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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/03/21 Sunamerica Series, Inc. 497 3/03/21 59:13M Donnelley … Solutions/FA → AIG Active Allocation Fund ⇒ Class A (FBAAX) — Class B (FBABX) — Class C (FBACX) → AIG Focused Dividend Strategy Fund ⇒ Class A (FDSAX) — Class B (FDSBX) — Class C (FDSTX) — Class W (FDSWX) → AIG Focused Dividend Strategy II Fund ⇒ 3 Classes/Contracts → AIG Multi-Asset Allocation Fund ⇒ Class A (FASAX) — Class B (FMABX) — Class C (FMATX) → AIG Select Dividend Growth Fund ⇒ 3 Classes/Contracts → AIG Strategic Value Fund ⇒ Class A (SFVAX) — Class C (SFVTX) — Class W (SFVWX) |
Document/Exhibit Description Pages Size 1: 497 Definitive Material HTML 2.92M 8: R1 Document and Entity Information HTML 33K 9: R2 Risk/Return Summary- AIG Active Allocation Fund HTML 97K 10: R3 Shareholder Fees HTML 37K 11: R4 Annual Fund Operating Expenses HTML 38K 12: R5 Expense Example HTML 16K 13: R6 Expense Example, No Redemption HTML 16K 14: R7 Annual Total Returns[BarChart] HTML 16K 15: R8 Average Annual Total Returns HTML 18K 16: R9 Risk/Return Detail Data- AIG Active Allocation HTML 269K Fund 17: R10 Risk/Return Summary- AIG Multi-Asset Allocation HTML 91K Fund 18: R11 Shareholder Fees HTML 37K 19: R12 Annual Fund Operating Expenses HTML 38K 20: R13 Expense Example HTML 16K 21: R14 Expense Example, No Redemption HTML 16K 22: R15 Annual Total Returns[BarChart] HTML 16K 23: R16 Average Annual Total Returns HTML 18K 24: R17 Risk/Return Detail Data- AIG Multi-Asset HTML 263K Allocation Fund 25: R18 Risk/Return Summary- AIG Focused Dividend Strategy HTML 76K Fund 26: R19 Shareholder Fees HTML 37K 27: R20 Annual Fund Operating Expenses HTML 34K 28: R21 Expense Example HTML 16K 29: R22 Expense Example, No Redemption HTML 16K 30: R23 Annual Total Returns[BarChart] HTML 16K 31: R24 Average Annual Total Returns HTML 18K 32: R25 Risk/Return Detail Data- AIG Focused Dividend HTML 248K Strategy Fund 33: R26 Risk/Return Summary- AIG Strategic Value Fund HTML 74K 34: R27 Shareholder Fees HTML 37K 35: R28 Annual Fund Operating Expenses HTML 43K 36: R29 Expense Example HTML 16K 37: R30 Expense Example, No Redemption HTML 16K 38: R31 Annual Total Returns[BarChart] HTML 16K 39: R32 Average Annual Total Returns HTML 19K 40: R33 Risk/Return Detail Data- AIG Strategic Value Fund HTML 262K 41: R34 Risk/Return Summary- AIG Focused Dividend Strategy HTML 76K II Fund 42: R35 Shareholder Fees HTML 37K 43: R36 Annual Fund Operating Expenses HTML 43K 44: R37 Expense Example HTML 16K 45: R38 Expense Example, No Redemption HTML 16K 46: R39 Average Annual Total Returns HTML 18K 47: R40 Risk/Return Detail Data- AIG Focused Dividend HTML 233K Strategy II Fund 48: R41 Risk/Return Summary- AIG Select Dividend Growth HTML 75K Fund 49: R42 Shareholder Fees HTML 37K 50: R43 Annual Fund Operating Expenses HTML 43K 51: R44 Expense Example HTML 16K 52: R45 Expense Example, No Redemption HTML 16K 53: R46 Average Annual Total Returns HTML 19K 54: R47 Risk/Return Detail Data- AIG Select Dividend HTML 235K Growth Fund 55: R48 Risk/Return Detail Data HTML 18K 57: XML IDEA XML File -- Filing Summary XML 105K 7: XML XBRL Instance -- d149208d497_htm XML 716K 56: EXCEL IDEA Workbook of Financial Reports XLSX 149K 3: EX-101.CAL XBRL Calculations -- ssi-20210226_cal XML 27K 4: EX-101.DEF XBRL Definitions -- ssi-20210226_def XML 3.20M 5: EX-101.LAB XBRL Labels -- ssi-20210226_lab XML 506K 6: EX-101.PRE XBRL Presentations -- ssi-20210226_pre XML 2.53M 2: EX-101.SCH XBRL Schema -- ssi-20210226 XSD 103K 58: JSON XBRL Instance as JSON Data -- MetaLinks 183± 438K 59: ZIP XBRL Zipped Folder -- 0001193125-21-067786-xbrl Zip 1.20M
497 |
Class |
AIG Active Allocation Fund Ticker Symbols |
AIG Multi-Asset Allocation Fund Ticker Symbols |
A Shares |
FBAAX |
FASAX |
B Shares |
FBABX |
FMABX |
C Shares |
FBACX |
FMATX |
|
Class A |
Class B |
Class C |
Maximum Sales Charge (Load) Imposed on Purchases (as a percentage of offering price) |
i 5.75% |
i None |
i None |
Maximum Deferred Sales Charge (Load) (as a percentage of the lesser of the amount redeemed or original purchase cost)(1) |
i None |
i 4.00% |
i 1.00% |
Maximum Sales Charge (Load) Imposed on Reinvested Dividends |
i None |
i None |
i None |
Maximum Account Fee |
i None |
i None |
i None |
|
Class A |
Class B |
Class C |
Management Fees |
i 0.10% |
i 0.10% |
i 0.10% |
Distribution and/or Service (12b-1) Fees |
— |
i 0.65% |
i 0.65% |
Other Expenses |
i 0.16% |
i 0.32% |
i 0.25% |
Acquired Fund Fees and Expenses |
i 1.26% |
i 1.26% |
i 1.26% |
Total Annual Fund Operating Expenses(2) |
i 1.52% |
i 2.33% |
i 2.26% |
|
1 Year |
3 Years |
5 Years |
10 Years |
AIG Active Allocation Fund |
|
|
|
|
Class A |
$ i 721 |
$ i 1,028 |
$ i 1,356 |
$ i 2,283 |
Class B |
i 636 |
i 1,027 |
i 1,445 |
i 2,464 |
Class C |
i 329 |
i 706 |
i 1,210 |
i 2,409 |
|
1 Year |
3 Years |
5 Years |
10 Years |
AIG Active Allocation Fund |
|
|
|
|
Class A |
$ i 721 |
$ i 1,028 |
$ i 1,356 |
$ i 2,283 |
Class B |
i 236 |
i 727 |
i 1,245 |
i 2,464 |
Class C |
i 229 |
i 706 |
i 1,210 |
i 2,409 |
Domestic Equity Securities |
25%-75% |
Foreign Equity Securities |
0%-20% |
Fixed-Income Securities |
25%-50% |
Commodity Strategy |
0%-30% |
Global Strategy |
0%-20% |
i Highest Quarterly Return: |
i 13.75% | |
i Lowest Quarterly Return: |
- i 15.25% |
|
Past One Year |
Past Five Years |
Past Ten Years |
Class A |
i 3.47% |
i 6.45% |
i 5.89% |
Return After Taxes on Distributions (Class A) |
i 2.45% |
i 5.08% |
i 4.89% |
Return After Taxes on Distributions and Sale of Fund Shares (Class A)(1) |
i 2.59% |
i 4.76% |
i 4.43% |
Class B |
i 5.06% |
i 6.70% |
i 5.95% |
Class C |
i 8.13% |
i 7.02% |
i 5.84% |
Russell 3000® Index |
i 20.89% |
i 15.43% |
i 13.79% |
Name |
Portfolio Manager of the Fund Since |
Title |
Manisha Singh, CFA® |
2017 |
Portfolio Manager, Senior Vice President |
|
Class A |
Class B |
Class C |
Maximum Sales Charge (Load) Imposed on Purchases (as a percentage of offering price) |
i 5.75% |
i None |
i None |
Maximum Deferred Sales Charge (Load) (as a percentage of the lesser of the amount redeemed or original purchase cost)(1) |
i None |
i 4.00% |
i 1.00% |
Maximum Sales Charge (Load) Imposed on Reinvested Dividends |
i None |
i None |
i None |
Maximum Account Fee |
i None |
i None |
i None |
|
Class A |
Class B |
Class C |
Management Fees |
i 0.10% |
i 0.10% |
i 0.10% |
Distribution and/or Service (12b-1) Fees |
— |
i 0.65% |
i 0.65% |
Other Expenses |
i 0.11% |
i 0.24% |
i 0.20% |
Acquired Fund Fees and Expenses |
i 1.33% |
i 1.33% |
i 1.33% |
Total Annual Fund Operating Expenses(2) |
i 1.54% |
i 2.32% |
i 2.28% |
|
1 Year |
3 Years |
5 Years |
10 Years |
AIG Multi-Asset Allocation Fund |
|
|
|
|
Class A |
$ i 723 |
$ i 1,033 |
$ i 1,366 |
$ i 2,304 |
Class B |
i 635 |
i 1,024 |
i 1,440 |
i 2,461 |
Class C |
i 331 |
i 712 |
i 1,220 |
i 2,430 |
|
1 Year |
3 Years |
5 Years |
10 Years |
AIG Multi-Asset Allocation Fund |
|
|
|
|
Class A |
$ i 723 |
$ i 1,033 |
$ i 1,366 |
$ i 2,304 |
Class B |
i 235 |
i 724 |
i 1,240 |
i 2,461 |
Class C |
i 231 |
i 712 |
i 1,220 |
i 2,430 |
Domestic Equity Securities |
50% |
Foreign Equity Securities |
10% |
Fixed-Income Securities |
20% |
Commodity Strategy |
10% |
Global Strategy |
10% |
i Highest Quarterly Return: |
i 14.21% | |
i Lowest Quarterly Return: |
- i 20.39% |
|
Past One Year |
Past Five Years |
Past Ten Years |
Class A |
i 0.69% |
i 5.80% |
i 4.97% |
Return After Taxes on Distributions (Class A) |
i 0.10% |
i 4.88% |
i 4.25% |
Return After Taxes on Distributions and Sale of Fund Shares (Class A)(1) |
i 0.76% |
i 4.35% |
i 3.76% |
Class B |
i 1.95% |
i 6.00% |
i 5.01% |
Class C |
i 5.20% |
i 6.38% |
i 4.91% |
Russell 3000® Index |
i 20.89% |
i 15.43% |
i 13.79% |
Name |
Portfolio Manager of the Fund Since |
Title |
Manisha Singh, CFA® |
2017 |
Portfolio Manager, Senior Vice President |
|
Class A, Class B and Class C Shares |
Minimum Initial Investment |
• non-retirement account: $500 • retirement account: $250 • dollar cost averaging: $500 or $250 to open, depending on your type of account; you must invest at least $25 a month |
Minimum Subsequent Investment |
• non-retirement account: $100 • retirement account: $25 |
|
Sales Charge |
Concession to Dealers | |
Your Investment |
% of Offering Price |
% of Net Amount Invested |
% of Offering Price |
Less than $50,000 |
5.75% |
6.10% |
5.00% |
$50,000 but less than $100,000 |
4.75% |
4.99% |
4.00% |
$100,000 but less than $250,000 |
3.75% |
3.90% |
3.00% |
$250,000 but less than $500,000 |
3.00% |
3.09% |
2.50% |
$500,000 but less than $1,000,000 |
2.00% |
2.04% |
1.75% |
$1,000,000 or more* |
None |
None |
1.00% |
Years after purchase |
CDSC on shares being sold |
1st year or 2nd year |
4.00% |
3rd or 4th year |
3.00% |
5th year |
2.00% |
6th year |
1.00% |
7th year and thereafter |
None |
Class |
Distribution Fee |
Account Maintenance Fee |
B |
0.65% |
None |
C |
0.65% |
None |
|
AIG Active Allocation Fund |
AIG Multi-Asset Allocation Fund |
What is the Fund’s investment goal? |
Growth of capital and conservation of principal |
Growth of capital |
What principal investment strategy does the Fund use to implement its investment goal? |
Fund of funds focusing in equities and fixed-income securities |
Fund of funds focusing in equities and fixed-income securities |
What are the Fund’s principal investment techniques? |
Allocation of assets among a combination of AIG funds that invest in equity and fixed-income securities. The Fund may also obtain exposure to ‘commodity strategy’ and ‘global strategy’ by allocating its assets to the AIG Commodity Strategy Fund and AIG Income Explorer Fund, respectively. |
Allocation of assets among a combination of AIG funds that invest in equity and fixed-income securities. The Fund may also obtain exposure to ‘commodity strategy’ and ‘global strategy’ by allocating its assets to the AIG Commodity Strategy Fund and AIG Income Explorer Fund, respectively. |
What are the Underlying Funds’ principal investments? |
• Equity securities • Bonds/fixed-income securities • Foreign securities • U.S. government securities • AIG Commodity Strategy Fund principal investments: • Commodity-linked derivative instruments • Exchange-traded funds • U.S. government securities |
• Equity securities • Foreign securities • Bonds/fixed-income securities • U.S. government securities • AIG Commodity Strategy Fund principal investments: • Commodity-linked derivative instruments • Exchange-traded funds • U.S. government securities |
What other types of securities may the Underlying Funds normally invest in as part of efficient portfolio management and which may produce some income? |
• Short-term investments • Defensive investments • Options and futures • Special situations • Senior floating rate loans |
• Short-term investments • Defensive investments • Options and futures • Special situations • Senior floating rate loans |
|
AIG Active Allocation Fund |
AIG Multi-Asset Allocation Fund |
What risks may affect the Fund (directly or by investing in the Underlying Funds)? |
PRINCIPAL RISKS: • Management risk • Affiliated fund risk • Stock market volatility risk • Securities selection risk • Small- and mid-market capitalization companies risk • Bond market volatility risk • Interest rate fluctuations risk • Prepayment risk • U.S. government securities risk • Disciplined strategy risk • Focused strategy risk
• Active trading risk • AIG Commodity Strategy Fund principal risks • ETF risk • Preferred securities risk • Foreign securities risk NON-PRINCIPAL RISKS: • Credit quality risk • Hedging risk • Derivatives risk • Emerging markets securities risk • Illiquid investments risk • AIG Commodity Strategy Fund non-principal risks
• Loan Settlement Risk |
PRINCIPAL RISKS: • Management risk • Affiliated fund risk • Stock market volatility risk • Securities selection risk • Small- and mid-market capitalization companies risk • Bond market volatility risk • Interest rate fluctuations risk • Prepayment risk • U.S. government securities risk • Disciplined strategy risk • Focused
strategy risk • Active trading risk • AIG Commodity Strategy Fund principal risks • ETF risk • Preferred securities risk • Foreign securities risk NON-PRINCIPAL RISKS: • Credit quality risk • Emerging markets securities risk • Hedging risk • Derivatives risk • Illiquid investments risk
• AIG Commodity Strategy Fund non-principal risks • Loan Settlement Risk |
|
AIG Active Allocation Fund |
AIG Multi-Asset Allocation Fund |
AIG Commodity Strategy Fund |
0.8% |
9.9% |
AIG ESG Dividend Fund |
5.0% |
10.1% |
AIG Flexible Credit Fund |
5.9% |
3.3% |
AIG Focused Growth Fund |
10.8% |
5.0% |
AIG Focused Alpha Large-Cap Fund |
10.4% |
4.9% |
AIG Focused Dividend Strategy Fund |
4.3% |
3.0% |
AIG Income Explorer Fund |
3.7% |
9.5% |
AIG International Dividend Strategy Fund |
6.4% |
6.9% |
AIG Japan Fund |
2.3% |
3.0% |
AIG Select Dividend Growth Fund |
7.5% |
7.0% |
AIG Senior Floating Rate Fund |
3.3% |
2.0% |
AIG Small-Cap Quality Fund |
3.4% |
10.9% |
AIG Strategic Bond Fund |
5.8% |
4.6% |
AIG Strategic Value Fund |
9.5% |
10.1% |
AIG U.S. Government Securities Fund |
20.9% |
9.8% |
Total |
100.0% |
100.0% |
Fund |
Investment Goal |
Principal Investment Strategy |
Principal Investment Techniques |
AIG Commodity Strategy Fund |
Long-term Total Return |
Commodity Strategy |
Approximately two-thirds (2/3) of the Fund’s assets will be managed pursuant to an active strategy designed to outperform the Bloomberg Commodity Index and approximately one-third (1/3) of the Fund’s assets will be managed pursuant to an index strategy designed to track, before fees and expenses, the performance of the Bloomberg Commodity Index. The Fund seeks to achieve its investment goal by investing its assets in a combination of commodity-linked derivative instruments
and fixed-income securities. |
AIG ESG Dividend Fund |
Total Return (including Capital Appreciation and Current Income) |
Value and ESG Investing |
Employs a “buy and hold” strategy with up to forty dividend yielding equity securities selected annually from the Russell 1000® Index that meet the Fund’s ESG standards. At least 80% of the Fund’s net assets, plus any borrowings for investment purposes, will be invested in dividend yielding equity securities of companies that meet the Fund’s ESG standards. |
Fund |
Investment Goal |
Principal Investment Strategy |
Principal Investment Techniques |
AIG Flexible Credit Fund |
High level of Total Return |
Fixed-income investing and investing in secured floating rate loans |
Active trading in credit instruments. The Fund considers a credit instrument to be any debt instrument or instrument with debt-like characteristics, including but not limited to, corporate and sovereign bonds, secured floating rate loans and other institutionally traded secured floating rate debt obligations, and securitized instruments, which are securities backed by pools of assets such as mortgages, loans, or other receivables. |
AIG Focused Growth Fund |
Growth of Capital |
Growth and Focus |
Active trading of equity securities of large-, small- and mid-cap companies that offer the potential for growth of capital. |
AIG Focused Alpha Large-Cap Fund |
Growth of Capital |
Growth, Value and Focus |
Active trading of equity securities to achieve a blend of growth companies, value companies and companies that have elements of growth and value, issued by large cap companies that offer the potential for growth of capital. Under normal market conditions, at least 80% of the Fund’s net assets, plus any borrowings for investment purposes, will be invested in large-cap companies. |
AIG Focused Dividend Strategy Fund |
Total Return (including Capital Appreciation and Current Income) |
Value |
Employs a “buy and hold” strategy with up to thirty high dividend yielding equity securities selected annually from the Dow Jones Industrial Average and broader market. At least 80% of the Fund’s net assets, plus any borrowings for investment purposes, will be invested in dividend yielding equity securities. |
AIG Income Explorer Fund |
High Current Income with Capital Appreciation as a Secondary Objective |
Global Multi-Asset |
Strategically allocating its assets among a preferred securities enhanced index strategy, real estate investment trust strategy and global dividend equity strategy. Through this combination of investments, the Fund expects to gain exposure to a broad range of income-producing investments, including both fixed-income and equity securities. |
AIG International Dividend Strategy Fund |
Total Return (including Capital Appreciation and Current Income) |
Value and international investing |
Employs a “buy and hold” strategy with approximately 50 to 100 high dividend yielding equity securities selected annually from the Morgan Stanley Capital International All Country World ex-U.S. Index. At least 80% of the Fund’s net assets, plus any borrowings for investment purposes, will be invested in dividend yielding equity securities. |
Fund |
Investment Goal |
Principal Investment Strategy |
Principal Investment Techniques |
AIG Japan Fund |
Long-Term Capital Appreciation |
Country-specific investing |
Active trading of securities of Japanese issuers and other investments that are tied economically to Japan (“Japanese companies”). Under normal circumstances, at least 80% of the Fund’s net assets, plus any borrowings for investment purposes, will be invested in Japanese companies. The Fund will invest primarily in common stocks and may invest in companies of any size. The Fund may also invest in other equity securities. |
AIG Select Dividend Growth Fund |
Capital Appreciation, and secondarily, current income |
Value and Growth |
Employs a “buy and hold” strategy with up to forty dividend paying equity securities selected annually from the Russell 1000® Index. |
AIG Senior Floating Rate Fund |
High level of Current Income as is consistent with the Preservation of Capital |
Investing in senior secured floating rate loans |
Investing, under normal market conditions, at least 80% of the Fund’s net assets, plus any borrowings for investment purposes, in senior secured floating rate loans and other institutionally traded secured floating rate debt obligations. The Fund may also purchase investment grade and high yield fixed-income securities and money market instruments. |
AIG Small-Cap Quality Fund |
Long-Term Growth of Capital |
Disciplined Strategy/ Factor-Based Investing |
Employs a “buy and hold” strategy with approximately 75-100 small-cap equity securities selected from the Small Cap Index semi-annually on the basis of certain quality-related factors or measures. Under normal market conditions, at least 80% of the Fund’s net assets, plus any borrowings for investment purposes, will be invested in equity securities of small-cap companies. |
AIG Strategic Bond Fund |
High level of Total Return |
Fixed-income investing |
Active trading of a broad range of bonds, including both investment grade and non- investment grade U.S. and foreign corporate bonds (which may include “junk bonds”), U.S. government and agency obligations and mortgage- backed securities, without regard to the maturities of such securities. Although the Fund may invest in securities of any maturity, the Fund generally expects to maintain a duration of seven years or less, and may use futures contracts,
including U.S. Treasury and interest rate futures, to assist in managing the Fund’s duration. Under normal market conditions, at least 80% of the Fund’s net assets, plus any borrowings for investment purposes, will be invested in bonds. |
Fund |
Investment Goal |
Principal Investment Strategy |
Principal Investment Techniques |
AIG Strategic Value Fund |
Long-term Growth of Capital |
Value |
Employs a “buy and hold” strategy with securities selected annually from the Russell 3000® Value Index. The portfolio managers select securities through extensive quantitative research, which includes the use of a multi-factor model that the portfolio managers employ to identify and rank companies within the Russell 3000® Value Index. |
AIG U.S. Government Securities Fund |
High Current Income consistent with relative safety of capital |
Fixed-income investing |
Active trading of U.S. government securities without regard to the maturities of such securities. Under normal market conditions, at least 80% of the Fund’s net assets, plus any borrowings for investment purposes, will be invested in such securities. |
Fund |
Rate of Investment Advisory Fee |
AIG Active Allocation Fund |
0.10% |
AIG Multi-Asset Allocation Fund |
0.10% |
|
Class A |
Class B |
Class C |
AIG Active Allocation Fund |
0.01% |
0.16% |
0.10% |
AIG Multi-Asset Allocation Fund |
-% |
0.09% |
0.04% |
Period Ended |
Net Asset Value begin- ning of period |
Net invest- ment income (loss)(1) |
Net gain (loss) on invest- ments (both realized and un- realized) |
Total from invest- ment opera- tions |
Divi- dends from net invest- ment income |
Distri- butions from net real- ized gains |
Total distri- butions |
Net Asset Value end of period |
Total Return(2) |
Net Assets end of period (000’s) |
Ratio of expenses to average net assets(3) |
Ratio of net investment income (loss) to average net assets(3) |
Port- folio Turn- over |
Class A | |||||||||||||
10/31/16 |
$ 16.00 |
$ 0.18 |
$ 0.18 |
$ 0.36 |
$ (0.25) |
$ — |
$ (0.25) |
$ 16.11 |
$ 2.33 |
$ 154,476 |
0.20% |
1.14% |
18% |
10/31/17 |
16.11 |
0.22 |
2.14 |
2.36 |
(0.21) |
— |
(0.21) |
18.26 |
14.75 |
169,484 |
0.20 |
1.26 |
12 |
10/31/18 |
18.26 |
0.25 |
(0.30) |
(0.05 |
(0.42) |
— |
(0.42) |
17.79 |
(0.30) |
203,084 |
0.24 |
1.35 |
7 |
10/31/19 |
17.79 |
0.29 |
0.45 |
0.74 |
(0.45) |
— |
(0.45) |
18.08 |
4.34 |
193,502 |
0.22 |
1.67 |
5 |
10/31/20 |
18.08 |
0.27 |
(0.60) |
(0.33) |
(0.35) |
(1.04) |
(1.39) |
16.36 |
(2.32) |
173,090 |
0.21 |
1.63 |
10 |
Class B | |||||||||||||
10/31/16 |
$ 15.88 |
$ 0.07 |
$ 0.19 |
$ 0.26 |
$ (0.13) |
$ — |
$ (0.13) |
$ 16.01 |
$ 1.65 |
$ 21,705 |
0.88% |
0.45% |
18% |
10/31/17 |
16.01 |
0.10 |
2.13 |
2.23 |
(0.09) |
— |
(0.09) |
18.15 |
13.95 |
19,438 |
(4)0.90 |
(4)0.56 |
12 |
10/31/18 |
18.15 |
0.13 |
(0.30) |
(0.17) |
(0.29) |
— |
(0.29) |
17.69 |
(0.99) |
15,408 |
(4)0.90 |
(4)0.71 |
7 |
10/31/19 |
17.69 |
0.18 |
0.44 |
0.62 |
(0.33) |
— |
(0.33) |
17.98 |
3.61 |
12,599 |
(4)0.90 |
(4)1.01 |
5 |
10/31/20 |
17.98 |
0.16 |
(0.63) |
(0.47) |
(0.22) |
(1.04) |
(1.26) |
16.25 |
(3.08) |
9,644 |
(4)0.90 |
(4)0.96 |
10 |
Class C | |||||||||||||
10/31/16 |
$ 15.88 |
$ 0.08 |
$ 0.18 |
$ 0.26 |
$ (0.14) |
$ — |
$ (0.14) |
$ 16.00 |
$ 1.67 |
$ 92,667 |
0.84% |
0.50% |
18% |
10/31/17 |
16.00 |
0.11 |
2.13 |
2.24 |
(0.10) |
— |
(0.10) |
18.14 |
14.05 |
83,432 |
0.84 |
0.62 |
12 |
10/31/18 |
18.14 |
0.15 |
(0.32) |
(0.17) |
(0.30) |
— |
(0.30) |
17.67 |
(0.99) |
20,872 |
0.89 |
0.78 |
7 |
10/31/19 |
17.67 |
0.18 |
0.45 |
0.63 |
(0.33) |
— |
(0.33) |
17.97 |
3.66 |
15,916 |
(4)0.90 |
(4)0.99 |
5 |
10/31/20 |
17.97 |
0.16 |
(0.60) |
(0.44) |
(0.22) |
(1.04) |
(1.26) |
16.27 |
(2.90) |
8,811 |
(4)0.90 |
(4)0.96 |
10 |
|
10/31/16 |
10/31/17 |
10/31/18 |
10/31/19 |
10/31/20 |
AIG Multi-Asset Allocation Class B |
—% |
0.01% |
0.07% |
0.09% |
0.09% |
AIG Multi-Asset Allocation Class C |
— |
— |
— |
0.04 |
0.04 |
Period Ended |
Net Asset Value begin- ning of period |
Net invest- ment income (loss)(1) |
Net gain (loss) on invest- ments (both realized and un- realized) |
Total from invest- ment opera- tions |
Divi- dends from net invest- ment income |
Distri- butions from net real- ized gains |
Total distri- butions |
Net Asset Value end of period |
Total Return(2) |
Net Assets end of period (000’s) |
Ratio of expenses to average net assets(3) |
Ratio of net investment income (loss) to average net assets(3) |
Port- folio Turn- over |
Class A | |||||||||||||
10/31/16 |
$ 15.43 |
$ 0.23 |
$ 0.16 |
$ 0.39 |
$ (0.31) |
$ — |
$ (0.31) |
$ 15.51 |
$ 2.59 |
$ 79,796 |
0.22% |
1.53% |
29% |
10/31/17 |
15.51 |
0.25 |
2.03 |
2.28 |
(0.24) |
— |
(0.24) |
17.55 |
14.81 |
91,194 |
0.23 |
1.51 |
12 |
10/31/18 |
17.55 |
0.26 |
(0.23) |
0.03 |
(0.45) |
— |
(0.45) |
17.13 |
0.10 |
106,578 |
(4)0.25 |
(4)1.49 |
17 |
10/31/19 |
17.13 |
0.28 |
0.51 |
0.79 |
(0.44) |
(0.78) |
(1.22) |
16.70 |
5.06 |
102,720 |
(4)0.25 |
(4)1.69 |
14 |
10/31/20 |
16.70 |
0.24 |
0.15 |
0.39 |
(0.28) |
(1.18) |
(1.46) |
15.63 |
2.28 |
98,205 |
(4)0.25 |
(4)1.56 |
18 |
Class B | |||||||||||||
10/31/16 |
$ 15.29 |
$ 0.13 |
0.17 |
0.30 |
(0.21) |
$ — |
$ (0.21) |
$ 15.38 |
$ 1.98 |
$ 14,091 |
(4)0.90% |
(4)0.85% |
29% |
10/31/17 |
15.38 |
0.14 |
2.01 |
2.15 |
(0.13) |
— |
(0.13) |
17.40 |
14.02 |
13,031 |
(4)0.90 |
(4)0.84 |
12 |
10/31/18 |
17.40 |
0.15 |
(0.24) |
(0.09 |
(0.34) |
— |
(0.34) |
16.97 |
(0.56) |
10,651 |
(4)0.90 |
(4)0.85 |
17 |
10/31/19 |
16.97 |
0.18 |
0.49 |
0.67 |
(0.33) |
(0.78) |
(1.11) |
16.53 |
4.35 |
8,172 |
(4)0.90 |
(4)1.06 |
14 |
10/31/20 |
16.53 |
0.15 |
0.14 |
0.29 |
(0.17) |
(1.18) |
(1.35) |
15.47 |
1.66 |
6,242 |
(4)0.90 |
(4)0.93 |
18 |
Class C | |||||||||||||
10/31/16 |
$ 15.35 |
$ 0.14 |
0.16 |
0.30 |
$ (0.21) |
$ — |
$ (0.21) |
$ 15.44 |
$ 2.01 |
$ 52,428 |
0.86% |
0.90% |
29% |
10/31/17 |
15.44 |
0.14 |
2.02 |
2.16 |
(0.13) |
— |
(0.13) |
17.47 |
14.06 |
47,569 |
0.88 |
0.86 |
12 |
10/31/18 |
17.47 |
0.16 |
(0.26) |
(0.10) |
(0.34) |
— |
(0.34) |
17.03 |
(0.61) |
17,192 |
(4)0.90 |
(4)0.86 |
17 |
10/31/19 |
17.03 |
0.17 |
0.51 |
0.68 |
(0.33) |
(0.78) |
(1.11) |
16.60 |
4.39 |
13,483 |
(4)0.90 |
(4)1.06 |
14 |
10/31/20 |
16.60 |
0.15 |
0.14 |
0.29 |
(0.17) |
(1.18) |
(1.35) |
15.54 |
1.64 |
8,288 |
(4)0.90 |
(4)0.94 |
18 |
|
10/31/16 |
10/31/17 |
10/31/18 |
10/31/19 |
10/31/20 |
AIG Active Allocation Class A |
—% |
—% |
0.01% |
0.01% |
0.01% |
AIG Active Allocation Class B |
0.08 |
0.05 |
0.12 |
0.15 |
0.16 |
AIG Active Allocation Class C |
— |
— |
0.03 |
0.09 |
0.10 |
1 |
Go to www.aig.com/funds |
2 |
Click on the link to “Go Paperless!” |
Class |
AIG Focused Dividend Strategy Fund: Ticker Symbols |
AIG Strategic Value Fund |
A Shares |
FDSAX |
SFVAX |
B Shares |
FDSBX |
— |
C Shares |
FDSTX |
SFVTX |
W Shares |
FDSWX |
SFVWX |
|
Class A |
Class B |
Class C |
Class W |
Maximum Sales Charge (Load) Imposed on Purchases (as a percentage of offering price) |
i 5.75% |
i None |
i None |
None |
Maximum Deferred Sales Charge (Load) (as a percentage of the lesser of the amount redeemed or original purchase cost)(1) |
i None |
i 4.00% |
i 1.00% |
None |
Maximum Sales Charge (Load) Imposed on Reinvested Dividends |
i None |
i None |
i None |
None |
Maximum Account Fee |
i None |
i None |
i None |
None |
|
Class A |
Class B |
Class C |
Class W |
Management Fees |
i 0.47% |
i 0.47% |
i 0.47% |
0.47% |
Distribution and/or Service (12b-1) Fees |
i 0.35% |
i 1.00% |
i 1.00% |
— |
Other Expenses |
i 0.27% |
i 0.28% |
i 0.27% |
0.41% |
Total Annual Fund Operating Expenses |
i 1.09% |
i 1.75% |
i 1.74% |
0.88% |
|
1 Year |
3 Years |
5 Years |
10 Years |
AIG Focused Dividend Strategy Fund |
|
|
|
|
Class A |
$ i 680 |
$ i 902 |
$ i 1,141 |
$ i 1,827 |
Class B |
i 578 |
i 851 |
i 1,149 |
i 1,888 |
Class C |
i 277 |
i 548 |
i 944 |
i 1,880 |
Class W |
90 |
281 |
488 |
1,084 |
|
1 Year |
3 Years |
5 Years |
10 Years |
AIG Focused Dividend Strategy Fund |
|
|
|
|
Class A |
$ i 680 |
$ i 902 |
$ i 1,141 |
$ i 1,827 |
Class B |
i 178 |
i 551 |
i 949 |
i 1,888 |
Class C |
i 177 |
i 548 |
i 944 |
i 1,880 |
Class W |
90 |
281 |
488 |
1,084 |
i Highest Quarterly Return: |
i 14.99% | |
i Lowest Quarterly Return: |
- i 27.03% |
|
Past One Year |
Past Five Years |
Past Ten Years |
Since Inception |
Inception Date |
Class A |
- i 11.46% |
i 5.49% |
i 9.58% |
N/A |
|
Return After Taxes on Distributions (Class A) |
- i 12.24% |
i 3.90% |
i 7.98% |
N/A |
|
Return After Taxes on Distributions and Sale of Fund Shares (Class A)(1) |
- i 6.36% |
i 4.13% |
i 7.58% |
N/A |
|
Class B |
- i 10.33% |
i 5.72% |
i 9.65% |
N/A |
|
Class C |
- i 7.58% |
i 6.06% |
i 9.52% |
N/A |
|
Class W |
- i 5.87% |
i 6.96% |
N/A |
7.63% |
5/15/2013 |
S&P 500® Index |
i 18.40% |
i 15.22% |
i 13.88% |
13.65% |
|
Name |
Portfolio Manager of the Fund Since |
Title |
Timothy Pettee |
2013 |
Lead Portfolio Manager, Senior Vice President, Chief Investment Officer and Chief Investment Strategist at SunAmerica |
Timothy Campion |
2013 |
Co-Portfolio Manager, Senior Vice President at SunAmerica |
Andrew Sheridan |
2013 |
Co-Portfolio Manager, Senior Vice President at SunAmerica |
Jane Bayar Algieri |
2019 |
Co-Portfolio Manager, Vice President at SunAmerica |
|
Class A |
Class C |
Class W |
Maximum Sales Charge (Load) Imposed on Purchases (as a percentage of offering price) |
i 5.75% |
i None |
i None |
Maximum Deferred Sales Charge (Load) (as a percentage of the lesser of the amount redeemed or original purchase cost)(1) |
i None |
i 1.00% |
i None |
Maximum Sales Charge (Load) Imposed on Reinvested Dividends |
i None |
i None |
i None |
Maximum Account Fee |
i None |
i None |
i None |
|
Class A |
Class C |
Class W |
Management Fees |
i 0.75% |
i 0.75% |
i 0.75% |
Distribution and/or Service (12b-1) Fees |
i 0.35% |
i 1.00% |
— |
Other Expenses |
i 0.40% |
i 0.57% |
i 0.78% |
Total Annual Fund Operating Expenses Before Fee Waivers and/or Expense Reimbursements |
i 1.50% |
i 2.32% |
i 1.53% |
Fee Waivers and/or Expense Reimbursements(2),(3) |
— |
— |
0.01% |
Total Annual Fund Operating Expenses After Fee Waivers and/or Expense Reimbursements(2),(3) |
i 1.50% |
i 2.32% |
i 1.52% |
|
1 Year |
3 Years |
5 Years |
10 Years |
AIG Strategic Value Fund |
|
|
|
|
Class A |
$ i 719 |
$ i 1,022 |
$ i 1,346 |
$ i 2,263 |
Class C |
i 335 |
i 724 |
i 1,240 |
i 2,451 |
Class W |
i 155 |
i 480 |
i 829 |
i 1,813 |
|
1 Year |
3 Years |
5 Years |
10 Years |
AIG Strategic Value Fund |
|
|
|
|
Class A |
$ i 719 |
$ i 1,022 |
$ i 1,346 |
$ i 2,263 |
Class C |
i 235 |
i 724 |
i 1,240 |
i 2,451 |
Class W |
i 155 |
i 480 |
i 829 |
i 1,813 |
i Highest Quarterly Return: |
i 15.99% | |
i Lowest Quarterly Return: |
- i 27.20% |
|
Past One Year |
Past Five Years |
Past Ten Years |
Since Inception |
Inception Date |
Class A |
- i 6.11% |
i 5.23% |
i 7.46% |
N/A |
|
Return After Taxes on Distributions (Class A) |
- i 6.40% |
i 4.20% |
i 6.81% |
N/A |
|
Return After Taxes on Distributions and Sale of Fund Shares (Class A)(1) |
- i 3.41% |
i 3.90% |
i 5.94% |
N/A |
|
Class C |
- i 2.07% |
i 5.72% |
i 7.35% |
N/A |
|
Class W |
- i 0.45% |
N/A |
N/A |
i 4.87% |
i 4/20/2017 |
Russell 3000® Value Index |
i 2.87% |
i 9.74% |
i 10.36% |
i 7.87% |
|
Name |
Portfolio Manager of the Fund Since |
Title |
Timothy Pettee |
2013 |
Lead Portfolio Manager, Senior Vice President, Chief Investment Officer and Chief Investment Strategist at SunAmerica |
Timothy Campion |
2013 |
Co-Portfolio Manager, Senior Vice President at SunAmerica |
Andrew Sheridan |
2013 |
Co-Portfolio Manager, Senior Vice President at SunAmerica |
Jane Bayar Algieri |
2019 |
Co-Portfolio Manager, Vice President at SunAmerica |
|
CLASS A, CLASS B AND CLASS C SHARES |
CLASS W SHARES |
Minimum Initial Investment |
• non-retirement account: $500 • retirement account: $250 • dollar cost averaging: $500 to open; you must invest at least $25 a month. |
$50,000 |
Minimum Subsequent Investment |
• non-retirement account: $100 • retirement account: $25 |
N/A |
Class A. Sales charges are as follows: |
Sales Charges |
Concession to Dealers | |
Your Investment |
% of Offering Price |
% of Net Amount Invested |
% of Offering Price |
Less than $50,000 |
5.75% |
6.10% |
5.00% |
$50,000 but less than $100,000 |
4.75% |
4.99% |
4.00% |
$100,000 but less than $250,000 |
3.75% |
3.90% |
3.00% |
$250,000 but less than $500,000 |
3.00% |
3.09% |
2.50% |
$500,000 but less than $1,000,000 |
2.00% |
2.04% |
1.75% |
$1,000,000 or more* |
None |
None |
1.00% |
Years after purchase |
CDSC on shares being sold |
1st year or 2nd year |
4.00% |
3rd or 4th year |
3.00% |
5th year |
2.00% |
6th year |
1.00% |
7th year and thereafter |
None |
Class |
Distribution Fee |
Account Maintenance Fee |
A |
0.10% |
Up to 0.25% |
B |
0.75% |
Up to 0.25% |
C |
0.75% |
Up to 0.25% |
FUND INVESTMENT STRATEGIES |
Each Fund has its own investment goal and a strategy for pursuing it. The chart summarizes information about each Fund’s investment approach. Following this chart is a Glossary that further describes the investment and risk terminology that we use. Please review the Glossary in conjunction with this chart. |
The investment goals of each Fund may be changed without shareholder approval. |
|
AIG Focused Dividend Strategy Fund |
AIG Strategic Value Fund |
What is the Fund’s investment goal? |
Total Return (including Capital Appreciation and Current Income) |
Long-term Growth of Capital |
What principal investment strategies does the Fund use to implement its investment goal? |
Value |
Value |
What are the Fund’s principal investment techniques? |
Employs a “buy and hold” strategy with up to thirty high dividend yielding equity securities selected annually from the Dow Jones Industrial Average and the broader market. At least 80% of the Fund’s net assets, plus any borrowings for investment purposes, will be invested in dividend yielding equity securities. |
Employs a “buy and hold” strategy with equity securities selected annually from the Russell 3000® Value Index. |
What are the Fund’s other significant (non-principal) investments? |
• None |
• Small-cap companies • Mid-cap companies |
What other types of securities may the Fund normally invest in as part of efficient portfolio management and which may produce some income? |
• Short-term investments • Futures • Exchange-traded funds |
• Short-term investments |
What risks may affect the Fund? |
Principal Risks: • Stock market volatility risk • Securities selection risk • Disciplined strategy risk • Focused strategy risk Non-principal Risks: • Affiliated fund rebalancing risk • Futures contracts risk • Exchange-traded funds risk |
Principal Risks: • Stock market volatility risk • Securities selection risk • Disciplined strategy risk • Small- and mid-market capitalization companies risk Non-principal Risk: • Affiliated fund rebalancing risk |
Fund |
Rate of Investment Advisory Fee |
AIG Focused Dividend Strategy Fund |
0.47% |
AIG Strategic Value Fund |
0.75% |
Period Ended |
Net Asset Value begin- ning of period |
Net invest- ment income (loss)(1) |
Net gain (loss) on invest- ments (both realized and un- realized) |
Total from invest- ment opera- tions |
Divi- dends from net invest- ment income |
Distri- butions from net real- ized gains |
Total distri- butions |
Net Asset Value end of period |
Total Return(2) |
Net Assets end of period (000’s) |
Ratio of expenses to average net assets |
Ratio of net investment income (loss) to average net assets |
Port- folio Turn- over |
Class A | |||||||||||||
10/31/16 |
$ 17.61 |
$ 0.51 |
$ 0.12 |
$ 0.63 |
$ (0.42) |
$ (1.16) |
$ (1.58) |
$ 16.66 |
$ 4.38 |
$ 4,849,219 |
1.05% |
3.16% |
60% |
10/31/17 |
16.66 |
0.45 |
2.28 |
2.73 |
(0.54) |
(0.04) |
(0.58) |
18.81 |
16.57 |
4,598,192 |
1.04 |
2.52 |
45 |
10/31/18 |
18.81 |
0.47 |
0.15 |
0.62 |
(0.44) |
(1.44) |
(1.88) |
17.55 |
3.03 |
3,570,189 |
1.04 |
2.57 |
38 |
10/31/19 |
17.55 |
0.50 |
0.39 |
0.89 |
(0.49) |
(0.78) |
(1.27) |
17.17 |
5.42 |
2,381,987 |
1.05 |
2.90 |
37 |
10/31/20 |
17.17 |
0.55 |
(2.42) |
(1.87) |
(0.60) |
(0.58) |
(1.18) |
14.12 |
(11.33) |
1,666,379 |
1.09 |
3.60 |
68 |
Class B | |||||||||||||
10/31/16 |
$ 17.49 |
$ 0.41 |
$ 0.13 |
$ 0.54 |
$ (0.32) |
$ (1.16) |
$ (1.48) |
$ 16.55 |
$ 3.79 |
$ 381,223 |
1.70% |
2.53% |
60% |
10/31/17 |
16.55 |
0.33 |
2.25 |
2.58 |
(0.43) |
(0.04) |
(0.47) |
18.66 |
15.73 |
424,998 |
1.69 |
1.85 |
45 |
10/31/18 |
18.66 |
0.35 |
0.15 |
0.50 |
(0.32) |
(1.44) |
(1.76) |
17.40 |
2.37 |
378,559 |
1.69 |
1.92 |
38 |
10/31/19 |
17.40 |
0.38 |
0.39 |
0.77 |
(0.38) |
(0.78) |
(1.16) |
17.01 |
4.72 |
303,543 |
1.70 |
2.26 |
37 |
10/31/20 |
17.01 |
0.46 |
(2.40) |
(1.94) |
(0.50) |
(0.58) |
(1.08) |
13.99 |
(11.93) |
175,031 |
1.75 |
2.97 |
68 |
Class C | |||||||||||||
10/31/16 |
$ 17.48 |
$ 0.40 |
$ 0.13 |
$ 0.53 |
$ (0.32) |
$ (1.16) |
$ (1.48) |
$ 16.53 |
$ 3.75 |
$ 3,628,575 |
1.70% |
2.51% |
60% |
10/31/17 |
16.53 |
0.33 |
2.26 |
2.59 |
(0.43) |
(0.04) |
(0.47) |
18.65 |
15.80 |
3,682,928 |
1.69 |
1.87 |
45 |
10/31/18 |
18.65 |
0.35 |
0.14 |
0.49 |
(0.32) |
(1.44) |
(1.76) |
17.38 |
2.31 |
3,142,587 |
1.69 |
1.92 |
38 |
10/31/19 |
17.38 |
0.38 |
0.39 |
0.77 |
(0.37) |
(0.78) |
(1.15) |
17.00 |
4.78 |
2,421,728 |
1.70 |
2.27 |
37 |
10/3/20 |
17.00 |
0.47 |
(2.40) |
(1.93) |
(0.50) |
(0.58) |
(1.08) |
13.99 |
(11.89) |
1,117,141 |
1.74 |
2.99 |
68 |
Class W | |||||||||||||
10/31/16 |
$ 17.60 |
$ 0.53 |
$ 0.14 |
$ 0.67 |
$ (0.46) |
$ (1.16) |
$ (1.62) |
$ 16.65 |
$ 4.60 |
$ 3,523,472 |
0.85% |
3.30% |
60% |
10/31/17 |
16.65 |
0.47 |
2.29 |
2.76 |
(0.58) |
(0.04) |
(0.62) |
18.79 |
16.80 |
5,499,586 |
0.84 |
2.67 |
45 |
10/31/18 |
18.79 |
0.51 |
0.15 |
0.66 |
(0.49) |
(1.44) |
(1.93) |
17.52 |
3.21 |
5,289,972 |
0.84 |
2.77 |
38 |
10/31/19 |
17.52 |
0.53 |
0.39 |
0.92 |
(0.52) |
(0.78) |
(1.30) |
17.14 |
5.66 |
4,094,116 |
0.85 |
3.13 |
37 |
10/31/20 |
17.14 |
0.61 |
(2.44) |
(1.83) |
(0.63) |
(0.58) |
(1.21) |
14.10 |
(11.11) |
1,691,794 |
0.88 |
3.83 |
68 |
Period Ended |
Net Asset Value begin- ning of period |
Net invest- ment income (loss)(1) |
Net gain (loss) on invest- ments (both realized and un- realized) |
Total from invest- ment opera- tions |
Divi- dends from net invest- ment income |
Distri- butions from net real- ized gains |
Total distri- butions |
Net Asset Value end of period |
Total Return(2) |
Net Assets end of period (000’s) |
Ratio of expenses to average net assets |
Ratio of net investment income (loss) to average net assets |
Port- folio Turn- over |
Class A | |||||||||||||
10/31/16 |
$ 25.74 |
$ 0.37 |
$ 0.10 |
$ 0.47 |
$ (0.36) |
$ — |
$ (0.36) |
$ 25.85 |
$ 1.88 |
$ 175,724 |
1.42% |
1.47% |
56% |
10/31/17 |
25.85 |
0.26 |
4.63 |
4.89 |
(0.36) |
— |
(0.36) |
30.38 |
19.04 |
186,261 |
1.42 |
0.90 |
52 |
10/31/18 |
30.38 |
0.34 |
(0.08) |
0.26 |
(0.25) |
— |
(0.25) |
30.39 |
0.82 |
197,855 |
1.45 |
1.08 |
46 |
10/31/19 |
30.39 |
0.40 |
0.63 |
1.03 |
(0.37) |
(2.96) |
(3.33) |
28.09 |
4.08 |
184,235 |
1.45 |
1.44 |
54 |
10/31/20 |
28.09 |
0.37 |
(3.25) |
(2.88) |
(0.43) |
(0.59) |
(1.02) |
24.19 |
(10.76) |
144,370 |
1.50 |
1.46 |
47 |
Class C | |||||||||||||
10/31/16 |
$ 23.81 |
$ 0.19 |
$ 0.10 |
$ 0.29 |
$ (0.21) |
$ — |
$ (0.21) |
$ 23.89 |
$ 1.24 |
$ 52,036 |
2.08% |
0.80% |
56% |
10/31/17 |
23.89 |
0.07 |
4.28 |
4.35 |
(0.20) |
— |
(0.20) |
28.04 |
18.26 |
50,353 |
2.08 |
0.25 |
52 |
10/31/18 |
28.04 |
0.13 |
(0.11) |
0.02 |
(0.07) |
— |
(0.07) |
27.99 |
0.07 |
11,145 |
2.15 |
0.40 |
46 |
10/31/19 |
27.99 |
0.17 |
0.57 |
0.74 |
(0.17) |
(2.96) |
(3.13) |
25.60 |
3.26 |
10,035 |
2.20 |
0.69 |
54 |
10/31/20 |
25.60 |
0.16 |
(2.94) |
(2.78) |
(0.26) |
(0.59) |
(0.85) |
21.97 |
(11.35) |
4,275 |
2.32 |
0.65 |
47 |
Class W | |||||||||||||
04/20/17@-10/ 31/17 |
$ 28.02 |
$ 0.09 |
$ 2.26 |
$ 2.35 |
$ — |
$ — |
$ — |
$ 30.37 |
$ 8.39 |
$ 2,559 |
(3)(4)1.52% |
(3)(4)0.58% |
52% |
10/31/18 |
30.37 |
0.31 |
(0.07) |
0.24 |
(0.23) |
— |
(0.23) |
30.38 |
0.76 |
3,881 |
(4)1.52 |
(4)1.00 |
46 |
10/31/19 |
30.38 |
0.36 |
0.65 |
1.01 |
(0.36) |
(2.96) |
(3.32) |
28.07 |
3.99 |
5,725 |
(4)1.52 |
(4)1.34 |
54 |
10/31/20 |
28.07 |
0.37 |
(3.26) |
(2.89) |
(0.42) |
(0.59) |
(1.01) |
24.17 |
(10.79) |
3,973 |
(4)1.52 |
(4)1.44 |
47 |
|
|
10/31/17 |
10/31/18 |
10/31/19 |
10/31/20 |
AIG Strategic Value Class W |
|
(3)3.25% |
(0.14)% |
0.08% |
0.01% |
1 |
Go to www.aig.com/funds |
2 |
Click on the link to “Go Paperless!” |
Class |
Ticker Symbols |
A Shares |
FDDAX* |
C Shares |
FDDCX* |
W Shares |
FDDWX* |
|
Class A |
Class C |
Class W |
Maximum Sales Charge (Load) Imposed on Purchases (as a percentage of offering price) |
i 5.75% |
i None |
i None |
Maximum Deferred Sales Charge (Load) (as a percentage of the lesser of the amount redeemed or original purchase cost)(1) |
i None |
i 1.00% |
i None |
Maximum Sales Charge (Load) Imposed on Reinvested Dividends |
i None |
i None |
i None |
Maximum Account Fee |
i None |
i None |
i None |
|
Class A |
Class C |
Class W |
Management Fees |
i 0.60% |
i 0.60% |
i 0.60% |
Distribution and/or Service (12b-1) Fees |
i 0.35% |
i 1.00% |
— |
Other Expenses |
i 15.18% |
(2) i 15.18% |
(2) i 15.33% |
Total Annual Fund Operating Expenses Before Fee Waivers and/or Expense Reimbursements |
i 16.13% |
i 16.78% |
i 15.93% |
Fee Waivers and/or Expense Reimbursements(3),(4) |
14.88% |
14.88% |
14.88% |
Total Annual Fund Operating Expenses After Fee Waivers and/or Expense Reimbursements(3),(4) |
i 1.25% |
i 1.90% |
i 1.05% |
|
1 Year |
3 Years |
5 Years |
10 Years |
AIG Focused Dividend Strategy II Fund |
|
|
|
|
Class A |
$ i 695 |
$ i 949 |
$ i 1,222 |
$ i 1,999 |
Class C |
i 293 |
i 597 |
i 1,026 |
i 2,053 |
Class W |
i 107 |
i 334 |
i 579 |
i 1,283 |
|
1 Year |
3 Years |
5 Years |
10 Years |
AIG Focused Dividend Strategy II Fund |
|
|
|
|
Class A |
$ i 695 |
$ i 949 |
$ i 1,222 |
$ i 1,999 |
Class C |
i 193 |
i 597 |
i 1,026 |
i 2,053 |
Class W |
i 107 |
i 334 |
i 579 |
i 1,283 |
i Highest Quarterly Return: |
i 14.88% | |
i Lowest Quarterly Return: |
- i 28.77% |
|
Past One Year |
Past Five Years |
Past Ten Years |
Since Inception |
Inception Date |
Class A |
- i 8.40% |
i 3.23% |
N/A |
i 2.43% |
i 7/2/2015 |
Return After Taxes on Distributions (Class A) |
- i 9.02% |
i 1.74% |
N/A |
i 1.02% |
|
Return After Taxes on Distributions and Sale of Fund Shares (Class A)(1) |
- i 4.66% |
i 2.22% |
N/A |
i 1.61% |
|
S&P 500® Index |
i 18.40% |
i 15.22% |
N/A |
i 13.62% |
|
Name |
Portfolio Manager of the Fund Since |
Title |
Timothy Pettee |
2015 |
Lead Portfolio Manager, Senior Vice President, Chief Investment Officer and Chief Investment Strategist at SunAmerica |
Timothy Campion |
2015 |
Co-Portfolio Manager, Senior Vice President at SunAmerica |
Andrew Sheridan |
2015 |
Co-Portfolio Manager, Senior Vice President at SunAmerica |
Jane Bayar Algieri |
2019 |
Co-Portfolio Manager, Vice President at SunAmerica |
|
CLASS A AND CLASS C SHARES |
CLASS W SHARES |
Minimum Initial Investment |
• non-retirement account: $500 • retirement account: $250 • dollar cost averaging: $500 to open; you must invest at least $25 a month. |
$50,000 |
Minimum Subsequent Investment |
• non-retirement account: $100 • retirement account: $25 |
N/A |
Class A. Sales charges are as follows: |
Sales Charges |
Concession to Dealers | |
Your Investment |
% of Offering Price |
% of Net Amount Invested |
% of Offering Price |
Less than $50,000 |
5.75% |
6.10% |
5.00% |
$50,000 but less than $100,000 |
4.75% |
4.99% |
4.00% |
$100,000 but less than $250,000 |
3.75% |
3.90% |
3.00% |
$250,000 but less than $500,000 |
3.00% |
3.09% |
2.50% |
$500,000 but less than $1,000,000 |
2.00% |
2.04% |
1.75% |
$1,000,000 or more* |
None |
None |
1.00% |
Class |
Distribution Fee |
Account Maintenance Fee |
A |
0.10% |
0.25% |
C |
0.75% |
0.25% |
FUND INVESTMENT STRATEGIES |
The Fund has its own investment goal and a strategy for pursuing it. The chart summarizes information about the Fund’s investment approach. Following this chart is a Glossary that further describes the investment and risk terminology that we use. Please review the Glossary in conjunction with this chart. |
The investment goals of the Fund may be changed without shareholder approval. |
|
AIG Focused Dividend Strategy II Fund |
What are the Fund’s investment goals? |
Total Return (including Capital Appreciation and Current Income) |
What principal investment strategies does the Fund use to implement its investment goal? |
Value |
What are the Fund’s principal investment techniques? |
Employs a “buy and hold” strategy with up to thirty high dividend yielding equity securities selected annually from the Dow Jones Industrial Average and the broader market. At least 80% of the Fund’s net assets, plus any borrowings for investment purposes, will be invested in dividend yielding equity securities. |
What are the Fund’s other significant (non-principal) investments? |
• None |
What other types of securities may the Fund normally invest in as part of efficient portfolio management and which may produce some income? |
• Short-term investments • Futures • Exchange-traded funds |
What risks may affect the Fund? |
Principal Risks: • Stock market volatility risk • Securities selection risk • Disciplined strategy risk • Focused strategy risk Non-principal Risks: • Affiliated fund rebalancing risk • Futures contracts risk • Exchange-traded funds risk |
|
Similarly Managed Fund (Class A Shares) | ||
Annualized Returns as of December 31, 2020 |
Gross Return |
Net Return |
S&P 500 Index |
1 Year |
-5.04% |
-6.05% |
18.40% |
5 Years |
7.87% |
6.74% |
15.22% |
10 Years |
11.36% |
10.23% |
13.88% |
Period Ended |
Net Asset Value, beginning of period |
Net invest- ment income(1) |
Net gain (loss) on invest- ments (both realized and un- realized) |
Total from invest- ment operations |
Dividends from net investment income |
Distributions from net realized gains |
Total Distributions |
Net Asset Value, end of period |
Total Return(2) |
Net Assets, end of period (000’s) |
Ratio of expenses to average net assets(3) |
Ratio of net investment income to average net assets(3) |
Portfolio Turn-over |
Class A | |||||||||||||
10/31/16 |
$ 11.87 |
$ 0.34 |
$ 0.17 |
$ 0.51 |
$ (0.33) |
$ (0.00) |
$ (0.33) |
$ 12.05 |
$ 4.39 |
$ 1,039 |
1.25% |
2.80% |
60% |
10/31/17 |
12.05 |
0.35 |
0.98 |
1.33 |
(0.37) |
(0.30) |
(0.67) |
12.71 |
11.07 |
1,154 |
1.25 |
2.81 |
60 |
10/31/18 |
12.71 |
0.34 |
0.59 |
0.93 |
(0.32) |
(1.11) |
(1.43) |
12.21 |
7.37 |
1,239 |
1.25 |
2.73 |
40 |
10/31/19 |
12.21 |
0.37 |
(1.09) |
(0.72) |
(0.38) |
— |
(0.38) |
11.11 |
(6.00) |
1,164 |
1.25 |
3.23 |
50 |
10/31/20 |
11.11 |
0.31 |
(1.40) |
(1.09) |
(0.31) |
(0.05) |
(0.36) |
9.66 |
(9.81) |
1,051 |
1.25 |
3.08 |
63 |
Fund |
10/31/16 |
10/31/17 |
10/31/18 |
10/31/19 |
10/31/20 |
AIG Focused Dividend Strategy II Class A |
10.65% |
10.36% |
11.27% |
10.74% |
14.88% |
1 |
Go to www.aig.com/funds |
2 |
Click on the link to “Go Paperless!” |
Class |
Ticker Symbols |
A Shares |
SDVAX |
C Shares |
SDVCX |
W Shares |
SDVWX |
|
Class A |
Class C |
Class W |
Maximum Sales Charge (Load) Imposed on Purchases (as a percentage of offering price) |
i 5.75% |
i None |
i None |
Maximum Deferred Sales Charge (Load) (as a percentage of the lesser of the amount redeemed or original purchase cost)(1) |
i None |
i 1.00% |
i None |
Maximum Sales Charge (Load) Imposed on Reinvested Dividends |
i None |
i None |
i None |
Maximum Account Fee |
i None |
i None |
i None |
|
Class A |
Class C |
Class W |
Management Fees |
i 0.75% |
i 0.75% |
i 0.75% |
Distribution and/or Service (12b-1) Fees |
i 0.35% |
i 1.00% |
— |
Other Expenses |
i 0.73% |
i 0.99% |
i 1.44% |
Total Annual Fund Operating Expenses Before Fee Waivers and/or Expense Reimbursements |
i 1.83% |
i 2.74% |
i 2.19% |
Fee Waivers and/or Expense Reimbursements(2),(3) |
0.70% |
0.96% |
1.26% |
Total Annual Fund Operating Expenses After Fee Waivers and/or Expense Reimbursements(2),(3) |
i 1.13% |
i 1.78% |
i 0.93% |
|
1 Year |
3 Years |
5 Years |
10 Years |
AIG Select Dividend Growth Fund |
|
|
|
|
Class A |
$ i 684 |
$ i 913 |
$ i 1,161 |
$ i 1,871 |
Class C |
i 281 |
i 560 |
i 964 |
i 1,924 |
Class W |
i 95 |
i 296 |
i 515 |
i 1,143 |
|
1 Year |
3 Years |
5 Years |
10 Years |
AIG Select Dividend Growth Fund |
|
|
|
|
Class A |
$ i 684 |
$ i 913 |
$ i 1,161 |
$ i 1,871 |
Class C |
i 181 |
i 560 |
i 964 |
i 1,924 |
Class W |
i 95 |
i 296 |
i 515 |
i 1,143 |
i Highest Quarterly Return: |
i 20.24% | |
i Lowest Quarterly Return: |
- i 27.61% |
|
Past One Year |
Past Five Years |
Past Ten Years |
Since Inception |
Inception Date |
Class A |
i 2.41% |
i 9.76% |
N/A |
i 7.82% |
i 5/2/2014 |
Return After Taxes on Distributions (Class A) |
i 1.79% |
i 8.05% |
N/A |
i 6.07% |
|
Return After Taxes on Distributions and Sale of Fund Shares (Class A)(1) |
i 1.71% |
i 7.35% |
N/A |
i 5.79% |
|
Class C |
i 6.94% |
i 10.29% |
N/A |
i 7.99% |
i 5/2/2014 |
Class W |
i 8.89% |
i 11.24% |
N/A |
i 8.92% |
i 5/2/2014 |
Russell 1000® Index |
i 20.96% |
i 15.60% |
N/A |
i 13.30% |
|
Name |
Portfolio Manager of the Fund Since |
Title |
Timothy Pettee |
2014 |
Lead Portfolio Manager, Senior Vice President, Chief Investment Officer and Chief Investment Strategist at SunAmerica |
Timothy Campion |
2014 |
Co-Portfolio Manager, Senior Vice President at SunAmerica |
Andrew Sheridan |
2014 |
Co-Portfolio Manager, Senior Vice President at SunAmerica |
Jane Bayar Algieri |
2019 |
Co-Portfolio Manager, Vice President at SunAmerica |
|
CLASS A AND CLASS C SHARES |
CLASS W SHARES |
Minimum Initial Investment |
• non-retirement account: $500 • retirement account: $250 • dollar cost averaging: $500 to open; you must invest at least $25 a month. |
$50,000 |
Minimum Subsequent Investment |
• non-retirement account: $100 • retirement account: $25 |
N/A |
|
Sales Charge |
Concession to Dealers | |
Your Investment |
% of Offering Price |
% of Net Amount Invested |
% of Offering Price |
Less than $50,000 |
5.75% |
6.10% |
5.00% |
$50,000 but less than $100,000 |
4.75% |
4.99% |
4.00% |
$100,000 but less than $250,000 |
3.75% |
3.90% |
3.00% |
$250,000 but less than $500,000 |
3.00% |
3.09% |
2.50% |
$500,000 but less than $1,000,000 |
2.00% |
2.04% |
1.75% |
$1,000,000 or more* |
None |
None |
1.00% |
Class |
Distribution Fee |
Account Maintenance Fee |
A |
0.10% |
Up to 0.25% |
C |
0.75% |
Up to 0.25% |
FUND INVESTMENT STRATEGIES |
The Fund has its own investment goal and a strategy for pursuing it. The chart summarizes information about the Fund’s investment approach. Following this chart is a Glossary that further describes the investment and risk terminology that we use. Please review the Glossary in conjunction with this chart. |
The investment goals of the Fund may be changed without shareholder approval. |
|
AIG Select Dividend Growth Fund |
What are the Fund’s investment goals? |
Capital appreciation, and secondarily, current income |
What principal investment strategies does the Fund use to implement its investment goal? |
Value and Growth |
What are the Fund’s principal investment techniques? |
The principal investment technique of the Fund is to employ a “buy and hold” strategy with up to forty dividend paying equity securities selected annually from the Russell 1000® Index. At least 80% of the Fund’s net assets, plus any borrowings for investment purposes, will be invested in dividend paying equity securities. |
What are the Fund’s other significant (non-principal) investments? |
• None |
What other types of securities may the Fund normally invest in as part of efficient portfolio management and which may produce some income? |
• Short-term investments • Futures • Exchange-traded funds |
What risks may affect the Fund? |
PRINCIPAL RISKS: • Stock market volatility risk • Securities selection risk • Disciplined strategy risk • Focused strategy risk NON-PRINCIPAL RISKS: • Affiliated fund rebalancing risk • Futures contracts risk • Exchange-traded funds risk • Small- and mid-market capitalization companies risk |
Period Ended |
Net Asset Value beginning of period |
Net investment income (loss)(1) |
Net gain (loss) on investments (both realized and unrealized) |
Total from investment operations |
Dividends from net investment income |
Distributions from net realized gains |
Total distributions |
Net Asset Value end of period |
Total Return(2) |
Net Assets end of period (000’s) |
Ratio of expenses to average net assets(3) |
Ratio of net investment income (loss) to average net assets(3) |
Portfolio Turnover |
Class A | |||||||||||||
10/31/16 |
$ 15.68 |
$ 0.24 |
$ 0.71 |
$ 0.95 |
$ (0.24) |
$ (1.46) |
$ (1.70) |
$ 14.93 |
$ 7.20 |
$ 39,422 |
1.56% |
1.65% |
69% |
10/31/17 |
14.93 |
0.25 |
2.29 |
2.54 |
(0.27) |
(0.25) |
(0.52) |
16.95 |
17.19 |
40,917 |
1.63 |
1.57 |
72 |
10/31/18 |
16.95 |
0.23 |
0.40 |
0.63 |
(0.24) |
(0.93) |
(1.17) |
16.41 |
3.54 |
36,825 |
1.68 |
1.34 |
77 |
10/31/19 |
16.41 |
0.33 |
0.65 |
0.98 |
(0.33) |
(2.31) |
(2.64) |
14.75 |
7.51 |
36,415 |
1.16 |
2.32 |
66 |
10/31/20 |
14.75 |
0.34 |
(0.87) |
(0.53) |
(0.35) |
— |
(0.35) |
13.87 |
(3.46) |
25,449 |
1.13 |
2.37 |
47 |
Class C | |||||||||||||
10/31/16 |
$ 15.62 |
$ 0.10 |
$ 0.74 |
$ 0.84 |
$ (0.12) |
$ (1.46) |
$ (1.58) |
$ 14.88 |
$ 6.36 |
$ 1,161 |
2.37% |
0.73% |
69% |
10/31/17 |
14.88 |
0.12 |
2.29 |
2.41 |
(0.16) |
(0.25) |
(0.41) |
16.88 |
16.34 |
1,746 |
2.37 |
0.79 |
72 |
10/31/18 |
16.88 |
0.11 |
0.39 |
0.50 |
(0.12) |
(0.93) |
(1.05) |
16.33 |
2.79 |
1,907 |
2.37 |
0.64 |
77 |
10/31/19 |
16.33 |
0.21 |
0.67 |
0.88 |
(0.24) |
(2.31) |
(2.55) |
14.66 |
6.84 |
4,906 |
1.79 |
1.56 |
66 |
10/31/20 |
14.66 |
0.24 |
(0.85) |
(0.61) |
(0.25) |
— |
(0.25) |
13.80 |
(4.08) |
3,387 |
1.78 |
1.71 |
47 |
Class W | |||||||||||||
10/31/16 |
$ 15.65 |
$ 0.21 |
$ 0.75 |
$ 0.96 |
$ (0.26) |
$ (1.46) |
$ (1.72) |
$ 14.89 |
$ 7.25 |
$ 241 |
1.52% |
1.56% |
69% |
10/31/17 |
14.89 |
0.24 |
2.32 |
2.56 |
(0.29) |
(0.25) |
(0.54) |
16.91 |
17.37 |
635 |
1.52 |
1.55 |
72 |
10/31/18 |
16.91 |
0.25 |
0.40 |
0.65 |
(0.27) |
(0.93) |
(1.20) |
16.36 |
3.70 |
1,151 |
1.52 |
1.46 |
77 |
10/31/19 |
16.36 |
0.34 |
0.67 |
1.01 |
(0.37) |
(2.31) |
(2.68) |
14.69 |
7.76 |
2,258 |
0.95 |
2.46 |
66 |
10/31/20 |
14.69 |
0.37 |
(0.88) |
(0.51) |
(0.38) |
— |
(0.38) |
13.80 |
(3.33) |
1,183 |
0.93 |
2.60 |
47 |
|
10/31/16 |
10/31/17 |
10/31/18 |
10/31/19 |
10/31/20 |
AIG Select Dividend Growth Class A |
0.02% |
0.00% |
0.01% |
0.55% |
0.69% |
AIG Select Dividend Growth Class C |
0.64 |
0.88 |
0.47 |
0.83 |
0.93 |
AIG Select Dividend Growth Class W |
5.19 |
2.18 |
1.01 |
1.19 |
1.26 |
1 |
Go to www.aig.com/funds |
2 |
Click on the link to “Go Paperless!” |
Class |
AIG Active Allocation Fund: Ticker Symbols |
AIG Focused Dividend Strategy Fund: Ticker Symbols |
AIG Focused Dividend Strategy II Fund: Ticker Symbols |
AIG Multi-Asset Allocation Fund: Ticker Symbols |
AIG Strategic Value Fund: Ticker Symbols |
AIG Select Dividend Growth Fund: Ticker Symbols |
A Shares |
FBAAX |
FDSAX |
FDDAX* |
FASAX |
SFVAX |
SDVAX |
B Shares |
FBABX |
FDSBX |
— |
FMABX |
— |
— |
C Shares |
FBACX |
FDSTX |
FDDCX* |
FMATX |
SFVTX |
SDVCX |
W Shares |
— |
FDSWX |
FDDWX* |
— |
SFVWX |
SDVWX |
|
|
THE CORPORATION |
|
INVESTMENT OBJECTIVE(S) AND POLICIES |
|
INVESTMENT RESTRICTIONS |
|
DIRECTORS AND OFFICERS |
|
MANAGEMENT OF THE FUND |
|
ADDITIONAL INFORMATION ABOUT THE PORTFOLIO MANAGERS |
|
PROXY VOTING POLICIES AND PROCEDURES |
|
DISCLOSURE OF PORTFOLIO HOLDINGS POLICIES AND PROCEDURES |
|
PORTFOLIO TRANSACTIONS AND BROKERAGE |
|
ADDITIONAL INFORMATION REGARDING PURCHASE OF SHARES |
|
ADDITIONAL INFORMATION REGARDING REDEMPTION OF SHARES |
|
EXCHANGE PRIVILEGE |
|
DETERMINATION OF NET ASSET VALUE |
|
DIVIDENDS, DISTRIBUTIONS AND TAXES |
|
RETIREMENT PLANS |
|
DESCRIPTION OF SHARES |
|
ADDITIONAL INFORMATION |
|
FINANCIAL STATEMENTS |
|
APPENDIX |
130 |
|
AIG Active Allocation Fund |
AIG Focused Dividend Strategy Fund |
AIG Focused Dividend Strategy II Fund |
AIG Multi- Asset Allocation Fund |
AIG Select Dividend Growth Fund |
AIG Strategic Value Fund |
Adjustable Rate Securities |
X |
|
|
X |
|
|
Asset-Backed Securities |
X |
X |
X |
X |
X |
X |
Bank Obligations |
X |
X |
X |
X |
X |
X |
Borrowing and Leverage |
X |
X |
X |
X |
X |
X |
Brady Bonds |
X |
|
|
X |
|
|
Catastrophe Bonds |
X |
|
|
X |
|
|
Collateralized Debt Obligations |
X |
|
|
X |
|
|
Collateralized Mortgage Obligations |
X |
|
|
X |
|
|
Commercial Paper |
X |
X |
X |
X |
X |
X |
Commodity-Linked Derivatives |
X |
|
|
X |
|
|
Commodity Strategies |
X |
|
|
X |
|
|
Companies in Financial Sector |
X |
|
|
X |
|
|
Convertible Securities |
X |
X |
X |
X |
X |
X |
Corporate Debt Securities |
X |
X |
X |
X |
X |
X |
Corporate Transactions Involving Portfolio Companies of the Fund |
X |
X |
X |
X |
X |
X |
Coupon Bearing U.S. Government Securities |
X |
|
|
X |
|
|
Credit Default Swaps |
X |
|
|
X |
|
|
Credit Derivatives |
X |
|
|
X |
|
|
Cybersecurity Risk |
X |
X |
X |
X |
X |
X |
Derivatives Strategies |
X |
|
|
X |
|
|
Disciplined Strategy |
X |
X |
X |
X |
X |
X |
Diversification |
X |
X |
X |
X |
X |
X |
Dollar Rolls |
X |
X |
X |
X |
X |
X |
Domestic Equity Securities |
X |
|
|
X |
|
|
Equity Securities |
X |
X |
X |
X |
X |
X |
Eurodollar Obligations |
X |
X |
X |
X |
X |
X |
Fixed Income Securities |
X |
X |
X |
X |
X |
X |
Foreign Currency |
X |
|
|
X |
|
|
Foreign Securities |
X |
X |
X |
X |
X |
X |
Foreign Sovereign Debt Securities |
X |
|
|
X |
|
|
Forward Contracts on Foreign Currencies |
X |
|
|
X |
|
|
Future Developments |
X |
X |
X |
X |
X |
X |
Futures Contracts and Options on Futures |
X |
X |
X |
X |
X |
X |
Global Strategies |
X |
|
|
X |
|
|
Government Securities |
X |
X |
X |
X |
X |
X |
Growth of High-Yield, High-Risk Bond Market |
X |
|
|
X |
|
|
Hedging Strategies |
X |
|
|
X |
|
|
High-Yield, High-Risk Securities |
X |
X |
X |
X |
X |
X |
Hybrid Instruments (Indexed/Structured Securities) |
X |
X |
X |
X |
X |
X |
Illiquid Investments |
X |
X |
X |
X |
X |
X |
Income Trusts |
X |
|
|
X |
|
|
Index Risk |
X |
|
|
X |
|
|
Initial Public Offerings |
X |
X |
X |
X |
X |
X |
Interest-Rate Swaps, Swaptions, Mortgage Swaps, Caps, Collars and Floors |
X |
X |
X |
X |
X |
X |
|
AIG Active Allocation Fund |
AIG Focused Dividend Strategy Fund |
AIG Focused Dividend Strategy II Fund |
AIG Multi- Asset Allocation Fund |
AIG Select Dividend Growth Fund |
AIG Strategic Value Fund |
Interest-Rate Swap Transactions |
X |
|
|
X |
|
|
Interfund Borrowing and Lending Program |
X |
|
|
X |
|
|
Investment Company Securities |
X |
X |
X |
X |
X |
X |
Investment in Small, Unseasoned Companies |
X |
|
|
X |
|
X |
Legislation |
X |
|
|
X |
|
|
Liquidity and Valuation |
X |
X |
X |
X |
X |
X |
Liquidity Risk Management |
X |
X |
X |
X |
X |
X |
Loan Participations |
X |
X |
X |
X |
X |
X |
Loans of Fund Securities |
X |
X |
X |
X |
X |
X |
Money Market Securities |
X |
X |
X |
X |
X |
X |
Money Market Securities of Foreign Issuers |
X |
|
|
X |
|
|
Mortgage-Backed Securities |
X |
|
|
X |
|
|
Mortgage-Backed Security Rolls |
X |
|
|
X |
|
|
Mortgage Related Securities |
X |
|
|
X |
|
|
Operational Risk |
X |
X |
X |
X |
X |
X |
Options |
X |
|
|
X |
|
|
Other Derivatives Strategies |
X |
X |
X |
X |
X |
X |
Pay-In-Kind Bonds |
X |
|
|
X |
|
|
Payment Expectations |
X |
X |
X |
X |
X |
X |
Portfolio Turnover |
X |
X |
X |
X |
X |
X |
Possible Risk Factors in Hedging |
X |
X |
X |
X |
X |
X |
Preferred Securities |
X |
X |
X |
X |
X |
X |
Privately Placed Securities |
X |
|
|
X |
|
|
Real Estate Companies |
X |
|
|
X |
|
|
Real Estate Investment Trusts |
X |
X |
X |
X |
X |
X |
Real Estate Securities |
X |
|
|
X |
|
|
Recent Market Events |
X |
X |
X |
X |
X |
X |
Regulatory Aspects of Derivatives and Hedging Instruments |
X |
X |
X |
X |
X |
X |
Regulatory Risk |
X |
|
|
X |
|
|
Repurchase Agreements |
X |
X |
X |
X |
X |
X |
Restricted Securities |
X |
X |
X |
X |
X |
X |
Reverse Repurchase Agreements |
X |
X |
X |
X |
X |
X |
Savings Association Obligations |
X |
X |
X |
X |
X |
X |
Securities Acquired in Restructurings and Workouts |
X |
|
|
X |
|
|
Senior Floating Rate Loans |
X |
|
|
X |
|
|
Senior Loans |
X |
|
|
X |
|
|
Sensitivity to Interest Rate and Economic Changes |
X |
X |
X |
X |
X |
X |
Short Sales |
X |
|
|
X |
|
|
Short-Term Debt Securities and Temporary Defensive Instruments |
X |
X |
X |
X |
X |
X |
Short-Term Taxable Securities |
X |
|
|
X |
|
|
Special Situations |
X |
X |
X |
X |
X |
X |
Standby Commitments |
X |
X |
X |
X |
X |
X |
Stripped Mortgage-Backed Securities |
X |
|
|
X |
|
|
|
AIG Active Allocation Fund |
AIG Focused Dividend Strategy Fund |
AIG Focused Dividend Strategy II Fund |
AIG Multi- Asset Allocation Fund |
AIG Select Dividend Growth Fund |
AIG Strategic Value Fund |
STRIPS |
X |
|
|
X |
|
|
“Swap” Derivative Transactions |
X |
|
|
X |
|
|
Tax Risk |
X |
|
|
X |
|
|
Taxes |
X |
|
|
X |
|
|
Treasury Inflation-Protected Securities |
X |
|
|
X |
|
|
U.S. Government Securities |
X |
X |
X |
X |
X |
X |
Variable Rate Demand Notes |
X |
|
|
X |
|
|
Warrants and Rights |
X |
X |
X |
X |
X |
X |
When-Issued and Forward Commitment Securities |
X |
X |
X |
X |
X |
X |
Zero Coupon Securities |
X |
|
|
X |
|
|
Name and Age |
Position(s) Held with Corporation |
Term of Office and Length of Time Served1 |
Principal Occupation(s) During Past 5 Years |
Number of Portfolios in Fund Complex Overseen by Director2 |
Other Directorships Held by Director3 |
Disinterested Directors | |||||
Dr. Judith L. Craven Age: 75 |
Director |
2001-Present |
Retired. |
83 |
Director, A.G. Belo Corporation (a media company) (1992-2014); Director, SYSCO Corporation (a food marketing and distribution company) (1996-2017); Director, Luby’s, Inc. (1998- 2019). |
Richard W. Grant Age: 75 |
Director, Chairman of the Board |
2011-Present |
Retired. |
23 |
None |
Stephen J. Gutman Age: 77 |
Director |
1996-Present |
Senior Vice President and Associate Broker, The Corcoran Group (real estate) (2002-Present); President, SJG Marketing, Inc. (2009- Present). |
23 |
None |
Eileen A. Kamerick Age: 62 |
Director |
2018-Present |
National Association of Corporate Directors Board Leadership Fellow and financial expert; Adjunct Professor of Law, University of Chicago, Washington University in St. Louis and University of Iowa law schools (since 2007); formerly, Senior Advisor to the Chief Executive Officer and Executive Vice President and Chief Financial Officer of
ConnectWise, Inc. (software and services company) (2015-2016); Chief Financial Officer, Press Ganey Associates (health care informatics company) (2012-2014). |
23 |
Hochschild Mining plc (precious metals company) (since 2016); Director of Associated Banc-Corp (financial services company) (since 2007); Legg Mason Closed End Funds (registered investment companies) (since 2013); Westell Technologies, Inc. (technology company) (2003-2016). |
Interested Director | |||||
Peter A. Harbeck4 Age: 67 |
Director |
1996-Present |
Retired June 2019, formerly President (1995- 2019), CEO (1997- 2019) and Director (1992- 2019), SunAmerica; Director, AIG Capital Services, Inc. (“ACS”) (1993- 2019); Chairman, President and CEO, Advisor Group, Inc. (2004-2016). |
83 |
None |
Name and Age |
Position(s) Held with Corporation |
Length of Time Served |
Principal Occupation(s) During Past 5 Years |
John T. Genoy Age: 52 |
President and Chief Executive Officer |
2007-Present |
Chief Financial Officer, SunAmerica (2002-Present); Senior Vice President, SunAmerica (2004-Present); Chief Operating Officer, SunAmerica (2006-Present) |
Sharon French Age: 56 |
Executive Vice President |
2019-Present |
President and CEO of SunAmerica (since 2019); Vice President of AIG (since 2019); Executive Vice President and Head of Beta Solutions, Oppenheimer Funds (2016-2019); President, F- Squared Capital, LLC (financial services) (2013-2015). |
Treasurer |
2014-Present |
Vice President, SunAmerica (2001-Present); Head of Mutual Fund Administration, SunAmerica (2014-Present). | |
Chief Compliance Officer |
2017-Present |
Chief Compliance Officer, AIG Funds, Anchor Series Trust, Seasons Series Trust, SunAmerica Series Trust, VALIC Company I and VALIC Company II (2017-Present); Chief Compliance Officer, VALIC Retirement Services Company (2017-Present); Chief Compliance Officer, Invesco PowerShares (2012-2017). | |
James Nichols Age: 54 |
Vice President |
2006-Present |
Director, President and CEO, ACS (2006-Present); Senior Vice President, SunAmerica (2002-Present). |
Gregory N. Bressler Age: 54 |
Secretary (Retail) |
2005-Present |
Senior Vice President and General Counsel, SunAmerica (2005- Present). |
Kathleen D. Fuentes Age: 51 |
Chief Legal Officer and Assistant Secretary (Retail) |
2013-Present |
Vice President and Deputy General Counsel, SunAmerica (2006- Present). |
Vice President and Assistant Treasurer |
2014-Present |
Vice President, SunAmerica (2014-Present), SunAmerica. | |
Donna M. McManus Age: 60 |
Vice President and Assistant Treasurer |
2014-Present |
Vice President, SunAmerica (2014-Present). |
Timothy Pettee Age: 62 |
Vice President |
2018-Present |
Chief Investment Officer, Senior Vice President, SunAmerica (2018-Present); Lead Portfolio Manager, Rules Based Funds (2013- present). |
Matthew J. Hackethal Age: 49 |
Anti-Money Laundering Compliance Officer |
2006-Present |
Acting Chief Compliance Officer, AIG Funds, Anchor Series Trust, Seasons Series Trust, SunAmerica Series Trust, VALIC Company I and VALIC Company II (2016-2017); Chief Compliance Officer, SunAmerica (2007-Present); Chief Compliance Officer, The Variable Annuity Life Insurance Company (2016-2017); AML Compliance Officer, AIG Funds, Anchor Series Trust, Seasons Series Trust, SunAmerica Series Trust, VALIC Company I and VALIC Company II (2006- Present); and Vice President, SunAmerica (2011-Present). |
Name of Director |
Dollar Range of Equity Securities in the Corporation |
Aggregate Dollar Range of Equity Securities in All Registered Investment Companies Overseen by Director in Family of Investment Companies1 |
Disinterested Directors |
|
|
Dr. Judith L. Craven |
None |
None |
Richard W. Grant |
None |
None |
Stephen J. Gutman |
None |
$10,001–$50,000 |
Eileen A. Kamerick |
None |
None |
Interested Director |
|
|
Peter A. Harbeck |
None |
Over $100,000 |
Trustee |
Aggregate Compensation from Fund |
Total Compensation from Trust and Fund Complex Paid to Directors* |
Judith L. Craven** |
$ 131,335 |
$ 516,613 |
William F. Devin*** |
$ 12,998 |
$ 22,408 |
Trustee |
Aggregate Compensation from Fund |
Total Compensation from Trust and Fund Complex Paid to Directors* |
Richard W. Grant |
$ 175,627 |
$ 312,330 |
Stephen J. Gutman |
$ 131,435 |
$ 233,147 |
Eileen A. Kamerick |
$ 136,180 |
$240,276 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
A |
Record |
3.36 | |
A |
Record |
9.64 | |
A |
CHARLES SCHWAB & CO INC 0PEC CUSTODY FOR BENEFIT OF CUST ATTN: MUTUAL FUNDS 211 MAIN ST |
Record |
2.45 |
A |
Record |
3.36 | |
A |
WELLS FARGO CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST |
Record |
11.99 |
A |
Record |
2.91 | |
A |
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION: SERVICE TEAM SEC# 97WX2 4800 DEER LAKE DRIVE EAST 2ND FLOO |
Record |
16.7 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
A |
UBS WM USA SPEC CDY A/C BEN CUST UBSFSI OMNI ACCOUNT M/F ATTN DEPARTMENT MANAGER 1000 HARBOR BLVD FL 5 |
Record |
3.55 |
A |
RBC CAPITAL MARKETS,LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 60 SOUTH SIXTH STREET-P08 |
Record |
1.65 |
A |
RAYMOND JAMES & ASSOCIATES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN: COURTNEY WALLER 880 CARILLON PKWY |
Record |
2.87 |
A |
MORGAN STANLEY SMITH BARNEY FOR EXCLUSIVE BENEFIT OF ITS CUST 1 NEW YORK PLZ FL 12 |
Record |
9.21 |
A |
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUND OPERATIONS 211 MAIN ST |
Record |
5.61 |
A |
MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. KADES-MARGOLIS 403B MBD 717 17TH STREET, SUITE 1300 |
Record |
1.12 |
B |
Record |
18.67 | |
B |
Record |
4.72 | |
B |
WELLS FARGO CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST |
Record |
8.16 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
B |
Record |
9.77 | |
B |
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION: SERVICE TEAM SEC# 97WX3 4800 DEER LAKE DRIVE EAST 2ND FLOO |
Record |
11.02 |
B |
RBC CAPITAL MARKETS, LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 60 SOUTH SIXTH STREET-P08 |
Record |
1.46 |
B |
RAYMOND JAMES & ASSOCIATES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN: COURTNEY WALLER 880 CARILLON PKWY |
Record |
2.98 |
B |
MORGAN STANLEY SMITH BARNEY FOR EXCLUSIVE BENEFIT OF ITS CUST 1 NEW YORK PLZ FL 12 |
Record |
14.47 |
B |
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUND OPERATIONS 211 MAIN ST |
Record |
3.66 |
C |
Record |
1.18 | |
C |
Record |
12.04 | |
C |
Record |
6.01 | |
C |
WELLS FARGO CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST |
Record |
28.29 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
C |
Record |
4.3 | |
C |
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION: SERVICE TEAM SEC# 97WX4 4800 DEER LAKE DRIVE EAST 2ND FLOO |
Record |
6.45 |
C |
UBS WM USA SPEC CDY A/C BEN CUST UBSFSI OMNI ACCOUNT M/F ATTN DEPARTMENT MANAGER 1000 HARBOR BLVD FL 5 |
Record |
5.33 |
C |
RBC CAPITAL MARKETS,LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 60 SOUTH SIXTH STREET-P08 |
Record |
2.02 |
C |
RAYMOND JAMES & ASSOCIATES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN: COURTNEY WALLER 880 CARILLON PKWY |
Record |
7.56 |
C |
MORGAN STANLEY SMITH BARNEY FOR EXCLUSIVE BENEFIT OF ITS CUST 1 NEW YORK PLZ FL 12 |
Record |
9.34 |
C |
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUND OPERATIONS 211 MAIN ST |
Record |
6.04 |
W |
Record |
7.25 | |
W |
CHARLES SCHWAB & CO INC SPEC CUSTODY FOR BENEFIT OF CUST ATTN: MUTUAL FUNDS 211 MAIN ST |
Record |
1.11 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
W |
Record |
4.21 | |
W |
WELLS FARGO CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST |
Record |
14.46 |
W |
Record |
4.87 | |
W |
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION: SERVICE TEAM SEC# 97ME8 4800 DEER LAKE DRIVE EAST 2ND FLOO |
Record |
20.39 |
W |
UBS WM USA SPEC CDY A/C BEN CUST UBSFSI OMNI ACCOUNT M/F ATTN DEPARTMENT MANAGER 1000 HARBOR BLVD FL 5 |
Record |
11.73 |
W |
RBC CAPITAL MARKETS, LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 60 SOUTH SIXTH STREET-P08 |
Record |
2.74 |
W |
RAYMOND JAMES & ASSOCIATES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN: COURTNEY WALLER 880 CARILLON PKWY |
Record |
7.37 |
W |
MORGAN STANLEY SMITH BARNEY FOR EXCLUSIVE BENEFIT OF ITS CUST 1 NEW YORK PLZ FL 12 |
Record |
8.91 |
W |
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUND OPERATIONS 211 MAIN ST |
Record |
3.56 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
A |
SUNAMERICA ASSET MGMT LLC. ATTN FRANK CURRAN HARBORSIDE 5 185 HUDSON STREET, SUITE 3300 |
Record |
100 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
A |
Record |
9.28 | |
A |
Record |
1.96 | |
A |
FIRST CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST |
Record |
4.97 |
A |
Record |
1.14 | |
A |
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION: SERVICE TEAM SEC# 97ME8 4800 DEER LAKE DRIVE EAST 2ND FLOO |
Record |
5.15 |
A |
UBS WM USA SPEC CDY A/C BEN CUST UBSFSI OMNI ACCOUNT M/F ATTN DEPARTMENT MANAGER 1000 HARBOR BLVD FL 5 |
Record |
1.86 |
A |
RAYMOND JAMES & ASSOCIATES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN: COURTNEY WALLER 880 CARILLON PKWY |
Record |
2.54 |
A |
MORGAN STANLEY SMITH BARNEY FOR EXCLUSIVE BENEFIT OF ITS CUST 1 NEW YORK PLZ FL 12 |
Record |
4.11 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
A |
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUND OPERATIONS 211 MAIN ST |
Record |
2.91 |
A |
MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. PATERSON PUBLIC SCHOOL DISTRICT (N 717 17TH STREET, SUITE 1300 |
Record |
1.84 |
B |
Record |
3.8 | |
B |
SUNAMERICA TRUST CO CUST UNIQUE FABRICATIONS FBO KARL J HONSPERGER SIMPLE IRA 2260 COUNTY ROAD 65 |
Record |
1.54 |
B |
SUNAMERICA TRUST CO CUST UNIQUE FABRICATIONS FBO ANTHONY W DOBLE SIMPLE IRA 50 BETHANY DR |
Record |
1.69 |
B |
SUNAMERICA TRUST CO CUST UNIQUE FABRICATIONS FBO ELLEN L HONSPERGER SIMPLE IRA 2260 COUNTY ROAD 65 |
Record |
1.09 |
B |
Record |
1.15 | |
B |
SUNAMERICA TRUST CO CUST DETEQ SERVICES FBO ELTON D WINEMILLER SIMPLE IRA 22110 BLACKSBURG CT |
Record |
1.15 |
B |
SUNAMERICA TRUST CO CUST MIDSTATE SEWERAGE INC FBO THOMAS M STRATFORD SIMPLE IRA 237 RIVERLIN ST |
Record |
1.12 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
B |
SUNAMERICA TRUST CO CUST MIDSTATE SEWERAGE INC FBO PETER C STRATFORD SIMPLE IRA 237 RIVERLIN ST |
Record |
1.11 |
B |
SUNAMERICA TRUST CO CUST LAMBS ENTERPRISES FBO ALLAN M BAECHLE INDIVIDUAL 401(K) 4132 BIRCHWOOD DR N |
Record |
1.01 |
B |
SUNAMERICA TRUST CO CUST FBO KARINNA S CASSIDY INDIVIDUAL 401(K) 7 LAZY CREEK LN |
Record |
1.37 |
B |
Record |
1.51 | |
B |
Record |
1.33 | |
B |
MORGAN STANLEY SMITH BARNEY FOR EXCLUSIVE BENEFIT OF ITS CUST 1 NEW YORK PLZ FL 12 |
Record |
3.57 |
B |
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUND OPERATIONS 211 MAIN ST |
Record |
2.65 |
C |
Record |
1.13 | |
C |
Record |
4.87 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
C |
Record |
1.3 | |
C |
SUNAMERICA TRUST CO CUST PATRICIA MANZO TTEE INDIVIDUAL 401(K) 575 UNDERHILL BLVD STE 127 |
Record |
1.31 |
C |
SUNAMERICA TRUST CO CUST NOAH COUNTRY FBO PAUL MADISON SIMPLE IRA 12130 BATAAN ST NE |
Record |
1.37 |
C |
SUNAMERICA TRUST CO CUST STERNSTEIN ENTERPRISES INC BRIAN STERNSTEIN TTEE INDIVIDUAL 401(K) 431 YORK ST |
Record |
1.33 |
C |
Record |
1.04 | |
C |
SUNAMERICA TRUST CO CUST UNLIMITED HOME IMPROVEMENTS INC FBO ROBERT SCHWARTZ INDIVIDUAL 401(K) 112 BROADWAY |
Record |
1.07 |
C |
SUNAMERICA TRUST CO CUST NYRVA CADET FBO NYRVA CADET INDIVIDUAL 401(K) 285 LEAF CT |
Record |
2.92 |
C |
SUNAMERICA TRUST CO CUST BR ANESTHESIA INC FBO BRIDGETTE M REYNOLDS INDIVIDUAL 401(K) 461 VININGS VINTAGE CIR |
Record |
2.06 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
C |
SUNAMERICA TRUST CO CUST DIRECT DENTAL SOLUTIONS ADMINISTRATION LLC - INDIV 401(K) FBO CORINNE KLOMPARENS 333 SW 187TH TER APT 1 |
Record |
1.64 |
C |
SUNAMERICA TRUST CO CUST TRAJET CONSULTING FBO KATIE MCKOY GRAHAM INDIVIDUAL 401(K) 1274 S GILPIN ST |
Record |
2.21 |
C |
SUNAMERICA TRUST CO CUST FBO THOMAS M WATKINS INDIVIDUAL 401(K) 658 MACEDONIA RD |
Record |
1.10 |
C |
Record |
1.51 | |
C |
WELLS FARGO CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST |
Record |
3.4 |
C |
Record |
1.39 | |
C |
RAYMOND JAMES & ASSOCIATES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN: COURTNEY WALLER 880 CARILLON PKWY |
Record |
1.86 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
A |
Record |
1.36 | |
A |
Record |
10.92 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
A |
Record |
2.21 | |
A |
WELLS FARGO CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST |
Record |
5.21 |
A |
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION: SERVICE TEAM SEC# 97ME8 4800 DEER LAKE DRIVE EAST 2ND FLOO |
Record |
3.77 |
A |
UBS WM USA SPEC CDY A/C BEN CUST UBSFSI OMNI ACCOUNT M/F ATTN DEPARTMENT MANAGER 1000 HARBOR BLVD FL 5 |
Record |
1.38 |
A |
RAYMOND JAMES & ASSOCIATES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN: COURTNEY WALLER 880 CARILLON PKWY |
Record |
2.26 |
A |
MORGAN STANLEY SMITH BARNEY FOR EXCLUSIVE BENEFIT OF ITS CUST 1 NEW YORK PLZ FL 12 |
Record |
2.10 |
A |
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUND OPERATIONS 211 MAIN ST |
Record |
2.94 |
A |
MATRIX TRUST COMPANY AS AGENT FOR ADVISOR TRUST, INC. PATERSON PUBLIC SCHOOL DISTRICT (N 717 17TH STREET, SUITE 1300 |
Record |
2.51 |
B |
Record |
6.63 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
B |
SUNAMERICA TRUST CO CUST FBO CHARLES R GLEAN TTEE INDIVIDUAL 401(K) 1835 LOMBARD ST # A |
Record |
3.17 |
B |
SUNAMERICA TRUST CO CUST STEPHEN C KIRSCH FBO STEPHEN C KIRSCH INDIVIDUAL 401(K) 4533 DON FELIPE DR |
Record |
1.07 |
B |
Record |
1.36 | |
B |
SUNAMERICA TRUST CO CUST FBO REX WALLER ROTH IRA ACCOUNT DTD 12/29/2010 159 BOXFIELD RD |
Record |
1.00 |
B |
SUNAMERICA TRUST CO CUST DIGITEK SECURITY FBO GARY D WEIKART INDIVIDUAL 401(K) 636 JENNINGS AVE |
Record |
1.01 |
B |
SUNAMERICA TRUST CO CUST INFINITY MARKETING GROUP RICK N ZIELOMSKI INDIVIDUAL 401(K) 24891 DANAFIR |
Record |
1.34 |
B |
SUNAMERICA TRUST CO CUST FBO HIROSHI KONISHI TTEE INDIVIDUAL 401(K) 3201 BARRY AVE |
Record |
1.45 |
B |
SUNAMERICA TRUST CO CUST FBO LILI DUBROW IRA ACCOUNT 845 PAULARINO AVE APT E121 |
Record |
1.34 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
B |
Record |
1.28 | |
B |
SUNAMERICA TRUST CO CUST FBO DIANNA L KULWICKI ROTH IRA ACCOUNT DTD 09/09/2013 12561 SATURN DR |
Record |
1.21 |
B |
Record |
1.62 | |
B |
Record |
2.10 | |
B |
WELLS FARGO CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST |
Record |
6.35 |
B |
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION: SERVICE TEAM SEC# 97ME8 4800 DEER LAKE DRIVE EAST 2ND FLOO |
Record |
2.69 |
B |
RBC CAPITAL MARKETS,LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 60 SOUTH SIXTH STREET-P08 |
Record |
2.76 |
B |
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUND OPERATIONS 211 MAIN ST |
Record |
1.97 |
C |
Record |
7.37 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
C |
SUNAMERICA TRUST CO CUST FBO MARK E MINDER IRA ACCT 557 OLD HICKORY FOREST RD |
Record |
1.58 |
C |
SUNAMERICA TRUST CO CUST FBO ROBERT R WILKINS INDIVIDUAL 401(K) 4809 AVENUE N |
Record |
1.39 |
C |
Record |
1.06 | |
C |
SUNAMERICA TRUST CO CUST DR STEVEN E WEISSMAN TTEE INDIVIDUAL 401(K) 6738 108TH ST APT C48 |
Record |
1.57 |
C |
SUNAMERICA TRUST CO CUST FBO JOSEPH D KBOUDI TTEE INDIVIDUAL 401(K) 5200 KELLER SPRINGS RD APT 1023 |
Record |
1.52 |
C |
SUNAMERICA TRUST CO CUST FBO DONALD W TAYLOR IRA ACCOUNT 38230 ROSELAWN AVE |
Record |
1.34 |
C |
Record |
4.6 | |
C |
Record |
6.15 | |
C |
Record |
1.19 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
C |
Record |
1.46 | |
C |
Record |
1.73 | |
C |
WELLS FARGO CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST |
Record |
13.35 |
C |
Record |
1.02 | |
C |
Record |
2.66 | |
C |
UBS WM USA SPEC CDY A/C BEN CUST UBSFSI OMNI ACCOUNT M/F ATTN DEPARTMENT MANAGER 1000 HARBOR BLVD FL 5 |
Record |
1.12 |
C |
RAYMOND JAMES & ASSOCIATES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN: COURTNEY WALLER 880 CARILLON PKWY |
Record |
2.42 |
C |
Record |
1.48 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
A |
Record |
48.62 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
A |
Record |
30.09 | |
A |
Record |
5.85 | |
A |
Record |
1.01 | |
A |
UBS WM USA SPEC CDY A/C BEN CUST UBSFSI OMNI ACCOUNT M/F ATTN DEPARTMENT MANAGER 1000 HARBOR BLVD FL 5 |
Record |
2.32 |
C |
Record |
14.48 | |
C |
SUNAMERICA ASSET MGMT LLC. ATTN FRANK CURRAN HARBORSIDE 5 185 HUDSON STREET, SUITE 3300 |
Record |
3.96 |
C |
SUNAMERICA TRUST CO CUST FBO LAWRENCE OSBORNE INDIVIDUAL 401(K) 3300 QUARTZ CT |
Record |
2.98 |
C |
Record |
2.80 | |
C |
Record |
1.30 | |
C |
Record |
1.32 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
C |
SUNAMERICA TRUST CO CUST FBO KATHLEEN M POLLASTRO IRA ACCOUNT 3555 ORAN GULF RD |
Record |
1.83 |
C |
Record |
2.07 | |
C |
Record |
1.09 | |
C |
OPPENHEIMER & CO INC. FBO WILLIAM & KATHLEEN NICHOLSON REVOCABLE TRUST DTD 12/01/2011 WILLIAM & KATHLEEN NICHOLSON TTEES 14589 NW LARSON RD |
Record |
5.99 |
C |
UBS WM USA SPEC CDY A/C BEN CUST UBSFSI OMNI ACCOUNT M/F ATTN DEPARTMENT MANAGER 1000 HARBOR BLVD FL 5 |
Record |
46.90 |
C |
Record |
1.22 | |
W |
Record |
12.59 | |
W |
SUNAMERICA ASSET MGMT LLC. ATTN FRANK CURRAN HARBORSIDE 5 185 HUDSON STREET, SUITE 3300 |
Record |
2.15 |
W |
Record |
38.60 | |
W |
Record |
1.36 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
W |
UBS WM USA SPEC CDY A/C BEN CUST UBSFSI OMNI ACCOUNT M/F ATTN DEPARTMENT MANAGER 1000 HARBOR BLVD FL 5 |
Record |
8.84 |
W |
STIFEL NICOLAUS & CO INC A/C 1292-6145 JOAN ROAN BENEFICIARY 501 N BROADWAY |
Record |
1.62 |
W |
Record |
1.21 | |
W |
JANNEY MONTGOMERY SCOTT LLC A/C 3168-3755 BELMONT UNIVERSITY 1717 ARCH ST |
Record |
2.34 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
A |
Record |
1.09 | |
A |
Record |
13.11 | |
A |
Record |
7.13 | |
A |
J.P MORGAN SECURITIES LLC OMNIBUS ACCT FOR THE EXCLUSIVE BENIFIT OF CUSTOMER 4 CHASE METROTECH CENTER 3RD FL |
Record |
1.10 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
A |
Record |
8.62 | |
A |
Record |
2.55 | |
A |
WELLS FARGO CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST |
Record |
5.24 |
A |
Record |
1.20 | |
A |
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION: SERVICE TEAM 4800 DEER LAKE DRIVE EAST 2ND FLOO |
Record |
2.57 |
A |
UBS WM USA SPEC CDY A/C BEN CUST UBSFSI OMNI ACCOUNT M/F ATTN DEPARTMENT MANAGER 1000 HARBOR BLVD FL 5TH |
Record |
1.55 |
A |
RAYMOND JAMES & ASSOCIATES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN: COURTNEY WALLER 880 CARILLON PKWY |
Record |
8.62 |
A |
MORGAN STANLEY SMITH BARNEY FOR EXCLUSIVE BENEFIT OF ITS CUST 1 NEW YORK PLZ FL 12 |
Record |
2.48 |
A |
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUND OPERATIONS 211 MAIN ST |
Record |
2.05 |
C |
Record |
1.28 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
C |
Record |
4.51 | |
C |
SUNAMERICA TRUST CO CUST JAMES C RATCLIFF JR DCD IRA FBO KAREN R VARNER 159 CAROLINE POINTE BLVD |
Record |
2.01 |
C |
Record |
1.28 | |
C |
Record |
2.04 | |
C |
WELLS FARGO CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST |
Record |
24.72 |
C |
TD AMERITRADE FBO RICHARD LA ROY LINN & AMINA STEPHA LINN TRS FBO RICHARD L LINN & AMIN STEPHANS LINN 2004 FLY TST UA 2/17 831 N ROSE ST |
Record |
2.77 |
C |
UBS WM USA SPEC CDY A/C BEN CUST UBSFSI OMNI ACCOUNT M/F ATTN DEPARTMENT MANAGER 1000 HARBOR BLVD FL 5 |
Record |
2.71 |
C |
RBC CAPITAL MARKETS,LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 60 SOUTH SIXTH STREET-P08 |
Record |
5.84 |
C |
RAYMOND JAMES & ASSOCIATES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN: COURTNEY WALLER 880 CARILLON PKWY |
Record |
3.25 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
C |
MORGAN STANLEY SMITH BARNEY FOR EXCLUSIVE BENEFIT OF ITS CUST 1 NEW YORK PLZ FL 12 |
Record |
1.50 |
C |
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUND OPERATIONS 211 MAIN ST |
Record |
8.55 |
C |
Record |
1.68 | |
W |
Record |
34.44 | |
W |
SUNAMERICA ASSET MGMT LLC. ATTN FRANK CURRAN HARBORSIDE 5 185 HUDSON STREET, SUITE 3300 |
Record |
2.51 |
W |
CHARLES SCHWAB & CO INC SPEC CUSTODY FOR BENEFIT OF CUST ATTN: MUTUAL FUNDS 211 MAIN ST |
Record |
2.15 |
W |
Record |
7.20 | |
W |
WELLS FARGO CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST |
Record |
11.81 |
W |
UBS WM USA SPEC CDY A/C BEN CUST UBSFSI OMNI ACCOUNT M/F ATTN DEPARTMENT MANAGER 1000 HARBOR BLVD FL 5 |
Record |
9.26 |
W |
RBC CAPITAL MARKETS,LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 60 SOUTH SIXTH STREET-P08 |
Record |
6.05 |
Class |
Holder and Address |
Of Record or Beneficial Ownership |
Percentage Owned (in %) |
W |
RAYMOND JAMES & ASSOCIATES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN: COURTNEY WALLER 880 CARILLON PKWY |
Record |
6.08 |
W |
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUND OPERATIONS 211 MAIN ST |
Record |
10.03 |
Fund |
Fee |
AIG Active Allocation Fund |
0.10% |
AIG Focused Dividend Strategy Fund |
0.60% of average daily net assets on the first $1.5 billion; 0.50% of average daily net assets on the next $1.5 billion; 0.40% thereafter |
AIG Focused Dividend Strategy II Fund |
0.60% of average daily net assets on the first $1.5 billion; 0.50% of average daily net assets on the next $1.5 billion; 0.40% thereafter |
AIG Multi-Asset Allocation Fund |
0.10% |
AIG Select Dividend Growth Fund |
0.75% |
AIG Strategic Value Fund |
0.75% |
|
Advisory Fees | ||
Fund |
2020 |
2019 |
2018 |
AIG Multi-Asset Allocation |
$ 202,320 |
$ 228,451 |
$ 263,996 |
AIG Active Allocation |
116,853 |
128,702 |
148,968 |
AIG Focused Dividend Strategy |
30,885,403 |
47,052,559 |
60,714,026 |
AIG Strategic Value |
1,303,916 |
1,539,240 |
1,749,642 |
AIG Select Dividend Growth |
269,660 |
323,241 |
332,227 |
AIG Focused Dividend Strategy II |
6,498 |
7,120 |
7,364 |
|
Annual Total Fund Operating Expense Caps (as a percentage of average daily net assets) | ||
Fund |
Class A |
Class C |
Class W |
AIG Strategic Value Fund |
1.72% |
2.37% |
1.52% |
AIG Focused Dividend Strategy II Fund |
1.25% |
1.90% |
1.05% |
AIG Select Dividend Growth Fund |
1.13% |
1.78% |
0.93% |
|
2020 | ||||
Fund |
Class A |
Class B |
Class C |
Class I |
Class W |
AIG Multi-Asset Allocation |
$ — |
$ (9,272) |
$ (5,527) |
N/A |
$ — |
AIG Active Allocation |
$ 7,118 |
$ (11,190) |
$ (11,609) |
N/A |
$ — |
AIG Focused Dividend Strategy |
$ — |
$ — |
$ — |
N/A |
$ — |
AIG Strategic Value |
$ — |
$ — |
$ — |
N/A |
$ (639) |
AIG Select Dividend Growth |
$ (207,875) |
$ — |
$ (37,321) |
N/A |
$ (24,654) |
AIG Focused Dividend Strategy II |
$ (161,153) |
$ — |
$ — |
N/A |
$— |
|
2019 | ||||
Fund |
Class A |
Class B |
Class C |
Class I |
Class W |
AIG Multi-Asset Allocation |
$ — |
$ (11,724) |
$ (7,910) |
N/A |
$ — |
AIG Active Allocation |
$ (8,910) |
$ (13,901) |
$ (14,232) |
N/A |
$ — |
AIG Focused Dividend Strategy |
$ — |
$ — |
$ — |
N/A |
$ — |
AIG Strategic Value |
$ — |
$ — |
$ — |
N/A |
$ (3,406) |
AIG Select Dividend Growth |
$ (200,535) |
$ — |
$ (37,232) |
N/A |
$ (21,956) |
|
2019 | ||||
Fund |
Class A |
Class B |
Class C |
Class I |
Class W |
AIG Focused Dividend Strategy II |
$ (127,481) |
$ — |
$ — |
N/A |
$— |
|
2018 | ||||
Fund |
Class A |
Class B |
Class C |
Class I |
Class W |
AIG Multi-Asset Allocation |
$ — |
$ (12,814) |
$ — |
$ (2,779) |
$ — |
AIG Active Allocation |
$ (15,902) |
$ (14,861) |
$ (9,674) |
$ (8,812) |
$ — |
AIG Focused Dividend Strategy |
$ — |
$ — |
$ — |
N/A |
$ — |
AIG Strategic Value |
$ — |
$ — |
$ — |
N/A |
$ 4,775 |
AIG Select Dividend Growth |
$ (4,066) |
$ — |
$ (8,875) |
N/A |
$ (9,900) |
AIG Focused Dividend Strategy II |
$ (138,321) |
$ — |
$ — |
N/A |
$— |
Fund |
Adviser/Subadviser |
Portfolio Manager |
AIG Active Allocation Fund |
SunAmerica |
Manisha Singh, CFA® |
AIG Focused Dividend Strategy Fund |
SunAmerica |
Timothy Pettee |
Timothy Campion | ||
Andrew Sheridan | ||
Jane Bayar Algieri | ||
AIG Focused Dividend Strategy II Fund |
SunAmerica |
Timothy Pettee |
Timothy Campion | ||
Andrew Sheridan | ||
Jane Bayar Algieri | ||
AIG Multi-Asset Allocation Fund |
SunAmerica |
Manisha Singh, CFA® |
AIG Select Dividend Growth Fund |
SunAmerica |
Timothy Pettee |
Timothy Campion | ||
Andrew Sheridan | ||
Jane Bayar Algieri | ||
AIG Strategic Value Fund |
SunAmerica |
Timothy Pettee |
Timothy Campion | ||
Andrew Sheridan | ||
Jane Bayar Algieri |
Fund—Adviser/Subadviser |
Portfolio Manager |
Other Accounts | |||||
Number of Other Accounts Managed and Total Assets by Account (in millions except as noted) |
Number of Accounts and Total Assets for Which Advisory Fee is Performance Based (in millions except as noted) | ||||||
RCs |
OPIs |
OAs |
RCs |
OPIs |
OAs | ||
AIG Active Allocation Fund— SunAmerica |
Manisha Singh, CFA® |
15 $ 17,564 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
AIG Focused Dividend Strategy Fund—SunAmerica |
Timothy Pettee |
6 $ 758 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
|
Timothy Campion |
32 $ 19,086 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
|
Andrew Sheridan |
6 $ 758 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
|
Jane Bayar Algieri |
6 $ 758 |
|
- $ - |
- $ - |
- $ - |
- $ - |
AIG Focused Dividend Strategy II Fund—SunAmerica |
Timothy Pettee |
6 $ 758 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
|
Timothy Campion |
32 $ 19,086 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
|
Andrew Sheridan |
6 $ 758 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
|
Jane Bayar Algieri |
6 $ 758 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
AIG Multi-Asset Allocation Fund— SunAmerica |
Manisha Singh, CFA® |
15 $ 17,485 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
AIG Select Dividend Growth Fund— SunAmerica |
Timothy Pettee |
6 $ 758 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
|
Timothy Campion |
32 $ 19,086 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
|
Andrew Sheridan |
6 $ 758 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
|
Jane Bayar Algieri |
6 $ 758 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
AIG Strategic Value Fund— SunAmerica |
Timothy Pettee |
6 $ 758 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
|
Timothy Campion |
32 $ 19,086 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
|
Andrew Sheridan |
6 $ 758 |
- $ - |
- $ - |
- $ - |
- $ - |
- $ - |
|
Jane Bayar Algieri |
6 $ 758 |
- $ - |
- $ - |
- $ - |
- $ - |
- $- |
Fund |
Adviser/ Subadviser |
Portfolio Manager |
Dollar Range of Equity Securities Beneficially Owned in the Fund |
AIG Active Allocation Fund |
SunAmerica |
Manisha Singh, CFA |
$0 |
AIG Focused Dividend Strategy Fund |
SunAmerica |
Timothy Pettee |
Over $1,000,000 |
|
|
Timothy Campion |
$0 |
|
|
Andrew Sheridan |
$10,001-50,000 |
|
|
Jane Algieri |
$0 |
AIG Focused Dividend Strategy II Fund |
SunAmerica |
Timothy Pettee |
$0 |
|
|
Timothy Campion |
$0 |
|
|
Andrew Sheridan |
$0 |
|
|
Jane Algieri |
$0 |
Fund |
Adviser/ Subadviser |
Portfolio Manager |
Dollar Range of Equity Securities Beneficially Owned in the Fund |
AIG Multi-Asset Allocation Fund |
SunAmerica |
Manisha Singh, CFA |
$0 |
AIG Select Dividend Growth Fund |
SunAmerica |
Timothy Pettee |
$0 |
|
|
Timothy Campion |
$0 |
|
|
Andrew Sheridan |
$0 |
|
|
Jane Algieri |
$0 |
AIG Strategic Value Fund |
SunAmerica |
Timothy Pettee |
$0 |
|
|
Timothy Campion |
$0 |
|
|
Andrew Sheridan |
$0 |
|
|
Jane Bayar Algieri |
$0 |
|
2020 | ||
Fund |
Class A |
Class B |
Class C |
AIG Multi-Asset Allocation |
$ — |
$ 69,100 |
$ 85,469 |
AIG Active Allocation |
$ — |
$ 45,221 |
$ 75,858 |
AIG Focused Dividend Strategy |
$ 6,521,122 |
$ 2,343,195 |
$ 17,926,597 |
AIG Strategic Value |
$ 559,447 |
$ — |
$ 73,000 |
AIG Select Dividend Growth* |
$ 103,152 |
$ — |
$ 38,940 |
AIG Focused Dividend Strategy II** |
$ 3,790 |
$ — |
$— |
|
2019 | ||
Fund |
Class A |
Class B |
Class C |
AIG Multi-Asset Allocation |
$ — |
$ 89,131 |
$ 118,114 |
AIG Active Allocation |
$ — |
$ 59,807 |
$ 100,149 |
AIG Focused Dividend Strategy |
$ 10,347,276 |
$ 3,377,575 |
$ 27,909,475 |
AIG Strategic Value |
$ 655,467 |
$ — |
$ 114,787 |
AIG Select Dividend Growth+ |
$ 126,832 |
$ — |
$ 43,298 |
AIG Focused Dividend Strategy II++ |
$ 4,152 |
$ — |
$— |
|
2018 | ||
Fund |
Class A |
Class B |
Class C |
AIG Multi-Asset Allocation |
$ — |
$ 115,583 |
$ 302,317 |
AIG Active Allocation |
$ — |
$ 76,152 |
$ 191,114 |
AIG Focused Dividend Strategy |
$ 14,935,183 |
$ 4,179,926 |
$ 35,642,224 |
AIG Strategic Value |
$ 701,173 |
$ — |
$ 273,551 |
AIG Select Dividend Growth# |
$ 142,889 |
$ — |
$ 17,505 |
AIG Focused Dividend Strategy II## |
$ 4,296 |
$ — |
$— |
AIG Multi-Asset Allocation Fund |
Class A |
Class B |
Class C |
Compensation to sales personnel |
$ — |
$ 10,526 |
$ 9,741 |
Compensation to broker dealers* |
$ — |
$ 82,215 |
$ 225,800 |
Advertising |
$ — |
$ 197 |
$ 248 |
Printing and mailing of prospectuses to other than current shareholders |
$ — |
$ 42 |
$ 55 |
Other Expenses# |
$ — |
$ 22,240 |
$23,162 |
AIG Active Allocation Fund |
Class A |
Class B |
Class C |
Compensation to sales personnel |
$ — |
$ 15,103 |
$ 6,728 |
Compensation to broker dealers* |
$ — |
$ 80,180 |
$ 190,202 |
Advertising |
$ — |
$ 114 |
$ 191 |
Printing and mailing of prospectuses to other than current shareholders |
$ — |
$ 29 |
$ 48 |
Other Expenses# |
$ — |
$ 21,074 |
$22,638 |
AIG Focused Dividend Strategy Fund |
Class A |
Class B |
Class C |
Compensation to sales personnel |
$ 1,120,505 |
$ 67,212 |
$ 490,915 |
Compensation to broker dealers* |
$ 5,553,684 |
$ 915,388 |
$ 19,097,059 |
Advertising |
$ 33,227 |
$ 4,201 |
$ 32,904 |
Printing and mailing of prospectuses to other than current shareholders |
$ 7,245 |
$ 913 |
$ 6,923 |
Other Expenses# |
$ 632,463 |
$ 96,258 |
$613,399 |
AIG Strategic Value Fund |
Class A |
Class B |
Class C |
Compensation to sales personnel |
$ 18,609 |
$ — |
$ 2,027 |
Compensation to broker dealers* |
$ 482,274 |
$ — |
$ 96,794 |
Advertising |
$ 3,221 |
$ — |
$ 155 |
Printing and mailing of prospectuses to other than current shareholders |
$ 821 |
$ — |
$ 33 |
AIG Strategic Value Fund |
Class A |
Class B |
Class C |
Other Expenses# |
$ 72,460 |
$ — |
$21,112 |
AIG Select Dividend Growth Fund |
Class A |
Class B |
Class C |
Compensation to sales personnel |
$ 3,861 |
$ — |
$ 1,701 |
Compensation to broker dealers* |
$ 18,486 |
$ — |
$ 47,447 |
Advertising |
$ 1,175 |
$ — |
$ 159 |
Printing and mailing of prospectuses to other than current shareholders |
$ 271 |
$ — |
$ 36 |
Other Expenses# |
$ 29,098 |
$ — |
$20,090 |
AIG Focused Dividend Strategy II Fund |
Class A |
Class B |
Class C |
Compensation to sales personnel |
$ — |
$ — |
$ — |
Compensation to broker dealers* |
$ — |
$ — |
$ — |
Advertising |
$ — |
$ — |
$ — |
Printing and mailing of prospectuses to other than current shareholders |
$ — |
$ — |
$ — |
Other Expenses# |
$ — |
$ — |
$— |
|
Class W |
Focused Dividend Strategy II Fund |
N/A |
Select Dividend Growth Fund |
$ 2,943 |
Focused Dividend Strategy Fund |
$ 4,053,991 |
Strategic Value Fund |
$ 6,995 |
AIG Multi-Asset Allocation Fund |
N/A |
AIG Active Allocation Fund |
N/A |
|
Class W |
Focused Dividend Strategy II Fund |
N/A |
Select Dividend Growth Fund |
$ 2,765 |
Focused Dividend Strategy Fund |
$ 6,823,930 |
Strategic Value Fund |
$ 6,367 |
AIG Multi-Asset Allocation Fund |
N/A |
AIG Active Allocation Fund |
N/A |
|
Class W |
Focused Dividend Strategy II Fund |
N/A |
|
Class W |
Select Dividend Growth Fund |
$ 1,475 |
Focused Dividend Strategy Fund |
$ 8,699,733 |
Strategic Value Fund |
$ 5,152 |
AIG Multi-Asset Allocation Fund |
N/A |
AIG Active Allocation Fund |
N/A |
2020 |
Class A |
Class B |
Class C |
Class W |
AIG Focused Dividend Strategy |
4,105,896 |
515,709 |
3,944,514 |
5,945,854 |
AIG Strategic Value |
356,133 |
— |
16,090 |
10,259 |
AIG Select Dividend Growth |
65,910 |
— |
8,874 |
4,317 |
AIG Focused Dividend Strategy II |
2,382 |
— |
— |
— |
2019 |
Class A |
Class B |
Class C |
Class W |
AIG Focused Dividend Strategy |
6,509,616 |
743,354 |
6,140,397 |
10,008,431 |
AIG Strategic Value |
415,121 |
— |
25,291 |
9,339 |
AIG Select Dividend Growth |
80,685 |
— |
9,804 |
4,055 |
AIG Focused Dividend Strategy II |
2,611 |
— |
— |
— |
2018 |
Class A |
Class B |
Class C |
Class W |
AIG Focused Dividend Strategy |
9,374,276 |
920,044 |
7,841,667 |
12,759,608 |
AIG Strategic Value |
442,986 |
— |
60,454 |
7,556 |
AIG Select Dividend Growth |
90,776 |
— |
4,151 |
2,164 |
AIG Focused Dividend Strategy II |
2,700 |
— |
— |
— |
Fund |
Aggregate Brokerage Commissions |
Amount Paid To Affiliated Broker- Dealers |
Percentage Paid to Affiliated Broker- Dealers |
Percentage of Amount of Transactions Involving Payment of Commissions to Affiliated Broker- Dealers |
AIG Multi-Asset Allocation |
$ — |
$ — |
—% |
—% |
AIG Active Allocation |
$ — |
$ — |
—% |
—% |
AIG Focused Dividend Strategy |
$ 4,287,788 |
$ — |
—% |
—% |
AIG Strategic Value |
$ 76,352 |
$ — |
—% |
—% |
AIG Select Dividend Growth |
$ 12,601 |
$ — |
—% |
—% |
AIG Focused Dividend Strategy II |
$ 552 |
$ — |
—% |
—% |
Fund |
Aggregate Brokerage Commissions |
Amount Paid To Affiliated Broker- Dealers |
Percentage Paid to Affiliated Broker- Dealers |
Percentage of Amount of Transactions Involving Payment of Commissions to Affiliated Broker- Dealers |
AIG Multi-Asset Allocation |
$ — |
$ — |
—% |
—% |
AIG Active Allocation |
$ — |
$ — |
—% |
—% |
AIG Focused Dividend Strategy |
$ 3,270,072 |
$ — |
—% |
—% |
AIG Strategic Value |
$ 118,536 |
$ — |
—% |
—% |
AIG Select Dividend Growth |
$ 20,838 |
$ — |
—% |
—% |
AIG Focused Dividend Strategy II |
$ 188 |
$ — |
—% |
—% |
Fund |
Aggregate Brokerage Commissions |
Amount Paid To Affiliated Broker- Dealers |
Percentage Paid to Affiliated Broker- Dealers |
Percentage of Amount of Transactions Involving Payment of Commissions to Affiliated Broker- Dealers |
AIG Multi-Asset Allocation |
$ — |
$ — |
—% |
—% |
AIG Active Allocation |
$ — |
$ — |
—% |
—% |
AIG Focused Dividend Strategy |
$ 2,090,066 |
$ — |
—% |
—% |
AIG Strategic Value |
$ 96,979 |
$ — |
—% |
—% |
AIG Select Dividend Growth |
$ 23,895 |
$ — |
—% |
—% |
AIG Focused Dividend Strategy II |
$ 613 |
$ — |
—% |
—% |
Fund |
Gross Dollar Value of Purchase/Sales Directed to Research Providers |
Dollar Amount of Commissions Directed to Research Providers |
Focused Dividend Strategy II Fund |
$ 1,431,894 |
$ 552 |
Select Dividend Growth Fund |
$ 44,289,073 |
$ 12,601 |
Focused Dividend Strategy Fund |
$ 12,203,824,384 |
$ 4,287,788 |
Strategic Value Fund |
$ 182,813,482 |
$ 76,352 |
AIG Multi-Asset Allocation Fund |
$ 0 |
$ 0 |
AIG Active Allocation Fund |
$ 0 |
$0 |
Fund |
Broker Dealer |
Amount($) (000s) |
Debt/Equity |
AIG Focused Dividend Strategy |
JP Morgan Chase & Co. |
$ 150,659 |
Equity |
AIG Focused Dividend Strategy II |
JP Morgan Chase & Co. |
$ 36 |
Equity |
Amount of Investment |
Sales Charges % of Offering Price |
Concession to Dealers % of Offering Price |
Less than $50,000 |
5.75% |
5.00% |
$50,000 but less than $100,000 |
4.75% |
4.00% |
$100,000 but less than $250,000 |
3.75% |
3.00% |
$250,000 but less than $500,000 |
3.00% |
2.50% |
$500,000 but less than $1,000,000 |
2.00% |
1.75% |
$1,000,000 or more* |
None |
1.00% |
Fund |
Front-End Sales Concessions Class A Shares |
Amount Reallowed to Affiliated Broker- Dealers Class A Shares |
Amount Reallowed to Non-Affiliated Broker Dealers Class A Shares |
Contingent Deferred Sales Charge Class A Shares |
Contingent Deferred Sales Charge Class B Shares |
Contingent Deferred Sales Charge Class C Shares |
AIG Multi-Asset Allocation |
$ 100,178 |
$ 13,984 |
$ 71,793 |
$ — |
$ 21,366 |
$ 521 |
AIG Active Allocation |
$ 98,934 |
$ 9,031 |
$ 74,548 |
$ — |
$ 26,989 |
$ 2,204 |
AIG Focused Dividend Strategy |
$ 1,678,017 |
$ 212,354 |
$ 1,210,866 |
$ 26,330 |
$ 591,951 |
$ 95,152 |
AIG Strategic Value |
$ 54,501 |
$ 14,147 |
$ 32,616 |
$ — |
$ — |
$ 26 |
AIG Select Dividend Growth |
$ 22,677 |
$ 9,818 |
$ 9,178 |
$ 3,020 |
$ — |
$— |
Fund |
Front-End Sales Concessions Class A Shares |
Amount Reallowed to Affiliated Broker- Dealers Class A Shares |
Amount Reallowed to Non-Affiliated Broker Dealers Class A Shares |
Contingent Deferred Sales Charge Class A Shares |
Contingent Deferred Sales Charge Class B Shares |
Contingent Deferred Sales Charge Class C Shares |
AIG Multi-Asset Allocation |
$ 115,744 |
$ 16,844 |
$ 83,031 |
$ 20 |
$ 36,207 |
$ 522 |
AIG Active Allocation |
$ 73,352 |
$ 12,345 |
$ 50,776 |
$ 36 |
$ 10,965 |
$ 2,631 |
AIG Focused Dividend Strategy |
$ 3,281,310 |
$ 289,581 |
$ 2,517,746 |
$ 70,855 |
$ 510,507 |
$ 148,780 |
AIG Strategic Value |
$ 75,541 |
$ 11,136 |
$ 52,824 |
$ 170 |
$ — |
$ 474 |
AIG Select Dividend Growth |
$ 18,069 |
$ 4,974 |
$ 10,471 |
$ — |
$ — |
$379 |
Fund |
Front-End Sales Concessions Class A Shares |
Amount Reallowed to Affiliated Broker- Dealers Class A Shares |
Amount Reallowed to Non-Affiliated Broker Dealers Class A Shares |
Contingent Deferred Sales Charge Class A Shares |
Contingent Deferred Sales Charge Class B Shares |
Contingent Deferred Sales Charge Class C Shares |
AIG Multi-Asset Allocation |
$ 146,101 |
$ 23,819 |
$ 100,246 |
$ 37 |
$ 24,296 |
$ 2,216 |
AIG Active Allocation |
$ 110,130 |
$ 18,034 |
$ 74,778 |
$ 145 |
$ 10,045 |
$ 1,900 |
AIG Focused Dividend Strategy |
$ 6,444,083 |
$ 439,987 |
$ 5,014,225 |
$ 71,478 |
$ 648,236 |
$ 226,825 |
AIG Strategic Value |
$ 73,179 |
$ 8,265 |
$ 53,299 |
$ 137 |
$ — |
$ 290 |
AIG Select Dividend Growth |
$ 25,519 |
$ 3,264 |
$ 18,257 |
$ 47 |
$ — |
$643 |
Fund |
ST |
LT |
AIG Multi-Asset Allocation |
$ — |
$ — |
AIG Active Allocation |
- |
- |
AIG Focused Dividend Strategy |
278,041,241 |
350,388,582 |
AIG Strategic Value |
1,315,211 |
- |
AIG Select Dividend Growth |
- |
1,182,100 |
AIG Focused Dividend Strategy II |
120,967 |
175,459 |
AIG Multi-Asset Allocation Fund | |||
|
Class A |
Class B |
Class C+ |
Net Assets |
$ 173,090,352 |
$ 9,643,913 |
$ 8,810,918 |
Number of Shares Outstanding |
10,581,778 |
593,356 |
541,536 |
Net Asset Value Per Share (net assets divided by number of shares) |
$ 16.36 |
$ 16.25 |
$ 16.27 |
Sales charge for Class A: Shares 5.75% of offering price (6.10% of net asset value per share)* |
1.00 |
— |
— |
Offering Price |
$ 17.36 |
$ — |
$— |
AIG Active Allocation Fund | |||
|
Class A |
Class B |
Class C+ |
Net Assets |
$ 98,205,386 |
$ 6,241,729 |
$ 8,288,465 |
Number of Shares Outstanding |
6,281,611 |
403,494 |
533,419 |
Net Asset Value Per Share (net assets divided by number of shares) |
$ 15.63 |
$ 15.47 |
$ 15.54 |
Sales charge for Class A Shares: 5.75% of offering price (6.10% of net asset value per share)* |
0.95 |
— |
— |
Offering Price |
$ 16.58 |
$ — |
$— |
AIG Focused Dividend Strategy Fund | ||||
|
Class A |
Class B |
Class C+ |
Class W |
Net Assets |
$ 1,666,378,630 |
$ 175,030,580 |
$ 1,117,141,070 |
$ 1,691,793,767 |
Number of Shares Outstanding |
118,030,591 |
12,509,726 |
79,870,558 |
120,020,782 |
Net Asset Value Per Share (net assets divided by number of shares) |
$ 14.12 |
$ 13.99 |
$ 13.99 |
$ 14.10 |
Sales charge for Class A Shares: 5.75% of offering price (6.10% of net asset value per share)* |
0.86 |
— |
— |
— |
Offering Price |
$ 14.98 |
$ — |
$ — |
$— |
AIG Strategic Value Fund | |||
|
Class A |
Class C+ |
Class W |
Net Assets |
$ 144,370,270 |
$ 4,275,280 |
$ 3,972,732 |
Number of Shares Outstanding |
5,967,764 |
194,636 |
164,376 |
AIG Strategic Value Fund | |||
|
Class A |
Class C+ |
Class W |
Net Asset Value Per Share (net assets divided by number of shares) |
$ 24.19 |
$ 21.97 |
$ 24.17 |
Sales charge for Class A Shares: 5.75% of offering price (6.10% of net asset value per share)* |
1.48 |
— |
— |
Offering Price |
$ 25.67 |
$ — |
$— |
AIG Select Dividend Growth Fund | |||
|
Class A |
Class C+ |
Class W |
Net Assets |
$ 25,449,278 |
$ 3,387,035 |
$ 1,183,274 |
Number of Shares Outstanding |
1,834,810 |
245,433 |
85,720 |
Net Asset Value Per Share (net assets divided by number of shares) |
$ 13.87 |
$ 13.80 |
$ 13.80 |
Sales charge for Class A Shares: 5.75% of offering price (6.10% of net asset value per share)* |
0.85 |
— |
— |
Offering Price |
$ 14.72 |
$ — |
$— |
AIG Focused Dividend Strategy II Fund | |||
|
Class A |
Class C+ |
Class W |
Net Assets |
$ 1,050,620 |
N/A |
N/A |
Number of Shares Outstanding |
108,724 |
N/A |
N/A |
Net Asset Value Per Share (net assets divided by number of shares) |
$ 9.66 |
N/A |
N/A |
Sales charge for Class A Shares: 5.75% of offering price (6.10% of net asset value per share)* |
0.59 |
N/A |
N/A |
Offering Price |
$ 10.25 |
N/A |
N/A |
Aaa |
Obligations rated Aaa are judged to be of the highest quality, subject to the lowest level of credit risk. |
Aa |
Obligations rated Aa are judged to be of high quality and are subject to very low credit risk. |
A |
Obligations rated A are judged to be upper-medium grade and are subject to low credit risk. |
Baa |
Obligations rated Baa are judged to be medium-grade and subject to moderate credit risk and as such may possess certain speculative characteristics. |
Ba |
Obligations rated Ba are judged to be speculative and are subject to substantial credit risk. |
B |
Obligations rated B are considered speculative and are subject to high credit risk. |
Caa |
Obligations rated Caa are judged to be speculative of poor standing and are subject to very high credit risk. |
Ca |
Obligations rated Ca are highly speculative and are likely in, or very near, default, with some prospect of recovery of principal and interest. |
C |
Obligations rated C are the lowest rated and are typically in default, with little prospect for recovery of principal or interest. |
P-1 |
Issuers (or supporting institutions) rated Prime-1 have a superior ability to repay short-term debt obligations. |
P-2 |
Issuers (or supporting institutions) rated Prime-2 have a strong ability to repay short-term debt obligations. |
P-3 |
Issuers (or supporting institutions) rated Prime-3 have an acceptable ability to repay short-term obligations. |
NP |
Issuers (or supporting institutions) rated Not Prime do not fall within any of the Prime rating categories. |
MIG 1 |
This designation denotes superior credit quality. Excellent protection is afforded by established cash flows, highly reliable liquidity support, or demonstrated broad-based access to the market for refinancing. |
MIG 2 |
This designation denotes strong credit quality. Margins of protection are ample, although not as large as in the preceding group. |
MIG 3 |
This designation denotes acceptable credit quality. Liquidity and cash-flow protection may be narrow, and market access for refinancing is likely to be less well-established. |
SG |
This designation denotes speculative-grade credit quality. Debt instruments in this category may lack sufficient margins of protection. |
VMIG 1 |
This designation denotes superior credit quality. Excellent protection is afforded by the superior short-term credit strength of the liquidity provider and structural and legal protections that ensure the timely payment of purchase price upon demand. |
VMIG 2 |
This designation denotes strong credit quality. Good protection is afforded by the strong short-term credit strength of the liquidity provider and structural and legal protections that ensure the timely payment of purchase price upon demand. |
VMIG 3 |
This designation denotes acceptable credit quality. Adequate protection is afforded by the satisfactory short-term credit strength of the liquidity provider and structural and legal protections that ensure the timely payment of purchase price upon demand. |
SG |
This designation denotes speculative-grade credit quality. Demand features rated in this category may be supported by a liquidity provider that does not have a sufficiently strong short-term rating or may lack the structural or legal protections necessary to ensure the timely payment of purchase price upon demand. |
AAA |
An obligation rated ‘AAA’ has the highest rating assigned by S&P Global Ratings. The obligor’s capacity to meet its financial commitments on the obligation is extremely strong. |
AA |
An obligation rated ‘AA’ differs from the highest-rated obligations only to a small degree. The obligor’s capacity to meet its financial commitments on the obligation is very strong. |
A |
An obligation rated ‘A’ is somewhat more susceptible to the adverse effects of changes in circumstances and economic conditions than obligations in higher-rated categories. However, the obligor’s capacity to meet its financial commitments on the obligation is still strong. |
BBB |
An obligation rated ‘BBB’ exhibits adequate protection parameters. However, adverse economic conditions or changing circumstances are more likely to weaken the obligor’s capacity to meet its financial commitments on the obligation. |
BB; B; CCC; CC; and C |
Obligations rated ‘BB’, ‘B’, ‘CCC’, ‘CC’, and ‘C’ are regarded as having significant speculative characteristics. ‘BB’ indicates the least degree of speculation and ‘C’ the highest. While such obligations will likely have some quality and protective characteristics, these may be outweighed by large uncertainties or major exposure to adverse conditions. |
BB |
An obligation rated ‘BB’ is less vulnerable to nonpayment than other speculative issues. However, it faces major ongoing uncertainties or exposure to adverse business, financial, or economic conditions that could lead to the obligor’s inadequate capacity to meet its financial commitments on the obligation. |
B |
An obligation rated ‘B’ is more vulnerable to nonpayment than obligations rated ‘BB’, but the obligor currently has the capacity to meet its financial commitments on the obligation. Adverse business, financial, or economic conditions will likely impair the obligor’s capacity or willingness to meet its financial commitments on the obligation. |
CCC |
An obligation rated ‘CCC’ is currently vulnerable to nonpayment and is dependent upon favorable business, financial, and economic conditions for the obligor to meet its financial commitments on the obligation. In the event of adverse business, financial, or economic conditions, the obligor is not likely to have the capacity to meet its financial commitments on the obligation. |
CC |
An obligation rated ‘CC’ is currently highly vulnerable to nonpayment. The ‘CC’ rating is used when a default has not yet occurred but S&P Global Ratings expects default to be a virtual certainty, regardless of the anticipated time to default. |
C |
An obligation rated ‘C’ is currently highly vulnerable to nonpayment, and the obligation is expected to have lower relative seniority or lower ultimate recovery compared with obligations that are rated higher. |
D |
An obligation rated ‘D’ is in default or in breach of an imputed promise. For non-hybrid capital instruments, the ‘D’ rating category is used when payments on an obligation are not made on the date due, unless S&P Global Ratings believes that such payments will be made within five business days in the absence of a stated grace period or within the earlier of the stated grace period or 30 calendar days. The ‘D’ rating also will be used upon the filing of a bankruptcy petition or the taking of similar action and where default on an obligation is a virtual certainty, for example due to automatic stay provisions. A rating
on an obligation is lowered to ‘D’ if it is subject to a distressed exchange offer. |
A-1 |
A short-term obligation rated ‘A-1’ is rated in the highest category by S&P Global Ratings. The obligor’s capacity to meet its financial commitments on the obligation is strong. Within this category, certain obligations are designated with a plus sign (+). This indicates that the obligor’s capacity to meet its financial commitments on these obligations is extremely strong. |
A-2 |
A short-term obligation rated ‘A-2’ is somewhat more susceptible to the adverse effects of changes in circumstances and economic conditions than obligations in higher rating categories. However, the obligor’s capacity to meet its financial commitments on the obligation is satisfactory. |
A-3 |
A short-term obligation rated ‘A-3’ exhibits adequate protection parameters. However, adverse economic conditions or changing circumstances are more likely to weaken an obligor’s capacity to meet its financial commitments on the obligation. |
B |
A short-term obligation rated ‘B’ is regarded as vulnerable and has significant speculative characteristics. The obligor currently has the capacity to meet its financial commitments; however, it faces major ongoing uncertainties that could lead to the obligor’s inadequate capacity to meet its financial commitments. |
C |
A short-term obligation rated ‘C’ is currently vulnerable to nonpayment and is dependent upon favorable business, financial, and economic conditions for the obligor to meet its financial commitments on the obligation. |
D |
A short-term obligation rated ‘D’ is in default or in breach of an imputed promise. For non-hybrid capital instruments, the ‘D’ rating category is used when payments on an obligation are not made on the date due, unless S&P Global Ratings believes that such payments will be made within any stated grace period. However, any stated grace period longer than five business days will be treated as five business days. The ‘D’ rating also will be used upon the filing of a bankruptcy petition or the taking of a similar action and where default on an obligation is a virtual certainty, for example due to automatic stay provisions. A rating on an obligation is lowered to ‘D’
if it is subject to a distressed exchange offer. |
SP-1 |
Strong capacity to pay principal and interest. An issue determined to possess a very strong capacity to pay debt service is given a plus (+) designation. |
SP-2 |
Satisfactory capacity to pay principal and interest, with some vulnerability to adverse financial and economic changes over the term of the notes. |
SP-3 |
Speculative capacity to pay principal and interest. |
D |
‘D’ is assigned upon failure to pay the note when due, completion of a distressed exchange offer, or the filing of a bankruptcy petition or the taking of similar action and where default on an obligation is a virtual certainty, for example due to automatic stay provisions. |
AAA: |
Highest credit quality. ‘AAA’ ratings denote the lowest expectation of credit risk. They are assigned only in cases of exceptionally strong capacity for payment of financial commitments. This capacity is highly unlikely to be adversely affected by foreseeable events. |
AA: |
Very high credit quality. ‘AA’ ratings denote expectations of very low credit risk. They indicate very strong capacity for payment of financial commitments. This capacity is not significantly vulnerable to foreseeable events. |
A: |
High credit quality. ‘A’ ratings denote expectations of low credit risk. The capacity for payment of financial commitments is considered strong. This capacity may, nevertheless, be more vulnerable to adverse business or economic conditions than is the case for higher ratings. |
BBB: |
Good credit quality. ‘BBB’ ratings indicate that expectations of credit risk are currently low. The capacity for payment of financial commitments is considered adequate, but adverse business or economic conditions are more likely to impair this capacity. |
BB: |
Speculative. ‘BB’ ratings indicate an elevated vulnerability to credit risk, particularly in the event of adverse changes in business or economic conditions over time; however, business or financial alternatives may be available to allow financial commitments to be met. |
B: |
Highly speculative. ‘B’ ratings indicate that material credit risk is present. |
CCC: |
Substantial credit risk. ‘CCC’ ratings indicate that substantial credit risk is present. |
CC: |
Very high levels of credit risk. ‘CC’ ratings indicate very high levels of credit risk. |
C: |
Exceptionally high levels of credit risk. ‘C’ indicates exceptionally high levels of credit risk. |
F1: |
Highest Short-Term Credit Quality. Indicates the strongest intrinsic capacity for timely payment of financial commitments; may have an added “+” to denote any exceptionally strong credit feature. |
F2: |
Good Short-Term Credit Quality. Good intrinsic capacity for timely payment of financial commitments. |
F3: |
Fair Short-Term Credit Quality. The intrinsic capacity for timely payment of financial commitments is adequate. |
B: |
Speculative Short-Term Credit Quality. Minimal capacity for timely payment of financial commitments, plus heightened vulnerability to near term adverse changes in financial and economic conditions. |
C: |
High Short-Term Default risk. Default is a real possibility. |
RD: |
Restricted Default. Indicates an entity that has defaulted on one or more of its financial commitments, although it continues to meet other financial obligations. Typically applicable to entity ratings only. |
D: |
Default Indicates a broad-based default event for an entity, or the default of a short-term obligation. |
This ‘497’ Filing | Date | Other Filings | ||
---|---|---|---|---|
1/1/26 | ||||
8/19/22 | ||||
8/9/22 | ||||
10/6/21 | ||||
8/1/21 | ||||
7/16/21 | 24F-2NT | |||
Filed on / Effective on: | 3/3/21 | 497K | ||
3/1/21 | 497, 497K | |||
2/26/21 | 485BPOS, 497K | |||
2/19/21 | ||||
2/8/21 | 497, 497K, DEFA14A | |||
1/31/21 | NPORT-P | |||
12/31/20 | ||||
10/31/20 | 24F-2NT, N-CEN, N-CSR, NPORT-P | |||
10/28/20 | ||||
7/1/20 | ||||
6/30/20 | N-PX | |||
6/15/20 | ||||
5/8/20 | ||||
5/1/20 | 497 | |||
3/31/20 | ||||
2/26/20 | ||||
1/31/20 | NPORT-P | |||
12/31/19 | ||||
10/31/19 | 24F-2NT, N-CEN, N-CSR, NPORT-P | |||
3/1/19 | ||||
2/28/19 | 485BPOS, 497K | |||
2/26/19 | ||||
10/31/18 | 24F-2NT, N-CEN, N-CSR | |||
9/7/18 | ||||
6/5/18 | ||||
12/31/17 | ||||
3/29/17 | ||||
2/28/17 | 485BPOS | |||
1/19/17 | ||||
7/1/16 | ||||
1/27/15 | ||||
12/2/14 | 497 | |||
1/22/14 | ||||
12/31/13 | ||||
12/3/13 | ||||
11/11/13 | ||||
11/10/13 | ||||
10/28/13 | ||||
10/10/13 | DEFA14A | |||
7/22/13 | ||||
7/19/13 | 497, PRE 14A | |||
6/20/13 | ||||
3/31/13 | ||||
3/8/13 | 497 | |||
3/5/13 | 497 | |||
8/13/12 | ||||
7/31/12 | N-Q | |||
3/6/12 | 497 | |||
1/1/12 | ||||
3/1/11 | CORRESP | |||
2/28/11 | 485BPOS | |||
12/6/10 | ||||
12/7/09 | ||||
10/26/09 | ||||
10/16/09 | ||||
8/28/09 | 485BPOS, CORRESP | |||
6/9/09 | ||||
6/2/09 | ||||
1/12/09 | ||||
12/16/08 | ||||
8/26/08 | ||||
10/25/07 | 497 | |||
10/24/07 | 497 | |||
1/22/07 | ||||
11/9/06 | ||||
8/30/05 | ||||
8/3/05 | 497, POS EX | |||
12/1/04 | ||||
2/20/04 | 485BPOS | |||
1/15/04 | 497 | |||
1/1/04 | ||||
10/30/03 | ||||
9/6/02 | 497 | |||
8/1/02 | 485APOS | |||
4/11/02 | ||||
1/30/02 | 485BPOS | |||
11/16/01 | ||||
11/1/01 | ||||
8/22/01 | ||||
2/28/01 | 485BPOS, DEF 14C | |||
10/3/00 | 497 | |||
5/1/00 | 497 | |||
2/17/00 | ||||
11/1/99 | 485APOS | |||
10/19/99 | ||||
4/1/99 | ||||
12/1/98 | 497 | |||
6/1/98 | ||||
4/1/98 | 485APOS, 497 | |||
3/31/98 | ||||
10/15/97 | 497 | |||
3/6/97 | ||||
11/19/96 | ||||
7/3/96 | ||||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 4/19/21 Touchstone Funds Group Trust 497 4/19/21 1:2.9M FilePoint/FA 4/16/21 Touchstone Funds Group Trust 497 4/16/21 1:2.9M FilePoint/FA 4/15/21 Touchstone Funds Group Trust N-14/A 5:3.1M FilePoint/FA 4/12/21 Touchstone Strategic Trust 497 4/12/21 1:4.5M FilePoint/FA 3/09/21 Touchstone Funds Group Trust N-14¶ 3/09/21 9:6.3M FilePoint/FA 3/09/21 Touchstone Strategic Trust N-14¶ 3/09/21 9:8.3M FilePoint/FA |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 1/07/21 Sunamerica Series, Inc. N-CSR 10/31/20 4:2M Toppan Merrill/FA 1/07/21 Sunamerica Series, Inc. N-CSR 10/31/20 4:6.2M Toppan Merrill/FA |