Intermed 2016 1 American Century Investments Mutual Funds Form 5500 Schedule C Eligible Indirect Compensation Disclosures Calendar Year 2016 This document is being provided to assist plan sponsors and their Form 5500 preparers in completing the 2016 Form 5500 Schedule C. The disclosures and references herein are intended to comply with the Department of Labor’s alternative reporting for Eligible Indirect Compensation for Part 1 of the Schedule C. Part I: Identifying Information The name of each American Century Investments mutual fund, as well as its share classes and ticker symbols can be found in the applicable prospectus and summary of additional information (“SAI”). A current prospectus and SAI can be obtained at www.americancentury.com or by contacting us at (800) 345-6488. For your convenience, attached to this document is a table showing CUSIP numbers and fund and advisor EINs for all American Century Investments mutual funds. Part II: Fees American Century Investment Management, Inc. (“Advisor”) provides investment management services to mutual funds within the American Century Investments fund family. For the services it provides, the Advisor receives a unified management fee based on a percentage of the daily net assets of each class of shares in a fund. Out of the fund’s fee, the Advisor pays all expenses of managing and operating the fund except brokerage expenses, taxes, interest, fees and expenses of the fund’s independent trustees (including legal counsel fees), and extraordinary expenses. For more information on the fees and expenses of any fund, including the unified fee, please see the applicable fund prospectus and the SAI. Part III: Gifts and Entertainment The Advisor has received no gifts or entertainment exceeding the Department of Labor’s de minimis threshold for any plan investor. The Advisor made this determination after examining the total amount of gifts and entertainment reported by all employees of the Advisor and its affiliate companies, the number of plan investors known to the Advisor, and the assets invested in American Century Investments mutual funds or other investment vehicles attributable to such plan investors. Part IV: Research / Soft Dollars The Advisor receives proprietary research and other brokerage services (collectively referred to as “Research”) from certain broker-dealers under “soft dollar” arrangements that comply with Section 28(e) of the Securities Exchange Act of 1934. This type of proprietary research generally does not have an identifiable price. The Advisor was eligible to receive Research by sending trades and paying commissions to approved executing broker-dealers. Research may include, but is not limited to, access to company executives, conferences, analysis, forecasting services, research, and roadshow visits. The parties listed immediately below are the ten brokers (listed alphabetically) who provided the most significant amounts of Research to the Advisor during the 2016 calendar year. For a full list of brokers providing Research, please contact us at (800) 345-6488, and for more information on the Advisor’s trading policies and procedures, please see Part 2A of the Advisor’s Form ADV. Top Ten Brokers Providing Research to American Century Investment Management, Inc. 2016 Bank of America Securities Goldman Sachs Barclays Capital J.P. Morgan Securities Citigroup Capital Markets Inc. Morgan Stanley Credit Suisse First Boston Corp Sanford C. Bernstein Deutsche Bank UBS Warburg
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American Century Investments Mutual Funds Form 5500 ... · PDF fileForm 5500 Schedule C Eligible Indirect Compensation Disclosures ... Investor 025083395 ACTIX 43 ... Indirect Compensation
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Intermed 2016
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American Century Investments Mutual Funds Form 5500 Schedule C Eligible Indirect Compensation Disclosures Calendar Year 2016 This document is being provided to assist plan sponsors and their Form 5500 preparers in completing the 2016 Form 5500 Schedule C. The disclosures and references herein are intended to comply with the Department of Labor’s alternative reporting for Eligible Indirect Compensation for Part 1 of the Schedule C. Part I: Identifying Information The name of each American Century Investments mutual fund, as well as its share classes and ticker symbols can be found in the applicable prospectus and summary of additional information (“SAI”). A current prospectus and SAI can be obtained at www.americancentury.com or by contacting us at (800) 345-6488. For your convenience, attached to this document is a table showing CUSIP numbers and fund and advisor EINs for all American Century Investments mutual funds. Part II: Fees American Century Investment Management, Inc. (“Advisor”) provides investment management services to mutual funds within the American Century Investments fund family. For the services it provides, the Advisor receives a unified management fee based on a percentage of the daily net assets of each class of shares in a fund. Out of the fund’s fee, the Advisor pays all expenses of managing and operating the fund except brokerage expenses, taxes, interest, fees and expenses of the fund’s independent trustees (including legal counsel fees), and extraordinary expenses. For more information on the fees and expenses of any fund, including the unified fee, please see the applicable fund prospectus and the SAI. Part III: Gifts and Entertainment The Advisor has received no gifts or entertainment exceeding the Department of Labor’s de minimis threshold for any plan investor. The Advisor made this determination after examining the total amount of gifts and entertainment reported by all employees of the Advisor and its affiliate companies, the number of plan investors known to the Advisor, and the assets invested in American Century Investments mutual funds or other investment vehicles attributable to such plan investors. Part IV: Research / Soft Dollars The Advisor receives proprietary research and other brokerage services (collectively referred to as “Research”) from certain broker-dealers under “soft dollar” arrangements that comply with Section 28(e) of the Securities Exchange Act of 1934. This type of proprietary research generally does not have an identifiable price. The Advisor was eligible to receive Research by sending trades and paying commissions to approved executing broker-dealers. Research may include, but is not limited to, access to company executives, conferences, analysis, forecasting services, research, and roadshow visits. The parties listed immediately below are the ten brokers (listed alphabetically) who provided the most significant amounts of Research to the Advisor during the 2016 calendar year. For a full list of brokers providing Research, please contact us at (800) 345-6488, and for more information on the Advisor’s trading policies and procedures, please see Part 2A of the Advisor’s Form ADV.
Top Ten Brokers Providing Research to American Century Investment Management, Inc. 2016
Bank of America Securities Goldman Sachs
Barclays Capital J.P. Morgan Securities
Citigroup Capital Markets Inc. Morgan Stanley
Credit Suisse First Boston Corp Sanford C. Bernstein
February 21, 2017 Re: American Century Multiple Investment Trust (the “Fund”) Service Provider Fee Disclosure Required for Schedule C for the 2016 Form 5500 SEI Trust Company (the “Trustee”) Dear Participating Plan: The U.S. Department of Labor (DOL) issued guidance that affects the information required to be included in Schedule C to the Form 5500, the Annual Report filed for retirement plans. These requirements affect all large plan filers (those with 100 or more participants at the beginning of the plan year). The objective of the guidance is to accurately disclose compensation received by service providers to the plan for services rendered with respect to the plan on the Form 5500 filed with the DOL. The Fund is a collective investment trust. Services to investors in the Fund are provided through a bundled services arrangement by the Trustee or through its affiliates or subcontractors. For the 2016 annual reporting period this letter serves to provide you with all necessary information for your retirement plan(s) that are invested (or were invested during the 2016 calendar year) in the Fund, including, but not limited to, investment advisory fees received by the investment advisor to the Fund (the “Advisor”) (please see the Attachment A to this letter for information that you will need to complete the Schedule C on your 2016 Form 5500). In accordance with the DOL guidance and as a result of this notice, you should not list SEI Trust Company, the Advisor or any of their respective affiliates or service providers on line 4 of the Schedule C as a service provider failing to provide information necessary to complete the Schedule C. Additionally, if you have additional relationships with the Trustee, the Advisor or any of their respective affiliates, you may receive a separate letter or disclosure for each of those relationships. Sincerely, SEI Trust Company
Disclaimer: Nothing in this correspondence is intended to constitute tax or legal advice. If you have any tax and/or legal questions, please contact your qualified tax and/or legal advisor.
Attachment A: Form 5500 Schedule C – Fee/Compensation Disclosure Chart
SEI Trust Company - EIN: 06-1271230
Eligible Indirect Compensation: Part I, Line 1(a): Yes
These can be found in the Schedule of Fees for the Fund (a replacement copy of which is
available upon request).
American Century Investment Management, Inc. – EIN: 44-0640487
Eligible Indirect Compensation: Part I, Line 1(a): Yes
The Advisor, consistent with the safe harbor provisions of Section 28(e) under the Securities
Exchange Act of 1934, may cause the Fund, and therefore the Participating Plans, to pay a
higher amount of commission than other brokers would charge if the Advisor determines in good
faith that the amount of the commission is reasonable in relation to the value of the services
provided. The Advisor also may receive brokerage and research services from broker-dealers
that are provided at no charge in recognition of the volume of trades directed to the broker.
February 21, 2017 Re: American Century Multiple Investment Trust II (the “Fund”) Service Provider Fee Disclosure Required for Schedule C for the 2016 Form 5500 SEI Trust Company (the “Trustee”) Dear Participating Plan: The U.S. Department of Labor (DOL) issued guidance that affects the information required to be included in Schedule C to the Form 5500, the Annual Report filed for retirement plans. These requirements affect all large plan filers (those with 100 or more participants at the beginning of the plan year). The objective of the guidance is to accurately disclose compensation received by service providers to the plan for services rendered with respect to the plan on the Form 5500 filed with the DOL. The Fund is a collective investment trust. Services to investors in the Fund are provided through a bundled services arrangement by the Trustee or through its affiliates or subcontractors. For the 2016 annual reporting period this letter serves to provide you with all necessary information for your retirement plan(s) that are invested (or were invested during the 2016 calendar year) in the Fund, including, but not limited to, investment advisory fees received by the investment advisor to the Fund (the “Advisor”) (please see the Attachment A to this letter for information that you will need to complete the Schedule C on your 2016 Form 5500). In accordance with the DOL guidance and as a result of this notice, you should not list SEI Trust Company, the Advisor or any of their respective affiliates or service providers on line 4 of the Schedule C as a service provider failing to provide information necessary to complete the Schedule C. Additionally, if you have additional relationships with the Trustee, the Advisor or any of their respective affiliates, you may receive a separate letter or disclosure for each of those relationships. Sincerely, SEI Trust Company
Disclaimer: Nothing in this correspondence is intended to constitute tax or legal advice. If you have any tax and/or legal questions, please contact your qualified tax and/or legal advisor.
Attachment A: Form 5500 Schedule C – Fee/Compensation Disclosure Chart
SEI Trust Company - EIN: 06-1271230
Eligible Indirect Compensation: Part I, Line 1(a): None Identified1
Direct Compensation (for Line 2 of Schedule C): Yes
All services provided, including, but not limited to, Trustee and Investment Management/Advisory Fees
Dollar amount determined by reference to monthly invoice sent by SEI Trust Company
Code: 19, 21, 24, 27, 28 (51, if paid from plan assets)
American Century Investment Management, Inc. – EIN: 44-0640487
Eligible Indirect Compensation: Part I, Line 1(a): Yes
The Advisor, consistent with the safe harbor provisions of Section 28(e) under the Securities
Exchange Act of 1934, may cause the Fund, and therefore the Participating Plans, to pay a
higher amount of commission than other brokers would charge if the Advisor determines in good
faith that the amount of the commission is reasonable in relation to the value of the services
provided. The Advisor also may receive brokerage and research services from broker-dealers
that are provided at no charge in recognition of the volume of trades directed to the broker.
1 Pursuant to the Schedule of Fees, the Trustee retains the right to collect the amounts for any unpaid invoice from the
assets of the Fund if such invoices are not paid within thirty (30) business days following the end of the applicable month.
1 2016
American Century Investment Management, Inc. Global Trust Company American Century Retirement Date Trust Form 5500 Schedule C Eligible Indirect Compensation Disclosures Calendar Year 2016 This document is being provided to assist plan sponsors and their Form 5500 preparers in completing the 2016 Form 5500 Schedule C. The disclosures and references herein are intended to comply with the Department of Labor’s alternative reporting for Eligible Indirect Compensation for Part 1 of the Schedule C. Part I: Identifying Information and Fees Global Trust Company (“GTC”) is the Trustee for the American Century Retirement Date Trust (“Trust”), and is responsible for the Trust’s overall management and operation. GTC engages American Century Investment Management, Inc. (“Advisor”) to act as a discretionary investment manager to provide investment adviser services with respect to the assets of the Trust. The fees received by GTC and the Advisor are considered eligible indirect compensation for Form 5500, Schedule C, Part 1 reporting purposes. The fees can be found in the Participation Agreement and Offering Memorandum and in the “fact sheet” for the Trust. GTC does not receive direct compensation. For your convenience in completing Schedule C, the EIN and address for GTC and Advisor are set forth immediately below.
Trustee EIN
Global Trust Company 12 Gill Street, Suite 2600 Woburn, MA 01801
26-3761443
Advisor EIN
American Century Investment Management, Inc. 4500 Main Street Kansas City, MO 64111
44-0640487
Part II: Gifts and Entertainment The Advisor has received no gifts or entertainment exceeding the Department of Labor’s de minimis threshold for any retirement plan investor. The Advisor made this determination after examining the total amount of gifts and entertainment reported by all employees of the Advisor and its affiliate companies, the number of plan investors known to the Advisor, and the assets invested in American Century Investments mutual funds, separate accounts or other investment vehicles attributable to such plan investors. Part III: Research / Soft Dollars The Advisor receives proprietary research and other brokerage services (collectively referred to as “Research”) from certain broker-dealers under “soft dollar” arrangements that comply with Section 28(e) of the Securities Exchange Act of 1934. This type of proprietary research generally does not have an identifiable price. The Advisor was eligible to receive Research by sending trades and paying commissions to approved executing broker-dealers. Research may include, but is not limited to, access to company
2 2016
executives, conferences, analysis, forecasting services, research, and roadshow visits. The parties listed immediately below are the ten brokers (listed alphabetically) who provided the most significant amounts of Research to the Advisor during the 2016 calendar year. For a full list of brokers providing Research, please contact your relationship manager at American Century Investments, and for more information on the Advisor’s trading policies and procedures, please see Part 2A of the Advisor’s Form ADV.
Top Ten Brokers Providing Research to American Century Investment Management, Inc. 2016
Bank of America Securities Goldman Sachs
Barclays Capital J.P. Morgan Securities
Citigroup Capital Markets Inc. Morgan Stanley
Credit Suisse First Boston Corp Sanford C. Bernstein
Deutsche Bank UBS Warburg
Trust Name Class Name
CUSIP# Plan
Number Fund# Trust EIN
American Century Global Growth (All Country) Trust I 02508D351 003 1135 30-6406015
American Century Global Growth (All Country) Trust T1 02508D369 003 1131 30-6406015
American Century Global Growth (All Country) Trust T2 02508D385 003 1132 30-6406015
American Century In Retirement Trust I 02508D773 001 1208 30-6406015
American Century In Retirement Trust II 02508D674 001 1228 30-6406015
American Century In Retirement Trust IV 02508D476 001 1408 30-6406015
American Century In Retirement Trust L 02508D880 001 1189 30-6406015
American Century In Retirement Trust V 02508L882 001 1708 30-6406015
American Century In Retirement Trust VI 02508L783 001 1308 30-6406015
American Century In Retirement Trust VII 02508L494 001 1808 30-6406015
American Century In Retirement Trust VIII 02508L486 001 1508 30-6406015
American Century Non-U.S. Growth (All Country) Trust T1 02508D468 004 1127 30-6406015
American Century Non-U.S. Growth Trust M 02508D872 002 1126 30-6406015
American Century Non-U.S. Growth Trust M2 02508D419 002 1130 30-6406015
American Century Non-U.S. Growth Trust T1 02508D450 002 1128 30-6406015
American Century Non-U.S. Small Cap Trust I 02508D427 005 1129 30-6406015
American Century Retirement Date 2020 Trust I 02508D864 001 1200 30-6406015
American Century Retirement Date 2020 Trust II 02508D765 001 1220 30-6406015
American Century Retirement Date 2020 Trust IV 02508D567 001 1400 30-6406015
American Century Retirement Date 2020 Trust L 02508D104 001 1181 30-6406015
American Century Retirement Date 2020 Trust V 02508L106 001 1700 30-6406015
American Century Retirement Date 2020 Trust VI 02508L874 001 1300 30-6406015
American Century Retirement Date 2020 Trust VII 02508L510 001 1800 30-6406015
American Century Retirement Date 2020 Trust VIII 02508L619 001 1500 30-6406015
American Century Retirement Date 2025 Trust I 02508D856 001 1201 30-6406015
American Century Retirement Date 2025 Trust II 02508D757 001 1221 30-6406015
American Century Retirement Date 2025 Trust IV 02508D559 001 1401 30-6406015
American Century Retirement Date 2025 Trust L 02508D203 001 1182 30-6406015
American Century Retirement Date 2025 Trust V 02508L205 001 1701 30-6406015
American Century Retirement Date 2025 Trust VI 02508L866 001 1301 30-6406015
American Century Retirement Date 2025 Trust VII 02508L692 001 1801 30-6406015
American Century Retirement Date 2025 Trust VIII 02508L593 001 1501 30-6406015
American Century Retirement Date 2030 Trust I 02508D849 001 1202 30-6406015
3 2016
Trust Name Class Name
CUSIP# Plan
Number Fund# Trust EIN
American Century Retirement Date 2030 Trust II 02508D740 001 1222 30-6406015
American Century Retirement Date 2030 Trust IV 02508D542 001 1402 30-6406015
American Century Retirement Date 2030 Trust L 02508D302 001 1183 30-6406015
American Century Retirement Date 2030 Trust V 02508L304 001 1702 30-6406015
American Century Retirement Date 2030 Trust VI 02508L858 001 1302 30-6406015
American Century Retirement Date 2030 Trust VII 02508L684 001 1802 30-6406015
American Century Retirement Date 2030 Trust VIII 02508L585 001 1502 30-6406015
American Century Retirement Date 2035 Trust I 02508D831 001 1203 30-6406015
American Century Retirement Date 2035 Trust II 02508D732 001 1223 30-6406015
American Century Retirement Date 2035 Trust IV 02508D534 001 1403 30-6406015
American Century Retirement Date 2035 Trust L 02508D401 001 1184 30-6406015
American Century Retirement Date 2035 Trust V 02508L403 001 1703 30-6406015
American Century Retirement Date 2035 Trust VI 02508L841 001 1303 30-6406015
American Century Retirement Date 2035 Trust VII 02508L676 001 1803 30-6406015
American Century Retirement Date 2035 Trust VIII 02508L577 001 1503 30-6406015
American Century Retirement Date 2040 Trust I 02508D823 001 1204 30-6406015
American Century Retirement Date 2040 Trust II 02508D724 001 1224 30-6406015
American Century Retirement Date 2040 Trust IV 02508D526 001 1404 30-6406015
American Century Retirement Date 2040 Trust L 02508D500 001 1185 30-6406015
American Century Retirement Date 2040 Trust V 02508L502 001 1704 30-6406015
American Century Retirement Date 2040 Trust VI 02508L833 001 1304 30-6406015
American Century Retirement Date 2040 Trust VII 02508L668 001 1804 30-6406015
American Century Retirement Date 2040 Trust VIII 02508L569 001 1504 30-6406015
American Century Retirement Date 2045 Trust I 02508D815 001 1205 30-6406015
American Century Retirement Date 2045 Trust II 02508D716 001 1225 30-6406015
American Century Retirement Date 2045 Trust IV 02508D518 001 1405 30-6406015
American Century Retirement Date 2045 Trust L 02508D609 001 1186 30-6406015
American Century Retirement Date 2045 Trust V 02508L601 001 1705 30-6406015
American Century Retirement Date 2045 Trust VI 02508L825 001 1305 30-6406015
American Century Retirement Date 2045 Trust VII 02508L650 001 1805 30-6406015
American Century Retirement Date 2045 Trust VIII 02508L551 001 1505 30-6406015
American Century Retirement Date 2050 Trust I 02508D799 001 1206 30-6406015
American Century Retirement Date 2050 Trust II 02508D690 001 1226 30-6406015
American Century Retirement Date 2050 Trust IV 02508D492 001 1406 30-6406015
American Century Retirement Date 2050 Trust L 02508D708 001 1187 30-6406015
American Century Retirement Date 2050 Trust V 02508L700 001 1706 30-6406015
American Century Retirement Date 2050 Trust VI 02508L817 001 1306 30-6406015
American Century Retirement Date 2050 Trust VII 02508L643 001 1806 30-6406015
American Century Retirement Date 2050 Trust VIII 02508L544 001 1506 30-6406015
American Century Retirement Date 2055 Trust I 02508D781 001 1207 30-6406015
American Century Retirement Date 2055 Trust II 02508D682 001 1227 30-6406015
American Century Retirement Date 2055 Trust IV 02508D484 001 1407 30-6406015
American Century Retirement Date 2055 Trust L 02508D807 001 1188 30-6406015
American Century Retirement Date 2055 Trust V 02508L809 001 1707 30-6406015
American Century Retirement Date 2055 Trust VI 02508L791 001 1307 30-6406015
American Century Retirement Date 2055 Trust VII 02508L635 001 1807 30-6406015
American Century Retirement Date 2055 Trust VIII 02508L536 001 1507 30-6406015
4 2016
Trust Name Class Name
CUSIP# Plan
Number Fund# Trust EIN
American Century Retirement Date 2060 Trust I 02508L767 001 1229 30-6406015
American Century Retirement Date 2060 Trust II 02508L759 001 1230 30-6406015
American Century Retirement Date 2060 Trust IV 02508L734 001 1409 30-6406015
American Century Retirement Date 2060 Trust V 02508L726 001 1709 30-6406015
American Century Retirement Date 2060 Trust VI 02508L718 001 1309 30-6406015
American Century Retirement Date 2060 Trust VII 02508L627 001 1809 30-6406015
American Century Retirement Date 2060 Trust VIII 02508L528 001 1509 30-6406015