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Oak Ridge Funds Oak Ridge Dividend Growth Fund
Fund Family Oak Ridge Funds Oak Ridge Funds Oak Ridge Funds Oak Ridge Funds Oak Ridge Funds Oak Ridge Funds Oak Ridge Funds Fund Name Oak Ridge Growth Opportunity Fund Class A Oak Ridge Growth Opportunity Fund Class I Oak Ridge Large Cap Growth Fund Class A Oak Ridge Dividend Growth Fund Class A Oak Ridge Large Cap Growth Fund Class C Oak Ridge Large Cap Growth Fund Class I Oak Ridge Funds Oakmark Oak Ridge Dividend Growth Fund Class I Oak Ridge Small Cap Growth Fund Class A Oak Ridge Small Cap Growth Fund Class C Oak Ridge Small Cap Growth Fund Class I Oakmark Select Fund Class I Oakmark Oakmark Oakmark Global Select Fund Class I Oakmark Global Fund Class I Oakmark Oakmark Oakmark Fund Class I Oakmark International Fund Class I Oakmark International Small Cap Fund Class I Oakmark Equity And Income Fund Class I Oak Ridge Funds Oak Ridge Funds Oakmark Oakmark Olstein Olstein Olstein CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 46141P693 OGOAX 5.75 46141P685 OGOIX 46141P180 ORILX 5.75 46141P727 ORDAX 5.75 46141P172 ORLCX 1.00 Redemption Fee Buy/Sell Eligible .25 111.06000 SELL ONLY 110.81000 SELL ONLY .25 1.61000 BUY,SELL .25 51.53000 SELL ONLY 1.00 2.30000 BUY,SELL 46141P164 PORYX 1.15000 SELL ONLY 46141P719 ORDNX 51.28000 SELL ONLY 46141P123 ORIGX 5.75 46141P131 ORICX 1.00 .25 1.34000 BUY,SELL 1.00 2.12000 BUY,SELL 46141P156 ORIYX 413838608 OAKLX OAKW 413838822 X 413838830 OAKGX 1.05000 0.95000 SELL ONLY SELL ONLY 1.13000 1.12000 SELL ONLY SELL ONLY 413838103 OAKMX 413838202 OAKIX 0.85000 0.95000 SELL ONLY SELL ONLY 413838509 OAKEX 1.35000 413838400 OAKBX 0.75000 SELL ONLY 1.27000 1.00 2.27000 SELL ONLY SELL ONLY .25 1.60000 SELL ONLY Olstein All Cap Value Fund Class Advisor 681383204 OFAFX Olstein All Cap Value Fund Class C 681383105 OFALX Olstein Strategic Opportunities Fund Class A 681383303 OFSAX 5.50 1.00 2.00 SELL ONLY Revised 19 Sept 2016 Page 1 of 96 Fund Family Olstein OppenheimerFunds OppenheimerFunds Fund Name Olstein Strategic Opportunities Fund Class C Oppenheimer Capital Appreciation Fund Class A Oppenheimer Equity Fund Class A CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 681383402 OFSCX 1.00 1.00 2.35000 Redemption Fee Buy/Sell Eligible SELL ONLY 68379A107 OPTFX 5.75 683808109 OEQAX 5.75 .25 1.06000 .25 1.03000 BUY,SELL BUY,SELL Oppenheimer Global Value Fund Class A Oppenheimer Portfolio Series Equity Investor Fund Class A Oppenheimer Portfolio Series Active Allocation Fund Class A Oppenheimer Capital Appreciation Fund Class B Oppenheimer Equity Fund Class B Oppenheimer Portfolio Series Equity Investor Fund Class B Oppenheimer Portfolio Series Active Allocation Fund Class B Oppenheimer Capital Appreciation Fund Class C Oppenheimer Equity Fund Class C 68380Q109 GLVAX 5.75 .25 1.31000 BUY,SELL 68382P844 OAAIX 5.75 .25 1.16000 BUY,SELL 68382P885 OAAAX 5.75 .25 1.22000 BUY,SELL OppenheimerFunds OppenheimerFunds Oppenheimer Global Value Fund Class C Oppenheimer Portfolio Series Equity Investor Fund Class C Oppenheimer Portfolio Series Active Allocation Fund Class C Oppenheimer Capital Appreciation Fund Class Y Oppenheimer Capital Appreciation Fund Class I Oppenheimer Equity Fund Class Y OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds 68379A206 OTGBX 683808208 OEQBX 5.00 5.00 1.00 1.82000 1.00 1.79000 SELL ONLY SELL ONLY 68382P836 OBAIX 5.00 1.00 1.91000 SELL ONLY 68382P877 OAABX 5.00 1.00 1.97000 SELL ONLY 68379A305 OTFCX 683808406 OEQCX 1.00 1.00 1.00 1.81000 1.00 1.79000 BUY,SELL BUY,SELL 68380Q307 GLVCX 1.00 1.00 2.06000 BUY,SELL 68382P828 OCAIX 1.00 1.00 1.91000 BUY,SELL 68382P869 OAACX 1.00 1.00 1.97000 BUY,SELL 68379A404 OTCYX 0.81000 SELL ONLY 68379A602 OPTIX 683808307 OEQYX 0.62000 0.78000 SELL ONLY SELL ONLY OppenheimerFunds Oppenheimer Global Value Fund Class Y 68380Q505 GLVYX 1.05000 SELL ONLY OppenheimerFunds Oppenheimer Global Value Fund Class I 0.86000 SELL ONLY 68380Q604 GLVIX Revised 19 Sept 2016 Page 2 of 96 Fund Family OppenheimerFunds Fund Name Oppenheimer Portfolio Series Active Allocation Fund Class Y Oppenheimer Portfolio Series Equity Investor Fund Class Y Oppenheimer Capital Appreciation Fund Class R Oppenheimer Equity Fund Class R CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 68382P760 OAAYX 0.97000 SELL ONLY 68382P778 OYAIX 0.91000 SELL ONLY 68379A503 OTCNX 683808505 OEQNX .50 1.31000 .50 1.29000 SELL ONLY SELL ONLY .50 1.55000 SELL ONLY .50 1.41000 SELL ONLY OppenheimerFunds Oppenheimer Global Value Fund Class R 68380Q406 GLVNX Oppenheimer Portfolio Series Equity Investor Fund Class R 68382P810 ONAIX Oppenheimer Portfolio Series Active Allocation Fund Class R 68382P851 OAANX .50 1.46000 SELL ONLY OppenheimerFunds Oppenheimer Main Street Fund Class A 68380D108 MSIGX 5.75 .25 0.94000 BUY,SELL OppenheimerFunds Oppenheimer Main Street Fund Class B 68380D801 OMSBX 5.00 1.00 1.69000 SELL ONLY OppenheimerFunds OppenheimerFunds Oppenheimer Main Street Fund Class C Oppenheimer Main Street Fund Class I 68380D207 MIGCX 68380D819 OMSIX 1.00 1.00 1.69000 0.50000 BUY,SELL SELL ONLY OppenheimerFunds Oppenheimer Main Street Fund Class Y 0.69000 SELL ONLY OppenheimerFunds Oppenheimer Main Street Fund Class R Oppenheimer Rochester® Short Term Municipal Fund Class A Oppenheimer Rochester® Short Term Municipal Fund Class C Oppenheimer Rochester® Short Term Municipal Fund Class Y Oppenheimer Emerging Markets Innovators Fund Class A Oppenheimer Emerging Markets Innovators Fund Class C Oppenheimer Emerging Markets Innovators Fund Class Y 68380D884 MIGYX OMGN 68380D827 X .50 1.19000 SELL ONLY 68385Y107 ORSTX 2.25 .25 0.86000 SELL ONLY 1.00 1.62000 SELL ONLY 0.61000 SELL ONLY OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds 68385Y206 ORSCX 1.00 68385Y305 ORSYX 68385F108 EMIAX 68385F207 EMVCX 68385F405 EMIYX 5.75 1.00 .25 1.86000 BUY,SELL 1.00 2.70000 BUY,SELL 1.73000 SELL ONLY Revised 19 Sept 2016 Page 3 of 96 Fund Family OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds Fund Name Oppenheimer Emerging Markets Innovators Fund Class I Oppenheimer Emerging Markets Innovators Fund Class R Oppenheimer International Bond Fund Class A Oppenheimer International Bond Fund Class B Oppenheimer International Bond Fund Class C Oppenheimer International Bond Fund Class Y Oppenheimer International Bond Fund Class I Oppenheimer International Bond Fund Class R Oppenheimer Rochester® High YieldMunicipal Fund Class A Oppenheimer Rochester® High YieldMunicipal Fund Class B Oppenheimer Rochester® High YieldMunicipal Fund Class C Oppenheimer Rochester® High YieldMunicipal Fund Class Y Oppenheimer Rochester® Ohio Municipal Fund Class A Oppenheimer Rochester® Ohio Municipal Fund Class B Oppenheimer Rochester® Ohio Municipal Fund Class C Oppenheimer Rochester® Ohio Municipal Fund Class Y Oppenheimer Rochester® AMT-Free Municipals Fund Class A Oppenheimer Rochester® AMT-Free Municipals Fund Class B CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 68385F504 EMVIX 1.61000 SELL ONLY 68385F306 EMIRX .50 2.25000 SELL ONLY .25 1.02000 BUY,SELL 68380T103 OIBAX 4.75 68380T202 OIBBX 5.00 1.00 1.77000 SELL ONLY 68380T301 OIBCX 1.00 1.00 1.77000 BUY,SELL 68380T509 OIBYX 0.77000 SELL ONLY 68380T608 OIBIX 0.57000 SELL ONLY 68380T400 OIBNX .50 1.27000 SELL ONLY 683940308 ORNAX 4.75 .15 0.99000 SELL ONLY 683940407 ORNBX 5.00 .90 1.75000 SELL ONLY 683940886 ORNCX 1.00 .90 1.75000 SELL ONLY 0.84000 SELL ONLY .25 1.14000 SELL ONLY 683940852 ORNYX 68383E103 OROHX 4.75 68383E202 OROBX 5.00 1.00 1.92000 SELL ONLY 68383E301 OROCX 1.00 1.00 1.90000 SELL ONLY 0.90000 SELL ONLY .25 0.98000 SELL ONLY 1.00 1.73000 SELL ONLY 68383E400 OROYX 683977102 OPTAX 4.75 683977201 OTFBX 5.00 Revised 19 Sept 2016 Page 4 of 96 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible OppenheimerFunds Oppenheimer Rochester® AMT-Free Municipals Fund Class C Oppenheimer Rochester® AMT-Free Municipals Fund Class Y Oppenheimer Rochester® California Municipal Fund Class A Oppenheimer Rochester® California Municipal Fund Class B Oppenheimer Rochester® California Municipal Fund Class C Oppenheimer Rochester® California Municipal Fund Class Y OppenheimerFunds Oppenheimer Rochester® Limited Term California Municipal Fund Class A 68382L108 OLCAX 2.25 .25 0.89000 SELL ONLY OppenheimerFunds Oppenheimer Rochester® Limited Term New York Municipal Fund Class A 771740107 LTNYX 2.25 .25 0.85000 SELL ONLY OppenheimerFunds Oppenheimer Rochester® Limited Term California Municipal Fund Class B 68382L207 OLCBX 4.00 1.00 1.69000 SELL ONLY OppenheimerFunds Oppenheimer Rochester® Limited Term New York Municipal Fund Class B 771740404 LTBBX 4.00 1.00 1.61000 SELL ONLY OppenheimerFunds Oppenheimer Rochester® Limited Term California Municipal Fund Class C 68382L306 OLCCX 1.00 1.00 1.65000 SELL ONLY OppenheimerFunds Oppenheimer Rochester® Limited Term New York Municipal Fund Class C 771740305 LTNCX 1.00 1.00 1.60000 SELL ONLY OppenheimerFunds Oppenheimer Rochester® Limited Term California Municipal Fund Class Y 68382L405 OLCYX 0.65000 SELL ONLY OppenheimerFunds Oppenheimer Rochester® Limited Term New York Municipal Fund class Y 771740602 LTBYX 0.60000 SELL ONLY OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds 683977300 OMFCX 1.00 683977508 OMFYX 683912109 OPCAX 4.75 1.00 1.73000 SELL ONLY 0.73000 SELL ONLY .25 1.07000 SELL ONLY 683912208 OCABX 5.00 1.00 1.84000 SELL ONLY 683912307 OCACX 1.00 1.00 1.82000 SELL ONLY 0.83000 SELL ONLY 683912406 OCAYX Revised 19 Sept 2016 Page 5 of 96 Fund Family OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Oppenheimer Rochester® Massachusetts Municipal Fund Class A 683822100 ORMAX 4.75 Oppenheimer Rochester® New Jersey Municipal Fund Class A 683940506 ONJAX 4.75 .25 1.64000 SELL ONLY .15 1.17000 SELL ONLY 5.00 1.00 2.47000 SELL ONLY 5.00 .90 1.93000 SELL ONLY 1.00 1.00 2.40000 SELL ONLY 1.00 .90 1.92000 SELL ONLY 683822407 ORYAX 1.39000 SELL ONLY 683940878 ONJYX 1.02000 SELL ONLY 683837108 OPNCX 4.75 .25 1.46000 SELL ONLY 683940100 OPATX 4.75 .15 0.95000 SELL ONLY Oppenheimer Rochester® Massachusetts Municipal Fund Class B 683822209 ORBAX Oppenheimer Rochester® New Jersey Municipal Fund Class B 683940605 ONJBX Oppenheimer Rochester® Massachusetts Municipal Fund Class C 683822308 ORCAX Oppenheimer Rochester® New Jersey Municipal Fund Class C 683940803 ONJCX Oppenheimer Rochester® Massachusetts Municipal Fund Class Y Oppenheimer Rochester® New Jersey Municipal Fund Class Y Oppenheimer Rochester® North Carolina Municipal Fund Class A Oppenheimer Rochester® Pennsylvania Municipal Fund Class A Oppenheimer Rochester® North Carolina Municipal Fund Class B Oppenheimer Rochester® Pennsylvania Municipal Fund Class B Oppenheimer Rochester® North Carolina Municipal Fund Class C Oppenheimer Rochester® Pennsylvania Municipal Fund Class C Oppenheimer Rochester® North Carolina Municipal Fund Class Y Oppenheimer Rochester® Pennsylvania Municipal Fund Class Y Redemption Fee Buy/Sell Eligible 683837207 OPCBX 5.00 1.00 2.24000 SELL ONLY 683940209 OPABX 5.00 .90 1.71000 SELL ONLY 683837306 OPCCX 1.00 1.00 2.21000 SELL ONLY 683940704 OPACX 1.00 .90 1.70000 SELL ONLY 683837405 OPCYX 1.21000 SELL ONLY 683940860 OPAYX 0.80000 SELL ONLY Revised 19 Sept 2016 Page 6 of 96 Fund Family OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds Fund Name Oppenheimer SteelPath Panoramic Fund Class A Oppenheimer Equity Income Fund Class A Oppenheimer Equity Income Fund Class B Oppenheimer Equity Income Fund Class C Oppenheimer Equity Income Fund Class Y Oppenheimer Equity Income Fund Class I Oppenheimer Equity Income Fund Class R Oppenheimer Rochester® Limited Term Municipal Fund Class A Oppenheimer Rochester® Limited Term Municipal Fund Class B Oppenheimer Rochester® Limited Term Municipal Fund Class C Oppenheimer Rochester® Limited Term Municipal Fund Class Y Oppenheimer SteelPath MLP Select 40 Fund Class A Oppenheimer SteelPath MLP Income Fund Class A Oppenheimer SteelPath MLP Select 40 Fund Class C Oppenheimer SteelPath MLP Income Fund Class C Shares Oppenheimer SteelPath MLP Select 40 Fund Class Y Oppenheimer SteelPath MLP Income Fund Class Y Oppenheimer SteelPath MLP Income Fund Class I CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 68385Q104 EESAX 5.75 .25 1.72000 SELL ONLY 68381A103 OAEIX .25 1.02000 BUY,SELL 5.75 68381A202 OBEIX 5.00 1.00 1.76000 SELL ONLY 68381A301 OCEIX 1.00 1.00 1.76000 BUY,SELL 68381A509 OYEIX 0.76000 SELL ONLY 68381A608 OEIIX 0.58000 SELL ONLY .50 1.26000 SELL ONLY .25 0.92000 SELL ONLY 68381A400 ONEIX 683957104 OPITX 2.25 683957609 OIMBX 4.00 1.00 1.68000 SELL ONLY 683957401 OITCX 1.00 1.00 1.67000 SELL ONLY 0.67000 SELL ONLY 858268105 MLPFX 5.75 .25 1.23000 SELL ONLY 858268600 MLPDX 5.75 .25 1.49000 SELL ONLY 683957708 OPIYX 858268808 MLPEX 1.00 1.00 1.98000 SELL ONLY 858268873 MLPRX 1.00 1.00 2.24000 SELL ONLY 858268204 MLPTX 0.98000 SELL ONLY 858268709 MLPZX 1.24000 SELL ONLY 858268774 OSPMX 1.05000 SELL ONLY Revised 19 Sept 2016 Page 7 of 96 Fund Family OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds Fund Name Oppenheimer SteelPath MLP Select 40 Fund Class I Oppenheimer Capital Income Fund Class A Oppenheimer Global Strategic Income Class A Oppenheimer Limited-Term Bond Fund Class A Oppenheimer Portfolio Series Conservative Investor Fund Class A Oppenheimer Portfolio Series Moderate Investor Fund Class A Oppenheimer Core Bond Fund Class A Oppenheimer Capital Income Fund Class B Oppenheimer Global Strategic Income Class B Oppenheimer Limited-Term Bond Fund Class B Oppenheimer Portfolio Series Conservative Investor Fund Class B Oppenheimer Portfolio Series Moderate Investor Fund Class B Oppenheimer Core Bond Fund Class B Oppenheimer Capital Income Fund Class C Oppenheimer Global Strategic Income Class C Oppenheimer Limited-Term Bond Fund Class C Oppenheimer Portfolio Series Conservative Investor Fund Class C Oppenheimer Portfolio Series Moderate Investor Fund Class C Oppenheimer Core Bond Fund Class C Oppenheimer Capital Income Fund Class Y CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 858268790 OSPSX 0.80000 Redemption Fee Buy/Sell Eligible SELL ONLY 683793103 OPPEX 5.75 .25 1.08000 BUY,SELL 68380K102 OPSIX 4.75 .25 1.04000 BUY,SELL 683810105 OUSGX 2.25 .25 0.91000 BUY,SELL 68382P109 OACIX 5.75 .25 1.07000 BUY,SELL 68382P505 OAMIX 5.75 683969109 OPIGX 4.75 .25 1.08000 .25 0.96000 BUY,SELL BUY,SELL 683793202 OPEBX 5.00 1.00 1.84000 SELL ONLY 68380K201 OPSGX 5.00 1.00 1.79000 SELL ONLY 683810303 UGTBX 4.00 1.00 1.66000 SELL ONLY 68382P208 OBCIX 5.00 1.00 1.83000 SELL ONLY 68382P604 OBMIX 683969208 OIGBX 5.00 5.00 1.00 1.83000 1.00 1.74000 SELL ONLY SELL ONLY 683793301 OPECX 1.00 1.00 1.83000 BUY,SELL 68380K409 OSICX 1.00 1.00 1.79000 BUY,SELL 683810204 OUSCX 1.00 1.00 1.65000 BUY,SELL 68382P307 OCCIX 1.00 1.00 1.82000 BUY,SELL 68382P703 OCMIX 683969307 OPBCX 1.00 1.00 1.00 1.83000 1.00 1.72000 BUY,SELL BUY,SELL 683793509 OCIYX 0.84000 SELL ONLY Revised 19 Sept 2016 Page 8 of 96 Fund Family OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds Fund Name Oppenheimer Capital Income Fund Class I Oppenheimer Global Strategic Income Class Y Oppenheimer Limited-Term Bond Fund Class Y Oppenheimer Limited Term Bond Fund Class I Oppenheimer Portfolio Series Moderate Investor Fund Class Y Oppenheimer Portfolio Series Conservative Investor Fund Class Y Oppenheimer Core Bond Fund Class Y Oppenheimer Core Bond Fund Class I Oppenheimer Capital Income Fund Class R Oppenheimer Global Strategic Income Class R Oppenheimer Limited-Term Bond Fund Class R Oppenheimer Portfolio Series Conservative Investor Fund Class R Oppenheimer Portfolio Series Moderate Investor Fund Class R Oppenheimer Core Bond Fund Class R Oppenheimer Main Street Small Cap Fund Class A Oppenheimer Main Street Small Cap Fund Class C Oppenheimer Main Street Small Cap Fund Class Y Oppenheimer Main Street Small Cap Fund Class I Oppenheimer Main Street Small Cap Fund Class R Oppenheimer Limited-Term Government Fund Class A Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 683793608 OCIIX 0.64000 SELL ONLY 68380K508 OSIYX 0.79000 SELL ONLY 683810402 OUSYX 0.65000 SELL ONLY 683810600 OUSIX 0.46000 SELL ONLY 68382P786 OYMIX 0.83000 SELL ONLY 68382P794 OYCIX 683969604 OPBYX 683969802 OPBIX 0.82000 0.71000 0.52000 SELL ONLY SELL ONLY SELL ONLY 683793400 OCINX .50 1.34000 SELL ONLY 68380K607 OSINX .50 1.29000 SELL ONLY 683810501 OUSNX .50 1.16000 SELL ONLY 68382P406 ONCIX .50 1.32000 SELL ONLY 68382P802 ONMIX 683969703 OPBNX .50 1.33000 .50 1.21000 SELL ONLY SELL ONLY 68385H104 OSCAX 5.75 .25 1.26000 BUY,SELL 1.00 2.01000 BUY,SELL CUSIP 68385H203 OSCCX 1.00 Redemption Fee Buy/Sell Eligible 68385H401 OSCYX .00 1.00000 SELL ONLY 68385H500 OSSIX .00 0.80000 SELL ONLY 68385H302 OSCNX .50 1.51000 SELL ONLY 68380F103 OPGVX 2.25 .25 0.92000 BUY,SELL Revised 19 Sept 2016 Page 9 of 96 Fund Family OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds Fund Name Oppenheimer Limited-Term Government Fund Class B Oppenheimer Limited-Term Government Fund Class C Oppenheimer Limited-Term Government Fund Class Y Oppenheimer Limited-Term Government Fund Class R Oppenheimer Global High Yield Fund Class A Oppenheimer Global High Yield Fund Class C Oppenheimer Global High Yield Fund Class Y Oppenheimer Global High Yield Fund Class I Oppenheimer Global High Yield Fund Class R Oppenheimer International Growth Fund Class A Oppenheimer International Growth Fund Class B Oppenheimer International Growth Fund Class C Oppenheimer International Growth Fund Class Y Oppenheimer International Growth Fund Class I Oppenheimer International Growth Fund Class R Oppenheimer Rising Dividends Fund Class A Oppenheimer Rising Dividends Fund Class B Oppenheimer Rising Dividends Fund Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 68380F202 OGSBX 4.00 1.00 1.68000 SELL ONLY 68380F301 OLTCX 1.00 1.00 1.66000 BUY,SELL 68380F400 OLTYX 0.66000 SELL ONLY 68380F509 OLTNX .50 1.17000 SELL ONLY 68384W102 OGYAX 4.75 .25 1.79000 SELL ONLY 1.00 2.76000 SELL ONLY 68384W300 OGYYX 1.69000 SELL ONLY 68384W409 OGYIX 1.26000 SELL ONLY 68384W508 OGYNX .50 2.65000 SELL ONLY 68380L100 OIGAX 5.75 .25 1.14000 BUY,SELL 68384W201 OGYCX 1.00 68380L209 IGRWX 5.00 1.00 1.89000 SELL ONLY 68380L308 OIGCX 1.00 1.00 1.89000 BUY,SELL 68380L407 OIGYX 0.89000 SELL ONLY 68380L605 OIGIX 0.70000 SELL ONLY 68380L506 OIGNX .50 1.39000 SELL ONLY 68380H109 OARDX 5.75 .25 1.06000 BUY,SELL 68380H208 OBRDX 5.00 1.00 1.81000 SELL ONLY 68380H307 OCRDX 1.00 1.00 1.81000 BUY,SELL Revised 19 Sept 2016 Page 10 of 96 Fund Family OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds Fund Name Oppenheimer Rising Dividends Fund Class Y Oppenheimer Rising Dividends Fund Class I Oppenheimer Rising Dividends Fund Class R Oppenheimer Value Fund Class A Oppenheimer Value Fund Class B Oppenheimer Value Fund Class C Oppenheimer Value Fund Class I Oppenheimer Value Fund Class Y Oppenheimer Value Fund Class R Oppenheimer Rochester® Michigan Municipal Fund Class A Oppenheimer Rochester® Michigan Municipal Fund Class B Oppenheimer Rochester® Michigan Municipal Fund Class C Oppenheimer Rochester® Michigan Municipal Fund Class Y Oppenheimer International Small-Mid Company Fund Class A Oppenheimer International Small-Mid Company Fund Class B Oppenheimer International Small-Mid Company Fund Class C Oppenheimer International Small-Mid Company Fund Class Y Oppenheimer International Small-Mid Company Fund Class I Oppenheimer International Small-Mid Company Fund Class R Oppenheimer Rochester® Intermediate Term Municipal Fund Class A Oppenheimer Rochester® Intermediate Term Municipal Fund Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 68380H406 OYRDX 0.81000 SELL ONLY 68380H604 OIRDX 0.62000 SELL ONLY .50 1.30000 SELL ONLY .25 0.96000 1.00 1.71000 1.00 1.71000 0.51000 0.70000 .50 1.20000 BUY,SELL SELL ONLY BUY,SELL SELL ONLY SELL ONLY SELL ONLY .25 1.28000 SELL ONLY 68380H505 ONRDX CGRW 68380J303 X 5.75 68380J402 CGRBX 68380J857 CGRCX 68380J774 OGRIX 68380J816 CGRYX 68380J790 CGRNX 5.00 1.00 683826101 ORMIX 4.75 683826200 ORMBX 5.00 1.00 2.03000 SELL ONLY 683826309 ORMCX 1.00 1.00 2.03000 SELL ONLY 1.03000 SELL ONLY 683826408 ORMYX 68380U100 OSMAX 5.75 .25 1.44000 BUY,SELL 68380U209 OSMBX 5.00 1.00 2.18000 SELL ONLY 68380U308 OSMCX 1.00 1.00 2.19000 BUY,SELL 68380U506 OSMYX 1.19000 SELL ONLY 68380U605 OSCIX 1.00000 SELL ONLY .50 1.69000 SELL ONLY .25 1.18000 SELL ONLY 1.00 1.94000 SELL ONLY 68380U407 OSMNX ORRW 68385T108 X 2.25 68385T207 ORRCX 1.00 Revised 19 Sept 2016 Page 11 of 96 Fund Family OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds Fund Name Oppenheimer Rochester® Intermediate Term Municipal Fund Class Y Oppenheimer Discovery Fund Class A Oppenheimer Discovery Fund Class B Oppenheimer Discovery Fund Class C Oppenheimer Discovery Fund Class Y Oppenheimer Discovery Fund Class R Oppenheimer Main Street Select Fund Class A Oppenheimer Main Street Select Fund Class B Oppenheimer Main Street Select Fund Class C Oppenheimer Main Street Select Fund Class Y Oppenheimer Main Street Select Fund Class R Oppenheimer Main Street Mid Cap Fund Class A Oppenheimer Main Street Mid Cap Fund Class B Oppenheimer Main Street Mid Cap Fund Class C Oppenheimer Main Street Mid Cap Fund Class Y Oppenheimer Main Street Mid Cap Fund Class I Oppenheimer Main Street Mid Cap Fund Class R Oppenheimer Global Opportunities Fund Class A Oppenheimer Global Opportunities Fund Class B Oppenheimer Global Opportunities Fund Class C Oppenheimer Global Opportunities Fund Class Y Gross Front End 12b-1 Expense Load CDSC Fees Ratio CUSIP Ticker 68385T306 683921100 683921209 683921407 683921308 683921506 ORRYX OPOCX 5.75 ODIBX ODICX ODIYX ODINX 5.00 1.00 68380D876 OMSOX 5.75 0.95000 .25 1.11000 1.00 1.87000 1.00 1.86000 0.86000 .50 1.36000 .25 1.14000 Redemption Fee Buy/Sell Eligible SELL ONLY BUY,SELL SELL ONLY BUY,SELL SELL ONLY SELL ONLY BUY,SELL 68380D868 OMOBX 5.00 1.00 1.90000 SELL ONLY 68380D850 OMSCX 1.00 1.00 1.90000 BUY,SELL 68380D843 OMSYX 0.89000 SELL ONLY 68380D835 OMSNX .50 1.39000 SELL ONLY 68381F102 OPMSX 5.75 .25 1.11000 BUY,SELL 68381F201 OPMBX 5.00 1.00 1.86000 SELL ONLY 68381F300 OPMCX 1.00 1.00 1.86000 BUY,SELL 68381F409 OPMYX 0.86000 SELL ONLY 68381F607 OPMIX 0.67000 SELL ONLY 68381F508 OPMNX .50 1.36000 SELL ONLY 683943104 OPGIX 5.75 .25 1.19000 BUY,SELL 683943302 OGGIX 5.00 1.00 1.94000 SELL ONLY 683943203 OGICX 1.00 1.00 1.94000 BUY,SELL 683943401 OGIYX 0.94000 SELL ONLY Revised 19 Sept 2016 Page 12 of 96 Fund Family OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds Fund Name Oppenheimer Global Opportunities Fund Class I Oppenheimer Global Opportunities Fund Class R Oppenheimer International Value Fund Class A Oppenheimer International Value Fund Class B Oppenheimer International Value Fund Class C Oppenheimer International Value Fund Class Y Oppenheimer International Value Fund Class R Oppenheimer Rochester® AMT-Free New York Municipals Fund Class A Oppenheimer Rochester® AMT-Free New York Municipals Fund Class B Oppenheimer Rochester® AMT-Free New York Municipals Fund Class C Oppenheimer Rochester® AMT-Free New York Municipals Fund Class Y Oppenheimer Gold & Special Minerals Fund Class A Oppenheimer Gold and Special Minerals Fund Class B Oppenheimer Gold & Special Minerals Fund Class C Oppenheimer Gold & Special Minerals Fund Class Y Oppenheimer Gold & Special Minerals Fund Class I Oppenheimer Gold and Special Minerals Fund Class R Oppenheimer Global Multi-Asset Income Fund Class A Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 683943609 OGIIX 0.75000 SELL ONLY .50 1.43000 SELL ONLY .25 1.32000 BUY,SELL CUSIP 683943500 OGINX 68380G101 QIVAX 5.75 Redemption Fee Buy/Sell Eligible 68380G200 QIVBX 5.00 1.00 2.09000 SELL ONLY 68380G309 QIVCX 1.00 1.00 2.07000 BUY,SELL 68380G507 QIVYX 1.07000 SELL ONLY 68380G408 QIVNX .50 1.57000 SELL ONLY 683913107 OPNYX 4.75 .25 0.96000 SELL ONLY 683913206 ONYBX 5.00 1.00 1.73000 SELL ONLY 683913305 ONYCX 1.00 1.00 1.71000 SELL ONLY 0.71000 SELL ONLY 683913404 ONYYX 683910103 OPGSX 5.75 683910202 OGMBX OGMC 683910301 X .25 1.19000 BUY,SELL 5.00 1.00 1.96000 SELL ONLY 1.00 1.00 1.95000 BUY,SELL 683910509 OGMYX 0.94000 SELL ONLY 683910608 OGMIX OGMN 683910400 X 0.75000 SELL ONLY .50 1.43000 SELL ONLY 68385D103 QMAAX 4.75 .25 1.81000 SELL ONLY Revised 19 Sept 2016 Page 13 of 96 Fund Family OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds Fund Name Oppenheimer Global Multi-Asset Growth Fund Class A Oppenheimer Global Multi-Asset Income Fund Class C Oppenheimer Global Multi-Asset Income Fund Class Y Oppenheimer Global Multi-Asset Income Fund Class I Oppenheimer Global Multi-Asset Income Fund Class R Oppenheimer Corporate Bond Fund A Class Oppenheimer Corporate Bond Fund C Class Oppenheimer Corporate Bond Fund Y Class Oppenheimer Corporate Bond Fund Class I Oppenheimer Corporate Bond Fund R Class Oppenheimer Dividend Opportunity Fund Class A Oppenheimer Dividend Opportunity Fund Class B Oppenheimer Dividend Opportunity Fund Class C Oppenheimer Dividend Opportunity Fund Class Y Oppenheimer Dividend Opportunity Fund Class I Oppenheimer Dividend Opportunity Fund Class R Oppenheimer Small Cap Value Fund A Oppenheimer Small Cap Value Fund C Oppenheimer Small Cap Value Fund Y Oppenheimer Small Cap Value Fund I Oppenheimer Small Cap Value Fund R CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 68385E101 QMGAX 5.75 Redemption Fee Buy/Sell Eligible .25 1.53000 SELL ONLY 1.00 5.70000 SELL ONLY 68385D400 QMAYX 1.63000 SELL ONLY 68385D509 QMAIX 1.35000 SELL ONLY .50 4.55000 SELL ONLY .25 1.02000 BUY,SELL 1.00 1.78000 BUY,SELL 68385D202 QMACX 1.00 68385D301 QMARX 68381B101 OFIAX 4.75 68381B200 OFICX 1.00 68381B408 OFIYX 0.78000 SELL ONLY 68381B507 OFIIX 0.57000 SELL ONLY 68381B309 OFINX .50 1.28000 SELL ONLY 68382H107 OSVAX 5.75 .25 1.16000 BUY,SELL 68382H206 OSVBX 5.00 1.00 1.93000 SELL ONLY 68382H305 OSCVX 1.00 1.00 1.91000 BUY,SELL 68382H503 OSVYX .00 0.91000 SELL ONLY 68382H602 OSVIX .00 0.70000 SELL ONLY .50 1.40000 .25 1.56000 1.00 2.31000 1.31000 1.12000 .50 1.81000 SELL ONLY BUY,SELL BUY,SELL SELL ONLY SELL ONLY SELL ONLY 68382H404 68386A108 68386A207 68386A405 68386A504 68386A306 OSVNX OVSAX 5.75 OVSCX OVSYX OVSIX OVSRX 1.00 Revised 19 Sept 2016 Page 14 of 96 Fund Family OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds Fund Name Oppenheimer Global Multi Strategies Fund Class A Oppenheimer Global Multi-Alternatives Fund A Oppenheimer Global Multi-Alternatives Fund C Oppenheimer Global Multi Strategies Fund Class Y Oppenheimer Global Multi-Alternatives Fund I Oppenheimer Global Multi-Alternatives Fund Y Oppenheimer Global Multi-Alternatives Fund R Oppenheimer Rochester® Arizona Municipal Fund Class A Oppenheimer Rochester® Arizona Municipal Fund Class B Oppenheimer Rochester® Arizona Municipal Fund Class C Oppenheimer Rochester® Arizona Municipal Fund Class Y Oppenheimer Rochester® Maryland Municipal Fund Class A Oppenheimer Rochester® Maryland Municipal Fund Class B Oppenheimer Rochester® Maryland Municipal Fund Class C Oppenheimer Rochester® Maryland Municipal Fund Class Y Oppenheimer Mid Cap Value Fund Class A Oppenheimer Mid Cap Value Fund Class B Oppenheimer Mid Cap Value Fund Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 68379V101 OARAX 5.75 .25 1.62000 SELL ONLY 68384L106 ODAAX 5.75 .25 1.41000 SELL ONLY 1.00 2.16000 SELL ONLY 68379V408 OARYX 1.37000 SELL ONLY 68384L304 ODAIX 0.97000 SELL ONLY 68384L403 ODAYX 1.16000 SELL ONLY 68384L502 ODANX .50 1.66000 SELL ONLY 683821102 ORAZX 4.75 .25 1.60000 SELL ONLY 68384L205 ODACX 1.00 683821201 ORBZX 5.00 1.00 2.38000 SELL ONLY 683821300 ORCZX 1.00 1.00 2.36000 SELL ONLY 1.34000 SELL ONLY .25 1.28000 SELL ONLY 683821409 ORYZX 68384F109 ORMDX 4.75 68384F208 ORYBX 5.00 1.00 2.11000 SELL ONLY 68384F307 ORYCX 1.00 1.00 2.04000 SELL ONLY 1.02000 SELL ONLY 68384F406 ORYYX 68380E700 QVSCX 5.75 .25 1.18000 BUY,SELL 68380E809 QSCBX 5.00 1.00 1.92000 SELL ONLY 68380E882 QSCCX 1.00 1.00 1.92000 BUY,SELL Revised 19 Sept 2016 Page 15 of 96 Fund Family Fund Name OppenheimerFunds Oppenheimer Mid Cap Value Fund Class I Oppenheimer Mid Cap Value Fund Class Y Oppenheimer Mid Cap Value Fund Class R Oppenheimer Emerging Markets Local Debt Fund Class A Oppenheimer Emerging Markets Local Debt Fund Class C Oppenheimer Emerging Markets Local Debt Fund Class Y Oppenheimer Emerging Markets Local Debt Fund Class I Oppenheimer Emerging Markets Local Debt Fund Class R Oppenheimer Global Fund Class A Oppenheimer Global Fund Class B Oppenheimer Global Fund Class C Oppenheimer Global Fund Class Fund Class Y Oppenheimer Global Fund Class R Oppenheimer International Diversified Fund Class A Oppenheimer International Diversified Fund Class B Oppenheimer International Diversified Fund Class C Oppenheimer International Diversified Fund Class Y Oppenheimer International Diversified Fund Class I Oppenheimer International Diversified Fund Class R OppenheimerFunds Oppenheimer Real Estate Fund Class A OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 68380E767 QSCIX 0.73000 SELL ONLY 68380E783 QSCYX 0.92000 SELL ONLY 68380E817 QSCNX .50 1.42000 SELL ONLY 68381C109 OEMAX 4.75 .25 1.54000 BUY,SELL 1.00 2.32000 BUY,SELL 68381C208 OEMCX 1.00 68381C406 OEMYX 1.28000 SELL ONLY 68381C505 OEMIX 1.09000 SELL ONLY 1.82000 1.14000 1.90000 1.90000 SELL ONLY BUY,SELL SELL ONLY BUY,SELL 0.90000 .50 1.40000 SELL ONLY SELL ONLY .25 1.26000 BUY,SELL 68381C307 683924104 683924203 683924302 OEMNX OPPAX 5.75 OGLBX OGLCX 5.00 1.00 683924401 OGLYX 683924500 OGLNX 68383C107 OIDAX 5.75 .50 .25 1.00 1.00 68383C206 OIDBX 5.00 1.00 2.01000 SELL ONLY 68383C305 OIDCX 1.00 1.00 2.01000 BUY,SELL 68383C503 OIDYX 1.01000 SELL ONLY 68383C602 OIDIX 0.82000 SELL ONLY 68383C404 OIDNX .50 1.51000 SELL ONLY 68382F101 OREAX 5.75 .25 1.43000 BUY,SELL Revised 19 Sept 2016 Page 16 of 96 Redemption Fee Buy/Sell Eligible Fund Family Fund Name CUSIP OppenheimerFunds Oppenheimer Global Real Estate Fund Class A 68385C105 OGRAX 5.75 OppenheimerFunds Oppenheimer Real Estate Fund Class B 68382F200 OREBX 5.00 1.00 2.18000 SELL ONLY OppenheimerFunds Oppenheimer Real Estate Fund Class C Oppenheimer Global Real Estate Fund Class C 68382F309 ORECX 1.00 1.00 2.18000 BUY,SELL 68385C303 OGRCX 1.00 1.00 2.35000 BUY,SELL Oppenheimer Real Estate Fund Class Y Oppenheimer Real Estate Fund Class I Oppenheimer Global Real Estate Fund Class Y Oppenheimer Global Real Estate Fund Class I 68382F507 OREYX 68382F606 OREIX 1.18000 0.99000 SELL ONLY SELL ONLY 68385C402 OGRYX .00 1.30000 SELL ONLY 68385C501 OIRGX .00 1.07000 SELL ONLY Oppenheimer Real Estate Fund Class R Oppenheimer Global Real Estate Fund Class R Oppenheimer Ultra-Short Duration Fund Class Y Oppenheimer Ultra-Short Duration Fund Class I Oppenheimer Fundamental Alternatives Fund A Oppenheimer Fundamental Alternatives Fund B Oppenheimer Fundamental Alternatives Fund C Oppenheimer Fundamental Alternatives Fund Y Oppenheimer Fundamental Alternatives Fund R Oppenheimer Rochester® Minnesota Municipal Fund Class A Oppenheimer Rochester® Minnesota Municipal Fund Class B 68382F408 ORENX .50 1.68000 SELL ONLY 68385C204 OGRNX .50 1.86000 SELL ONLY 68385K206 OSDYX 0.38000 SELL ONLY 68385K305 OSDIX 0.35000 SELL ONLY .25 2.19000 SELL ONLY OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio .25 1.58000 68380E106 QVOPX 5.75 BUY,SELL 68380E205 QOPBX 5.00 1.00 2.96000 SELL ONLY 68380E304 QOPCX 1.00 1.00 2.94000 SELL ONLY 68380E841 QOPYX 1.89000 SELL ONLY 68380E791 QOPNX .50 2.44000 SELL ONLY 683833107 OPAMX 4.75 .25 1.07000 SELL ONLY 1.00 1.83000 SELL ONLY 683833206 OPBMX 5.00 Revised 19 Sept 2016 Page 17 of 96 Fund Family OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds Fund Name Oppenheimer Rochester® Minnesota Municipal Fund Class C Oppenheimer Rochester® Minnesota Municipal Fund Class Y Oppenheimer SteelPath MLP Alpha Fund Class A Oppenheimer SteelPath MLP Alpha Plus Fund Class A Oppenheimer SteelPath MLP Alpha Plus Fund Class C Oppenheimer SteelPath MLP Alpha Fund Class C Shares Oppenheimer SteelPath MLP Alpha Fund Class Y Oppenheimer SteelPath MLP Alpha Plus Fund Class I Oppenheimer SteelPath MLP Alpha Fund Class I Oppenheimer SteelPath MLP Alpha Plus Fund Class Y Oppenheimer Senior Floating Rate Fund Class A Oppenheimer Senior Floating Rate Plus Fund Class A Oppenheimer Senior Floating Rate Fund Class B Oppenheimer Senior Floating Rate Fund Class C Oppenheimer Senior Floating Rate Plus Fund Class C Oppenheimer Senior Floating Rate Fund Class Y Oppenheimer Senior Floating Rate Fund Class I Oppenheimer Senior Floating Rate Plus Fund Class Y CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 683833305 OPCMX 1.00 Redemption Fee Buy/Sell Eligible 1.00 1.82000 SELL ONLY 0.82000 SELL ONLY 858268402 MLPAX 5.75 .25 1.63000 SELL ONLY 858268832 MLPLX 5.75 .25 2.30000 SELL ONLY 683833404 OPYMX 858268824 MLPMX 1.00 1.00 3.05000 SELL ONLY 858268881 MLPGX 1.00 1.00 2.38000 SELL ONLY 858268501 MLPOX 1.38000 SELL ONLY 858268766 OSPPX 1.86000 SELL ONLY 858268782 OSPAX 1.19000 SELL ONLY 858268816 MLPNX 2.05000 SELL ONLY 68381K101 OOSAX 3.50 .25 1.08000 BUY,SELL 68385R102 OSFAX 3.50 .25 2.39000 SELL ONLY SELL ONLY 68381K200 OOSBX 3.00 .75 1.59000 68381K309 OOSCX 1.00 1.00 1.83000 BUY,SELL 68385R201 OSFCX 1.00 1.00 3.17000 SELL ONLY 68381K408 OOSYX 0.83000 SELL ONLY 68381K606 OOSIX 0.76000 SELL ONLY 68385R300 OSFYX 2.02000 SELL ONLY Revised 19 Sept 2016 Page 18 of 96 Fund Family OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds Fund Name Oppenheimer Senior Floating Rate Plus Fund Class I Oppenheimer Developing Markets Fund Class A Oppenheimer Developing Markets Fund Class B Oppenheimer Developing Markets Fund Class C Oppenheimer Developing Markets Fund Class Y Oppenheimer Developing Markets Fund Class I Oppenheimer Developing Markets Fund Class R Oppenheimer Rochester® Fund Municipals Fund Class A Oppenheimer Rochester® Fund Municipals Fund Class B Oppenheimer Rochester® Fund Municipals Fund Class C Oppenheimer Rochester® Fund Municipals Fund Class Y Oppenheimer Discovery Mid Cap Growth Fund A Oppenheimer Discovery Mid Cap Growth Fund B Oppenheimer Discovery Mid Cap Growth Fund C Oppenheimer Discovery Mid Cap Growth Fund Y Oppenheimer Discovery Mid Cap Growth Fund R Oppenheimer Rochester® Virginia Municipal Fund Class A Oppenheimer Rochester® Virginia Municipal Fund Class B CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 68385R409 OSFIX 1.71000 683974109 ODMAX 5.75 .25 1.31000 Redemption Fee Buy/Sell Eligible SELL ONLY BUY,SELL 683974208 ODVBX 5.00 1.00 2.06000 SELL ONLY 683974307 ODVCX 1.00 1.00 2.06000 BUY,SELL 683974505 ODVYX 1.06000 SELL ONLY 683974604 ODVIX 0.87000 SELL ONLY 683974406 ODVNX .50 1.56000 SELL ONLY 771362100 RMUNX 4.75 .15 0.86000 SELL ONLY 771362209 RMUBX 5.00 1.00 1.72000 SELL ONLY 771362308 RMUCX 1.00 1.00 1.71000 SELL ONLY 0.71000 SELL ONLY 771362407 RMUYX 68379Y105 OEGAX 5.75 .25 1.33000 BUY,SELL 68379Y204 OEGBX 5.00 1.00 2.09000 SELL ONLY 68379Y303 OEGCX 1.00 1.00 2.09000 BUY,SELL 68379Y501 OEGYX 1.08000 SELL ONLY 68379Y402 OEGNX .50 1.58000 SELL ONLY 68384J101 ORVAX 4.75 .25 1.55000 SELL ONLY 1.00 2.32000 SELL ONLY 68384J200 ORVBX 5.00 Revised 19 Sept 2016 Page 19 of 96 Fund Family OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds OppenheimerFunds pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust Fund Name Oppenheimer Rochester® Virginia Municipal Fund Class C Oppenheimer Rochester® Virginia Municipal Fund Class Y Oppenheimer Global Allocation Fund Class A Oppenheimer Global Allocation Fund Class B Oppenheimer Global Allocation Fund Class C Oppenheimer Global Allocation Fund Class I Oppenheimer Global Allocation Fund Class Y Oppenheimer Global Allocation Fund Class R Pacific Funds Small/Mid-Cap Class A Pacific Funds Small/Mid-Cap Investor Class Pacific Funds Short Duration Income Fund Class A Pacific Funds Short Duration Income Fund Advisor Class Pacific Funds Short Duration Income Fund Class C Pacific Funds Short Duration Income Fund Class I CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 68384J309 ORVCX 1.00 68384J408 ORVYX 68380E403 QVGIX 5.75 1.00 2.31000 SELL ONLY 1.32000 SELL ONLY .25 1.34000 BUY,SELL 68380E502 QGRBX 5.00 1.00 2.09000 SELL ONLY 68380E601 QGRCX 1.00 1.00 2.09000 BUY,SELL 68380E775 QGRIX 0.88000 SELL ONLY 68380E833 QGRYX 1.08000 SELL ONLY 68380E825 QGRNX .50 1.59000 SELL ONLY 69448A524 PFDAX 4.25 .25 4.69000 SELL ONLY 69448A474 PFIRX .25 4.69000 69448A409 PLADX 3.00 .25 1.06000 69447T748 PLDSX 69448A508 PLCSX 0.81000 1.00 69448A607 PLSDX Pacific Funds High Income Fund Class C 69448A201 PLCHX 69448A300 PLHIX 1.00 1.81000 0.66000 Pacific Funds High Income Fund Class A 69448A102 PLAHX 4.25 Pacific Funds High Income Fund Advisor Class 69447T755 PLHYX Pacific Funds High Income Fund Class I Redemption Fee Buy/Sell Eligible .25 1.32000 1.07000 1.00 1.00 2.07000 0.92000 1.00 SELL ONLY BUY,SELL SELL ONLY BUY,SELL SELL ONLY BUY,SELL SELL ONLY BUY,SELL SELL ONLY Revised 19 Sept 2016 Page 20 of 96 Fund Family Fund Name pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust Pacific Funds Portfolio Optimization Aggressive-Growth Fund Class A Pacific Funds Portfolio Optimization Growth Fund Class A Pacific Funds Portfolio Optimization Aggressive-Growth Fund Advisor Class Pacific Funds Portfolio Optimization Growth Fund Advisor Class Pacific Funds Portfolio Optimization Aggressive-Growth Fund Class B Pacific Funds Portfolio Optimization Growth Fund Class B Pacific Funds Portfolio Optimization Aggressive-Growth Fund Class C Pacific Funds Portfolio Optimization Growth Fund Class C Pacific Funds Portfolio Optimization Aggressive-Growth Fund Retirement Class Pacific Funds Portfolio Optimization Growth Fund Class Retirement Pacific Funds Portfolio Optimization Moderate Fund Class A Pacific Funds Portfolio Optimization Moderate-Conservative Fund Class A Pacific Funds Portfolio Optimization Conservative Fund Class A Pacific Funds Portfolio Optimization Moderate Fund Advisor Class Pacific Funds Portfolio Optimization Moderate-Conservative Fund Advisor Class Pacific Funds Portfolio Optimization Moderate Fund Class B Pacific Funds Portfolio Optimization Moderate-Conservative Fund Class B pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 694289349 POEAX 5.50 .25 1.54000 BUY,SELL 694289372 PODAX 5.50 .25 1.51000 BUY,SELL 69447T649 POEDX 1.29000 SELL ONLY 69447T656 PMADX 1.26000 SELL ONLY 694289331 POEBX 5.00 1.00 2.29000 SELL ONLY 694289364 PODBX 5.00 1.00 2.26000 SELL ONLY 694289323 POCEX 1.00 1.00 2.29000 BUY,SELL 694289356 PODCX 1.00 1.00 2.26000 BUY,SELL 694289141 POERX .50 1.79000 SELL ONLY 694289158 PODRX .50 1.76000 SELL ONLY 694289414 POCAX 5.50 .25 1.47000 BUY,SELL 694289448 POBAX 5.50 .25 1.44000 BUY,SELL 694289471 POAAX 5.50 .25 1.39000 BUY,SELL 69447T664 POMDX 1.22000 SELL ONLY 69447T672 PMCDX 1.19000 SELL ONLY 694289398 POMBX 5.00 1.00 2.22000 SELL ONLY 694289430 POBBX 5.00 1.00 2.19000 SELL ONLY Revised 19 Sept 2016 Page 21 of 96 Fund Family Fund Name pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust Pacific Funds Portfolio Optimization Conservative Fund Class B Pacific Funds Portfolio Optimization Moderate Fund Class C Pacific Funds Portfolio Optimization Moderate-Conservative Fund Class C Pacific Funds Portfolio Optimization Conservative Fund Class C Pacific Funds Portfolio Optimization Moderate Fund Class Retirement Pacific Funds Portfolio Optimization Moderate-Conservative Fund Class Retirement Pacific Funds Portfolio Optimization Conservative Fund Class Retirement Pacific Funds Strategic Income Fund Class A Pacific Funds Strategic Income Fund Advisor Class Pacific Funds Strategic Income Fund Class C Pacific Funds Strategic Income Fund Class I Pacific Funds Limited Duration High Income Fund Class A Pacific Funds Floating Rate Income Fund Class A Pacific Funds Floating Rate Income Fund Advisor Class Pacific Funds Limited Duration High Income Fund Class C Pacific Funds Floating Rate Income Fund Class C Pacific Funds Floating Rate Income Fund Class I pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust pacific funds series trust CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 694289463 POABX 5.00 1.00 2.14000 SELL ONLY 694289380 POMCX 1.00 1.00 2.22000 BUY,SELL 694289422 POBCX 1.00 1.00 2.19000 BUY,SELL 694289455 POACX 1.00 1.00 2.14000 BUY,SELL 694289166 POCRX .50 1.72000 SELL ONLY 694289174 POBRX .50 1.69000 SELL ONLY 694289182 POARX .50 1.64000 SELL ONLY 69448A706 PLSTX 4.25 .25 1.30000 BUY,SELL 69447T730 PLSFX 1.05000 69448A805 PLCNX 1.00 69448A888 PLSRX 1.00 2.05000 0.90000 SELL ONLY BUY,SELL SELL ONLY 69448A763 PLLDX 3.00 .25 1.45000 BUY,SELL 69448A870 PLFLX .25 1.30000 BUY,SELL 3.00 69447T714 PLFDX 1.05000 SELL ONLY 69448A755 PLLCX 1.00 1.00 2.20000 BUY,SELL 69448A862 PLBCX 1.00 1.00 2.05000 BUY,SELL 69447T771 PLFRX Pacific Funds Core Income Fund Class A 69447T813 PLIAX 0.90000 4.25 .25 1.14000 SELL ONLY BUY,SELL Revised 19 Sept 2016 Page 22 of 96 Fund Family Fund Name Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio pacific funds series trust pacific funds series trust pacific funds series trust Pax World Pacific Funds Core Income Fund Advisor Class 69447T722 PLIDX 0.89000 Pax World Pax World Pax World Pax World Pax World Pax World Pax World Pax World Pax World Pax World Pax World Pax World Pax World Pax World Pax World Pax World CUSIP Pacific Funds Core Income Fund Class C 69447T789 PLNCX Pacific Funds Core Income Fund Class I Pax ESG Beta Quality Fund Class A Pax ESG Beta Quality Fund Institutional Class Pax ESG Beta Quality Fund Individual Investor Class Pax High Yield Bond Fund Institutional Class Pax High Yield Bond Fund Individual Investor Class Pax Ellevate Global Women's Index Fund Institutional Class Pax Ellevate Global Women's Index Fund Individual Investor Class Pax Sustainable Managers Capital Appreciation Fund Class A Pax Sustainable Managers Capital Appreciation Fund Class C Pax Sustainable Managers Capital Appreciation Fund Institutional Class Pax Sustainable Managers Capital Appreciation Fund Individual Investor Class Pax Balanced Fund Class Institutional Pax Balanced Fund Individual Investor Class Pax Small Cap Fund Class A Pax Mid Cap Fund Institutional Class Pax Small Cap Fund Institutional Class Pax Mid Cap Fund Individual Investor Class 1.00 1.00 1.89000 Redemption Fee Buy/Sell Eligible SELL ONLY BUY,SELL 69447T797 PLIIX 704223585 PXGAX 5.50 0.74000 .25 0.90000 SELL ONLY SELL ONLY 704223502 PWGIX PXWG 704223403 X .00 0.65000 SELL ONLY .25 0.90000 SELL ONLY 704223809 PXHIX .00 0.72000 SELL ONLY 704223700 PAXHX .25 0.97000 SELL ONLY 70422T109 PXWIX .00 0.66000 SELL ONLY 70422T208 PXWEX .25 0.91000 SELL ONLY 704223718 PGPAX 5.50 PWCC 704223635 X .25 2.57000 BUY,SELL 1.00 3.32000 BUY,SELL 1.00 704223627 PMIIX .00 2.32000 SELL ONLY 704223544 PWCAX 704223205 PAXIX .25 2.57000 .00 0.68000 SELL ONLY SELL ONLY 704223106 704223569 704223510 704223817 .25 .25 .00 .00 0.93000 1.23000 0.89000 0.98000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY .25 1.14000 SELL ONLY PAXWX PXSAX 5.50 PMIDX PXSIX PWMD 704223528 X Revised 19 Sept 2016 Page 23 of 96 Fund Family Fund Name Pear Tree Funds Pax Small Cap Fund Individual Investor Class Pax MSCI International ESG Index Fund Institutional Class Pax MSCI International ESG Index Fund Individual Investor Class Pax Sustainable Managers Total Return Fund Class A Pax Sustainable Managers Total Return Fund Class C Pax Sustainable Managers Total Return Fund Institutional Class Pax Sustainable Managers Total Return Fund Individual Investor Class Pax Global Environmental Markets Fund Class A Pax Global Environmental Markets Fund Institutional Class Pax Global Environmental Markets Fund Individual Investor Class ESG Managers® Balanced Institutional Class ESG Managers® Growth Portfolio Class C Payson Total Return Fund Pear Tree Polaris Small Cap Fund Institutional Class Pear Tree Polaris Small Cap Fund Ordinary Class Pear Tree Polaris Foreign Value Small Cap Fund Institutional Class Pear Tree Polaris Foreign Value Small Cap Fund Ordinary Class Pear Tree Quality Fund Institutional Shares Pear Tree Funds Pear Tree Quality Fund Ordinary Shares Pax World Pax World Pax World Pax World Pax World Pax World Pax World Pax World Pax World Pax World Pax World Pax World Payson Funds Pear Tree Funds Pear Tree Funds Pear Tree Funds Pear Tree Funds CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 704223825 PXSCX .25 1.23000 SELL ONLY 704223742 PXNIX .00 0.56000 SELL ONLY 704223759 PXINX PWMA 704223684 X 4.50 PWMC 704223676 X .25 0.81000 SELL ONLY .25 3.47000 BUY,SELL 1.00 4.22000 BUY,SELL 1.00 704223668 PWMIX .00 3.22000 SELL ONLY 704223536 PWTRX .25 3.47000 SELL ONLY 704223551 PXEAX 5.50 .25 1.31000 SELL ONLY 704223775 PGINX .00 1.06000 SELL ONLY 704223783 PGRNX 704223643 .25 1.31000 SELL ONLY 0.00 1.42000 SELL ONLY 349903880 PBFDX 1.00 2.89000 0.97000 BUY, SELL SELL ONLY 70472Q302 QBNAX 1.22000 SELL ONLY 70472Q401 USBNX .25 1.47000 SELL ONLY 1.31000 SELL ONLY .25 1.57000 SELL ONLY 1.30000 SELL ONLY .25 1.55000 SELL ONLY 704223593 1.00 70472Q500 QUSIX 70472Q609 QUSOX 70472Q104 QGIAX 70472Q203 USBOX Revised 19 Sept 2016 Page 24 of 96 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible Pimco Pear Tree PanAgora Emerging Markets Fund Institutional Class Pear Tree PanAgora Emerging Markets Fund Ordinary Class Pear Tree Polaris Foreign Value Fund Class Institutional Pear Tree Polaris Foreign Value Fund Class Ordinary PIMCO Emerging Markets Corporate Bond Fund Class A PIMCO Emerging Markets Corporate Bond Fund Class C PIMCO Emerging Markets Corporate Bond Fund Class D PIMCO Emerging Markets Corporate Bond Fund Institutional Class PIMCO Emerging Markets Corporate Bond Fund Class P Pimco PIMCO EqS® Long/Short Fund Class A 72201T581 PMHAX 5.50 Pimco PIMCO EqS® Long/Short Fund Class C 72201T573 PMHCX Pimco PIMCO EqS® Long/Short Fund Class D PIMCO EqS® Long/Short Fund Institutional Class 72201T557 PMHDX 72201T540 PMHIX 1.91000 SELL ONLY PIMCO EqS® Long/Short Fund Class P PIMCO RAE Fundamental US Fund Class A PIMCO RAE Fundamental US Fund Class C PIMCO RAE Fundamental US Fund Institutional Class PIMCO RAE Fundamental US Fund Class P 72201T524 PMHBX 2.01000 SELL ONLY .25 0.90000 SELL ONLY 1.00 1.65000 SELL ONLY 72202L462 PKAIX 0.50000 SELL ONLY 72202L470 PKAPX 0.60000 SELL ONLY Pear Tree Funds Pear Tree Funds Pear Tree Funds Pear Tree Funds Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco 70472Q872 QEMAX 1.49000 SELL ONLY 70472Q880 QFFOX .25 1.74000 SELL ONLY 1.28000 SELL ONLY 70472Q708 QFVOX .25 1.53000 SELL ONLY 72201W246 PECZX 3.75 .25 1.35000 BUY,SELL 1.00 2.10000 BUY,SELL 70472Q807 QFVIX 72201W253 PECCX 1.00 72201W261 PECDX .25 1.35000 SELL ONLY 72201P522 PEMIX 0.95000 SELL ONLY 72201W857 PMIPX 1.05000 SELL ONLY .25 2.26000 SELL ONLY 1.00 3.01000 SELL ONLY .25 2.26000 SELL ONLY 1.00 72202L496 PKAAX 3.75 72202L488 PKACX 1.00 Revised 19 Sept 2016 Page 25 of 96 Fund Family Pimco Pimco Pimco Fund Name Pimco Pimco PIMCO Income Fund Institutional Class Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Ticker PIMCO California Intermediate Municipal Bond Fund Class A 693389785 PCMBX 2.25 PIMCO California Intermediate Municipal Bond Fund Class C 72201P332 PCFCX PIMCO California Intermediate Municipal Bond Fund Class D 722005303 PCIDX PIMCO California Intermediate Municipal Bond Fund Institutional Class PIMCO California Intermediate Municipal Bond Fund Class P PIMCO Senior Floating Rate Fund Class A PIMCO Senior Floating Rate Fund Class C PIMCO Senior Floating Rate Fund Class D PIMCO Senior Floating Rate Fund Institutional Class PIMCO Senior Floating Rate Fund Class P PIMCO High Yield Fund Class A PIMCO Income Fund Class A PIMCO High Yield Spectrum Fund Class A PIMCO High Yield Fund Class C PIMCO Income Fund Class C PIMCO High Yield Spectrum Fund Class C PIMCO High Yield Fund Class D PIMCO Income Fund Class D PIMCO High Yield Spectrum Fund Class D PIMCO High Yield Fund Institutional Class Pimco CUSIP Gross Front End 12b-1 Expense Load CDSC Fees Ratio 1.00 Redemption Fee Buy/Sell Eligible .25 0.77500 BUY,SELL 1.00 1.52500 BUY,SELL .25 0.77500 SELL ONLY 693389769 PCIMX 0.44500 SELL ONLY 72201M859 PCIPX 0.54500 SELL ONLY 72201W758 PSRZX 2.25 72201W741 PSRWX 1.00 72201W774 PSRDX 72201W790 PSRIX 72201W782 PSRPX 693390379 PHDAX 3.75 72201F474 PONAX 3.75 72201W600 PHSAX 3.75 693390353 PHDCX 72201F466 PONCX .25 1.02000 1.00 BUY,SELL 1.00 1.77000 1.00 BUY,SELL .25 1.02000 1.00 SELL ONLY 0.72000 1.00 SELL ONLY 0.82000 .25 0.91000 .25 0.85000 1.00 SELL ONLY BUY,SELL BUY,SELL .25 0.96000 1.00 1.66000 1.00 1.60000 BUY,SELL BUY,SELL BUY,SELL 1.00 1.71000 .25 0.91000 .25 0.79000 BUY,SELL SELL ONLY SELL ONLY .25 0.96000 SELL ONLY 693390841 PHIYX 0.56000 SELL ONLY 72201F490 PIMIX 0.45000 SELL ONLY 72201W709 PHSCX 693391716 PHYDX 72201F458 PONDX 72201W501 PHSDX 1.00 1.00 1.00 Revised 19 Sept 2016 Page 26 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO High Yield Spectrum Fund Institutional Class PIMCO High Yield Fund Administrative Class PIMCO Income Fund Administrative Class PIMCO Income Fund Class P PIMCO High Yield Fund Class P PIMCO High Yield Spectrum Fund Class P PIMCO Global Bond (US Dollar-Hedged) Fund Class A PIMCO Investment Grade Corporate Bond Fund Class A PIMCO Global Bond (US Dollar-Hedged) Fund Class C PIMCO Investment Grade Corporate Bond Fund Class C PIMCO Global Bond (Unhedged) Fund Class D PIMCO Investment Grade Corporate Bond Fund Class D PIMCO Long-Term Credit Fund Class D PIMCO Global Bond (US Dollar-Hedged) Fund Institutional Class PIMCO Global Bond (Unhedged) Fund Institutional Class PIMCO Investment Grade Corporate Bond Fund Institutional Class PIMCO Long-Term Credit Fund Institutional Class PIMCO Global Bond (US Dollar-Hedged) Fund Administrative Class PIMCO Global Bond (Unhedged) Fund Administrative Class CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 72201W204 PHSIX Redemption Fee Buy/Sell Eligible 0.61000 SELL ONLY 693390650 PHYAX .25 0.81000 SELL ONLY 72201F482 PIINX 72201M719 PONPX 72201M735 PHLPX .25 0.70000 0.55000 0.66000 SELL ONLY SELL ONLY SELL ONLY 72201W303 PHSPX 0.71000 SELL ONLY 693390346 PAIIX 3.75 .25 0.92000 BUY,SELL 722008307 PBDAX 3.75 .25 0.93000 BUY,SELL 693390320 PCIIX 1.00 1.00 1.67000 BUY,SELL 722008406 PBDCX 1.00 1.00 1.68000 BUY,SELL 722005253 PGBDX .25 0.97000 SELL ONLY 722008505 PBDDX .25 0.93000 SELL ONLY 72202E401 PTCDX .25 1.05000 SELL ONLY 693390130 PGBIX 0.57000 SELL ONLY 693390874 PIGLX 0.57000 SELL ONLY 722005816 PIGIX 0.53000 SELL ONLY 72201P647 PTCIX 0.65000 SELL ONLY 693390148 PGDAX .25 0.82000 SELL ONLY 693390684 PADMX .25 0.82000 SELL ONLY Revised 19 Sept 2016 Page 27 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio PIMCO Investment Grade Corporate Bond Fund Administrative Class 722005592 PGCAX PIMCO Investment Grade Corporate Bond Fund Class P 72201M685 PBDPX PIMCO Global Bond (US Dollar-Hedged) Fund Class P 72201M750 PGNPX PIMCO Long-Term Credit Fund Class P PIMCO Global Bond (Unhedged) Fund Class P PIMCO California Short Duration Municipal Income Fund Class A PIMCO California Short Duration Municipal Income Fund Class C PIMCO California Short Duration Municipal Income Fund Class D PIMCO California Short Duration Municipal Income Fund Institutional Class PIMCO California Short Duration Municipal Income Fund Class P PIMCO Municipal Bond Fund Class A PIMCO Municipal Bond Fund Class C PIMCO Municipal Bond Fund Class D PIMCO Municipal Bond Fund Institutional Class PIMCO Municipal Bond Fund Class P PIMCO RAE Fundamental PLUS International Fund Class A PIMCO RAE Fundamental PLUS International Fund Class C PIMCO RAE Fundamental PLUS International Fund Class D PIMCO RAE Fundamental PLUS International Fund Institutional Class PIMCO RAE Fundamental PLUS Fund Class A Redemption Fee Buy/Sell Eligible .25 0.78000 SELL ONLY 0.63000 SELL ONLY 0.67000 SELL ONLY 72201P621 PLCPX 0.75000 SELL ONLY 72201W832 PGOPX 0.67000 SELL ONLY 72201F649 PCDAX 2.25 .25 0.73000 BUY,SELL .55 1.03000 BUY,SELL .25 0.73000 SELL ONLY 0.33000 SELL ONLY 0.43000 .25 0.76000 .75 1.26000 .25 0.76000 SELL ONLY BUY,SELL BUY,SELL SELL ONLY 0.45000 0.55000 SELL ONLY SELL ONLY .25 1.18000 SELL ONLY 1.00 1.93000 SELL ONLY 72201W113 PTSLX .25 1.18000 SELL ONLY 72201W667 PTSIX 0.83000 SELL ONLY 72201P381 PCSCX 1.00 72201F631 PCDDX 72201F656 PCDIX 72201M420 693391617 693391633 693391740 PCDPX PMLAX 2.25 PMLCX PMBDX 1.00 693391658 PFMIX 72201M644 PMUPX 72201W139 PTSOX 3.75 72201W121 PTSKX 72201F888 PIXAX 1.00 3.75 .25 1.23000 BUY,SELL Revised 19 Sept 2016 Page 28 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO RAE Fundamental PLUS Fund Class C PIMCO RAE Fundamental PLUS Fund Class D PIMCO RAE Fundamental PLUS Fund Institutional Class PIMCO RAE Fundamental PLUS Fund Administrative Class PIMCO RAE Fundamental PLUS Fund Class P PIMCO Dividend and Income Fund Class A PIMCO Dividend and Income Fund Class C PIMCO Dividend and Income Fund Class D PIMCO Dividend and Income Fund Institutional Class PIMCO Dividend and Income Fund Class P PIMCO Short-Term Fund Class A PIMCO Short-Term Fund Class C PIMCO Short-Term Fund Class D PIMCO Short-Term Fund Institutional Class PIMCO Short-Term Fund Administrative Class PIMCO Short-Term Fund Class P PIMCO Foreign Bond (US Dollar-Hedged) Fund Class A PIMCO Foreign Bond (Unhedged) Fund Class A PIMCO Credit Absolute Return Fund Class A PIMCO Foreign Bond (US Dollar-Hedged) Fund Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 72201F870 PIXCX 1.00 1.00 1.98000 Redemption Fee Buy/Sell Eligible BUY,SELL 72201F862 PIXDX .25 1.23000 SELL ONLY 72201F854 PXTIX 0.83000 SELL ONLY .25 1.08000 SELL ONLY 0.93000 SELL ONLY 72201F839 PXTAX 72201M768 PIXPX 72201T748 PQIZX 5.50 72201T730 PQICX 1.00 72201T722 PQIDX .25 1.55000 BUY,SELL 1.00 2.30000 BUY,SELL .25 1.55000 SELL ONLY 1.20000 SELL ONLY 1.30000 .25 0.72000 .55 1.02000 .25 0.72000 SELL ONLY BUY,SELL BUY,SELL SELL ONLY 693390601 PTSHX 0.47000 SELL ONLY 693390734 PSFAX 72201M594 PTSPX .25 0.72000 0.57000 SELL ONLY SELL ONLY 693391245 PFOAX 3.75 .25 0.91000 BUY,SELL 722005196 PFUAX 3.75 .25 0.92000 BUY,SELL 72201W451 PZCRX 3.75 .25 1.33000 SELL ONLY 72201T672 PQIIX 72201T714 693391211 693391237 693391690 PQIPX PSHAX 2.25 PFTCX PSHDX 693391260 PFOCX 1.00 1.00 1.00 1.66000 BUY,SELL Revised 19 Sept 2016 Page 29 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO Foreign Bond (Unhedged) Fund Class C PIMCO Credit Absolute Return Fund Class C PIMCO Foreign Bond (US Dollar-Hedged) Fund Class D PIMCO Foreign Bond (Unhedged) Fund Class D PIMCO Credit Absolute Return Fund Class D PIMCO Foreign Bond (U.S. DollarHedged) Fund Institutional Class PIMCO Foreign Bond (Unhedged) Fund Institutional Class PIMCO Credit Absolute Return Fund Institutional PIMCO Foreign Bond (U.S. DollarHedged) Fund Administrative Class PIMCO Foreign Bond (Unhedged) Fund Administrative Class PIMCO Foreign Bond (Unhedged) Fund Class P PIMCO Foreign Bond (US Dollar-Hedged) Fund Class P PIMCO Credit Absolute Return Fund Class P PIMCO StocksPLUS® International Fund (U.S. Dollar-Hedged) Class A PIMCO RAE Fundamental PLUS Small Fund Class A PIMCO StocksPLUS® International Fund (U.S. Dollar-Hedged) Class C PIMCO RAE Fundamental PLUS Small Fund Class C PIMCO StocksPLUS® International Fund (U.S. Dollar-Hedged) Class D CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 722005188 PFRCX 1.00 1.00 1.67000 BUY,SELL 72201W444 PCCRX 1.00 1.00 2.08000 SELL ONLY 693391666 PFODX .25 0.91000 SELL ONLY 722005212 PFBDX .25 0.92000 SELL ONLY 72201W436 PDCRX .25 1.33000 SELL ONLY 693390882 PFORX 0.51000 SELL ONLY 722005220 PFUIX 0.52000 SELL ONLY 72201W394 PCARX 0.93000 SELL ONLY 693390692 PFRAX .25 0.76000 SELL ONLY 72201F771 PFUUX .25 0.77000 SELL ONLY 72201M776 PFUPX 0.62000 SELL ONLY 72201M784 PFBPX 0.61000 SELL ONLY 72201W428 PPCRX 1.03000 SELL ONLY 72200Q430 PIPAX 3.75 .25 1.16000 BUY,SELL 72201U265 PCFAX 3.75 .25 1.22000 SELL ONLY 72200Q414 PIPCX 1.00 1.00 1.91000 BUY,SELL 72201U257 PCFEX 1.00 1.00 1.97000 SELL ONLY .25 1.16000 SELL ONLY 72200Q398 PIPDX Revised 19 Sept 2016 Page 30 of 96 Fund Family Fund Name CUSIP Pimco PIMCO RAE Fundamental PLUS Small Fund Class D 72201U240 PCFDX Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco PIMCO StocksPLUS® International Fund (U.S. Dollar-Hedged) Institutional Class PIMCO RAE Fundamental PLUS Small Fund Institutional Class PIMCO StocksPLUS® International Fund (U.S. Dollar-Hedged) Class P PIMCO RAE Fundamental PLUS Small Fund Class P PIMCO Total Return Fund Class A PIMCO Total Return Fund Class C PIMCO Total Return Fund Class D PIMCO Total Return II Fund Institutional Class PIMCO Moderate Duration Fund Institutional Class PIMCO Total Return Fund Institutional Class PIMCO Total Return III Fund Institutional Class PIMCO Total Return II Fund Administrative Class PIMCO Total Return III Fund Administrative Class PIMCO Total Return Fund Administrative Class PIMCO Total Return Fund Class P PIMCO Moderate Duration Fund Class P PIMCO Total Return II Fund Class P PIMCO Mortgage-Backed Securities Fund Class A PIMCO Mortgage Opportunities Fund Class A Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible .25 1.22000 SELL ONLY 72200Q380 PISIX 0.76000 SELL ONLY 72201W675 PCFIX 0.87000 SELL ONLY 72201M370 PIUHX 0.86000 SELL ONLY 0.97000 .25 0.86000 1.00 1.61000 .25 0.76000 SELL ONLY BUY,SELL BUY,SELL SELL ONLY 693390551 PMBIX 0.56000 SELL ONLY 693390593 PMDRX 0.48000 SELL ONLY 693390700 PTTRX 0.47000 SELL ONLY 693390866 PTSAX 0.55000 SELL ONLY 693390544 PRADX .25 0.81000 SELL ONLY 693390627 PRFAX .25 0.80000 SELL ONLY 693390726 PTRAX 72201M552 PTTPX .25 0.72000 0.57000 SELL ONLY SELL ONLY 72201P233 PMOPX 72201P258 PMTPX 0.58000 0.66000 SELL ONLY SELL ONLY 72201U224 693390445 693390429 693391674 PCCPX PTTAX 3.75 PTTCX PTTDX 1.00 693391526 PMRAX 3.75 .25 0.90000 BUY,SELL 72201U679 PMZAX 3.75 .25 1.09000 SELL ONLY Revised 19 Sept 2016 Page 31 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO Mortgage-Backed Securities Fund Class C PIMCO Mortgage Opportunities Fund Class C PIMCO Mortgage-Backed Securities Fund Class D PIMCO Mortgage Opportunities Fund Class D PIMCO Mortgage-Backed Securities Fund Institutional Class PIMCO Mortgage Opportunities Fund Institutional Class PIMCO Mortgage-Backed Securities Fund Administrative Class PIMCO Mortgage-Backed Securities Fund Class P PIMCO Mortgage Opportunities Fund Class P PIMCO GNMA Fund Class A PIMCO GNMA Fund Class C PIMCO GNMA Fund Class D PIMCO GNMA Fund Institutional Class PIMCO GNMA Fund Class P PIMCO California Municipal Bond Fund Class A PIMCO California Municipal Bond Fund Class C PIMCO California Municipal Bond Fund Class D PIMCO California Municipal Bond Fund Institutional Class PIMCO California Municipal Bond Fund Class P PIMCO TRENDS Managed Futures Strategy Fund Class C PIMCO TRENDS Managed Futures Strategy Fund Class D CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 693391542 PMRCX 1.00 1.00 1.65000 BUY,SELL 72201U661 PMZCX 1.00 1.00 1.84000 SELL ONLY 693391724 PTMDX .25 0.90000 SELL ONLY 72201U612 PMZDX .25 1.09000 SELL ONLY 693391500 PTRIX 0.50000 SELL ONLY 72201U638 PMZIX 0.69000 SELL ONLY 693391518 PMTAX .25 0.75000 SELL ONLY 72201M651 PMRPX 0.60000 SELL ONLY 0.79000 .25 0.90000 1.00 1.65000 .25 0.90000 0.50000 0.60000 SELL ONLY BUY,SELL BUY,SELL SELL ONLY SELL ONLY SELL ONLY 72201U646 693391476 693391492 72200Q307 693391450 72201M743 PMZPX PAGNX 3.75 PCGNX PGNDX PDMIX PPGNX 1.00 72201U877 PCTTX 2.25 72201U869 PCTGX 1.00 72201U851 PCTDX .25 0.79000 BUY,SELL 1.00 1.54000 BUY,SELL .25 0.79000 SELL ONLY 72201U802 PCTIX 0.44000 SELL ONLY 72201U885 PCTPX 0.54000 SELL ONLY 1.00 2.61000 SELL ONLY .25 1.86000 SELL ONLY 72201U489 PQTCX 72201U471 PQTDX 1.00 Revised 19 Sept 2016 Page 32 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO TRENDS Managed Futures Strategy Fund Institutional Class PIMCO TRENDS Managed Futures Strategy Fund Class P PIMCO Low Duration III Fund Institutional Class PIMCO Low Duration III Fund Administrative Class CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 72201U455 PQTIX 1.46000 SELL ONLY 72201U463 PQTPX 1.56000 SELL ONLY 693390858 PLDIX 0.52000 SELL ONLY 693390619 PDRAX .25 0.77000 SELL ONLY 72201W824 PLUPX 0.62000 SELL ONLY Pimco Pimco PIMCO Low Duration III Fund Class P PIMCO StocksPLUS® International Fund (Unhedged) Class A PIMCO StocksPLUS® International Fund (Unhedged) Class C PIMCO StocksPLUS® International Fund (Unhedged) Class D PIMCO StocksPLUS® International Fund (Unhedged) Institutional Class PIMCO StocksPLUS® International Fund (Unhedged) Administrative Class PIMCO StocksPLUS® International Fund (Unhedged) Class P PIMCO Floating Income Fund Class A Pimco Pimco PIMCO Diversified Income Fund Class A 72200Q661 PDVAX 3.75 PIMCO Floating Income Fund Class C 722005154 PFNCX Pimco Pimco PIMCO Diversified Income Fund Class C 72200Q646 PDICX PIMCO Floating Income Fund Class D 722008604 PFIDX Pimco PIMCO Diversified Income Fund Class D PIMCO Diversified Income Fund Institutional Class PIMCO Floating Income Fund Institutional Class PIMCO Diversified Income Fund Administrative Class Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Redemption Fee Buy/Sell Eligible 72201F557 PPUAX 3.75 72201F540 PPUCX 1.00 72201F532 PPUDX .25 1.06000 BUY,SELL 1.00 1.81000 BUY,SELL .25 1.06000 SELL ONLY 0.66000 SELL ONLY 72201F565 PSKAX .25 0.91000 SELL ONLY 72201M693 PPLPX 722005162 PFIAX 2.25 0.76000 .25 0.96000 SELL ONLY SELL ONLY .25 1.16000 .55 1.26000 BUY,SELL SELL ONLY 1.00 1.91000 .25 0.96000 BUY,SELL SELL ONLY .25 1.16000 SELL ONLY 693391880 PDIIX 0.76000 SELL ONLY 722005170 PFIIX 0.56000 SELL ONLY .25 1.01000 SELL ONLY 72201F573 PSKIX 72200Q638 PDVDX 72200Q570 PDAAX 1.00 1.00 Revised 19 Sept 2016 Page 33 of 96 Redemption Fee Buy/Sell Eligible Fund Family Fund Name CUSIP Pimco Pimco PIMCO Floating Income Fund Administrative Class PIMCO Floating Income Fund Class P 72201F813 PFTAX 72201M792 PFTPX .25 0.81000 0.66000 SELL ONLY SELL ONLY Pimco PIMCO Diversified Income Fund Class P 72201M826 PDVPX 0.86000 SELL ONLY Pimco PIMCO Total Return Fund IV Class A Pimco PIMCO Total Return Fund IV Class C 72201W147 PTUCX PIMCO Total Return Fund IV Institutional Class 72201W717 PTUIX Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco PIMCO Total Return Fund IV Class P PIMCO Emerging Markets Currency Fund Class A PIMCO Emerging Markets Currency Fund Class C PIMCO Emerging Markets Currency Fund Class D PIMCO Emerging Markets Currency Fund Institutional Class PIMCO Emerging Markets Currency Fund Administrative Class PIMCO Emerging Markets Currency Fund Class P PIMCO Unconstrained Tax Managed Bond Fund Class A PIMCO Unconstrained Tax Managed Bond Fund Class C PIMCO Unconstrained Tax Managed Bond Fund Class D PIMCO Unconstrained Tax Managed Bond Fund Class Institutional Class PIMCO Unconstrained Tax Managed Bond Fund Class P PIMCO StocksPLUS® Absolute Return Fund Class A Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 72201W691 PTUZX 3.75 1.00 .25 0.86000 BUY,SELL 1.00 1.61000 BUY,SELL 0.51000 SELL ONLY 0.61000 SELL ONLY .25 1.26000 SELL ONLY 1.00 2.01000 SELL ONLY .25 1.26000 SELL ONLY 0.86000 SELL ONLY 72201F821 PDEVX .25 1.11000 SELL ONLY 72201M834 PLMPX 0.96000 SELL ONLY .25 1.11000 SELL ONLY 1.00 1.86000 SELL ONLY .25 1.11000 SELL ONLY 72201P746 PUTIX 0.71000 SELL ONLY 72201P753 PUTPX 0.81000 SELL ONLY .25 1.05000 SELL ONLY 72201W683 PTUPX 72201F102 PLMAX 3.75 72201F201 PLMCX 1.00 72201F300 PLMDX 72201F409 PLMIX 72201P738 ATMAX 2.25 72201P720 ATMCX 72201P712 ATMDX 72200Q620 PTOAX 3.75 1.00 Revised 19 Sept 2016 Page 34 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO RAE Fundamental PLUS EMG Fund Class A PIMCO RAE Worldwide Long/Short PLUS Fund Class A PIMCO StocksPLUS® Absolute Return Fund Class C PIMCO RAE Fundamental PLUS EMG Fund Class C PIMCO RAE Worldwide Long/Short PLUS Fund Class C PIMCO StocksPLUS® Absolute Return Fund Class D PIMCO RAE Fundamental PLUS EMG Fund Class D PIMCO RAE Worldwide Long/Short PLUS Fund Class D PIMCO StocksPLUS® Absolute Return Fund Institutional Class PIMCO RAE Fundamental PLUS EMG Fund Institutional Class PIMCO RAE Worldwide Long/Short PLUS Fund Institutional Class PIMCO RAE Fundamental PLUS EMG Fund Class P PIMCO RAE Fundamental PLUS EMG Fund Administrative Class PIMCO StocksPLUS® Absolute Return Fund Class P PIMCO RAE Worldwide Long/Short PLUS Fund Class P PIMCO Low Duration Fund Class A PIMCO Unconstrained Bond Fund Class A PIMCO Low Duration Fund Class C PIMCO Unconstrained Bond Fund Class C PIMCO Low Duration Fund Class D CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 72201U539 PEFFX 3.75 .25 1.57000 SELL ONLY 72202E872 PWLAX 5.50 .25 1.62000 SELL ONLY 72200Q596 PSOCX 1.00 1.00 1.80000 SELL ONLY 72201U521 PEFCX 1.00 1.00 2.32000 SELL ONLY 72202E864 PWLCX 1.00 1.00 2.37000 SELL ONLY 72200Q588 PSTDX .25 1.05000 SELL ONLY 72201U547 PEFDX .25 1.57000 SELL ONLY 72202E880 PWLDX .25 1.62000 SELL ONLY 722005642 PSPTX 0.65000 SELL ONLY 72201M131 PEFIX 1.17000 SELL ONLY 72202E609 PWLIX 1.22000 SELL ONLY 72201M115 PEFPX 1.27000 SELL ONLY 72201M123 PEFAX .25 1.42000 SELL ONLY 72201M560 PTOPX 0.75000 SELL ONLY 1.32000 .25 0.85000 SELL ONLY BUY,SELL .25 1.39000 .55 1.15000 SELL ONLY BUY,SELL 1.00 2.14000 .25 0.80000 SELL ONLY SELL ONLY 72202E708 PWLPX 693390411 PTLAX 2.25 72201M479 PUBAX 3.75 693390387 PTLCX 72201M297 PUBCX 693391732 PLDDX 1.00 1.00 Revised 19 Sept 2016 Page 35 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO Unconstrained Bond Fund Class D PIMCO Low Duration Fund Institutional Class PIMCO Low Duration II Fund Institutional Class PIMCO Unconstrained Bond Fund Institutional Class PIMCO Low Duration II Fund Administrative Class PIMCO Low Duration Fund Administrative Class PIMCO Unconstrained Bond Fund Class P PIMCO Low Duration Fund Class P PIMCO Low Duration II Fund Class P PIMCO Unconstrained Bond Fund Administrative Class PIMCO Long Duration Total Return Fund Class D PIMCO Long Duration Total Return Fund Institutional Class PIMCO Long Duration Total Return Fund Class P PIMCO Global Advantage Strategy Bond Fund Class A PIMCO Global Advantage Strategy Bond Fund Class C PIMCO Global Advantage Strategy Bond Fund Class D PIMCO Global Advantage Strategy Bond Fund Institutional Class PIMCO Global Advantage Strategy Bond Fund Class P PIMCO Inflation Response Multi-Asset Fund Class A CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 72201M461 PUBDX .25 1.39000 SELL ONLY 693390304 PTLDX 0.51000 SELL ONLY 693390791 PLDTX 0.54000 SELL ONLY 72201M487 PFIUX 0.99000 SELL ONLY 693390668 PDFAX .25 0.79000 SELL ONLY 693390767 PLDAX .25 0.76000 SELL ONLY 72201M453 PUCPX 72201M669 PLDPX 72201P241 PDRPX 1.09000 0.61000 0.64000 SELL ONLY SELL ONLY SELL ONLY 72201U513 PUBFX .25 1.24000 SELL ONLY 72202E203 PLRDX .25 0.95000 SELL ONLY 72201F623 PLRIX 0.55000 SELL ONLY 72201M362 PLRPX 0.65000 SELL ONLY 72201M321 PGSAX 3.75 72201M271 PAFCX 72201M313 PGSDX 1.00 .25 1.14000 BUY,SELL 1.00 1.89000 BUY,SELL .25 1.14000 SELL ONLY 72201M446 PSAIX 0.74000 SELL ONLY 72201P886 PGBPX 0.84000 SELL ONLY 72201W386 PZRMX 5.50 .25 1.59000 BUY,SELL Revised 19 Sept 2016 Page 36 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO Inflation Response Multi-Asset Fund Class C PIMCO Inflation Response Multi-Asset Fund Class D PIMCO Inflation Response Multi-Asset Fund Institutional PIMCO Inflation Response Multi-Asset Fund Class P PIMCO Short Asset Investment Fund Class A PIMCO Short Asset Investment Fund Class D PIMCO Short Asset Investment Fund Institutional Class PIMCO Short Asset Investment Fund Administrative Class PIMCO Short Asset Investment Fund Class P PIMCO New York Municipal Bond Fund Class A PIMCO New York Municipal Bond Fund Class C PIMCO New York Municipal Bond Fund Class D PIMCO New York Municipal Bond Fund Institutional Class PIMCO New York Municipal Fund Class P PIMCO Short Duration Municipal Income Fund Class A PIMCO Short Duration Municipal Income Fund Class C PIMCO Short Duration Municipal Income Fund Class D PIMCO Short Duration Municipal Income Fund Institutional Class CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 72201W378 PCRMX 1.00 72201W360 PDRMX 1.00 2.34000 Redemption Fee Buy/Sell Eligible BUY,SELL .25 1.59000 SELL ONLY 72201W337 PIRMX 1.14000 SELL ONLY 72201W352 PPRMX 1.24000 SELL ONLY 72201U794 PAIAX 2.25 .25 0.70000 BUY,SELL 72201U778 PAIUX .25 0.70000 SELL ONLY 72201U828 PAIDX 0.35000 SELL ONLY 72201U786 PAIQX .25 0.60000 SELL ONLY 72201U810 PAIPX 0.45000 SELL ONLY 693389736 PNYAX 2.25 72201P340 PBFCX 1.00 722005105 PNYDX .25 0.77500 BUY,SELL 1.00 1.52500 BUY,SELL .25 0.77500 SELL ONLY 693389710 PNYIX 0.44500 SELL ONLY 72201M347 PNYPX 0.54500 SELL ONLY 693389843 PSDAX 2.25 693389868 PSDCX 722005204 PSDDX 693389827 PSDIX 1.00 .25 0.73000 BUY,SELL .55 1.03000 BUY,SELL .25 0.73000 SELL ONLY 0.33000 SELL ONLY Revised 19 Sept 2016 Page 37 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO Short Duration Municipal Income Fund Administrative Class PIMCO Short Duration Municipal Income Fund Class P PIMCO Capital Securities and Financials Fund Class A PIMCO Capital Securities and Financials Fund Class C PIMCO Capital Securities and Financials Fund Class D PIMCO Capital Securities and Financials Fund Institutional Class PIMCO Capital Securities and Financials Fund Class P PIMCO CommodityRealReturn Strategy Fund Class A PIMCO CommodityRealReturn Strategy Fund Class C PIMCO CommodityRealReturn Strategy Fund Class D PIMCO CommodityRealReturn Strategy Fund Institutional Class PIMCO CommodityRealReturn Strategy Fund Administrative Class PIMCO CommodityRealReturn Strategy Fund Class P PIMCO CommoditiesPLUS® Strategy Fund Class A PIMCO CommoditiesPLUS® Strategy Fund Class C PIMCO CommoditiesPLUS® Strategy Fund Class D PIMCO CommoditiesPLUS® Strategy Fund Institutional Class PIMCO CommoditiesPLUS® Strategy Fund Class P CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 693389835 PSDMX .25 0.58000 SELL ONLY 72201M610 PSDPX 0.43000 SELL ONLY .25 1.14000 SELL ONLY 1.00 1.89000 SELL ONLY .25 1.14000 SELL ONLY 72202E682 PFINX 0.79000 SELL ONLY 72202E658 PFPNX 0.89000 SELL ONLY 72202E666 PFANX 3.75 72202E674 PFCNX 1.00 72202E641 PFDNX 722005584 PCRAX 5.50 722005568 PCRCX 1.00 722005550 PCRDX .25 1.53000 BUY,SELL 1.00 2.28000 BUY,SELL .25 1.53000 SELL ONLY 1.08000 SELL ONLY 722005659 PCRRX .25 1.33000 SELL ONLY 72201M842 PCRPX 1.18000 SELL ONLY 722005667 PCRIX 72201P159 PCLAX 5.50 72201P142 PCPCX 72201P134 PCLDX 1.00 .25 1.46000 BUY,SELL 1.00 2.21000 BUY,SELL .25 1.46000 SELL ONLY 72201P175 PCLIX 0.96000 SELL ONLY 72201P167 PCLPX 1.06000 SELL ONLY Revised 19 Sept 2016 Page 38 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio PIMCO Emerging Markets Full Spectrum Bond Fund Class A 72201U596 PFSSX 3.75 PIMCO Emerging Markets Full Spectrum Bond Fund Class C 72201U588 PFSCX PIMCO Emerging Markets Full Spectrum Bond Fund Class D 72201U570 PFSYX PIMCO Emerging Markets Full Spectrum Bond Fund Institutional Class PIMCO Emerging Markets Full Spectrum Bond Fund Class P PIMCO All Asset Fund Class A PIMCO All Asset Fund Class C PIMCO All Asset Fund Class D 1.00 72201U562 PFSIX 72201U554 72200Q711 72200Q687 72200Q679 PFSPX PASAX 3.75 PASCX PASDX 1.00 Redemption Fee Buy/Sell Eligible .25 2.28000 SELL ONLY 1.00 3.03000 SELL ONLY .25 2.28000 SELL ONLY 1.88000 SELL ONLY 1.98000 .25 1.57500 1.00 2.32500 .25 1.47500 SELL ONLY BUY,SELL BUY,SELL SELL ONLY 1.07500 SELL ONLY Pimco Pimco PIMCO All Asset Fund Institutional Class 722005626 PAAIX PIMCO All Asset Fund Administrative Class 722005618 PAALX PIMCO All Asset Fund Class P 72201M867 PALPX .25 1.32500 1.17500 SELL ONLY SELL ONLY Pimco PIMCO Global Multi-Asset Fund Class A 72201P407 PGMAX 5.50 .25 1.90000 BUY,SELL Pimco PIMCO Global Multi-Asset Fund Class C 72201P506 PGMCX 1.00 2.65000 BUY,SELL Pimco PIMCO Global Multi-Asset Fund Class D PIMCO Global Multi-Asset Fund Institutional Class PIMCO Global Multi-Asset Fund Class Administrative 72201P308 PGMDX PIMCO Global Multi-Asset Fund Class P PIMCO Multi-Strategy Alternative Fund Class A PIMCO Multi-Strategy Alternative Fund Class C PIMCO Multi-Strategy Alternative Fund Class D Pimco Pimco Pimco Pimco Pimco Pimco 1.00 .25 1.90000 SELL ONLY 1.30000 SELL ONLY 72201P209 PGAAX .25 1.55000 SELL ONLY 72201P605 PGAPX 1.40000 SELL ONLY .25 2.43000 SELL ONLY 1.00 3.18000 SELL ONLY .25 2.43000 SELL ONLY 72201P100 PGAIX 72202E799 PXAAX 3.75 72202E781 PXACX 72202E815 PXADX 1.00 Revised 19 Sept 2016 Page 39 of 96 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible Pimco Pimco Pimco Pimco Pimco PIMCO Multi-Strategy Alternative Fund Institutional Class PIMCO Multi-Strategy Alternative Fund Class P PIMCO RAE Fundamental Global ex-US Fund Class A PIMCO RAE Fundamental Global ex-US Fund Class C PIMCO RAE Fundamental Global ex-US Fund Institutional Class PIMCO RAE Fundamental Global ex-US Fund Class P PIMCO RAE Fundamental Global Fund Class A PIMCO RAE Fundamental Global Fund Class C PIMCO RAE Fundamental Global Fund Institutional Class PIMCO RAE Fundamental Global Fund Class P PIMCO RealPath? 2050 Fund Class A PIMCO RealPath? 2040 Fund Class A PIMCO RealPath? 2030 Fund Class A PIMCO RealPath? 2020 Fund Class A Pimco PIMCO RealPath? Income Fund Class A 72201F243 PTNAX 5.50 .25 1.63000 BUY,SELL Pimco PIMCO RealPath? 2045 Fund Class A 72201W238 PFZAX 5.50 .25 1.77000 SELL ONLY Pimco PIMCO RealPath? 2035 Fund Class A 72201W527 PIVAX 5.50 .25 1.77000 BUY,SELL Pimco Pimco PIMCO RealPath? 2025 Fund Class A PIMCO RealPath? 2055 Fund Class A PIMCO RealPath? 2055 Fund Administrative Class PIMCO RealPath? 2050 Fund Class C PIMCO RealPath? 2040 Fund Class C 72201W584 PENZX 5.50 72202E765 PQRAX 5.50 .25 1.71000 .25 1.76000 BUY,SELL SELL ONLY .25 1.51000 1.00 2.51000 1.00 2.51000 SELL ONLY SELL ONLY SELL ONLY Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco 72202E849 PXAIX 2.03000 SELL ONLY 72202E831 PXAPX 2.13000 SELL ONLY .25 1.66000 SELL ONLY 1.00 2.41000 SELL ONLY 72202L553 PZRIX 1.31000 SELL ONLY 72202L561 PZRPX 1.41000 SELL ONLY .25 1.53000 SELL ONLY 1.00 2.28000 SELL ONLY 1.18000 SELL ONLY 1.28000 1.76000 1.76000 1.74000 1.67000 SELL ONLY BUY,SELL BUY,SELL BUY,SELL BUY,SELL 72202L587 PZRAX 3.75 72202L579 PZRCX 1.00 72202L637 PFQAX 3.75 72202L629 PFQCX 1.00 72202L595 PFQIX 72202L611 72201F193 72201F219 72201F227 72201F235 PFQPX PFYAX POFAX PEHAX PTYAX 72202E690 PQRZX 72201F144 PFYCX 72201F151 POFCX 5.50 5.50 5.50 5.50 .25 .25 .25 .25 1.00 1.00 Revised 19 Sept 2016 Page 40 of 96 Redemption Fee Buy/Sell Eligible Fund Family Fund Name CUSIP Pimco Pimco PIMCO RealPath? 2030 Fund Class C PIMCO RealPath? 2020 Fund Class C 72201F169 PEHCX 72201F177 PTYCX 1.00 1.00 1.00 2.49000 1.00 2.42000 SELL ONLY SELL ONLY Pimco PIMCO RealPath? Income Fund Class C 72201F185 PTNCX 1.00 1.00 2.38000 SELL ONLY Pimco PIMCO RealPath? 2045 Fund Class C 72201W220 PFZCX 1.00 1.00 2.52000 SELL ONLY Pimco PIMCO RealPath? 2035 Fund Class C 72201W519 PIVWX 1.00 1.00 2.52000 SELL ONLY Pimco Pimco PIMCO RealPath? 2025 Fund Class C PIMCO RealPath? 2055 Fund Class C 72201W576 PENWX 72202E757 PQRCX 1.00 1.00 1.00 2.46000 1.00 2.51000 SELL ONLY SELL ONLY Pimco Pimco Pimco Pimco Pimco PIMCO RealPath? Income Fund Class D PIMCO RealPath? 2020 Fund Class D PIMCO RealPath? 2030 Fund Class D PIMCO RealPath? 2050 Fund Class D PIMCO RealPath? 2040 Fund Class D 72201M602 72201M701 72201M800 72201M875 72201M883 Pimco PIMCO RealPath? 2045 Fund Class D Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio PTNDX PTYDX PEHDX PFYDX POFDX .25 .25 .25 .25 .25 1.63000 1.67000 1.74000 1.76000 1.76000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY 72201W212 PFZDX .25 1.77000 SELL ONLY PIMCO RealPath? 2035 Fund Class D 72201W493 PIVDX .25 1.77000 SELL ONLY PIMCO RealPath? 2025 Fund Class D PIMCO RealPath? 2055 Fund Class D PIMCO RealPath? 2050 Fund Institutional Class PIMCO RealPath? 2040 Fund Institutional Class PIMCO RealPath? 2030 Fund Institutional Class PIMCO RealPath? 2020 Fund Institutional Class PIMCO RealPath? Income Fund Institutional Class PIMCO RealPath? 2045 Fund Institutional Class 72201W568 PENDX 72202E740 PQRDX .25 1.71000 .25 1.76000 SELL ONLY SELL ONLY 72201F318 PRMIX 1.26000 SELL ONLY 72201F326 PROIX 1.26000 SELL ONLY 72201F334 PRLIX 1.24000 SELL ONLY 72201F342 PRWIX 1.17000 SELL ONLY 72201F359 PRIEX 1.13000 SELL ONLY 72201W162 PFZIX 1.27000 SELL ONLY Revised 19 Sept 2016 Page 41 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO RealPath? 2035 Fund Institutional Class PIMCO RealPath? 2025 Fund Institutional Class PIMCO RealPath? 2055 Fund Institutional Class PIMCO RealPath? 2050 Fund Administrative Class PIMCO RealPath? 2040 Fund Administrative Class PIMCO RealPath? 2030 Fund Administrative Class PIMCO RealPath? 2020 Fund Administrative Class PIMCO RealPath? Income Fund Administrative Class PIMCO RealPath? 2045 Fund Administrative Class PIMCO RealPath? 2035 Fund Administrative Class PIMCO RealPath? 2025 Fund Administrative Class PIMCO All Asset All Authority Fund Class A PIMCO All Asset All Authority Fund Class C PIMCO All Asset All Authority Fund Class D PIMCO All Asset All Authority Fund Institutional Class PIMCO All Asset All Authority Fund Class P PIMCO RAE Worldwide Fundamental Advantage PLUS Fund Class A PIMCO RAE Worldwide Fundamental Advantage PLUS Fund Class C Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 72201W469 PIVIX 1.27000 SELL ONLY 72201W535 PENTX 1.21000 SELL ONLY 72202E716 PRQIX 1.26000 SELL ONLY 72201F250 POTAX .25 1.51000 SELL ONLY 72201F268 PEOAX .25 1.51000 SELL ONLY 72201F276 PNLAX .25 1.49000 SELL ONLY 72201F284 PFNAX .25 1.42000 SELL ONLY 72201F292 PRNAX .25 1.38000 SELL ONLY 72201W170 PFZMX .25 1.52000 SELL ONLY 72201W477 PIVNX .25 1.52000 SELL ONLY 72201W543 PENMX .25 1.46000 SELL ONLY 72200Q232 PAUAX 5.50 .25 2.38000 BUY,SELL 1.00 3.13000 BUY,SELL CUSIP 72200Q216 PAUCX 1.00 72200Q190 PAUDX Redemption Fee Buy/Sell Eligible .25 2.33000 SELL ONLY 72200Q182 PAUIX 1.93000 SELL ONLY 72201M438 PAUPX PWWA 72201U729 X 3.75 PWWC 72201U695 X 2.03000 SELL ONLY .25 1.43000 SELL ONLY 1.00 2.18000 SELL ONLY 1.00 Revised 19 Sept 2016 Page 42 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name CUSIP Ticker PIMCO RAE Worldwide Fundamental Advantage PLUS Fund Class D PIMCO RAE Low Volatility PLUS International Fund Class C PIMCO RAE Low Volatility PLUS Fund Class A PIMCO RAE Low Volatility PLUS Fund Class C PIMCO RAE Low Volatility PLUS Fund Institutional Class PIMCO RAE Fundamental International Fund Class A PIMCO RAE Fundamental International Fund Class C PIMCO RAE Fundamental International Fund Institutional Class PIMCO RAE Fundamental International Fund Class P PIMCO StocksPLUS® Small Fund Class A PIMCO StocksPLUS® Small Fund Class C PIMCO StocksPLUS® Small Fund Class D PIMCO StocksPLUS® Small Fund Institutional Class PIMCO StocksPLUS® Small Fund Class P PIMCO StocksPLUS® Long Duration Fund Institutional Class PIMCO RAE Fundamental Emerging Markets Fund Class A PIMCO RAE Fundamental Emerging Markets Fund Class C PIMCO RAE Fundamental Emerging Markets Fund Institutional Class PWWD 72201U737 X Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible .25 1.43000 SELL ONLY 1.00 1.98000 SELL ONLY .25 1.23000 SELL ONLY 1.00 1.98000 SELL ONLY 0.83000 SELL ONLY .25 0.95000 SELL ONLY 1.00 1.70000 SELL ONLY 72202L512 PPYIX 0.60000 SELL ONLY 72202L520 PPYPX 0.70000 SELL ONLY 72201U315 PLVQX 1.00 72201U372 PXLVX 3.75 72201U364 POLVX 1.00 72201U331 PILVX 72202L546 PPYAX 3.75 72202L538 PPYCX 1.00 72201F698 PCKAX 3.75 72201F680 PCKCX 1.00 .25 1.13000 BUY,SELL 1.00 1.88000 BUY,SELL 72201F722 PCKDX .25 1.13000 SELL ONLY 72201F797 PSCSX 0.73000 SELL ONLY 72201M586 PCKPX 0.83000 SELL ONLY 72201F433 PSLDX 0.63000 SELL ONLY .25 1.30000 SELL ONLY 1.00 2.05000 SELL ONLY 0.95000 SELL ONLY 72202L678 PEAFX 3.75 72202L660 PECFX 72202L645 PEIFX 1.00 Revised 19 Sept 2016 Page 43 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO RAE Fundamental Emerging Markets Fund Class P PIMCO StocksPLUS® Short Fund Class A PIMCO StocksPLUS® Short Fund Class C PIMCO StocksPLUS® Short Fund Class D PIMCO StocksPLUS® Short Fund Institutional Class PIMCO StocksPLUS® Short Fund Class P PIMCO RAE Fundamental Advantage PLUS Fund Class A PIMCO RAE Fundamental Advantage PLUS Fund Class C PIMCO RAE Fundamental Advantage PLUS Fund Class D PIMCO RAE Fundamental Advantage PLUS Fund Institutional Class PIMCO StocksPLUS® Fund Class A PIMCO StocksPLUS® Fund Class C PIMCO StocksPLUS® Fund Class D PIMCO StocksPLUS® Fund Institutional Class PIMCO StocksPLUS® Fund Administrative Class PIMCO StocksPLUS® Fund Class P PIMCO High Yield Municipal Bond Fund Class A PIMCO National Intermediate Municipal Bond Fund Class A PIMCO High Yield Municipal Bond Fund Class C PIMCO National Intermediate Municipal Bond Fund Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 72202L652 PEPFX Redemption Fee Buy/Sell Eligible 1.05000 SELL ONLY .25 1.08000 SELL ONLY 1.00 1.83000 SELL ONLY .25 1.08000 SELL ONLY 693390486 PSTIX 0.68000 SELL ONLY 72201M339 PSPLX 0.78000 SELL ONLY .25 1.34000 SELL ONLY 1.00 2.09000 SELL ONLY 72201M149 PFSDX .25 1.34000 SELL ONLY 72201F110 693391393 693391419 693391708 0.94000 .25 0.96000 .75 1.46000 .25 0.96000 SELL ONLY BUY,SELL BUY,SELL SELL ONLY 693390403 PSTKX 0.56000 SELL ONLY 693390759 PPLAX 72201M578 PSKPX .25 0.81000 0.66000 SELL ONLY SELL ONLY 72201F730 PYMAX 2.25 .25 0.86000 BUY,SELL 72201U307 PMNTX 2.25 .25 0.80000 BUY,SELL 72201F763 PSSAX 3.75 72201F755 PSSCX 1.00 72201F714 PSSDX 72201M164 PTFAX 3.75 72201M255 PTRCX PFATX PSPAX 3.75 PSPCX PSPDX 1.00 1.00 72201F524 PYMCX 1.00 1.00 1.61000 BUY,SELL 72201U406 PMNNX 1.00 .75 1.30000 BUY,SELL Revised 19 Sept 2016 Page 44 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO High Yield Municipal Bond Fund Class D PIMCO National Intermediate Municipal Bond Fund Class D PIMCO High Yield Municipal Bond Fund Institutional Class PIMCO National Intermediate Municipal Bond Fund Institutional Class PIMCO High Yield Municipal Bond Fund Class P PIMCO National Intermediate Municipal Bond Fund Class P PIMCO Extended Duration Fund Institutional Class CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 72201F748 PYMDX .25 0.86000 SELL ONLY 72201U505 PMNDX .25 0.80000 SELL ONLY 72201F672 PHMIX 0.56000 SELL ONLY 72201U109 PMNIX 0.45000 SELL ONLY 72201M727 PYMPX 0.66000 SELL ONLY 72201U208 PMNPX 0.55000 SELL ONLY 72201F599 PEDIX 0.53000 SELL ONLY .25 1.13000 SELL ONLY PIMCO Real Return Asset Fund Class D PIMCO Real Return Asset Fund Institutional Class 72202E500 PRTDX 72200Q505 PRAIX 0.73000 SELL ONLY PIMCO Real Return Asset Fund Class P PIMCO Long-Term U.S. Government Fund Class A PIMCO Long-Term U.S. Government Fund Class C PIMCO Long-Term U.S. Government Fund Class D PIMCO Long-Term U.S. Government Fund Institutional Class PIMCO Long-Term U.S. Government Fund Administrative Class PIMCO Long-Term U.S. Government Fund Class P PIMCO Real Return Fund Class A PIMCO RealEstateRealReturn Strategy Fund Class A PIMCO Real Return Fund Class C 72201W816 PRTPX 0.83000 SELL ONLY 693391187 PFGAX 3.75 693391203 PFGCX 1.00 .25 0.88500 BUY,SELL 1.00 1.63500 BUY,SELL 72202E302 PLGDX .25 0.93500 SELL ONLY 693390205 PGOVX 0.53500 SELL ONLY 693390775 PLGBX .25 0.78500 SELL ONLY 72201M677 PLTPX 693391120 PRTNX 3.75 0.63500 .25 0.98000 SELL ONLY BUY,SELL .25 1.34000 .75 1.48000 BUY,SELL BUY,SELL 72200Q299 PETAX 5.50 693391146 PRTCX 1.00 Revised 19 Sept 2016 Page 45 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO RealEstateRealReturn Strategy Fund Class C PIMCO Real Return Fund Class D PIMCO RealEstateRealReturn Strategy Fund Class D PIMCO Real Return Limited Duration Fund Class D PIMCO Real Return Fund Institutional Class PIMCO RealEstateRealReturn Strategy Fund Institutional Class PIMCO Real Return Limited Duration Fund Institutional Class PIMCO Real Return Fund Administrative Class PIMCO RealEstateRealReturn Strategy Fund Class P PIMCO Real Return Fund Class P PIMCO Real Return Limited Duration Fund Class P PIMCO RealPath Blend Income Fund Class A PIMCO RealPath Blend 2020 Fund Class A PIMCO RealPath Blend 2025 Fund Class A PIMCO RealPath Blend 2055 Fund Class A PIMCO RealPath Blend 2050 Fund Class A PIMCO RealPath Blend 2045 Fund Class A PIMCO RealPath Blend 2040 Fund Class A PIMCO RealPath Blend 2035 Fund Class A CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 72200Q273 PETCX 693391682 PRRDX 1.00 Redemption Fee Buy/Sell Eligible 1.00 2.09000 .25 0.98000 BUY,SELL SELL ONLY 72200Q265 PETDX .25 1.34000 SELL ONLY 72202E633 PPDRX .25 1.01000 SELL ONLY 693391104 PRRIX 0.58000 SELL ONLY 72200Q257 PRRSX 0.94000 SELL ONLY 72202E617 PPIRX 0.61000 SELL ONLY 693391112 PARRX .25 0.83000 SELL ONLY 72201M628 PETPX 72201M636 PRLPX 1.04000 0.68000 SELL ONLY SELL ONLY 72202E625 PPPRX 0.71000 SELL ONLY 72202L108 PBRAX 5.50 .25 0.87000 SELL ONLY 72202L405 PBZAX 5.50 .25 0.87000 SELL ONLY 72202L702 PPZAX 5.50 .25 0.83000 SELL ONLY 72202L710 PRQAX 5.50 .25 0.71000 SELL ONLY 72202L744 PPQAX 5.50 .25 0.71000 SELL ONLY 72202L777 PVQAX 5.50 .25 0.73000 SELL ONLY 72202L819 PVPAX 5.50 .25 0.75000 SELL ONLY 72202L843 PDGAX 5.50 .25 0.78000 SELL ONLY Revised 19 Sept 2016 Page 46 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO RealPath Blend 2030 Fund Class A PIMCO RealPath Blend Income Fund Administrative Class PIMCO RealPath Blend 2020 Fund Administrative Class PIMCO RealPath Blend 2055 Fund Administrative Class PIMCO RealPath Blend 2050 Fund Administrative Class PIMCO RealPath Blend 2045 Fund Administrative Class PIMCO RealPath Blend 2040 Fund Administrative Class PIMCO RealPath Blend 2025 Fund Administrative Class PIMCO RealPath Blend 2030 Fund Administrative Class PIMCO RealPath Blend Income Fund Institutional Class PIMCO RealPath Blend 2020 Fund Institutional Class PIMCO RealPath Blend 2055 Fund Institutional Class PIMCO RealPath Blend 2050 Fund Institutional Class PIMCO RealPath Blend 2045 Fund Institutional Class PIMCO RealPath Blend 2040 Fund Institutional Class PIMCO RealPath Blend 2035 Fund Institutional Class PIMCO RealPath Blend 2030 Fund Institutional Class PIMCO RealPath Blend 2025 Fund Institutional Class CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 72202L876 PBPAX 5.50 .25 0.82000 SELL ONLY 72202L207 PBRDX .25 0.62000 SELL ONLY 72202L504 PBZDX .25 0.62000 SELL ONLY 72202L694 PRQDX .25 0.46000 SELL ONLY 72202L736 PPQDX .25 0.46000 SELL ONLY 72202L769 PVQDX .25 0.48000 SELL ONLY 72202L793 PVPRX .25 0.50000 SELL ONLY 72202L801 PPZDX .25 0.58000 SELL ONLY 72202L868 PBPRX .25 0.57000 SELL ONLY 72202L306 PBRNX 0.37000 SELL ONLY 72202L603 PBZNX 0.37000 SELL ONLY 72202L686 PRQZX 0.21000 SELL ONLY 72202L728 PPQZX 0.21000 SELL ONLY 72202L751 PVQNX 0.23000 SELL ONLY 72202L785 PVPNX 0.25000 SELL ONLY 72202L827 PDGZX 0.28000 SELL ONLY 72202L850 PBPNX 0.32000 SELL ONLY 72202L884 PPZRX 0.33000 SELL ONLY Revised 19 Sept 2016 Page 47 of 96 Fund Family Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Pimco Fund Name PIMCO RAE Fundamental US Small Fund Class A PIMCO RAE Fundamental US Small Fund Class C PIMCO RAE Fundamental US Small Fund Institutional Class PIMCO RAE Fundamental US Small Fund Class P PIMCO Emerging Markets Bond Fund Class A PIMCO Emerging Markets Bond Fund Class C PIMCO Emerging Markets Bond Fund Class D PIMCO Emerging Markets Bond Fund Institutional Class PIMCO Emerging Markets Bond Fund Administrative Class PIMCO Emerging Markets Bond Fund Class P PIMCO Emerging Local Bond Fund Class A PIMCO Emerging Local Bond Fund Class C PIMCO Emerging Local Bond Fund Class D PIMCO Emerging Local Bond Fund Institutional Class PIMCO Emerging Local Bond Fund Administrative Class PIMCO Emerging Local Bond Fund Class P PIMCO RealPath™ 2020 Fund Class P PIMCO RealPath™ 2030 Fund Class P PIMCO RealPath™ 2040 Fund Class P PIMCO RealPath™ 2050 Fund Class P CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 72202L454 PMJAX 3.75 Redemption Fee Buy/Sell Eligible .25 1.00000 SELL ONLY 1.00 1.75000 SELL ONLY 72202L421 PMJIX 0.60000 SELL ONLY 72202L439 PMJPX 0.70000 SELL ONLY 72202L447 PMJCX 1.00 693391575 PAEMX 3.75 693391591 PEBCX 1.00 722005790 PEMDX .25 1.20000 BUY,SELL 1.00 1.95000 BUY,SELL .25 1.20000 SELL ONLY 0.83000 SELL ONLY 693391567 PEBAX .25 1.08000 SELL ONLY 72201M818 PEMPX 0.93000 SELL ONLY 693391559 PEBIX 72201F425 PELAX 3.75 72201F391 PELCX 1.00 .25 1.35000 BUY,SELL 1.00 2.10000 BUY,SELL 72201F383 PLBDX .25 1.35000 SELL ONLY 72201F516 PELBX 0.90000 SELL ONLY 72201F375 PEBLX .25 1.15000 SELL ONLY 72201M396 PELPX 72201M537 72201M529 72201M511 72201M495 1.00000 0.70000 0.75000 0.77000 0.77000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY Revised 19 Sept 2016 Page 48 of 96 Fund Family Fund Name Pioneer Investments Pioneer Fundamental Growth Fund Class A Pioneer Fundamental Growth Fund Class C Pioneer Fundamental Growth Fund Class Y Pioneer Global Equity Fund Class A Pioneer Core Equity Fund Class A Pioneer Global Equity Fund Class C Pioneer Core Equity Fund Class C Pioneer Global Equity Fund Class Y Pioneer Core Equity Fund Class Y Pioneer Fund Class A Pioneer Fund Class C Pioneer Fund Class Y Pioneer High Income Municipal Fund Class A Pioneer High Income Municipal Fund Class C Pioneer High Income Municipal Fund Class Y Pioneer Select Mid Cap Growth Fund Class A Pioneer Select Mid Cap Growth Fund Class C Pioneer Select Mid Cap Growth Fund Class Y Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments CUSIP Ticker 723695102 PIGFX Gross Front End 12b-1 Expense Load CDSC Fees Ratio 5.75 723695300 FUNCX 723695409 72387N705 724010103 72387N887 724010301 72387N788 724010509 723682100 723682308 723682407 1.00 FUNYX GLOSX 5.75 PIOTX 5.75 GCSLX PCOTX PGSYX PVFYX PIODX 5.75 PCODX PYODX 72387N846 PIMAX 1.00 1.00 1.00 4.50 72387N838 HICMX 1.00 Redemption Fee Buy/Sell Eligible .25 1.11000 BUY,SELL 1.00 1.77000 BUY,SELL .00 .25 .25 1.00 1.00 .00 .00 .25 1.00 .00 SELL ONLY BUY,SELL BUY,SELL BUY,SELL BUY,SELL SELL ONLY SELL ONLY BUY,SELL BUY,SELL SELL ONLY 0.79000 1.54000 0.93000 2.25000 1.74000 1.00000 0.62000 0.98000 1.76000 0.68000 .25 0.89000 BUY,SELL 1.00 1.65000 BUY,SELL 72387N820 HIMYX .00 0.71000 SELL ONLY 72387W408 PGOFX 5.75 .25 1.06000 BUY,SELL 1.00 1.87000 BUY,SELL 72387W606 GOFCX 1.00 72387W762 GROYX .00 0.77000 SELL ONLY Pioneer Disciplined Value Fund Class A 72387X109 CVFCX 5.75 .25 1.17000 BUY,SELL Pioneer Investments Pioneer Disciplined Value Fund Class C 72387X307 CVCFX 1.00 1.91000 BUY,SELL Pioneer Investments Pioneer Disciplined Value Fund Class Y 72387X406 CVFYX Pioneer AMT-Free Municipal Fund Class A 72387W705 PBMFX 4.50 Pioneer AMT-Free Municipal Fund Class C 72387W887 MNBCX Pioneer Investments Pioneer Investments 1.00 1.00 .00 0.85000 SELL ONLY .25 0.83000 BUY,SELL 1.00 1.56000 BUY,SELL Revised 19 Sept 2016 Page 49 of 96 Fund Family Fund Name Pioneer Investments Pioneer AMT-Free Municipal Fund Class Y 72387W747 PBYMX Pioneer Investments Pioneer Disciplined Growth Fund Class A 723922100 PINDX Pioneer Investments Pioneer Disciplined Growth Fund Class C 723922308 INDCX Pioneer Investments Pioneer Investments Pioneer Disciplined Growth Fund Class Y 723922407 INYDX Pioneer Global Multisector Income Fund Class A 72388C104 PGABX 4.50 Pioneer Global Multisector Income Fund Class C 72388C203 PGCBX Pioneer Investments Pioneer International Equity Fund Class A 723709101 PIIFX Pioneer Investments Pioneer International Equity Fund Class C 723709309 PCITX Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer International Equity Fund Class Y Pioneer Mid Cap Value Fund Class A Pioneer Mid Cap Value Fund Class C Pioneer Mid Cap Value Fund Class Y 723709507 72375Q108 72375Q306 72375Q405 Pioneer Investments Pioneer Investments Pioneer Classic Balanced Fund Class A Pioneer Multi Asset Income Fund A 72387P106 AOBLX 4.50 72387P643 PMAIX 4.50 Pioneer Investments Pioneer Investments Pioneer Classic Balanced Fund Class C Pioneer Multi Asset Income Fund C 72387P304 PCBCX 72387P635 PMACX Pioneer Investments Pioneer Investments Pioneer Classic Balanced Fund Class Y Pioneer Multi Asset Income Fund Y Pioneer Solutions - Conservative Fund Class A Pioneer Solutions - Conservative Fund Class C Pioneer Solutions - Conservative Fund Class Y 72387P403 AYBLX 72387P627 PMFYX Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 5.75 1.00 5.75 1.00 INVYX PCGRX 5.75 PCCGX PYCGX 723556874 PIAVX 723556858 PICVX 723556817 IBBCX 1.00 1.00 1.00 1.00 5.75 1.00 Redemption Fee Buy/Sell Eligible .00 0.64000 SELL ONLY .25 1.14000 BUY,SELL 1.00 2.00000 BUY,SELL .00 0.82000 SELL ONLY .25 2.67000 BUY,SELL 1.00 2.56000 BUY,SELL .25 1.71000 BUY,SELL 1.00 2.42000 BUY,SELL .00 .25 1.00 .00 SELL ONLY BUY,SELL BUY,SELL SELL ONLY 1.04000 1.05000 1.90000 0.73000 .25 1.32000 .25 1.43000 BUY,SELL BUY,SELL 1.00 2.02000 1.00 2.17000 BUY,SELL BUY,SELL .00 1.02000 .00 1.19000 SELL ONLY SELL ONLY .25 1.44000 BUY,SELL 1.00 2.18000 BUY,SELL .00 1.63000 SELL ONLY Revised 19 Sept 2016 Page 50 of 96 Fund Family Fund Name Pioneer Investments Pioneer Solutions - Balanced Fund Class A 723556106 PIALX Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 5.75 .25 1.41000 BUY,SELL Pioneer Solutions - Growth Fund Class A 723556403 GRAAX 5.75 Pioneer Solutions - Balanced Fund Class C 723556304 PIDCX .25 1.43000 BUY,SELL 1.00 1.00 2.10000 BUY,SELL 1.00 1.00 2.12000 BUY,SELL Pioneer Solutions - Growth Fund Class C 723556601 GRACX Pioneer Solutions - Balanced Fund Class Y 723556825 IMOYX .00 1.11000 SELL ONLY 723556833 IBGYX .00 1.21000 SELL ONLY 72387S407 PMARX 4.50 .25 1.29000 SELL ONLY 1.00 2.04000 SELL ONLY Pioneer Investments Pioneer Solutions - Growth Fund Class Y Pioneer Flexible Opportunities Fund Class A Pioneer Flexible Opportunities Fund Class C Pioneer Flexible Opportunities Fund Class Y .00 1.05000 SELL ONLY Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Real Estate Fund Class A Pioneer Real Estate Fund Class C Pioneer Real Estate Fund Class Y Pioneer Equity Income Fund Class A Pioneer Equity Income Fund Class C Pioneer Equity Income Fund Class Y 723848107 723848305 723848404 72366V108 72366V306 72366V405 Pioneer Investments Pioneer Emerging Markets Fund Class A 723661104 PEMFX 5.75 Pioneer Investments Pioneer Emerging Markets Fund Class C 723661302 PCEFX Pioneer Investments Pioneer Investments Pioneer Emerging Markets Fund Class Y 723661401 PYEFX Pioneer Bond Fund Class A 723622106 PIOBX 4.50 Pioneer Investments Pioneer Investments Pioneer Strategic Income Fund Class A Pioneer Bond Fund Class C 723884102 PSRAX 4.50 723622304 PCYBX 1.00 .25 1.05000 1.00 1.63000 BUY,SELL BUY,SELL Pioneer Investments Pioneer Strategic Income Fund Class C 723884300 PSRCX 1.00 1.00 1.72000 BUY,SELL Pioneer Investments Pioneer Investments 72387S506 PRRCX 1.00 72387S605 PMYRX PWREX 5.75 PCREX PYREX PEQIX 5.75 PCEQX PYEQX 1.00 1.00 1.00 .25 1.00 .00 .25 1.00 .00 1.41000 2.24000 1.02000 1.06000 1.80000 0.78000 BUY,SELL BUY,SELL SELL ONLY BUY,SELL BUY,SELL SELL ONLY .25 2.18000 BUY,SELL 1.00 2.95000 BUY,SELL .00 1.55000 .25 0.93000 SELL ONLY BUY,SELL Revised 19 Sept 2016 Page 51 of 96 Fund Family Fund Name CUSIP Pioneer Investments Pioneer Bond Fund Class Y 723622403 PICYX Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Strategic Income Fund Class Y Pioneer Floating Rate Fund Class A Pioneer Dynamic Credit Fund Class A Pioneer Floating Rate Fund Class C Pioneer Dynamic Credit Fund Class C Pioneer Floating Rate Fund Class Y Pioneer Dynamic Credit Fund Class Y Pioneer Multi-Asset Ultrashort Income Fund Class A Pioneer Multi-Asset Ultrashort Income Fund Class C Pioneer Multi-Asset Ultrashort Income Fund Class Y 723884409 72387S100 72388E100 72387S209 72388E209 72387S308 72388E308 Pioneer Investments Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio STRYX FLARX 4.50 RCRAX 4.50 FLRCX RCRCX FLYRX RCRYX Redemption Fee Buy/Sell Eligible .00 0.58000 1.00 1.00 .00 .25 .25 1.00 1.00 .00 .00 SELL ONLY 0.73000 1.10000 1.19000 1.84000 1.95000 0.82000 0.96000 SELL ONLY BUY,SELL SELL ONLY BUY,SELL SELL ONLY SELL ONLY SELL ONLY 72388E407 MAFRX 2.50 .20 0.63000 BUY,SELL 72388E506 MCFRX .50 0.94000 BUY,SELL 72388E605 MYFRX .00 0.51000 SELL ONLY .20 0.82000 BUY,SELL Pioneer Investments Pioneer Short Term Income Fund Class A 72387U105 STABX 2.50 Pioneer Short Term Income Fund Class C 72387U303 PSHCX .50 1.06000 BUY,SELL Pioneer Investments Pioneer Investments Pioneer Short Term Income Fund Class Y 72387U402 PSHYX Pioneer High Yield Fund Class A 72369B109 TAHYX 4.50 .00 0.60000 .25 1.17000 SELL ONLY BUY,SELL Pioneer Investments Pioneer Investments Pioneer Global High Yield Fund Class A Pioneer High Yield Fund Class C 72369G108 PGHYX 4.50 72369B307 PYICX Pioneer Investments Pioneer Investments Pioneer Global High Yield Fund Class C Pioneer High Yield Fund Class Y 72369G306 PGYCX 72369B406 TYHYX Pioneer Investments 72369G405 GHYYX Pioneer Investments Polaris Funds Pioneer Global High Yield Fund Class Y Pioneer Government Income Fund Class Y Pioneer Government Income Fund Class C Polaris Global Value Fund Praxis Mutual Funds Praxis Growth Index Fund Class A 74006E843 MGNDX 5.25 Pioneer Investments Pioneer Investments Pioneer Investments Pioneer Investments 1.00 1.00 72387P684 72387P692 349903484 PGVFX 1.00 .25 1.17000 1.00 1.89000 BUY,SELL BUY,SELL 1.00 1.87000 .00 0.88000 BUY,SELL SELL ONLY .00 0.87000 SELL ONLY 0.00 0.96000 SELL ONLY 1.00 2.02000 1.27000 1.00 BUY, SELL SELL ONLY .25 0.84000 2.00 SELL ONLY Revised 19 Sept 2016 Page 52 of 96 Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible Fund Family Fund Name CUSIP Ticker Praxis Mutual Funds Praxis Mutual Funds Praxis Mutual Funds Praxis Mutual Funds Praxis Mutual Funds Praxis Growth Index Fund Class I Praxis Value Index Fund Class A Praxis Value Index Fund Class I Praxis Impact Bond Fund Class A Praxis Impact Bond Fund Class I 74006E868 74006E603 74006E785 74006E504 74006E769 MMDEX MVIAX 5.25 MVIIX MIIAX 3.75 MIIIX 0.44000 .25 0.94000 0.45000 .25 0.98000 0.54000 2.00 2.00 2.00 2.00 2.00 SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY Praxis Mutual Funds Praxis Mutual Funds Praxis International Index Fund Class A Praxis International Index Fund Class I 74006E801 MPLAX 5.25 74006E702 MPLIX .25 1.33000 0.78000 2.00 2.00 SELL ONLY SELL ONLY Praxis Mutual Funds Praxis Mutual Funds Praxis Small Cap Fund Class A Praxis Small Cap Fund Class I 74006E793 MMSCX 5.25 74006E827 MMSIX .25 1.81000 1.06000 2.00 2.00 SELL ONLY SELL ONLY Praxis Mutual Funds Praxis Genesis Growth Portfolio Class A Praxis Genesis Balanced Portfolio Class A Praxis Genesis Conservative Portfolio Class A PRIMECAP Odyssey Aggressive Growth Fund 74006E751 MGAFX 5.25 .25 1.21000 2.00 SELL ONLY 74006E876 MBAPX 5.25 .25 1.10000 2.00 SELL ONLY 74006E884 MCONX 5.25 .25 1.15000 2.00 SELL ONLY 74160Q202 POAGX 0.62000 SELL ONLY PRIMECAP Odyssey Growth Fund 74160Q103 POGRX 0.64000 SELL ONLY PRIMECAP Odyssey Stock Fund Principal Global Multi-Strategy Fund Class A Shares Principal Global Multi-Strategy Fund Class C Principal Global Multi-Strategy Fund Institutional Class Shares Principal Global Multi-Strategy Fund Class P Shares 74160Q301 POSKX 0.65000 SELL ONLY .25 2.43000 SELL ONLY 1.00 3.25000 SELL ONLY 2.11000 SELL ONLY 2.20000 SELL ONLY Praxis Mutual Funds Praxis Mutual Funds PRIMECAP Odyssey Funds PRIMECAP Odyssey Funds PRIMECAP Odyssey Funds Principal Funds Principal Funds Principal Funds Principal Funds 74255L720 PMSAX 3.75 74255L597 PMSCX 1.00 74255L696 PSMIX Principal Funds 74255L712 PMSPX PRGW Principal LargeCap Growth Fund Class A 74254T534 X 5.50 Principal Funds Principal LargeCap Growth Fund Class C 74254V836 PLGCX 1.00 .25 1.07000 BUY,SELL 1.00 1.90000 BUY,SELL Revised 19 Sept 2016 Page 53 of 96 Fund Family Fund Name CUSIP Principal Funds Principal LargeCap Growth Fund Institutional Class 74253Q812 PGLIX Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal LargeCap Growth Fund Class P Principal Blue Chip Fund Class A Principal Blue Chip Fund Class C Principal Blue Chip Fund Institutional Class Principal Blue Chip Fund Class P Principal LargeCap Growth Fund I Class A Principal LargeCap Growth Fund I Institutional Class Principal LargeCap Growth Fund I Class P Principal LargeCap S&P 500 Index Fund Class A Principal Capital Appreciation Fund Class A Principal Equity Income Fund Class A Principal LargeCap S&P 500 Index Fund Class C Principal Capital Appreciation Fund Class C Principal Equity Income Fund Class C Principal LargeCap Growth Fund II Institutional Class Principal LargeCap S&P 500 Index Fund Institutional Class Principal Capital Appreciation Fund Institutional Class Principal Equity Income Fund Institutional Class Principal Capital Appreciation Fund Class P Principal Equity Income Fund Class P Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 0.64000 SELL ONLY 0.82000 .25 1.39000 1.00 2.33000 SELL ONLY BUY,SELL BUY,SELL 0.71000 1.41000 SELL ONLY SELL ONLY .25 1.28000 SELL ONLY 74253J784 PLGIX 0.63000 SELL ONLY 742537889 PVCPX 2.78000 SELL ONLY 74255L811 PGLPX 74255L472 PBLAX 5.50 74255L464 PBLCX 1.00 74255L589 PBCKX 74255L456 PBLPX 74255L480 PLGAX 5.50 74254T476 PLSAX 1.50 CMNW 74254V349 X 5.50 74254V869 PQIAX 5.50 .15 0.48000 BUY,SELL .25 0.84000 .25 0.91000 BUY,SELL BUY,SELL 74254U747 PLICX 1.00 1.00 1.36000 BUY,SELL 74254V323 CMNCX 74254V844 PEUCX 1.00 1.00 1.00 1.65000 1.00 1.64000 BUY,SELL BUY,SELL 74253J735 PPIIX 0.89000 SELL ONLY 74253Q788 PLFIX 0.16000 SELL ONLY 74254U432 PWCIX 0.46000 SELL ONLY 74254U499 PEIIX 0.52000 SELL ONLY 74255L704 PCFPX 74255L878 PEQPX 0.60000 0.62000 SELL ONLY SELL ONLY Revised 19 Sept 2016 Page 54 of 96 Fund Family Fund Name CUSIP Principal Funds Principal LargeCap S&P 500 Index Fund R-4 Class 74251T347 PLFSX Principal Funds Principal Funds Principal MidCap Fund Class A Principal MidCap Fund Class C 74254T443 PEMGX 5.50 74254U721 PMBCX Principal Funds Principal Funds Principal MidCap Fund Institutional Class Principal MidCap Fund Class P Principal International Small Company Fund Class A Principal International Small Company Fund Institutional Class Principal International Small Company Fund Class P 74253Q747 PCBIX 74255L795 PMCPX Principal Capital Securities Fund Class S Principal Real Estate Debt Income Fund Class A Principal Real Estate Debt Income Fund Class Institutional Principal Dynamic High Yield Explorer Fund Class A Shares Principal Dynamic High Yield Explorer Fund Institutional Class Shares Principal Diversified Real Asset Fund Class A Principal Diversified Real Asset Fund Class C Principal Diversified Real Asset Fund Institutional Class Principal Global Opportunities Equity Hedged Fund Class A Principal Global Opportunities Equity Hedged Fund Institutional Class Principal LargeCap Value Fund III Institutional Class Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 742537855 PICAX .10 0.53000 1.00 .25 0.98000 1.00 1.71000 0.67000 0.70000 5.50 .25 2.70000 Redemption Fee Buy/Sell Eligible SELL ONLY BUY,SELL BUY,SELL SELL ONLY SELL ONLY BUY,SELL 742537475 PISMX 4.14000 SELL ONLY 742537848 PCOPX 2.35000 SELL ONLY 742537202 PCSFX 0.11000 SELL ONLY .25 1.14000 SELL ONLY 0.84000 SELL ONLY .25 1.72000 SELL ONLY 1.37000 SELL ONLY 742537558 PRDYX 3.75 742537541 PRDIX 742537814 PDYAX 3.75 742537798 PDYIX 74254V182 PRDAX 3.75 74254V174 PRDCX 74254V166 PDRDX 1.00 .25 1.26000 BUY,SELL 1.00 2.05000 BUY,SELL 0.88000 SELL ONLY .25 2.16000 SELL ONLY 742537376 PGHIX 1.51000 SELL ONLY 74253J677 PLVIX 0.77000 SELL ONLY 742537392 PGOHX 5.50 Revised 19 Sept 2016 Page 55 of 96 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible Principal Funds Principal Global Opportunities Equity Hedged Fund Class P Principal High Yield Fund I Class A Principal High Yield Fund I Institutional Class Principal Small-MidCap Dividend Income Fund Class A Principal Small-MidCap Dividend Income Fund Class C Principal Small-MidCap Dividend Income Fund Institutional Class Principal Small-MidCap Dividend Income Fund Class P Principal Funds Principal LargeCap Value Fund Class A 74254T625 PCACX 5.50 Principal Funds Principal LargeCap Value Fund Class C Principal LargeCap Value Fund Institutional Class 74254U739 PLUCX 74253Q762 PVLIX 0.42000 SELL ONLY Principal LargeCap Value Fund Class P Principal EDGE MidCap Fund Class Institutional Principal Short-Term Income Fund Class A Principal Short-Term Income Fund Class C Principal Short-Term Income Fund Institutional Class Principal Short-Term Income Fund Class P Principal Preferred Securities Fund Class A Principal Preferred Securities Fund Class C Principal Preferred Securities Fund Institutional Class 742537871 PVFPX 7.30000 SELL ONLY 742537426 PEDGX 0.80000 SELL ONLY Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds 742537384 PGHRX 74255L498 PYHAX 3.75 74254R637 PYHIX 74255L753 PMDAX 5.50 74255L613 PMDDX 1.00 1.69000 .25 1.23000 SELL ONLY SELL ONLY 0.65000 SELL ONLY .25 1.60000 BUY,SELL 1.00 2.39000 BUY,SELL 74255L738 PMDIX 1.30000 SELL ONLY 74255L746 PMDPX 1.32000 SELL ONLY 1.00 74254V562 SRHQX 2.25 74254V554 STCCX 1.00 .25 0.86000 BUY,SELL 1.00 1.87000 BUY,SELL .15 0.68000 BUY,SELL 1.00 1.57000 BUY,SELL 74254U440 PSHIX 0.43000 SELL ONLY 74255L761 PSTPX 0.52000 SELL ONLY 74254T252 PPSAX 3.75 74254U614 PRFCX 74253Q416 PPSIX 1.00 .25 1.07000 BUY,SELL 1.00 1.82000 BUY,SELL 0.76000 SELL ONLY Revised 19 Sept 2016 Page 56 of 96 Fund Family Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Fund Name Principal Preferred Securities Fund Class P Principal Global Opportunities Fund Class A Principal Global Opportunities Fund Class C Principal Global Opportunities Fund Class P Principal California Municipal Fund Class A CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 74255L787 PPSPX 74255L449 PGLAX 5.50 74255L431 PGOCX 1.00 74255L423 PGXPX Redemption Fee Buy/Sell Eligible 0.83000 SELL ONLY .25 2.16000 SELL ONLY 1.00 3.51000 SELL ONLY 3.55000 SELL ONLY 74254V695 SRCMX 3.75 .25 0.81000 BUY,SELL Principal Tax-Exempt Bond Fund Class A 74254V802 PTEAX 3.75 Principal Opportunistic Municipal Fund Class A 74255L639 PMOAX 3.75 Principal California Municipal Fund Class C 74254V679 SRCCX .25 0.81000 BUY,SELL .25 1.11000 BUY,SELL 1.00 1.00 1.74000 BUY,SELL 74254V877 PTBCX 1.00 1.00 1.78000 BUY,SELL 74255L621 PMODX 1.00 1.00 1.97000 BUY,SELL Principal Tax-Exempt Bond Fund Class C Principal Opportunistic Municipal Fund Class C Principal Opportunistic Municipal Fund Institutional Class Principal California Municipal Fund Institutional Class Principal Opportunistic Municipal Fund Class P Principal Global Diversified Income Fund Class A Principal Global Diversified Income Fund Class C Principal Global Diversified Income Fund Institutional Class Principal Global Diversified Income Fund Class P Principal High Yield Fund Class A Principal High Yield Fund Class C 742537442 POMFX 0.83000 SELL ONLY 742537459 PCMFX 95.60000 SELL ONLY 74255L415 PMOQX 1.06000 SELL ONLY 74254V224 PGBAX 3.75 74254V216 PGDCX 1.00 74254V232 PGDIX 74255L860 PGDPX 74254V661 CPHYX 3.75 74254V646 CCHIX 1.00 .25 1.09000 BUY,SELL 1.00 1.85000 BUY,SELL 0.78000 SELL ONLY 0.83000 .25 0.88000 1.00 1.63000 SELL ONLY BUY,SELL BUY,SELL Revised 19 Sept 2016 Page 57 of 96 Fund Family Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Fund Name Principal High Yield Fund Institutional Class Principal High Yield Fund Class P Principal Overseas Fund Institutional Class Principal SystematEx International Fund Institutional Class Principal International Equity Index Fund Institutional Class Principal International Fund I Class A Principal International Fund I Institutional Class Principal International Fund I Class P Principal LifeTime 2010 Fund Class A Principal LifeTime Strategic Income Fund Class A Principal LifeTime 2020 Fund Class A Principal LifeTime 2030 Fund Class A Principal LifeTime 2030 Fund Institutional Class Principal LifeTime 2035 Fund Institutional Class Principal LifeTime 2025 Fund Institutional Class Principal LifeTime 2030 Fund R-4 Class Principal Strategic Asset Management Strategic Growth Fund Class A Principal Strategic Asset Management Conservative Growth Fund Class A Principal Strategic Asset Management Strategic Growth Fund Class C Principal Strategic Asset Management Conservative Growth Fund Class C Principal Real Estate Allocation Fund Class A CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 74254U481 PHYTX 74255L845 PYHPX 0.60000 0.71000 SELL ONLY SELL ONLY 742553571 PINZX 1.10000 SELL ONLY 742537368 PSOMX 1.04000 SELL ONLY 742553324 PIDIX 742537707 PFAFX 5.50 0.33000 .25 2.18000 SELL ONLY BUY,SELL 74253Q226 PINIX 742537806 PTRPX 74254T120 PENAX 3.75 0.97000 1.08000 .25 1.05000 SELL ONLY SELL ONLY BUY,SELL 74254T138 PALTX 3.75 74254U101 PTBAX 5.50 74254U309 PTCAX 5.50 .25 1.04000 .25 1.08000 .25 1.13000 BUY,SELL BUY,SELL BUY,SELL 74253M399 PMTIX 0.72000 SELL ONLY 742553720 LTIUX 0.74000 SELL ONLY 742553738 LTSTX 0.71000 SELL ONLY 74253M431 PTCSX .10 1.09000 SELL ONLY 74254V414 SACAX 5.50 .25 1.40000 BUY,SELL 74254V471 SAGPX 5.50 SWHC 74254V380 X .25 1.42000 BUY,SELL 1.00 1.00 2.15000 BUY,SELL 74254V455 SCGPX 1.00 1.00 2.17000 BUY,SELL 742537533 PAEDX 5.50 .25 32.15000 SELL ONLY Revised 19 Sept 2016 Page 58 of 96 Fund Family Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Fund Name Principal Real Estate Allocation Fund Institutional Class Principal Strategic Asset Management Flexible Income Fund Class A Principal Strategic Asset Management Conservative Balanced Fund Class A Principal Strategic Asset Management Balanced Fund Class A Principal Strategic Asset Management Flexible Income Fund Class C Principal Strategic Asset Management Conservative Balanced Fund Class C Principal Strategic Asset Management Balanced Fund Class C Principal Strategic Asset Management Flexible Income Fund Institutional Class Principal LifeTime 2040 Fund Class A Principal LifeTime 2060 Fund Institutional Class Principal LifeTime 2050 Fund Class A Principal LifeTime 2045 Fund Institutional Class Principal Income Fund Class A Principal Income Fund Class C Principal Income Fund Institutional Class Principal Income Fund Class P Principal Diversified International Fund Class A Principal Diversified International Fund Class C Principal Diversified International Fund Institutional Class Principal Diversified International Fund Class P CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 742537525 PADDX 339.71000 Redemption Fee Buy/Sell Eligible SELL ONLY 74254V448 SAUPX 3.75 .25 1.18000 BUY,SELL 74254V513 SAIPX 5.50 .25 1.30000 BUY,SELL 74254V547 SABPX 5.50 .25 1.35000 BUY,SELL 74254V422 SCUPX 1.00 1.00 1.94000 BUY,SELL 74254V489 SCIPX 1.00 1.00 2.05000 BUY,SELL 74254V521 SCBPX 1.00 1.00 2.09000 BUY,SELL 74254U192 PIFIX 74254U507 PTDAX 5.50 0.87000 .25 1.19000 SELL ONLY BUY,SELL 74255L563 PLTZX 74254U705 PPEAX 5.50 0.81000 .25 1.25000 SELL ONLY BUY,SELL 742553746 LTRIX 74254V638 CMPIX 2.25 74254V612 CNMCX 0.76000 .25 0.88000 1.00 1.67000 SELL ONLY BUY,SELL BUY,SELL 0.50000 0.67000 SELL ONLY SELL ONLY 1.00 74254U473 PIOIX 74255L837 PIMPX 74254T328 PRWLX 5.50 74254V810 PDNCX 1.00 .25 1.35000 BUY,SELL 1.00 2.23000 BUY,SELL 74253Q879 PIIIX 0.85000 SELL ONLY 74255L803 PDIPX 1.25000 SELL ONLY Revised 19 Sept 2016 Page 59 of 96 Fund Family Fund Name CUSIP Principal Funds Principal SmallCap Value Fund II Class A Principal SmallCap Growth Fund I Institutional Class Principal SmallCap S&P 600 Index Fund Institutional Class Principal SmallCap Value Fund II Institutional Class 742537509 PSVAX 5.50 Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible .25 3.03000 SELL ONLY 74253J461 PGRTX 1.10000 SELL ONLY 74253Q523 PSSIX 0.20000 SELL ONLY 74254R694 PPVIX 1.03000 SELL ONLY 49.81000 SELL ONLY Principal SmallCap Value Fund II Class P 742537608 PSCPX Principal SmallCap S&P 600 Index Fund R-4 Class 74253J222 PSSSX .10 0.54000 SELL ONLY .25 1.45000 SELL ONLY 74253Q192 PVMIX 1.00000 SELL ONLY 74253Q671 PVUIX 0.67000 SELL ONLY Principal MidCap Value Fund III Class A Principal MidCap Value Fund I Institutional Class Principal MidCap Value Fund III Institutional Class Principal MidCap S&P 400 Index Fund Institutional Class 742537301 PVCAX 5.50 74253Q697 MPSIX 0.19000 SELL ONLY Principal MidCap Value Fund III Class P Principal MidCap S&P 400 Index Fund R4 Class Principal International Emerging Markets Fund Class A Principal International Emerging Markets Fund Class C Principal International Emerging Markets Fund Institutional Class Principal International Emerging Markets Fund Class P Principal Real Estate Securities Fund Class A Principal Global Real Estate Securities Fund Class A 742537400 PMVPX 16.52000 SELL ONLY 74251T164 PMFSX 74254T294 PRIAX 5.50 74254U754 PMKCX 1.00 .10 0.54000 SELL ONLY .25 1.83000 BUY,SELL 1.00 2.80000 BUY,SELL 74253Q804 PIEIX 1.25000 SELL ONLY 74255L829 PIEPX 2.20000 SELL ONLY 74254T278 PRRAX 5.50 .25 1.30000 BUY,SELL 74254V299 POSAX 5.50 .25 1.32000 BUY,SELL Revised 19 Sept 2016 Page 60 of 96 Fund Family Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Principal Funds Fund Name Principal Global Real Estate Securities Fund Class C Principal Real Estate Securities Fund Class C Principal Real Estate Securities Fund Institutional Class Principal Global Real Estate Securities Fund Institutional Class Principal Global Real Estate Securities Fund Class P Principal SmallCap Fund Class A Principal SmallCap Fund Class C Principal SmallCap Fund Institutional Class Principal SmallCap Fund Class P Principal Origin Emerging Markets Fund Class A Principal Origin Emerging Markets Fund Institutional Class Principal MidCap Growth Fund Institutional Class Principal Credit Opportunities Explorer Fund Class A Shares Principal Credit Opportunities Explorer Fund Institutional Class Shares CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 74254V281 POSCX 1.00 1.00 2.09000 BUY,SELL 74254V786 PRCEX 1.00 1.00 2.07000 BUY,SELL 74253Q580 PIREX 0.89000 SELL ONLY 74254V273 POSIX 0.90000 SELL ONLY 1.03000 .25 1.28000 1.00 2.12000 SELL ONLY BUY,SELL BUY,SELL 0.84000 1.86000 SELL ONLY SELL ONLY .25 8.96000 SELL ONLY 742537491 POEIX 1.31000 SELL ONLY 74253Q721 PGWIX 0.75000 SELL ONLY .25 1.40000 SELL ONLY 1.07000 SELL ONLY 74254V158 POSPX 74254T369 PLLAX 5.50 74254U523 PSMCX 742537517 POEYX 5.50 742537830 PCEAX 3.75 742537822 PCOIX Principal Funds Principal Funds Principal Core Plus Bond Fund Class A 74254T245 PRBDX 3.75 Principal Funds Principal Core Plus Bond Fund Class C Principal Core Plus Bond Fund Institutional Class Principal Government & High Quality Bond Fund Class A 74254U788 PBMCX Principal Funds 1.00 74253Q564 PSLIX 742537863 PSFPX Principal Inflation Protection Fund Class A 74254T146 PITAX 3.75 Principal Inflation Protection Fund Class C 74254U762 PPOCX Principal Funds Redemption Fee Buy/Sell Eligible 74253M159 PMSIX 74254V372 CMPGX 2.25 1.00 1.00 .25 0.95000 BUY,SELL 1.00 2.08000 BUY,SELL .25 1.01000 BUY,SELL 1.00 2.02000 BUY,SELL 0.50000 .25 0.90000 SELL ONLY BUY,SELL Revised 19 Sept 2016 Page 61 of 96 Fund Family Fund Name Principal Government & High Quality Bond Fund Class C Principal Government & High Quality Principal Funds Bond Fund Institutional Class Principal Government & High Quality Principal Funds Bond Fund Class P Principal Core Plus Bond Fund I Principal Funds Institutional Class Prudential Government Income Fund Prudential Investments Class A Principal Funds CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 74254V356 CCUGX 1.00 1.00 1.66000 Redemption Fee Buy/Sell Eligible BUY,SELL 74254U457 PMRIX 0.52000 SELL ONLY 74255L852 PGSPX 742553647 PCBZX 0.75000 SELL ONLY 0.56000 SELL ONLY 74439V107 PGVAX 4.50 .25 0.99000 BUY,SELL Prudential Investments Prudential High-Yield Fund Class A Prudential Short-Term Corporate Bond Prudential Investments Fund Class A Prudential Government Income Fund Prudential Investments Class B 74440Y108 PBHAX 4.50 .25 0.83000 BUY,SELL 74441R102 PBSMX 3.25 .25 0.77000 BUY,SELL 74439V206 PBGPX 5.00 1.00 1.74000 SELL ONLY Prudential Investments Prudential High-Yield Fund Class B Prudential Short-Term Corporate Bond Prudential Investments Fund Class B Prudential Government Income Fund Prudential Investments Class C 74440Y207 PBHYX 5.00 .75 1.33000 SELL ONLY 74441R201 PSMBX 3.00 1.00 1.52000 SELL ONLY 74439V305 PRICX 1.00 1.00 1.74000 BUY,SELL Prudential Investments Prudential High-Yield Fund Class C Prudential Short-Term Corporate Bond Prudential Investments Fund Class C Prudential Government Income Fund Prudential Investments Class Z 74440Y306 PRHCX 1.00 1.00 1.58000 BUY,SELL 74441R300 PIFCX 1.00 1.00 1.52000 BUY,SELL 74439V404 PGVZX 0.74000 SELL ONLY Prudential Investments Prudential High-Yield Fund Class Z 74440Y801 PHYZX 0.58000 SELL ONLY Prudential Investments Prudential High-Yield Fund Class Q Prudential Short-Term Corporate Bond Prudential Investments Fund Class Z Prudential Short-Term Corporate Bond Prudential Investments Class Q 74440Y884 PHYQX 0.46000 SELL ONLY 74441R508 PIFZX 0.52000 SELL ONLY 74441R607 PSTQX 0.42000 SELL ONLY Revised 19 Sept 2016 Page 62 of 96 Fund Family Fund Name Prudential Government Income Fund Prudential Investments Class R Prudential Investments Prudential High-Yield Fund Class R Prudential Short-Term Corporate Bond Prudential Investments Fund Class R Prudential Jennison Conservative Growth Prudential Investments Fund Class A Prudential Jennison Conservative Growth Prudential Investments Fund Class B Prudential Jennison Conservative Growth Prudential Investments Fund Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 74439V503 JDRVX .75 1.49000 SELL ONLY 74440Y603 JDYRX .75 1.33000 SELL ONLY 74441R409 JDTRX .75 1.27000 SELL ONLY 74440V104 TBDAX 5.50 .30 1.29000 BUY,SELL 74440V203 TBDBX 5.00 1.00 1.99000 SELL ONLY 74440V302 TBDCX 1.00 1.00 1.99000 BUY,SELL Prudential Investments Prudential Jennison Growth Fund Class A 74437E107 PJFAX 5.50 Prudential Jennison Select Growth Fund Prudential Investments Class A 74440K504 SPFAX 5.50 .30 1.05000 BUY,SELL .30 1.46000 BUY,SELL Prudential Investments Prudential Jennison Blend Fund Class A .30 0.96000 BUY,SELL 74441T108 PBQAX 5.50 Prudential Investments Prudential Jennison Growth Fund Class B 74437E206 PJFBX Prudential Jennison Select Growth Fund Prudential Investments Class B 74440K603 SPFBX 5.00 1.00 1.75000 SELL ONLY 5.00 1.00 2.16000 SELL ONLY Prudential Investments Prudential Jennison Blend Fund Class B 74441T207 PBQFX 5.00 1.00 1.66000 SELL ONLY Prudential Investments Prudential Jennison Growth Fund Class C 74437E305 PJFCX Prudential Jennison Select Growth Fund Prudential Investments Class C 74440K702 SPFCX 1.00 1.00 1.75000 BUY,SELL 1.00 1.00 2.16000 BUY,SELL Prudential Investments Prudential Jennison Blend Fund Class C 1.00 1.00 1.66000 BUY,SELL 74441T306 PRECX Prudential Investments Prudential Jennison Growth Fund Class Z 74437E404 PJFZX Prudential Jennison Select Growth Class Prudential Investments Q 74440K751 PSGQX Prudential Jennison Select Growth Fund Prudential Investments Class Z 74440K868 SPFZX 0.75000 SELL ONLY 0.98000 SELL ONLY 1.16000 SELL ONLY Revised 19 Sept 2016 Page 63 of 96 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible Prudential Investments Prudential Jennison Blend Fund Class Z 74441T405 PEQZX 0.66000 SELL ONLY Prudential Investments Prudential Jennison Growth Fund Class R Prudential QMA Stock Index Fund Class Prudential Investments A Prudential QMA Large-Cap Core Equity Prudential Investments Fund Class A Prudential QMA Large-Cap Core Equity Prudential Investments Fund Class B Prudential QMA Stock Index Fund Class Prudential Investments C Prudential QMA Large-Cap Core Equity Prudential Investments Fund Class C 74437E651 PJGRX .75 1.50000 SELL ONLY 3.25 .30 0.61000 BUY,SELL 74441J100 PTMAX 5.50 .30 1.19000 BUY,SELL Prudential Investments Prudential QMA Stock Index Fund Class I Prudential QMA Stock Index Fund Class Prudential Investments Z Prudential QMA Large-Cap Core Equity Prudential Investments Fund Class Z Prudential QMA Defensive Equity Fund Prudential Investments Class A Prudential QMA Defensive Equity Fund Prudential Investments Class B Prudential QMA Defensive Equity Fund Prudential Investments Class C Prudential QMA Defensive Equity Fund Prudential Investments Class Z Prudential QMA Defensive Equity Fund Prudential Investments Class Retirement Prudential Jennison Health Sciences Prudential Investments Fund Class A Prudential Jennison Health Sciences Prudential Investments Fund Class B Prudential Jennison Health Sciences Prudential Investments Fund Class C 74441F405 PDSIX 0.26000 SELL ONLY 74441F504 PSIFX 0.32000 SELL ONLY 74441J407 PTEZX 0.89000 SELL ONLY 74441F108 PSIAX 74441J209 PTMBX 5.00 1.00 1.89000 SELL ONLY 74441F306 PSICX 1.00 1.00 1.26000 BUY,SELL 74441J308 PTMCX 1.00 1.00 1.89000 BUY,SELL 74442X868 PAMGX 5.50 .30 1.32000 BUY,SELL 74442X785 DMGBX 5.00 1.00 2.02000 SELL ONLY 74442X793 PIMGX 1.00 1.00 2.02000 BUY,SELL 74442X827 PDMZX 1.02000 SELL ONLY 74442X819 SPMRX .75 1.77000 SELL ONLY 74441P502 PHLAX 5.50 .30 1.13000 BUY,SELL 74441P601 PHLBX 5.00 1.00 1.83000 SELL ONLY 74441P700 PHLCX 1.00 1.00 1.83000 BUY,SELL Revised 19 Sept 2016 Page 64 of 96 Fund Family Fund Name Prudential Jennison Health Sciences Prudential Investments Fund Class Q Prudential Jennison Health Sciences Prudential Investments Fund Class Z Prudential Jennison Health Sciences Prudential Investments Class R Prudential Jennison Equity Opportunity Prudential Investments Fund Class A Prudential Jennison Equity Income Fund Prudential Investments Class A Prudential Jennison Equity Opportunity Prudential Investments Fund Class B Prudential Jennison Equity Income Fund Prudential Investments Class B Prudential Jennison Equity Opportunity Prudential Investments Fund Class C Prudential Jennison Equity Income Fund Prudential Investments Class C Prudential Jennison Equity Opportunity Prudential Investments Fund Class Q Prudential Jennison Equity Opportunity Prudential Investments Fund Class Z Prudential Jennison Equity Income Fund Prudential Investments Class Q Prudential Jennison Equity Income Fund Prudential Investments Class Z Prudential Jennison Equity Opportunity Prudential Investments Fund Class R Prudential Jennison Equity Income Fund Prudential Investments Class R Prudential CA Municipal Income Fund Prudential Investments Class A Prudential CA Municipal Income Fund Prudential Investments Class B Prudential CA Municipal Income Fund Prudential Investments Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 74441P775 PHLQX 0.74000 SELL ONLY 74441P866 PHSZX 0.83000 SELL ONLY 74441P791 PJHRX .75 1.58000 SELL ONLY 5.50 .30 1.10000 BUY,SELL 74441L808 SPQAX 5.50 .30 1.18000 BUY,SELL 74437E503 PJIAX 74437E602 PJIBX 5.00 1.00 1.80000 SELL ONLY 74441L881 JEIBX 5.00 1.00 1.88000 SELL ONLY 74437E701 PJGCX 1.00 1.00 1.80000 BUY,SELL 74441L873 AGOCX 1.00 1.00 1.88000 BUY,SELL 74437E552 PJOQX 0.66000 SELL ONLY 74437E800 PJGZX 0.80000 SELL ONLY 74441L816 PJIQX 0.78000 SELL ONLY 74441L832 JDEZX 0.88000 SELL ONLY 74437E644 PJORX .75 1.55000 SELL ONLY 74441L790 PJERX .75 1.63000 SELL ONLY 74440X100 PBCAX 4.00 .25 0.94000 BUY,SELL 74440X209 PCAIX 5.00 .50 1.19000 SELL ONLY 74440X308 PCICX 1.00 1.00 1.69000 SELL ONLY Revised 19 Sept 2016 Page 65 of 96 Fund Family Fund Name Prudential CA Municipal Income Fund Prudential Investments Class Z Prudential Unconstrained Bond Fund Prudential Investments Class A Prudential Unconstrained Bond Fund Prudential Investments Class C Prudential Unconstrained Bond Fund Prudential Investments Class Z Prudential Jennison Rising Dividend Fund Prudential Investments Class A Prudential Jennison Rising Dividend Fund Prudential Investments Class C Prudential Jennison Rising Dividend Fund Prudential Investments Class Z CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 74440X407 PCIZX 74440K678 PUCAX 4.50 74440K660 PUCCX 1.00 74440K652 PUCZX 74440V823 PJDAX 5.50 74440V815 PJDCX 1.00 74440V799 PJDZX Prudential Investments Prudential Corporate Bond Fund Class A 875921694 PCWAX 4.50 PCWC Prudential Investments Prudential Corporate Bond Fund Class C 875921686 X PCWQ Prudential Investments Prudential Corporate Bond Fund Class Q 875921678 X 1.00 Redemption Fee Buy/Sell Eligible 0.69000 SELL ONLY .25 2.75000 SELL ONLY 1.00 3.50000 SELL ONLY 2.50000 SELL ONLY .30 3.61000 BUY,SELL 1.00 4.31000 BUY,SELL 3.31000 SELL ONLY .25 1.26000 SELL ONLY 1.00 2.01000 SELL ONLY 0.96000 SELL ONLY 1.01000 SELL ONLY Prudential Investments Prudential Corporate Bond Fund Class Z Prudential Financial Services Fund Class Prudential Investments A Prudential Financial Services Fund Class Prudential Investments B Prudential Financial Services Fund Class Prudential Investments C Prudential Financial Services Fund Class Prudential Investments Z 875921702 TGMBX 74441P403 PFSZX 1.05000 SELL ONLY Prudential Investments Prudential Financial Services Class R Prudential Real Estate Income Fund Prudential Investments Class A Prudential Real Estate Income Fund Prudential Investments Class C 74441P783 PSSRX .75 1.80000 SELL ONLY 74441J761 PRKAX 5.50 .30 7.26000 BUY,SELL 1.00 7.96000 BUY,SELL 74441P106 PFSAX 5.50 .30 1.35000 BUY,SELL 74441P205 PUFBX 5.00 1.00 2.05000 SELL ONLY 74441P304 PUFCX 1.00 1.00 2.05000 BUY,SELL 74441J753 PRKCX 1.00 Revised 19 Sept 2016 Page 66 of 96 Fund Family Fund Name Prudential Real Estate Income Fund Prudential Investments Class Z Prudential Jennison Natural Resources Prudential Investments Fund Class A Prudential Jennison Natural Resources Prudential Investments Fund Class B Prudential Jennison Natural Resources Prudential Investments Fund Class C Prudential Jennison Natural Resources Prudential Investments Fund Class Z Prudential Jennison Natural Resources Prudential Investments Fund Class Q Prudential Jennison Natural Resources Prudential Investments Fund Class R Prudential National Municipals Fund Prudential Investments Class A Prudential National Municipals Fund Prudential Investments Class B Prudential National Municipals Fund Prudential Investments Class C Prudential National Municipals Fund Prudential Investments Class Z CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 74441J746 PRKZX 6.96000 74441K107 PGNAX 5.50 .30 1.22000 Redemption Fee Buy/Sell Eligible SELL ONLY BUY,SELL 74441K206 PRGNX 5.00 1.00 1.92000 SELL ONLY 74441K305 PNRCX 1.00 1.00 1.92000 BUY,SELL 74441K503 PNRZX 0.92000 SELL ONLY 74441K602 PJNQX 0.76000 SELL ONLY 74441K404 JNRRX .75 1.67000 SELL ONLY 74441U105 PRNMX 4.00 .25 0.84000 BUY,SELL SELL ONLY 74441U204 PBHMX 5.00 .50 1.09000 74441U303 PNMCX 1.00 1.00 1.59000 74441U402 DNMZX 0.59000 5.50 .30 1.25000 BUY,SELL SELL ONLY Prudential Investments Prudential Balanced Fund Class A 74437E883 PIBAX Prudential Investments Prudential Balanced Fund Class B 74437E875 PBFBX 5.00 1.00 1.95000 SELL ONLY Prudential Investments Prudential Balanced Fund Class C 74437E867 PABCX 1.00 1.00 1.95000 BUY,SELL Prudential Investments Prudential Balanced Fund Class Z 74437E859 PABFX 0.95000 SELL ONLY Prudential Investments Prudential Balanced Fund Class R 74437E636 PALRX .75 1.70000 SELL ONLY Prudential Investments Prudential Jennison MLP Fund Class A 74440G701 PRPAX 5.50 .30 1.69000 SELL ONLY Prudential Investments Prudential Jennison MLP Fund Class C 74440G800 PRPCX 1.00 2.39000 SELL ONLY 1.00 BUY,SELL Revised 19 Sept 2016 Page 67 of 96 Fund Family Fund Name Prudential Investments Prudential Jennison MLP Fund Class Z Prudential QMA Long-Short Equity Fund Prudential Investments Class A Prudential QMA Long-Short Equity Fund Prudential Investments Class C Prudential QMA Long-Short Equity Fund Prudential Investments Class Z Prudential Floating Rate Income Fund Prudential Investments Class A Prudential Floating Rate Income Fund Prudential Investments Class C Prudential Floating Rate Income Fund Prudential Investments Class Z Prudential Floating Rate Income Fund Prudential Investments Class Q Prudential Short Duration Muni High Prudential Investments Income Fund Class A Prudential Short Duration Muni High Prudential Investments Income Fund Class C Prudential Short Duration Muni High Prudential Investments Income Fund Class Z Prudential Select Real Estate Fund Class Prudential Investments A Prudential Select Real Estate Fund Class Prudential Investments C Prudential Select Real Estate Fund Class Prudential Investments Z Prudential Select Real Estate Fund Class Prudential Investments Q Prudential Global Absolute Return Bond Prudential Investments Fund Class A Prudential Global Absolute Return Bond Prudential Investments Fund Class C Prudential Global Absolute Return Bond Prudential Investments Fund Class Z CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 74440G883 PRPZX 744336868 PLHAX 5.50 744336850 PLHCX 1.00 744336843 PLHZX 74439V602 FRFAX 3.25 74439V701 FRFCX 1.00 Redemption Fee Buy/Sell Eligible 1.39000 SELL ONLY .30 2.44000 SELL ONLY 1.00 3.14000 SELL ONLY 2.14000 SELL ONLY .25 1.34000 BUY,SELL 1.00 2.09000 BUY,SELL 74439V800 FRFZX 1.09000 SELL ONLY 74439V883 PFRIX 0.99000 SELL ONLY 744336835 PDSAX 3.25 744336827 PDSCX 1.00 744336819 PDSZX BUY,SELL 1.00 1.86000 BUY,SELL 0.86000 74441J811 SREAX 5.50 74441J795 SRECX .25 1.11000 1.00 SELL ONLY .30 4.66000 BUY,SELL 1.00 5.36000 BUY,SELL 74441J779 SREZX 4.36000 SELL ONLY 74441J787 SREQX 4.27000 SELL ONLY .25 2.32000 SELL ONLY 1.00 3.07000 SELL ONLY 2.07000 SELL ONLY 74440K645 PAJAX 4.50 74440K637 PAJCX 74440K611 PAJZX 1.00 Revised 19 Sept 2016 Page 68 of 96 Fund Family Fund Name Prudential Global Absolute Return Bond Prudential Investments Fund Class Q Prudential QMA Strategic Value Fund Prudential Investments Class A CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 74440K629 PAJQX 2.03000 Redemption Fee Buy/Sell Eligible SELL ONLY 74440K108 SUVAX 5.50 .30 1.29000 BUY,SELL Prudential Investments Prudential Jennison Value Fund Class A Prudential QMA Strategic Value Fund Prudential Investments Class B 74440N102 PBEAX 5.50 .30 1.06000 BUY,SELL 74440K207 SUVBX 5.00 1.00 1.99000 SELL ONLY Prudential Investments Prudential Jennison Value Fund Class B Prudential QMA Strategic Value Fund Prudential Investments Class C 74440N201 PBQIX 5.00 1.00 1.76000 SELL ONLY 74440K306 SUVCX 1.00 1.00 1.99000 BUY,SELL Prudential Investments Prudential Jennison Value Fund Class C Prudential QMA Strategic Value Fund Prudential Investments Class Z 74440N300 PEICX 1.00 1.00 1.76000 BUY,SELL 74440K405 SUVZX 0.99000 SELL ONLY Prudential Investments Prudential Jennison Value Fund Class Z 74440N805 PEIZX 0.76000 SELL ONLY Prudential Investments Prudential Jennison Value Fund Class Q Prudential QMA Strategic Value Fund Prudential Investments Class R 74440N888 PJVQX 0.63000 SELL ONLY 74440K736 PRVRX .75 1.74000 SELL ONLY Prudential Investments Prudential Jennison Value Fund Class R Prudential Short Duration Multi-Sector Prudential Investments Bond Fund Class A Prudential Short Duration Multi-Sector Prudential Investments Bond Fund Class C Prudential Short Duration Multi-Sector Prudential Investments Bond Fund Class Z Prudential Short Duration Multi-Sector Prudential Investments Bond Fund Class Q Prudential Municipal Bond High-Income Prudential Investments Fund Class A Prudential Municipal Bond High-Income Prudential Investments Fund Class B 74440N607 JDVRX .75 1.51000 SELL ONLY 74440B876 SDMAX 3.25 .25 1.45000 BUY,SELL 1.00 2.20000 BUY,SELL 74440B868 SDMCX 1.00 74440B843 SDMZX 1.20000 SELL ONLY 74440B850 SDMQX 0.97000 SELL ONLY 74440M104 PRHAX 4.00 74440M203 PMHYX 5.00 .25 0.87000 BUY,SELL .50 1.12000 SELL ONLY Revised 19 Sept 2016 Page 69 of 96 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Prudential Municipal Bond High-Income Prudential Investments Fund Class C 74440M302 PHICX Prudential Municipal Bond High-Income Prudential Investments Fund Class Z 74440M401 PHIZX Prudential Jennison Global Infrastructure Prudential Investments Fund Class A 743969792 PGJAX 5.50 Prudential Investments Prudential Jennison Utility Fund Class A 1.00 1.00 1.62000 0.62000 74441P858 PRUAX 5.50 Redemption Fee Buy/Sell Eligible BUY,SELL SELL ONLY .30 1.78000 BUY,SELL .30 0.84000 BUY,SELL Prudential Investments Prudential Jennison Utility Fund Class B 74441P841 PRUTX Prudential Jennison Global Infrastructure Prudential Investments Fund Class C 743969784 PGJCX 5.00 1.00 1.54000 SELL ONLY 1.00 1.00 2.48000 BUY,SELL Prudential Investments Prudential Jennison Utility Fund Class C 74441P833 PCUFX Prudential Jennison Global Infrastructure Prudential Investments Fund Class Z 743969776 PGJZX 1.00 1.00 1.54000 BUY,SELL 1.48000 SELL ONLY Prudential Investments Prudential Jennison Utility Fund Class Z 74441P817 PRUZX 0.54000 SELL ONLY Prudential Investments Prudential Jennison Utility Fund Class R Prudential QMA Global Tactical Allocation Prudential Investments Fund Class A Prudential QMA Global Tactical Allocation Prudential Investments Fund Class C Prudential QMA Global Tactical Allocation Prudential Investments Fund Class Z Prudential QMA Global Tactical Allocation Prudential Investments Fund Class Q Prudential Emerging Markets Debt Local Prudential Investments Currency Fund Class A Prudential Emerging Markets Debt Local Prudential Investments Currency Fund Class C Prudential Emerging Markets Debt Local Prudential Investments Currency Fund Class Z Prudential Emerging Markets Debt Local Prudential Investments Currency Fund Class Q 74441P825 JDURX .75 1.29000 SELL ONLY 74440K728 PTALX 5.50 .30 2.80000 SELL ONLY 1.00 3.50000 SELL ONLY 74440K686 PTZLX 2.50000 SELL ONLY 74440K694 PTQLX 2.23000 SELL ONLY 74440K710 PTCLX 1.00 743969750 EMDAX 4.50 743969743 EMDCX 1.00 .25 2.36000 BUY,SELL 1.00 3.11000 BUY,SELL 743969727 EMDZX 2.11000 SELL ONLY 743969735 EMDQX 2.01000 SELL ONLY Revised 19 Sept 2016 Page 70 of 96 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio .30 1.48000 Redemption Fee Buy/Sell Eligible Prudential Investments Prudential Income Builder Fund Class A 74442X108 PCGAX 4.50 BUY,SELL Prudential Investments Prudential Income Builder Fund Class B 74442X207 PBCFX 5.00 1.00 2.20000 SELL ONLY Prudential Investments Prudential Income Builder Fund Class C 74442X306 PCCFX 1.00 1.00 2.16000 BUY,SELL Prudential Investments Prudential Income Builder Fund Class Z Prudential Income Builder Fund Class Prudential Investments Retirement Prudential Conservative Allocation Fund Prudential Investments Class A Prudential Conservative Allocation Fund Prudential Investments Class B Prudential Conservative Allocation Fund Prudential Investments Class C Prudential Conservative Allocation Fund Prudential Investments Class Z Prudential Conservative Allocation Fund Prudential Investments Class R Prudential Growth Allocation Fund Class Prudential Investments A Prudential Growth Allocation Fund Class Prudential Investments B Prudential Growth Allocation Fund Class Prudential Investments C Prudential Growth Allocation Fund Class Prudential Investments Z Prudential Growth Allocation Fund Class Prudential Investments R 74442X504 PDCZX 1.14000 SELL ONLY 74442X405 PCLRX .75 1.93000 SELL ONLY 74437E750 JDUAX 5.50 .30 1.55000 BUY,SELL 74437E743 JDABX 5.00 1.00 2.25000 SELL ONLY 74437E735 JDACX 1.00 1.00 2.25000 BUY,SELL 74437E784 JDAZX 1.25000 BUY,SELL 74437E628 JDARX .75 2.00000 SELL ONLY 74437E685 JDAAX 5.50 .30 1.93000 BUY,SELL 74437E677 JDGBX 5.00 1.00 2.63000 SELL ONLY 74437E669 JDGCX 1.00 1.00 2.63000 BUY,SELL 74437E768 JDGZX 1.63000 SELL ONLY 74437E594 JGARX .75 2.38000 SELL ONLY Prudential Investments Prudential Real Assets Fund Class A 74440K819 PUDAX 5.50 .30 2.03000 BUY,SELL Prudential Investments Prudential Real Assets Fund Class B 74440K793 PUDBX 5.00 1.00 2.73000 SELL ONLY Prudential Investments Prudential Real Assets Fund Class C 74440K785 PUDCX 1.00 1.00 2.73000 BUY,SELL Revised 19 Sept 2016 Page 71 of 96 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible Prudential Investments Prudential Real Assets Fund Class Q 74440K744 PUDQX 1.64000 SELL ONLY Prudential Investments Prudential Real Assets Fund Class Z Prudential Moderate Allocation Fund Prudential Investments Class A Prudential Moderate Allocation Fund Prudential Investments Class B Prudential Moderate Allocation Fund Prudential Investments Class C Prudential Moderate Allocation Fund Prudential Investments Class Z Prudential Moderate Allocation Fund Prudential Investments Class R Prudential QMA Mid-Cap Value Fund Prudential Investments Class A Prudential QMA Mid-Cap Value Fund Prudential Investments Class B Prudential QMA Mid-Cap Value Fund Prudential Investments Class C Prudential QMA Mid-Cap Value Fund Prudential Investments Class Z Prudential QMA Mid Cap Value Fund Prudential Investments Class Q Prudential QMA Mid-Cap Value Fund Prudential Investments Class R Prudential QMA International Equity Fund Prudential Investments Class A Prudential QMA International Equity Fund Prudential Investments Class B Prudential QMA International Equity Fund Prudential Investments Class C Prudential QMA International Equity Fund Prudential Investments Class Z Prudential Jennison Mid Cap Growth Prudential Investments Fund Class A 74440K777 PUDZX 1.73000 SELL ONLY 74437E727 JDTAX 5.50 .30 1.64000 BUY,SELL 74437E719 JDMBX 5.00 1.00 2.34000 SELL ONLY 74437E693 JDMCX 1.00 1.00 2.34000 BUY,SELL 74437E776 JDMZX 1.34000 SELL ONLY 74437E610 JMARX .75 2.09000 SELL ONLY 74441L105 SPRAX 5.50 .30 1.35000 BUY,SELL 74441L204 SVUBX 5.00 1.00 2.05000 SELL ONLY 74441L303 NCBVX 1.00 1.00 2.05000 BUY,SELL 74441L709 SPVZX 1.05000 SELL ONLY 74441L824 PMVQX 0.89000 SELL ONLY 74441L782 SDVRX .75 1.80000 SELL ONLY 743969859 PJRAX 5.50 .30 1.62000 BUY,SELL 743969867 PJRBX 5.00 1.00 2.32000 SELL ONLY 743969875 PJRCX 1.00 1.00 2.32000 BUY,SELL 743969883 PJIZX 74441C105 PEEAX 5.50 1.32000 .30 1.05000 SELL ONLY BUY,SELL Revised 19 Sept 2016 Page 72 of 96 Fund Family Fund Name Prudential Jennison Mid Cap Growth Prudential Investments Fund Class B Prudential Jennison Mid Cap Growth Prudential Investments Fund Class C Prudential Jennison Mid Cap Growth Prudential Investments Fund Class Z Prudential Jennison Mid Cap Growth Prudential Investments Fund, Inc Class Q Prudential Jennison Mid Cap Growth Prudential Investments Fund Class R Prudential QMA Small-Cap Value Fund Prudential Investments Class C Prudential QMA Small-Cap Value Fund Prudential Investments Class Z Prudential QMA Small-Cap Value Fund Prudential Investments Class A Prudential Jennison 20/20 Focus Fund Prudential Investments Class A Prudential Jennison 20/20 Focus Fund Prudential Investments Class B Prudential Jennison 20/20 Focus Fund Prudential Investments Class C Prudential Jennison 20/20 Focus Fund Prudential Investments Class Z Prudential Jennison 20-20 Focus Fund Prudential Investments Class Q Prudential Jennison 20/20 Focus Fund Prudential Investments Class R Prudential Global Real Estate Fund Class Prudential Investments A CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 74441C204 PEEBX 5.00 1.00 1.75000 SELL ONLY 74441C303 PEGCX 1.00 1.00 1.75000 BUY,SELL 74441C808 PEGZX 0.75000 SELL ONLY 74441C881 PJGQX 0.58000 SELL ONLY 74441C600 JDERX .75 1.50000 SELL ONLY 875921710 TRACX 1.00 875921306 TASVX 1.00 1.72000 0.72000 BUY,SELL SELL ONLY 875921785 TSVAX 5.50 .30 1.02000 BUY,SELL 74440G107 PTWAX 5.50 .30 1.18000 BUY,SELL 74440G206 PTWBX 5.00 1.00 1.88000 SELL ONLY 74440G305 PTWCX 1.00 1.00 1.88000 BUY,SELL 74440G404 PTWZX 0.88000 SELL ONLY 74440G602 PJTQX 0.76000 SELL ONLY 74440G503 JTWRX .75 1.63000 SELL ONLY 744336108 PURAX 5.50 .30 1.27000 BUY,SELL Prudential Investments Prudential US Real Estate Fund Class A 744336603 PJEAX 5.50 Prudential Global Real Estate Fund Class Prudential Investments B 744336207 PURBX .30 1.58000 BUY,SELL 5.00 1.00 1.97000 SELL ONLY Prudential Investments Prudential US Real Estate Fund Class B 5.00 1.00 2.28000 SELL ONLY 744336702 PJEBX Revised 19 Sept 2016 Page 73 of 96 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Prudential Global Real Estate Fund Class Prudential Investments C 744336306 PURCX Prudential Investments Prudential US Real Estate Fund Class C 744336801 PJECX Prudential Global Real Estate Fund Class Prudential Investments Z 744336504 PURZX Prudential Global Real Estate Fund Class Prudential Investments Q 744336876 PGRQX Prudential Investments Prudential US Real Estate Fund Class Z Prudential Global Real Estate Fund Class Prudential Investments R Prudential Jennison Emerging Markets Prudential Investments Equity Fund Class A Prudential Jennison International Prudential Investments Opportunities Fund Class A Prudential Jennison Global Opportunities Prudential Investments Fund Class A Prudential Jennison Emerging Markets Prudential Investments Equity Fund Class C Prudential Jennison International Prudential Investments Opportunities Fund Class C Prudential Jennison Global Opportunities Prudential Investments Fund Class C Prudential Jennison International Prudential Investments Opportunities Fund Class Q Prudential Jennison Global Opportunities Prudential Investments Fund Class Q Prudential Jennison Emerging Markets Prudential Investments Equity Fund Class Z Prudential Jennison International Prudential Investments Opportunities Fund Class Z Prudential Jennison Global Opportunities Prudential Investments Fund Class Z Prudential Absolute Return Bond Fund Prudential Investments Class A Redemption Fee Buy/Sell Eligible 1.00 1.00 1.97000 BUY,SELL 1.00 1.00 2.28000 BUY,SELL 0.97000 SELL ONLY 0.80000 SELL ONLY 1.28000 SELL ONLY 744336405 PURRX .75 1.72000 SELL ONLY 743969644 PDEAX 5.50 .30 3.55000 SELL ONLY 743969677 PWJAX 5.50 .30 1.62000 BUY,SELL 743969719 PRJAX 5.50 .30 1.54000 BUY,SELL 744336884 PJEZX 743969636 PDECX 1.00 1.00 4.25000 SELL ONLY 743969669 PWJCX 1.00 1.00 2.32000 BUY,SELL 743969693 PRJCX 1.00 1.00 2.24000 BUY,SELL 743969586 PWJQX 1.29000 SELL ONLY 743969594 PRJQX 1.15000 SELL ONLY 743969610 PDEZX 3.25000 SELL ONLY 743969651 PWJZX 1.32000 SELL ONLY 743969685 PRJZX 1.24000 SELL ONLY .25 1.22000 SELL ONLY 74441J852 PADAX 4.50 Revised 19 Sept 2016 Page 74 of 96 Fund Family Fund Name Prudential Short Duration High Yield Prudential Investments Income Fund Class A Prudential Absolute Return Bond Fund Prudential Investments Class C Prudential Short Duration High Yield Prudential Investments Income Fund Class C Prudential Absolute Return Bond Fund Prudential Investments Class Z Prudential Absolute Return Bond Fund Prudential Investments Class Q Prudential Short Duration High Yield Prudential Investments Income Fund Class Z Prudential Short Duration High Yield Prudential Investments Income Fund Class Q Prudential Global Total Return Fund Prudential Investments Class A Prudential Total Return Bond Fund Class Prudential Investments A Prudential Global Total Return Fund Prudential Investments Class B Prudential Total Return Bond Fund Class Prudential Investments B Prudential Global Total Return Fund Prudential Investments Class C Prudential Total Return Bond Fund Class Prudential Investments C Prudential Global Total Return Fund Prudential Investments Class Z Prudential Investments Prudential Global Total Return Class Q Prudential Total Return Bond Fund Class Prudential Investments Z Prudential Total Return Bond Fund Class Prudential Investments Q Prudential Total Return Bond Fund Class Prudential Investments R CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 74442J109 HYSAX 3.25 .25 1.11000 Redemption Fee Buy/Sell Eligible BUY,SELL 74441J845 PADCX 1.00 1.00 1.97000 SELL ONLY 74442J208 HYSCX 1.00 1.00 1.86000 BUY,SELL 74441J829 PADZX 0.97000 SELL ONLY 74441J837 PADQX 0.85000 SELL ONLY 74442J307 HYSZX 0.86000 SELL ONLY 74442J406 HYSQX 0.77000 SELL ONLY 74439A103 GTRAX 4.50 .25 1.21000 BUY,SELL 74440B108 PDBAX 4.50 .25 0.81000 BUY,SELL 74439A202 PBTRX 5.00 1.00 1.96000 SELL ONLY 74440B207 PRDBX 5.00 1.00 1.56000 SELL ONLY 74439A301 PCTRX 1.00 1.00 1.96000 BUY,SELL 74440B306 PDBCX 1.00 1.00 1.56000 BUY,SELL 74439A400 PZTRX 0.96000 SELL ONLY 74439A509 PGTQX 0.82000 SELL ONLY 74440B405 PDBZX 0.56000 SELL ONLY 74440B884 PTRQX 0.43000 SELL ONLY 74440B801 DTBRX .75 1.31000 SELL ONLY Revised 19 Sept 2016 Page 75 of 96 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible Prudential Investments Prudential Core Bond Fund Class A 875921769 TPCAX 4.50 Prudential Investments Prudential Core Bond Fund Class C 875921751 TPCCX Prudential Investments Prudential Core Bond Fund Class Q 875921744 TPCQX 0.67000 SELL ONLY Prudential Investments Prudential Core Bond Fund Class Z 875921801 TAIBX 0.73000 SELL ONLY Prudential Investments Prudential Core Bond Fund Class R Prudential Jennison Small Company Fund Prudential Investments Class A Prudential Jennison Small Company Fund Prudential Investments Class B Prudential Jennison Small Company Fund Prudential Investments Class C Prudential Jennison Small Company Fund Prudential Investments Class Z Prudential Jennison Small Company Fund Prudential Investments Class Q Prudential Jennison Small Company Fund Prudential Investments Class R Prudential Government Money Market Prudential Investments Fund Class Purchase A Prudential Jennison Mid Cap Growth Prudential Investments Fund Class X Putnam Pennsylvania Tax Exempt Putnam Income Fund Class A Putnam Pennsylvania Tax Exempt Putnam Income Fund Class B Putnam Pennsylvania Tax Exempt Putnam Income Fund Class C Putnam Pennsylvania Tax Exempt Putnam Income Fund Class Y Putnam Pennsylvania Tax Exempt Putnam Income Fund Class M 875921736 TPCRX .75 1.48000 SELL ONLY 74441N101 PGOAX 5.50 .30 1.13000 BUY,SELL 1.00 .25 0.98000 BUY,SELL 1.00 1.73000 BUY,SELL 74441N200 CHNDX 5.00 1.00 1.83000 SELL ONLY 74441N309 PSCCX 1.00 1.00 1.83000 BUY,SELL 74441N408 PSCZX 0.83000 SELL ONLY 74441N887 PJSQX 0.69000 SELL ONLY 74441N507 JSCRX .75 1.58000 SELL ONLY 74440W409 PBMXX 74441C709 6.00 746852102 PTEPX 4.00 0.13 SELL ONLY 1.00 1.72000 SELL ONLY .23 0.78000 BUY,SELL SELL ONLY 746852201 PPNBX 5.00 .85 1.40000 746852409 PPNCX 1.00 1.00 1.55000 746852508 PPTYX 746852300 PPAMX 3.25 0.55000 .50 1.05000 BUY,SELL SELL ONLY BUY,SELL Revised 19 Sept 2016 Page 76 of 96 Fund Name Putnam Putnam Global Health Care Fund Class A 746778109 PHSTX 5.75 Putnam Putnam Global Health Care Fund Class B 746778208 PHSBX 5.00 1.00 1.85000 SELL ONLY Putnam Putnam Global Health Care Fund Class C 746778307 PCHSX 1.00 1.00 1.85000 BUY,SELL Putnam 746778505 PHSYX Putnam Putnam Putnam Putnam Putnam Putnam Global Health Care Fund Class Y Putnam Global Health Care Fund Class M Putnam Convertible Securities Fund Class A Putnam Convertible Securities Fund Class B Putnam Convertible Securities Fund Class C Putnam Convertible Securities Fund Class Y Putnam Convertible Securities Fund Class M Putnam Voyager Fund Class A Putnam Voyager Fund Class B Putnam Voyager Fund Class C Putnam Voyager Fund Class Y Putnam Putnam Voyager Fund Class M 747012508 PVOMX 3.50 .75 1.55000 BUY,SELL Putnam Putnam Putnam Global Technology Fund Class A 746764570 PGTAX 5.75 Putnam Global Equity Fund Class A 746772102 PEQUX 5.75 .25 1.79000 .25 1.23000 BUY,SELL BUY,SELL Putnam Putnam Putnam Global Technology Fund Class B 746764562 PGTPX Putnam Global Equity Fund Class B 746772201 PEQBX 5.00 5.00 1.00 2.54000 1.00 1.98000 SELL ONLY SELL ONLY Putnam Putnam Putnam Global Technology Fund Class C 746764554 PGTDX Putnam Global Equity Fund Class C 746772300 PUGCX 1.00 1.00 1.00 2.54000 1.00 1.98000 BUY,SELL BUY,SELL Putnam Putnam Global Technology Fund Class Y 746764521 PGTYX Putnam Putnam Putnam Putnam Ticker Redemption Fee Buy/Sell Eligible Fund Family Putnam CUSIP Gross Front End 12b-1 Expense Load CDSC Fees Ratio .25 1.10000 0.85000 BUY,SELL SELL ONLY 746778406 PHLMX 3.50 .75 1.60000 BUY,SELL 746476100 PCONX 5.75 .25 1.06000 BUY,SELL 746476209 PCNBX 5.00 1.00 1.81000 SELL ONLY 746476506 PRCCX 1.00 1.00 1.81000 BUY,SELL 746476407 PCGYX 746476308 747012102 747012201 747012300 747012409 PCNMX 3.50 PVOYX 5.75 PVOBX PVFCX PVYYX 5.00 1.00 .75 .25 1.00 1.00 0.81000 SELL ONLY 1.56000 1.05000 1.80000 1.80000 0.80000 BUY,SELL BUY,SELL SELL ONLY BUY,SELL SELL ONLY 1.54000 SELL ONLY Revised 19 Sept 2016 Page 77 of 96 Redemption Fee Buy/Sell Eligible Fund Family Fund Name CUSIP Putnam Putnam Global Equity Fund Class Y 746772409 PEQYX Putnam Putnam Global Technology Fund Class M 746764547 PGTMX 3.50 .75 2.29000 BUY,SELL Putnam Putnam Global Equity Fund Class M 746772508 PEQMX 3.50 .75 1.73000 BUY,SELL Putnam .25 1.75000 BUY,SELL Putnam Putnam Global Consumer Fund Class A 746764844 PGCOX 5.75 Putnam Growth Opportunities Fund Class A 746802800 POGAX 5.75 .25 1.15000 BUY,SELL Putnam Putnam Multi-Cap Growth Fund Class A .25 1.07000 BUY,SELL Putnam 5.00 1.00 2.50000 SELL ONLY Putnam Putnam Global Consumer Fund Class B 746764836 PGCKX Putnam Growth Opportunities Fund Class B 746802750 POGBX 5.00 1.00 1.90000 SELL ONLY Putnam Putnam Multi-Cap Growth Fund Class B 746916204 PNOBX 5.00 1.00 1.82000 SELL ONLY Putnam 1.00 1.00 2.50000 BUY,SELL Putnam Putnam Global Consumer Fund Class C 746764828 PGCNX Putnam Growth Opportunities Fund Class C 746802644 POGCX 1.00 1.00 1.90000 BUY,SELL Putnam Putnam Multi-Cap Growth Fund Class C 1.00 1.00 1.82000 BUY,SELL Putnam 1.50000 SELL ONLY Putnam Putnam Global Consumer Fund Class Y 746764786 PGCYX Putnam Growth Opportunities Fund Class Y 746802586 PGOYX 0.90000 SELL ONLY Putnam Putnam Multi-Cap Growth Fund Class Y 0.82000 SELL ONLY Putnam Putnam Global Consumer Fund Class M 746764810 PGCMX 3.50 Putnam Growth Opportunities Fund Class M 746802743 PGOMX 3.50 .75 2.25000 SELL ONLY .75 1.65000 BUY,SELL Putnam Multi-Cap Growth Fund Class M 746916501 PNOMX 3.50 Putnam International Growth Fund Class A 746802206 PINOX 5.75 .75 1.57000 BUY,SELL .25 1.54000 BUY,SELL Putnam Putnam Putnam Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 0.98000 746916105 PNOPX 5.75 746916303 PNOCX 746916402 PNOYX SELL ONLY Revised 19 Sept 2016 Page 78 of 96 Fund Family Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Fund Name Putnam International Growth Fund Class B Putnam International Growth Fund Class C Putnam International Growth Fund Class Y Putnam International Growth Fund Class M Putnam Research Fund Class A Putnam Investors Fund Class A Putnam Research Fund Class B Putnam Investors Fund Class B Putnam Research Fund Class C Putnam Investors Fund Class C Putnam Research Fund Class Y Putnam Investors Fund Class Y Putnam Research Fund Class M Putnam Investors Fund Class M Putnam Global Telecommunication Fund Class A Putnam Global Telecommunication Fund Class B Putnam Global Telecommunication Fund Class C Putnam Global Telecommunication Fund Class Y Putnam Global Telecommunication Fund Class M Putnam California Tax Exempt Income Fund Class A Putnam California Tax Exempt Income Fund Class B Putnam California Tax Exempt Income Fund Class C Putnam California Tax Exempt Income Fund Class Y CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 746802602 PINWX 5.00 1.00 2.29000 SELL ONLY 746802636 PIOCX 1.00 1.00 2.29000 BUY,SELL 74680L303 PINYX 1.29000 SELL ONLY 3.50 3.50 2.04000 1.14000 1.03000 1.89000 1.78000 1.89000 1.78000 0.89000 0.78000 .75 1.64000 .75 1.53000 BUY,SELL BUY,SELL BUY,SELL SELL ONLY SELL ONLY BUY,SELL BUY,SELL SELL ONLY SELL ONLY BUY,SELL BUY,SELL 746764513 PGBZX 5.75 .25 1.83000 BUY,SELL 746802701 746802883 746809102 746802685 746809201 746802628 746809300 746802487 746809508 746802677 746809409 PINMX PNRAX PINVX PRFBX PNVBX PRACX PCINX PURYX PNVYX PRFMX PNVMX 3.50 5.75 5.75 5.00 5.00 1.00 1.00 .75 .25 .25 1.00 1.00 1.00 1.00 746764497 PGBBX 5.00 1.00 2.58000 SELL ONLY 746764489 PGBNX 1.00 1.00 2.58000 BUY,SELL 746764455 PGBYX 1.58000 SELL ONLY 746764471 PGBMX 3.50 .75 2.33000 BUY,SELL 74645A301 PCTEX 4.00 .22 0.74000 BUY,SELL SELL ONLY 74645A400 PCTBX 5.00 .85 1.37000 74645A871 PCTCX 1.00 1.00 1.52000 746449305 PCIYX 0.52000 BUY,SELL SELL ONLY Revised 19 Sept 2016 Page 79 of 96 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible Putnam Putnam California Tax Exempt Income Fund Class M Putnam Emerging Markets Income Fund Class A Putnam Emerging Markets Income Fund Class B Putnam Emerging Markets Income Fund Class C Putnam Emerging Markets Income Fund Class Y Putnam Emerging Markets Income Fund Class M Putnam Putnam Capital Spectrum Fund Class A 74676P102 PVSAX 5.75 .25 1.37000 SELL ONLY Putnam Putnam Equity Spectrum Fund Class A 74676P169 PYSAX 5.75 .25 1.18000 SELL ONLY Putnam Putnam Capital Spectrum Fund Class B 74676P110 PVSBX 5.00 1.00 2.12000 SELL ONLY Putnam Putnam Equity Spectrum Fund Class B 74676P177 PYSOX 5.00 1.00 1.93000 SELL ONLY Putnam Putnam Capital Spectrum Fund Class C 74676P128 PVSCX 1.00 1.00 2.12000 SELL ONLY Putnam Putnam Equity Spectrum Fund Class C 74676P185 PYSCX 1.00 1.00 1.93000 SELL ONLY Putnam Putnam Capital Spectrum Fund Class Y 74676P151 PVSYX 1.12000 SELL ONLY Putnam Putnam Equity Spectrum Fund Class Y 74676P219 PYSYX 0.93000 SELL ONLY Putnam Putnam Capital Spectrum Fund Class M 74676P136 PVSMX 3.50 .75 1.87000 SELL ONLY Putnam Putnam Equity Spectrum Fund Class M 74676P193 PYSMX 3.50 Putnam Capital Opportunities Fund Class A 746802693 PCOAX 5.75 Putnam Capital Opportunities Fund Class B 746802669 POPBX .75 1.68000 SELL ONLY .25 1.18000 BUY,SELL Putnam Putnam Putnam Putnam Putnam Putnam Putnam 74645A509 PCLMX 3.25 PEMW 74676A758 X 4.00 .50 1.02000 BUY,SELL .25 2.40000 SELL ONLY 74676A741 PEMHX 5.00 1.00 3.15000 SELL ONLY 74676A733 PEMJX 1.00 1.00 3.15000 SELL ONLY 2.15000 SELL ONLY 74676A725 PEMKX 3.25 .50 2.65000 SELL ONLY 74676A717 PEMOX 5.00 1.00 1.93000 SELL ONLY Revised 19 Sept 2016 Page 80 of 96 Fund Family Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Fund Name Putnam Capital Opportunities Fund Class C Putnam Capital Opportunities Fund Class Y Putnam Capital Opportunities Fund Class M Putnam Global Natural Resources Trust Class A Putnam Global Natural Resources Trust Class B Putnam Global Natural Resources Trust Class C Putnam Global Natural Resources Trust Class Y Putnam Global Natural Resources Trust Class M Putnam Global Energy Fund Class A Putnam Global Energy Fund Class B Putnam Global Energy Fund Class C Putnam Global Energy Fund Class Y Putnam Global Energy Fund Class M Putnam Strategic Volatility Equity Fund Class A Putnam Low Volatility Equity Fund Class A Putnam Global Dividend Fund Class A Putnam Strategic Volatility Equity Fund Class B Putnam Low Volatility Equity Fund Class B Putnam Global Dividend Fund Class B Putnam Strategic Volatility Equity Fund Class C Putnam Low Volatility Equity Fund Class C Putnam Global Dividend Fund Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 746802578 PCOCX 1.00 1.00 1.93000 746802354 PYCOX 0.93000 Redemption Fee Buy/Sell Eligible BUY,SELL SELL ONLY 746802651 POPMX 3.50 .75 1.68000 BUY,SELL 746933100 EBERX 5.75 .25 1.24000 BUY,SELL 746933209 PNRBX 5.00 1.00 1.99000 SELL ONLY 746933407 PGLCX 1.00 1.00 1.99000 BUY,SELL 746933605 PGRYX 0.99000 SELL ONLY 1.74000 1.72000 2.47000 2.47000 1.47000 .75 2.22000 BUY,SELL BUY,SELL SELL ONLY BUY,SELL SELL ONLY BUY,SELL 74676A584 PSVEX 5.75 .25 2.79000 SELL ONLY 74676A642 PLVEX 5.75 74676A691 PGDEX 5.75 .25 1.40000 .25 2.00000 SELL ONLY BUY,SELL 746933308 746764778 746764760 746764752 746764729 746764745 PGLMX 3.50 PGEAX 5.75 PGEDX PGECX PGEIX PGENX 3.50 5.00 1.00 .75 .25 1.00 1.00 74676A576 PSVGX 5.00 1.00 3.54000 SELL ONLY 74676A634 PLVFX 74676A683 PGDFX 5.00 5.00 1.00 2.15000 1.00 2.75000 SELL ONLY SELL ONLY 74676A568 PSVHX 1.00 1.00 3.54000 SELL ONLY 74676A626 PLVGX 74676A675 PGDHX 1.00 1.00 1.00 2.15000 1.00 2.75000 SELL ONLY SELL ONLY Revised 19 Sept 2016 Page 81 of 96 Fund Family Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Fund Name Putnam Strategic Volatility Equity Fund Class Y Putnam Low Volatility Equity Fund Class Y Putnam Global Dividend Fund Class Y Putnam Strategic Volatility Equity Fund Class M Putnam Low Volatility Equity Fund Class M Putnam Global Dividend Fund Class M Putnam Absolute Return 300 Fund Class A Putnam Absolute Return 300 Fund Class B Putnam Absolute Return 300 Fund Class C Putnam Absolute Return 300 Fund Class Y Putnam Absolute Return 300 Fund Class M Putnam Dynamic Asset Allocation Growth Fund Class A Putnam Dynamic Asset Allocation Balanced Fund Class A Putnam Dynamic Asset Allocation Conservative Fund Class A Putnam Dynamic Risk Allocation Fund Class A Putnam Dynamic Asset Allocation Growth Fund Class B Putnam Dynamic Asset Allocation Balanced Fund Class B Putnam Dynamic Asset Allocation Conservative Fund Class B Putnam Dynamic Risk Allocation Fund Class B CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 74676A543 PSVYX 2.54000 SELL ONLY 74676A592 PLVKX 74676A659 PGDYX 1.15000 1.75000 SELL ONLY SELL ONLY 74676A550 PSVOX 3.50 .75 3.29000 SELL ONLY 74676A618 PLVHX 3.50 .75 1.90000 SELL ONLY 74676A667 PGDMX 3.50 .75 2.50000 SELL ONLY 746764372 PTRNX 1.00 .25 0.84000 SELL ONLY 746764364 PTRBX 1.00 .45 1.04000 SELL ONLY 746764356 PTRGX 1.00 1.00 1.59000 SELL ONLY 0.59000 SELL ONLY 746764349 PZARX 0.75 .30 0.89000 SELL ONLY 746444108 PAEAX 5.75 .25 1.09000 BUY,SELL 746444306 PABAX 5.75 .25 0.99000 BUY,SELL 746444504 PACAX 5.75 .25 1.03000 BUY,SELL 746764240 PDREX 5.75 .25 1.35000 SELL ONLY 746764323 PYTRX 746444207 PAEBX 5.00 1.00 1.84000 SELL ONLY 746444405 PABBX 5.00 1.00 1.74000 SELL ONLY 746444603 PACBX 5.00 1.00 1.78000 SELL ONLY 746764232 PDRBX 5.00 1.00 2.10000 SELL ONLY Revised 19 Sept 2016 Page 82 of 96 Fund Family Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Fund Name Putnam Dynamic Asset Allocation Growth Fund Class C Putnam Dynamic Asset Allocation Conservative Fund Class C Putnam Dynamic Asset Allocation Balanced Fund Class C Putnam Dynamic Risk Allocation Fund Class C Putnam Dynamic Asset Allocation Growth Fund Class Y Putnam Dynamic Asset Allocation Conservative Fund Class Y Putnam Dynamic Asset Allocation Balanced Fund Class Y Putnam Dynamic Risk Allocation Fund Class Y Putnam Dynamic Asset Allocation Conservative Fund Class M Putnam Dynamic Asset Allocation Balanced Fund Class M Putnam Dynamic Asset Allocation Growth Fund Class M Putnam Dynamic Risk Allocation Fund Class M CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 746444850 PAECX 1.00 1.00 1.84000 BUY,SELL 746444868 PACCX 1.00 1.00 1.78000 BUY,SELL 746444876 AABCX 1.00 1.00 1.74000 BUY,SELL 746764224 PDRFX 1.00 1.00 2.10000 SELL ONLY 746444702 PAGYX 0.84000 SELL ONLY 746444801 PACYX 0.78000 SELL ONLY 746444884 PABYX 0.74000 SELL ONLY 746764182 PDRYX 1.10000 SELL ONLY 746444827 PACMX 3.50 .75 1.53000 BUY,SELL 746444835 PABMX 3.50 .75 1.49000 BUY,SELL 746444843 PAGMX 3.50 .75 1.59000 BUY,SELL 746764216 PDRTX 3.50 .75 1.85000 SELL ONLY Putnam Diversified Income Trust Class A Putnam Absolute Return 700 Fund Class A Putnam Global Income Trust Class A Putnam Income Fund Class A 746704105 PDINX 4.00 .25 0.98000 SELL ONLY 746764315 PDMAX 5.75 74677Q109 PGGIX 4.00 746792100 PINCX 4.00 .25 1.30000 .25 1.17000 .25 0.86000 SELL ONLY BUY,SELL SELL ONLY Putnam Diversified Income Trust Class B Putnam Absolute Return 700 Fund Class B Putnam Global Income Trust Class B Putnam Income Fund Class B 746704204 PSIBX 5.00 1.00 1.73000 SELL ONLY 746764299 PDMBX 74677Q208 PGLBX 746792209 PNCBX 5.00 5.00 5.00 1.00 2.05000 1.00 1.92000 1.00 1.61000 SELL ONLY SELL ONLY SELL ONLY Revised 19 Sept 2016 Page 83 of 96 Redemption Fee Buy/Sell Eligible Fund Family Fund Name CUSIP Putnam Putnam Diversified Income Trust Class C Putnam Absolute Return 700 Fund Class C Putnam Global Income Trust Class C Putnam Income Fund Class C 746704303 PDVCX 1.00 1.00 1.73000 SELL ONLY 746764281 PDMCX 74677Q307 PGGLX 746792308 PUICX 1.00 1.00 1.00 1.00 2.05000 1.00 1.92000 1.00 1.61000 SELL ONLY BUY,SELL SELL ONLY Putnam Diversified Income Trust Class Y Putnam Absolute Return 700 Fund Class Y Putnam Global Income Trust Class Y Putnam Income Fund Class Y 746704501 PDVYX 0.73000 SELL ONLY 746764257 PDMYX 74677Q604 PGGYX 746792407 PNCYX 1.05000 0.92000 0.61000 SELL ONLY SELL ONLY SELL ONLY Putnam Diversified Income Trust Class M 746704402 PDVMX 3.25 Putnam Absolute Return 700 Fund Class M 746764273 PDMMX 3.50 .50 1.23000 SELL ONLY .75 1.80000 SELL ONLY Putnam Global Income Trust Class M Putnam Income Fund Class M Putnam U.S. Government Income Fund Class A Putnam U.S. Government Income Fund Class B Putnam U.S. Government Income Fund Class C Putnam U.S. Government Income Fund Class Y Putnam U.S. Government Income Fund Class M Putnam Tax-Free High Yield Fund Class A Putnam Tax-Free High Yield Fund Class B Putnam Tax-Free High Yield Fund Class C Putnam Tax-Free High Yield Fund Class Y 74677Q406 PGGMX 3.25 746792506 PNCMX 3.25 .50 1.42000 .50 1.11000 BUY,SELL SELL ONLY 746885102 PGSIX .25 0.85000 SELL ONLY Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 4.00 746885201 PGSBX 5.00 .98 1.58000 SELL ONLY 746885300 PGVCX 1.00 1.00 1.60000 SELL ONLY 0.60000 SELL ONLY 746885508 PGSMX 3.25 .49 1.09000 SELL ONLY 746872407 PTHAX 4.00 .23 0.80000 BUY,SELL SELL ONLY 746885409 PUSYX 746872209 PTHYX 5.00 .85 1.42000 746872704 PTCCX 1.00 1.00 1.57000 746872878 PTFYX 0.57000 BUY,SELL SELL ONLY Revised 19 Sept 2016 Page 84 of 96 Redemption Fee Buy/Sell Eligible Fund Family Fund Name CUSIP Putnam Putnam Tax-Free High Yield Fund Class M 746872506 PTYMX 3.25 .50 1.07000 BUY,SELL Putnam Putnam Small Cap Value Fund Class A 746802610 PSLAX 5.75 .25 1.44000 BUY,SELL Putnam Putnam Small Cap Value Fund Class B 746802594 PSLBX 5.00 1.00 2.19000 SELL ONLY Putnam Putnam Small Cap Value Fund Class C 746802560 PSLCX 1.00 1.00 2.19000 BUY,SELL Putnam Putnam Small Cap Value Fund Class Y 746802289 PYSVX Putnam Putnam Small Cap Value Fund Class M 746802420 PSLMX 3.50 .75 1.94000 BUY,SELL Putnam Putnam Small Cap Growth Fund Class A 746763549 PNSAX 5.75 .25 1.25000 BUY,SELL Putnam Putnam Small Cap Growth Fund Class B 746763531 PNSBX 5.00 1.00 2.00000 SELL ONLY Putnam Putnam Small Cap Growth Fund Class C 746763523 PNSCX 1.00 1.00 2.00000 BUY,SELL Putnam Putnam Small Cap Growth Fund Class Y 746763499 PSYGX Putnam Putnam Small Cap Growth Fund Class M Putnam Fund For Growth & Income Fund Class A Putnam Global Financial Fund Class A Putnam Fund For Growth & Income Fund Class B Putnam Global Financial Fund Class B Putnam Fund For Growth & Income Fund Class C Putnam Global Financial Fund Class C Putnam Fund For Growth & Income Fund Class Y Putnam Global Financial Fund Class Y Putnam Fund For Growth & Income Fund Class M Putnam Global Financial Fund Class M Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 1.19000 1.00000 746763515 PSGMX 3.50 PGRW 746761105 X 5.75 746764711 PGFFX 5.75 SELL ONLY SELL ONLY .75 1.75000 BUY,SELL .25 0.94000 .25 2.31000 BUY,SELL BUY,SELL 746761204 PGIBX 746764695 PGFOX 5.00 5.00 1.00 1.69000 1.00 3.06000 SELL ONLY SELL ONLY 746761303 PGRIX 746764687 PGFDX 1.00 1.00 1.00 1.69000 1.00 3.06000 BUY,SELL BUY,SELL 746761402 PGIYX 746764653 PGFYX 746761501 PGRMX 3.50 746764679 PGFMX 3.50 0.69000 2.06000 SELL ONLY SELL ONLY .75 1.44000 .75 2.81000 BUY,SELL SELL ONLY Revised 19 Sept 2016 Page 85 of 96 Fund Family Fund Name Putnam Putnam Putnam Putnam Putnam Putnam International Capital Opportunities Fund Class A Putnam International Capital Opportunities Fund Class B Putnam International Capital Opportunities Fund Class C Putnam International Capital Opportunities Fund Class Y Putnam International Capital Opportunities Fund Class M Putnam Massachusetts Tax Exempt Income Fund Class A Putnam Massachusetts Tax Exempt Income Fund Class B Putnam Massachusetts Tax Exempt Income Fund Class C Putnam Massachusetts Tax Exempt Income Fund Class Y Putnam Massachusetts Tax Exempt Income Fund Class M Putnam Michigan Tax Exempt Income Fund Class A Putnam Michigan Tax Exempt Income Fund Class B Putnam Michigan Tax Exempt Income Fund Class C Putnam Michigan Tax Exempt Income Fund Class Y Putnam Michigan Tax Exempt Income Fund Class M Putnam Multi-Cap Core Fund Class A Putnam Multi-Cap Core Fund Class B Putnam Multi-Cap Core Fund Class C Putnam Multi-Cap Core Fund Class Y Putnam Putnam Multi-Cap Core Fund Class M Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 746802859 PNVAX 5.75 .25 1.33000 Redemption Fee Buy/Sell Eligible BUY,SELL 746802792 PVNBX 5.00 1.00 2.08000 SELL ONLY 746802537 PUVCX 1.00 1.00 2.08000 BUY,SELL 746802495 PIVYX 746802784 PIVMX 1.08000 SELL ONLY 3.50 .75 1.83000 BUY,SELL 74683H309 PXMAX 4.00 .23 0.77000 BUY,SELL SELL ONLY 74683H101 PMABX 5.00 .85 1.39000 74683H408 PMMCX 1.00 1.00 1.54000 74683H507 PMAYX 0.54000 BUY,SELL SELL ONLY 74683H200 PMAMX 3.25 .50 1.04000 BUY,SELL 74683L300 PXMIX .22 0.86000 BUY,SELL SELL ONLY 4.00 74683L102 PMEBX 5.00 .85 1.49000 74683L409 PMGCX 1.00 1.00 1.64000 74683L508 PMIYX 74683L201 74676P888 74676P870 74676P862 74676P839 PMIMX 3.25 PMYAX 5.75 PMYBX PMYCX PMYYX 74676P854 PMYMX 3.50 5.00 1.00 BUY,SELL 0.64000 SELL ONLY 1.14000 1.04000 1.79000 1.79000 0.79000 BUY,SELL BUY,SELL SELL ONLY BUY,SELL SELL ONLY .75 1.54000 SELL ONLY .50 .25 1.00 1.00 Revised 19 Sept 2016 Page 86 of 96 Fund Family Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Fund Name Putnam Short-Term Municipal Income Fund Class A Putnam Short-Term Municipal Income Fund Class B Putnam Short-Term Municipal Income Fund Class C Putnam Short-Term Municipal Income Fund Class Y Putnam Short-Term Municipal Income Fund Class M Putnam Absolute Return 500 Fund Class A Putnam Absolute Return 500 Fund Class B Putnam Absolute Return 500 Fund Class C Putnam Absolute Return 500 Fund Class Y Putnam Absolute Return 500 Fund Class M Putnam New York Tax Exempt Income Fund Class A Putnam New York Tax Exempt Income Fund Class B Putnam New York Tax Exempt Income Fund Class C Putnam New York Tax Exempt Income Fund Class Y Putnam New York Tax Exempt Income Fund Class M Putnam Tax Exempt Income Fund Class A Putnam Tax Exempt Income Fund Class B Putnam Tax Exempt Income Fund Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 74676A865 PSMEX 1.00 Redemption Fee Buy/Sell Eligible .25 1.54000 BUY,SELL 74676A857 PSMFX 1.00 .45 1.74000 SELL ONLY 74676A840 PSMTX 1.00 1.00 2.29000 SELL ONLY 1.29000 SELL ONLY 74676A832 PSMMX 0.75 .30 1.59000 SELL ONLY 746764703 PJMDX 5.75 .25 1.15000 SELL ONLY 74676A824 PSMYX 746764802 PJMBX 5.00 1.00 1.90000 SELL ONLY 746764885 PJMCX 1.00 1.00 1.90000 SELL ONLY 0.90000 SELL ONLY 746764877 PJMMX 3.50 .75 1.65000 SELL ONLY 74683Q309 PTEIX .22 0.75000 BUY,SELL SELL ONLY 746764851 PJMYX 4.00 74683Q408 PEIBX 5.00 .85 1.38000 74683Q606 PNNCX 1.00 1.00 1.53000 746837301 PNYYX 0.53000 BUY,SELL SELL ONLY 74683Q507 PNYMX 3.25 .50 1.03000 BUY,SELL 746870104 PTAEX 4.00 .22 0.75000 BUY,SELL SELL ONLY 746870203 PTBEX 5.00 .85 1.38000 746870401 PTECX 1.00 1.00 1.53000 BUY,SELL Revised 19 Sept 2016 Page 87 of 96 Fund Family Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Fund Name Putnam Tax Exempt Income Fund Class Y Putnam Tax Exempt Income Fund Class M Putnam Global Utilities Fund Class A Putnam Global Utilities Fund Class B Putnam Global Utilities Fund Class C Putnam Global Utilities Fund Class Y Putnam Global Utilities Fund Class M Putnam Equity Income Fund Class A Putnam Global Industrial Fund Class A Putnam Equity Income Fund Class B Putnam Global Industrial Fund Class B Putnam Equity Income Fund Class C Putnam Global Industrial Fund Class C Putnam Equity Income Fund Class Y Putnam Global Industrial Fund Class Y Putnam Equity Income Fund Class M Putnam Global Industrial Fund Class M Putnam Ohio Tax Exempt Income Fund Class A Putnam Ohio Tax Exempt Income Fund Class B Putnam Ohio Tax Exempt Income Fund Class C Putnam Ohio Tax Exempt Income Fund Class Y Putnam Ohio Tax Exempt Income Fund Class M Putnam Floating Rate Income Fund Class A Putnam Floating Rate Income Fund Class B Putnam Floating Rate Income Fund Class C Putnam Floating Rate Income Fund Class Y CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 746870500 PTEYX 746870302 746888106 746888205 746888304 746888601 746888403 746745108 746764646 746745207 746764638 746745504 746764620 746745405 746764588 746745306 746764612 PTXMX PUGIX PUTBX PUTCX PUTYX PUTMX PEYAX PGIAX PEQNX PGIVX PEQCX PGIEX PEIYX PGILX PEIMX PGIHX 3.25 5.75 5.00 1.00 .50 .25 1.00 1.00 5.00 5.00 1.00 1.00 .75 .25 .25 1.00 1.00 1.00 1.00 3.50 5.75 5.75 3.50 3.50 .75 .75 746849306 PXOHX 4.00 0.53000 SELL ONLY 1.03000 1.19000 1.94000 1.94000 0.94000 1.69000 0.96000 2.03000 1.71000 2.78000 1.71000 2.78000 0.71000 1.78000 1.46000 2.53000 BUY,SELL BUY,SELL SELL ONLY BUY,SELL SELL ONLY BUY,SELL BUY,SELL BUY,SELL SELL ONLY SELL ONLY BUY,SELL BUY,SELL SELL ONLY SELL ONLY BUY,SELL BUY,SELL .23 0.80000 BUY,SELL SELL ONLY 746849108 POXBX 5.00 .85 1.42000 746849405 POOCX 1.00 1.00 1.57000 746849504 POTYX Redemption Fee Buy/Sell Eligible 0.57000 BUY,SELL SELL ONLY 746849207 POHMX 3.25 .50 1.07000 BUY,SELL 746763481 PFLRX 1.00 .25 1.02000 BUY,SELL SELL ONLY 746763473 PFRBX 1.00 .45 1.22000 746763465 PFICX 1.00 1.00 1.77000 746763226 PFRYX 0.77000 BUY,SELL SELL ONLY Revised 19 Sept 2016 Page 88 of 96 Fund Family Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Fund Name Putnam Floating Rate Income Fund Class M Putnam Arizona Tax Exempt Income Fund Class A Putnam Arizona Tax Exempt Income Fund Class B Putnam Arizona Tax Exempt Income Fund Class C Putnam Arizona Tax Exempt Income Fund Class Y Putnam Arizona Tax Exempt Income Fund Class M Putnam New Jersey Tax Exempt Income Fund Class A Putnam New Jersey Tax Exempt Income Fund Class B Putnam New Jersey Tax Exempt Income Fund Class C Putnam New Jersey Tax Exempt Income Fund Class Y Putnam New Jersey Tax Exempt Income Fund Class M Putnam Retirement Income Fund Lifestyle 2 Class A Putnam Retirement Income Fund Lifestyle 2 Class B Putnam Retirement Income Fund Lifestyle 2 Class C Putnam Retirement Income Fund Lifestyle 2 Class Y Putnam Retirement Income Fund Lifestyle 2 Class M Putnam Retirement Income Fund Lifestyle 3 Class A Putnam Retirement Income Fund Lifestyle 3 Class B CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 746763457 PFLMX 0.75 .30 1.07000 SELL ONLY 746441104 PTAZX 4.00 .22 0.92000 BUY,SELL SELL ONLY 746441203 PAZBX 5.00 .85 1.55000 746441401 PAZCX 1.00 1.00 1.70000 746441500 PAZYX 0.70000 BUY,SELL SELL ONLY 746441302 PAZMX 3.25 .50 1.20000 BUY,SELL 746915107 PTNJX 4.00 .23 0.78000 BUY,SELL SELL ONLY 746915206 PNJBX 5.00 .85 1.40000 746915404 PNJCX 1.00 1.00 1.55000 746915503 PNJYX 0.55000 BUY,SELL SELL ONLY 746915305 PNJMX 3.25 .50 1.05000 BUY,SELL 74676P821 PRYAX 4.00 .25 2.18000 SELL ONLY 74676P813 PRLBX 5.00 1.00 2.93000 SELL ONLY 74676P797 PRYCX 1.00 1.00 2.93000 SELL ONLY 1.93000 SELL ONLY 74676P789 PRLMX 3.25 .50 2.43000 SELL ONLY 746763283 PISFX .25 1.75000 SELL ONLY 1.00 2.50000 SELL ONLY 74676P763 PRLYX 746763275 PBIOX 4.00 5.00 Revised 19 Sept 2016 Page 89 of 96 Fund Family Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Fund Name Putnam Retirement Income Fund Lifestyle 3 Class C Putnam Retirement Income Fund Lifestyle 3 Class Y Putnam Retirement Income Fund Lifestyle 3 Class M Putnam RetirementReady 2020 Fund Class A Putnam RetirementReady 2025 Fund Class A Putnam RetirementReady 2030 Fund Class A Putnam RetirementReady 2020 Fund Class B Putnam RetirementReady 2025 Fund Class B Putnam RetirementReady 2030 Fund Class B Putnam RetirementReady 2020 Fund Class C Putnam RetirementReady 2025 Fund Class C Putnam RetirementReady 2030 Fund Class C Putnam RetirementReady 2020 Fund Class Y Putnam RetirementReady 2025 Fund Class Y Putnam RetirementReady 2030 Fund Class Y Putnam RetirementReady 2020 Fund Class M Putnam RetirementReady 2025 Fund Class M Putnam RetirementReady 2030 Fund Class M CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 746763267 PCIOX 1.00 Redemption Fee Buy/Sell Eligible 1.00 2.50000 SELL ONLY 1.50000 SELL ONLY 746763259 PMIOX 3.25 .50 2.00000 SELL ONLY 746859693 PRRMX 5.75 .25 1.25000 SELL ONLY 746859750 PRROX 5.75 .25 1.26000 SELL ONLY 746859818 PRRQX 5.75 .25 1.28000 SELL ONLY 746763234 PIIYX 746859685 5.00 1.00 2.00000 SELL ONLY 746859743 5.00 1.00 2.01000 SELL ONLY 746859792 5.00 1.00 2.03000 SELL ONLY 746859677 1.00 1.00 2.00000 SELL ONLY 746859735 1.00 1.00 2.01000 SELL ONLY 746859784 1.00 1.00 2.03000 SELL ONLY 746859420 PRRNX 1.00000 SELL ONLY 746859438 PRRPX 1.01000 SELL ONLY 746859446 PRRTX 1.03000 SELL ONLY 746859669 3.50 .75 1.75000 SELL ONLY 746859727 3.50 .75 1.76000 SELL ONLY 746859776 3.50 .75 1.78000 SELL ONLY Revised 19 Sept 2016 Page 90 of 96 Fund Family Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Fund Name Putnam Retirement Income Fund Lifestyle 1 Class A Putnam Retirement Income Fund Lifestyle 1 Class B Putnam Retirement Income Fund Lifestyle 1 Class C Putnam Retirement Income Fund Lifestyle 1 Class Y Putnam Retirement Income Fund Lifestyle 1 Class M Putnam RetirementReady 2055 Fund Class A Putnam RetirementReady 2050 Fund Class A Putnam RetirementReady 2055 Fund Class B Putnam RetirementReady 2050 Fund Class B Putnam RetirementReady 2055 Fund Class C Putnam RetirementReady 2050 Fund Class C Putnam RetirementReady 2055 Fund Class Y Putnam RetirementReady 2050 Fund Class Y Putnam RetirementReady 2055 Fund Class M Putnam RetirementReady 2050 Fund Class M Putnam RetirementReady 2045 Fund Class A Putnam RetirementReady 2040 Fund Class A Putnam RetirementReady 2035 Fund Class A CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 746859537 PRMAX 4.00 Redemption Fee Buy/Sell Eligible .25 1.44000 SELL ONLY 746859529 PRMLX 5.00 1.00 2.19000 SELL ONLY 746859511 PRMCX 1.00 1.00 2.19000 SELL ONLY 1.19000 SELL ONLY 746859495 PRMMX 3.25 .50 1.69000 SELL ONLY 746859313 PRRFX 5.75 .25 3.19000 SELL ONLY 746859370 PRRJX 5.75 .25 1.59000 SELL ONLY 746859388 PRMYX 746859297 5.00 1.00 3.94000 SELL ONLY 746859362 5.00 1.00 2.34000 SELL ONLY 746859289 1.00 1.00 3.94000 SELL ONLY 746859354 1.00 1.00 2.34000 SELL ONLY 746859255 PRTLX 2.94000 SELL ONLY 746859321 PRRUX 1.34000 SELL ONLY 746859271 3.50 .75 3.69000 SELL ONLY 746859347 3.50 .75 2.09000 SELL ONLY 746859107 PRVLX 5.75 .25 1.47000 SELL ONLY 746859602 PRRZX 5.75 PRRW 746859867 X 5.75 .25 1.37000 SELL ONLY .25 1.34000 SELL ONLY Revised 19 Sept 2016 Page 91 of 96 Fund Family Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Fund Name Putnam RetirementReady 2045 Fund Class B Putnam RetirementReady 2040 Fund Class B Putnam RetirementReady 2035 Fund Class B Putnam RetirementReady 2045 Fund Class C Putnam RetirementReady 2040 Fund Class C Putnam RetirementReady 2035 Fund Class C Putnam RetirementReady 2035 Fund Class Y Putnam RetirementReady 2040 Fund Class Y Putnam RetirementReady 2045 Fund Class Y Putnam RetirementReady 2045 Fund Class M Putnam RetirementReady 2035 Fund Class M Putnam RetirementReady 2040 Fund Class M Putnam Global Sector Fund Class A Putnam Global Sector Fund Class B Putnam Global Sector Fund Class C Putnam Global Sector Fund Class Y Putnam Global Sector Fund Class M Putnam High Yield Trust Fund Class A Putnam High Yield Advantage Fund Class A Putnam High Yield Trust Fund Class B Putnam High Yield Advantage Fund Class B Putnam High Yield Trust Fund Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 746859206 5.00 1.00 2.22000 SELL ONLY 746859701 5.00 1.00 2.12000 SELL ONLY 746859859 5.00 1.00 2.09000 SELL ONLY 746859305 1.00 1.00 2.22000 SELL ONLY 746859800 1.00 1.00 2.12000 SELL ONLY 746859842 1.00 1.00 2.09000 SELL ONLY 746859453 PRRYX 1.09000 SELL ONLY 746859461 PRZZX 1.12000 SELL ONLY 746859479 PRVYX 1.22000 SELL ONLY 746859404 3.50 .75 1.97000 SELL ONLY 746859834 3.50 .75 1.84000 SELL ONLY 746859883 74677R107 74677R206 74677R305 74677R602 3.50 PPGAX 5.75 PPGBX PPGCX PPGYX 5.00 1.00 74677R404 PPGMX 3.50 746782101 PHIGX 4.00 .75 .25 1.00 1.00 1.87000 2.56000 3.31000 3.31000 2.31000 SELL ONLY BUY,SELL SELL ONLY BUY,SELL SELL ONLY .75 3.06000 .25 1.00000 SELL ONLY BUY,SELL 74678J104 PHYIX 4.00 746782200 PHBBX 5.00 .25 1.04000 1.00 1.75000 BUY,SELL SELL ONLY 74678J203 PHYBX 746782309 PCHYX 5.00 1.00 1.00 1.79000 1.00 1.75000 SELL ONLY BUY,SELL Revised 19 Sept 2016 Page 92 of 96 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible Putnam Putnam Putnam High Yield Advantage Fund Class C Putnam High Yield Trust Fund Class Y Putnam High Yield Advantage Fund Class Y Putnam High Yield Trust Fund Class M Putnam High Yield Advantage Fund Class M Putnam Europe Equity Fund Class A 74678J302 PHYMX 3.25 746747104 PEUGX 5.75 .50 1.29000 .25 1.30000 BUY,SELL BUY,SELL Putnam Putnam International Value Fund Class A 746763200 PNGAX 5.75 .25 1.32000 BUY,SELL Putnam Putnam Putnam International Equity Fund Class A 74680E101 POVSX 5.75 Putnam Europe Equity Fund Class B 746747203 PEUBX 5.00 .25 1.31000 1.00 2.05000 BUY,SELL SELL ONLY Putnam Putnam International Value Fund Class B 746763309 PGNBX 5.00 1.00 2.07000 SELL ONLY Putnam Putnam Putnam International Equity Fund Class B 74680E200 POVBX Putnam Europe Equity Fund Class C 746747401 PEECX 5.00 1.00 1.00 2.06000 1.00 2.05000 SELL ONLY BUY,SELL Putnam Putnam International Value Fund Class C 746763754 PIGRX 1.00 1.00 2.07000 BUY,SELL Putnam Putnam Putnam International Equity Fund Class C 74680E309 PIGCX Putnam Europe Equity Fund Class Y 746747609 PEUYX 1.00 1.00 2.06000 1.05000 BUY,SELL SELL ONLY Putnam Putnam International Value Fund Class Y 746763614 PNGYX 1.07000 SELL ONLY Putnam Putnam Putnam International Equity Fund Class Y 74680E507 POVYX Putnam Europe Equity Fund Class M 746747302 PEUMX 3.50 1.06000 .75 1.80000 SELL ONLY BUY,SELL Putnam Putnam International Value Fund Class M Putnam International Equity Fund Class M Putnam Absolute Return 100 Fund Class A Putnam Absolute Return 100 Fund Class B 746763408 PIGMX 3.50 .75 1.82000 BUY,SELL 74680E408 POVMX 3.50 .75 1.81000 BUY,SELL 746764448 PARTX 1.00 .25 0.67000 SELL ONLY .45 0.87000 SELL ONLY Putnam Putnam Putnam Putnam Putnam Putnam Putnam 74678J500 PHYLX 746782507 PHYYX 1.00 1.79000 0.75000 BUY,SELL SELL ONLY 74678J401 PHAYX 746782408 PHIMX 3.25 0.79000 .50 1.25000 SELL ONLY BUY,SELL 746764430 PARPX 1.00 1.00 Revised 19 Sept 2016 Page 93 of 96 Fund Family Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Fund Name Putnam Absolute Return 100 Fund Class C Putnam Absolute Return 100 Fund Class Y Putnam Absolute Return 100 Fund Class M Putnam Short Duration Income Fund Class B Putnam Short Duration Income Fund Class C Putnam Short Duration Income Fund Class Y Putnam Short Duration Income Fund Class M Putnam Short Duration Income Fund Class A Putnam Minnesota Tax Exempt Income Fund Class A Putnam Minnesota Tax Exempt Income Fund Class B Putnam Minnesota Tax Exempt Income Fund Class C Putnam Minnesota Tax Exempt Income Fund Class Y Putnam Minnesota Tax Exempt Income Fund Class M Putnam Emerging Markets Equity Fund Class A CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 746764422 PARQX 1.00 746764380 PARYX 746764414 PARZX 0.75 Redemption Fee Buy/Sell Eligible 1.00 1.42000 SELL ONLY 0.42000 SELL ONLY .30 0.72000 SELL ONLY 74676P748 PSDBX 5.00 .50 0.94000 SELL ONLY 74676P730 PSDLX 1.00 .50 0.94000 SELL ONLY 74676P698 PSDYX 0.44000 SELL ONLY 74676P722 PSDGX .15 0.59000 BUY,SELL 74676P755 PSDTX .10 0.54000 SELL ONLY 74683M308 PXMNX 4.00 .23 0.83000 BUY,SELL SELL ONLY 74683M100 PMTBX 5.00 .85 1.45000 74683M407 PMOCX 1.00 1.00 1.60000 74683M506 PMNYX 0.60000 BUY,SELL SELL ONLY 74683M209 PMNMX 3.25 .50 1.10000 BUY,SELL 746764109 PEMMX 5.75 .25 2.09000 BUY,SELL Putnam Asia Pacific Equity Fund Class A 74676P300 PAPAX 5.75 Putnam Emerging Markets Equity Fund Class B 746764208 PEMBX .25 3.51000 BUY,SELL Putnam Asia Pacific Equity Fund Class B 74676P409 PAPBX Putnam Emerging Markets Equity Fund Class C 746764307 PEMZX 5.00 1.00 2.84000 SELL ONLY 5.00 1.00 4.26000 SELL ONLY 1.00 1.00 2.84000 BUY,SELL Revised 19 Sept 2016 Page 94 of 96 Fund Family Fund Name Putnam Putnam Asia Pacific Equity Fund Class C 74676P508 PAPCX Putnam Emerging Markets Equity Fund Class Y 746764604 PEMYX Putnam Putnam Putnam Putnam CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 1.00 Putnam Asia Pacific Equity Fund Class Y 74676P805 PAPYX Putnam Emerging Markets Equity Fund Class M 746764406 PEMAX 3.50 1.00 4.26000 Redemption Fee Buy/Sell Eligible BUY,SELL 1.84000 SELL ONLY 3.26000 SELL ONLY .75 2.59000 SELL ONLY 74676P607 PAPMX 3.50 .75 4.01000 BUY,SELL 746872308 PPNAX 4.00 .23 0.78000 BUY,SELL SELL ONLY Putnam Putnam Asia Pacific Equity Fund Class M Putnam AMT-Free Municipal Fund Class A Putnam AMT-Free Municipal Fund Class B Putnam AMT-Free Municipal Fund Class C Putnam AMT-Free Municipal Fund Class Y Putnam AMT-Free Municipal Fund Class M Putnam Multi-Cap Value Fund Class A Putnam Multi-Cap Value Fund Class B Putnam Multi-Cap Value Fund Class C Putnam Multi-Cap Value Fund Class Y Putnam Multi-Cap Value Fund Class M Putnam American Government Income Fund Class A Putnam American Government Income Fund Class B Putnam American Government Income Fund Class C Putnam American Government Income Fund Class Y Putnam American Government Income Fund Class M Putnam George Putnam Balanced Fund Class A Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam Putnam 746872100 PTFIX 5.00 .85 1.40000 746872803 PAMTX 1.00 1.00 1.55000 746872886 PAMYX 746872605 746802511 746802271 746802263 746802198 746802255 PPMTX 3.25 PMVAX 5.75 PMVBX PMPCX PMVYX PMCVX 3.50 5.00 1.00 74644B102 PAGVX 4.00 BUY,SELL 0.55000 SELL ONLY 1.05000 1.08000 1.83000 1.83000 0.83000 .75 1.58000 BUY,SELL BUY,SELL SELL ONLY BUY,SELL SELL ONLY BUY,SELL .25 0.93000 SELL ONLY .50 .25 1.00 1.00 74644B201 PAMBX 5.00 1.00 1.68000 SELL ONLY 74644B409 PAMIX 1.00 1.00 1.68000 SELL ONLY 0.68000 SELL ONLY 74644B300 PAMMX 3.25 .50 1.18000 SELL ONLY 37252M108 PGEOX 5.75 .25 1.01000 BUY,SELL 74644B508 PATYX Revised 19 Sept 2016 Page 95 of 96 Redemption Fee Buy/Sell Eligible Fund Family Fund Name CUSIP Putnam George Putnam Balanced Fund Class B 37252M207 PGEBX 5.00 1.00 1.76000 SELL ONLY Putnam George Putnam Balanced Fund Class C 37252M306 PGPCX 1.00 1.00 1.76000 BUY,SELL Putnam George Putnam Balanced Fund Class Y 37252M603 PGEYX Putnam George Putnam Balanced Fund Class M Putnam Intermediate-Term Municipal Income Fund Class A Putnam Intermediate-Term Municipal Income Fund Class B Putnam Intermediate-Term Municipal Income Fund Class C Putnam Intermediate-Term Municipal Income Fund Class Y Putnam Intermediate-Term Municipal Income Fund Class M Putnam Tax Exempt Money Market A 37252M405 PGEMX 3.50 .75 1.51000 BUY,SELL 74676A816 PIMEX .25 1.73000 BUY,SELL SELL ONLY Putnam Putnam Putnam Putnam Putnam Putnam Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 0.76000 4.00 74676A790 PIMBX 5.00 .85 2.33000 74676A782 PIMFX 1.00 1.00 2.48000 74676A766 PIMYX 74676A774 PIMMX 3.25 746871102 1.48000 .50 1.98000 0.00 0.63 SELL ONLY BUY,SELL SELL ONLY SELL ONLY BUY,SELL Revised 19 Sept 2016 Page 96 of 96
Pioneer HIMYX
Nuveen NHMRX
