2009 DC Mutual Fund Survey - Pensions & Investments Group
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The International Newspaper of Money Management
2009 Survey of Mutual Funds Most Used by Defined Contribution Plans
Firm (legal name)_______________________________________________________________________________
Address_______________________________________________________________________________________
City_____________________________________________ State____________________ Zip__________________
Phone_________________________ Fax__________________________ Website___________________________
Please refer to the notes section at the end of the survey before responding.
|1. As of Dec. 31, 2008, how much did your firm manage for the defined contribution plan assets of U.S. | |
|institutional, tax-exempt clients in mutual funds? (Exclude: IRAs, Keoghs and SARSEPs; sponsoring company stock; |$____________mil. |
|and assets under administration-only) | |
2. DOMESTIC EQUITY: Of the amount in question 1, which 12 domestic equity mutual funds had the most invested for defined contribution plan assets as of Dec. 31, 2008?
|Mutual fund name |Ticker symbol |DC plan assets |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
3. DOMESTIC FIXED INCOME: Of the amount in question 1, which 10 domestic fixed-income mutual funds had the most invested for defined contribution plan assets as of Dec. 31, 2008?
|Mutual fund name |Ticker symbol |DC plan assets |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
4. INTERNATIONAL/GLOBAL EQUITY: Of the amount in question 1, which three international or global equity mutual funds had the most invested for defined contribution plan assets as of Dec. 31, 2008?
|Mutual fund name |Ticker symbol |DC plan assets |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
5. BALANCED/ASSET ALLOCATION: Of the amount in question 1, which five balanced or asset allocation (including lifecycle and lifestyle but omitting target-date) mutual funds had the most invested for defined contribution plan assets as of Dec. 31, 2008?
|Mutual fund name |Ticker symbol |DC plan assets |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
6. TARGET DATE: Of the amount in question 1, which five target-date mutual funds had the most invested for defined contribution plan assets as of Dec. 31, 2008?
|Mutual fund name |Ticker symbol |DC plan assets |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
7. MONEY MARKET: Of the amount in question 1, which three money market mutual funds had the most invested for defined contribution plan assets as of Dec. 31, 2008?
|Mutual fund name |Ticker symbol |DC plan assets |
| | |$____________mil. |
| | |$____________mil. |
| | |$____________mil. |
8. As of Dec. 31, 2008, how much did your firm manage in total in institutional shares in your mutual funds?
$____________mil.
Parent company (if applicable)___________________________________________________________________
If you are providing statistics on behalf of subsidiaries/affiliates of your company, please list all of those firms (attach a separate sheet, if necessary)________________________________________________________________
Client contact________________________________________________Title_______________________________
Phone__________________________Fax__________________________E-mail_____________________________
Primary data contact__________________________________________Title_______________________________
Phone__________________________Fax__________________________E-mail_____________________________
Questionnaire prepared by_______________________________________________________________________
Phone_______________________________________________________E-mail_____________________________
Fax your completed survey to Anthony C. Scuderi at 212-210-0436
Due date: Friday, March 13, 2009
2 of 2
NOTES
Question 1: Report total defined contribution plan assets invested in proprietary mutual funds only, based on the criteria specified herein.
Questions 2 - 7: Report which mutual funds were most used by the defined contribution plan assets in question 1, according to the appropriate classification (do not double count funds or assets); the defined contribution assets of mutual funds that do not fall into the questions 2 - 7 categories could still be counted in question 1.
IMPORTANT: The sum of the assets reported for questions 2 - 7 cannot exceed the total reported in question 1. (Please verify the math prior to submission).
Defined contribution plan assets
Include: 401(k), 403(b), 457, profit sharing and other defined contribution plan assets invested for U.S. institutional, tax-exempt clients such as corporate, municipal and union retirement plan sponsors.
Exclude: IRAs, Keoghs and SARSEPs; sponsoring company stock; and assets under administration-only.
Mutual funds
Include: Only SEC registered mutual funds.
Exclude: Bank and insurance company commingled accounts and pooled separate accounts that are not structured, registered and marketed as mutual funds.
Subadvisory relationships
Include: Proprietary funds of your firm, which are subadvised by external money managers.
Exclude: Non-proprietary funds, which your firm subadvises on behalf of external money managers.
Ticker
Unique symbol used to identify a security; the ticker is required for tracking fund characteristics and performance.
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