
|
|
9.2.
|
Training – Compliance is responsible for ensuring that appropriate training is provided regarding the Policy.
|
|
9.3.
|
Recordkeeping – All records relating to proxy voting under this Policy shall be maintained in the manner and to the extent required by applicable law.
|
|
9.4.
|
Breach of the Policy – Any breach or suspected breach of this Policy must be escalated immediately to his/her senior manager and Compliance.
|
|
9.5.
|
Compliance monitoring – Senior management is responsible for ensuring that the persons under their supervision adhere to this Policy. Compliance shall also periodically monitor for compliance.
|
|
9.6.
|
Periodic review – Compliance will review this Policy not less than annually and changes will be made as and when necessary.
|
Item 29. |
Persons Controlled By or Under Common Control with Registrant.
|
Item 30. |
Indemnification.
|
NAME
|
BUSINESS AND OTHER CONNECTIONS
|
Joseph V. Amato
President – Equities and Chief Investment Officer – Equities, NBIA
|
Chief Executive Officer and President, Neuberger Berman Holdings LLC (including its predecessor, Neuberger Berman Inc.); President and Director of Neuberger Berman Group LLC; Chief Executive Officer and President, NB BD LLC; Trustee, ten registered investment companies for which NBIA acts as investment manager and/or administrator; Chief Executive Officer and President, twenty-six registered investment companies for which NBIA acts as investment manager and/or administrator; Portfolio Manager.
|
Thanos Bardas
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Ashok Bhatia
Managing Director, NBIA
|
Portfolio Manager.
|
James Bowden
Managing Director, NBIA
|
Managing Director, NB Alternatives Advisers LLC (“NBAA”).
|
Claudia A. Brandon
Senior Vice President, NBIA |
Senior Vice President, NB BD LLC; Executive Vice President and Secretary, twenty-six registered investment companies for which NBIA acts as investment manager and/or administrator.
|
David M. Brown
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Chad Bruso
Senior Vice President, NBIA |
Senior Vice President, NB BD LLC; Portfolio Manager.
|
David Bunan
Managing Director, NBIA
|
Associate Portfolio Manager.
|
John Buser
Managing Director, NBIA
|
Managing Director, NBAA.
|
Stephen J. Casey
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Brad E. Cetron
Chief Compliance Officer, Head of
Compliance and Managing Director of
Compliance, NBIA
|
Chief Compliance Officer and Managing Director, NB BD LLC.
|
Elias Cohen
Managing Director, NBIA
|
Managing Director, NB BD LLC; Associate Portfolio Manager.
|
William R. Covode
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Timothy Creedon
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
NAME
|
BUSINESS AND OTHER CONNECTIONS
|
Robert W. D’Alelio
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
James J. Dempsey
Chief Financial Officer, Treasurer and
Senior Vice President, NBIA
|
Chief Financial Officer, Treasurer and Senior Vice President, NB BD LLC.
|
Derek Devens
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Ingrid Dyott
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Steven Eisman
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Yonah Feder
Chief Compliance Officer –
Alternatives, Senior Vice President
and Assistant Secretary, NBIA
|
Senior Vice President, NB Services LLC.
|
Patrick Flynn
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Michael Foster
Senior Vice President, NBIA |
Senior Vice President, NB BD LLC; Portfolio Manager.
|
Maxine L. Gerson
Secretary and Managing Director, NBIA |
Managing Director and Secretary, NB BD LLC; Managing Director and Secretary, Neuberger Berman Holdings LLC.
|
Jennifer Gorgoll
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Michael C. Greene
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
William Hunter
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
James L. Iselin
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Corey A. Issing
General Counsel and Head of
Compliance – Mutual Funds and
Managing Director, NBIA
|
Chief Legal Officer (only for purposes of sections 307 and 406 of the Sarbanes-Oxley Act of 2002) and Anti-Money Laundering Compliance Officer, twenty-six registered investment companies for which the Investment Adviser acts as investment manager and/or administrator.
|
Andrew A. Johnson
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Brian C. Jones
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Charles Kantor
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
NAME
|
BUSINESS AND OTHER CONNECTIONS
|
Hakan Kaya
Senior Vice President, NBIA |
Senior Vice President, NB BD LLC; Portfolio Manager.
|
Brian Kerrane
Chief Operating Officer – Mutual
Funds and Managing Director, NBIA
|
Managing Director, NB BD LLC; Chief Operating Officer, and Vice President, twenty-six registered investment companies for which NBIA acts as investment manager and/ or administrator.
|
David A. Kiefer
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Eric Knutzen
Managing Director, NBIA
|
Managing Director, NB BD LLC; Multi-Asset Class Chief Investment Officer, Neuberger Berman Group LLC; Portfolio Manager.
|
David Kupperman
Managing Director, NBIA |
Managing Director, NB BD LLC; Managing Director, NBAIM; Portfolio Manager.
|
Nathan Kush
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager
|
Sajjad S. Ladiwala
Managing Director, NBIA |
Managing Director, NB BD LLC; Associate Portfolio Manager; Portfolio Manager.
|
David M. Levine
Senior Vice President, NBIA
|
Senior Vice President, NB BD LLC; Portfolio Manager.
|
Richard S. Levine
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Joseph Lind
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Brian Lord
Chief Compliance Officer – Fixed
Income and Senior Vice President, NBIA
|
Senior Vice President, NB Services LLC.
|
Joseph P. Lynch
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Jeffrey Majit
Managing Director, NBIA |
Managing Director, NB BD LLC; Managing Director, NBAIM; Portfolio Manager.
|
Thomas J. Marthaler
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
James F. McAree
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Matthew McGinnis
Vice President, NBIA
|
Vice President, NB BD LLC; Portfolio Manager.
|
S. Blake Miller
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Norman Milner
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
NAME
|
BUSINESS AND OTHER CONNECTIONS
|
Marco Minonne
Vice President, NBIA |
Vice President, NB BD LLC; Portfolio Manager.
|
Trevor Moreno
Vice President, NBIA |
Vice President, NB BD LLC; Portfolio Manager.
|
Richard S. Nackenson
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Benjamin H. Nahum
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Thomas P. O’Reilly
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Alexandra Pomeroy
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Douglas A. Rachlin
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Marc Regenbaum
Managing Director, NBIA
|
Managing Director, NB BD LLC; Associate Portfolio Manager.
|
Brett S. Reiner
Managing Director, NBIA |
Managing Director, NB BD LLC; Associate Portfolio Manager.
|
Joana Rocha Schaff
Managing Director, NBIA
|
Managing Director, NBAA.
|
Conrad A. Saldanha
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Eli M. Salzmann
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Benjamin E. Segal
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Saurin D. Shah
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Steve Shigekawa
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Yves C. Siegel
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Jonathan Shofet
Managing Director, NBIA
|
Managing Director, NBAA.
|
Brian Smith
Managing Director, NBIA
|
Managing Director, NBAA.
|
Amit Solomon
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
NAME
|
BUSINESS AND OTHER CONNECTIONS
|
Thomas A. Sontag
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Gregory G. Spiegel
Managing Director, NBIA |
Managing Director, NB BD LLC; Associate Portfolio Manager.
|
David Stonberg
Managing Director, NBIA
|
Managing Director, NBAA.
|
Brad Tank
President - Fixed Income and Chief
Investment Officer - Fixed Income, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Gillian Tiltman
Senior Vice President, NBIA |
Senior Vice President, NB BD LLC; Senior Vice President, NBEL; Portfolio Manager.
|
Kenneth J. Turek
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Anthony Tutrone
Managing Director, NBIA
|
Managing Director, NBAA.
|
Gorky Urquieta
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Judith M. Vale
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Peter Von Lehe
Managing Director, NBIA
|
Managing Director, NBAA.
|
David Yi Wan
Senior Vice President, NBIA
|
Senior Vice President, NB BD LLC; Portfolio Manager.
|
NAME
|
POSITIONS AND OFFICES
WITH UNDERWRITER |
POSITIONS AND OFFICES
WITH REGISTRANT |
Joseph V. Amato
|
Chief Executive Officer and President
|
President, Chief Executive Officer and Trustee
|
Thanos Bardas
|
Managing Director
|
None
|
Claudia A. Brandon
|
Senior Vice President
|
Executive Vice President and Secretary
|
David M. Brown
|
Managing Director
|
None
|
Chad Bruso
|
Senior Vice President
|
None
|
David Bunan
|
Managing Director
|
None
|
Stephen J. Casey
|
Managing Director
|
None
|
Brad E. Cetron
|
Chief Compliance Officer and Managing
Director
|
None
|
William R. Covode
|
Managing Director
|
None
|
Timothy Creedon
|
Managing Director
|
None
|
Robert W. D’Alelio
|
Managing Director
|
None
|
James J. Dempsey
|
Chief Financial Officer, Treasurer and
Senior Vice President
|
None
|
Derek Devens
|
Managing Director
|
None
|
Ingrid Dyott
|
Managing Director
|
None
|
Steven Eisman
|
Managing Director
|
None
|
Patrick Flynn
|
Managing Director
|
None
|
Michael Foster
|
Senior Vice President
|
None
|
Maxine L. Gerson
|
Secretary and Managing Director
|
None
|
Jennifer Gorgoll
|
Managing Director
|
None
|
Michael C. Greene
|
Managing Director
|
None
|
William Hunter
|
Managing Director
|
None
|
James L. Iselin
|
Managing Director
|
None
|
Corey A. Issing
|
General Counsel and Head of Compliance
– Mutual Funds and Managing Director
|
Anti-Money Laundering Compliance Officer and Chief Legal Officer (only for purposes of sections 307 and 406 of the Sarbanes – Oxley Act of 2002)
|
Andrew A. Johnson
|
Managing Director
|
None
|
Brian C. Jones
|
Managing Director
|
None
|
Charles Kantor
|
Managing Director
|
None
|
Hakan Kaya
|
Senior Vice President
|
None
|
Brian Kerrane
|
Managing Director
|
Chief Operating Officer and Vice President
|
David A. Kiefer
|
Managing Director
|
None
|
Eric Knutzen
|
Managing Director
|
None
|
David Kupperman
|
Managing Director
|
None
|
Nathan Kush
|
Managing Director
|
None
|
NEUBERGER BERMAN EQUITY FUNDS
|
|||
By:
|
/s/ Joseph V. Amato | ||
Name:
|
Joseph V. Amato | ||
Title:
|
President and Chief Executive Officer |
Signature
|
Title
|
Date
|
/s/ Joseph V. Amato
|
President, Chief Executive Officer
and Trustee
|
October 5, 2018
|
Joseph V. Amato
|
||
/s/ John M. McGovern
|
Treasurer and Principal Financial and
Accounting Officer
|
October 5, 2018
|
John M. McGovern
|
||
/s/ Robert Conti
|
Trustee
|
October 5, 2018
|
Robert Conti*
|
||
/s/ Michael J. Cosgrove
|
Trustee
|
October 5, 2018
|
Michael J. Cosgrove*
|
||
/s/ Marc Gary
|
Trustee
|
October 5, 2018
|
Marc Gary*
|
||
/s/ Martha C. Goss
|
Trustee
|
October 5, 2018
|
Martha C. Goss*
|
||
/s/ Michael M. Knetter
|
Trustee
|
October 5, 2018
|
Michael M. Knetter*
|
||
/s/ Deborah C. McLean
|
Trustee
|
October 5, 2018
|
Deborah C. McLean*
|
||
/s/ George W. Morriss
|
Trustee
|
October 5, 2018
|
George W. Morriss*
|
||
/s/ Tom D. Seip
|
Chairman of the Board and Trustee
|
October 5, 2018
|
Tom D. Seip*
|
||
/s/ James G. Stavridis
|
Trustee
|
October 5, 2018
|
James G. Stavridis*
|
||
/s/ Candace L. Straight
|
Trustee
|
October 5, 2018
|
Candace L. Straight*
|
||
/s/ Peter P. Trapp
|
Trustee
|
October 5, 2018
|
Peter P. Trapp*
|
Exhibit
Number
|
Description
|
(o)
|
Power of Attorney for Registrant.
|
|
By:
|
/s/ Joseph V. Amato
|
|
|
Name:
|
Joseph V. Amato
|
|
|
Title:
|
President and Chief Executive Officer
|
Signature
|
Title
|
|
/s/ Joseph V. Amato
|
President, Chief Executive Officer and Trustee
|
|
Joseph V. Amato
|
||
/s/ Robert Conti | Trustee | |
Robert Conti | ||
/s/ Michael J. Cosgrove | Trustee | |
Michael J. Cosgrove | ||
/s/ Marc Gary | Trustee | |
Marc Gary | ||
/s/ Martha C. Goss | Trustee | |
Martha C. Goss | ||
/s/ Michael M. Knetter | Trustee | |
Michael M. Knetter | ||
/s/ Deborah C. McLean | Trustee | |
Deborah C. McLean
|
||
/s/ George W. Morriss | Trustee | |
George W. Morriss | ||
/s/ Tom D. Seip | Chairman of the Board and Trustee | |
Tom D. Seip | ||
/s/ James G. Stavridis | Trustee | |
James G. Stavridis
|
||
/s/ Candace L. Straight | Trustee | |
Candace L. Straight | ||
/s/ Peter P. Trapp | Trustee | |
Peter P. Trapp | ||