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Name | Symbol | Market | Type |
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Mfs High Income Fund Share Class - 529A (MM) | NASDAQ:EAHIX | NASDAQ | Fund |
Price Change | % Change | Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Traded | Last Trade | |
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0.00 | 0.00% | 0 | - |
INTERMEDIARY FIRM NAME:
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INTERMEDIARY FIRM NAME:
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ADP Broker-Dealer, Inc.
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Merrill, Lynch, Pierce, Fenner & Smith Incorporated
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American United Life Insurance
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Morgan Stanley Smith Barney LLC
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Ameriprise Financial Services
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MSCS Financial Services LLC
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Ascensus, Inc.
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National Financial Services Corp
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AXA Equitable Financial Services, LLC
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Nationwide Investment Services Corp
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Cetera Financial Group, Inc.
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New York Life Insurance & Annuity Co
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Charles Schwab & Co Inc.
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Northwestern Mutual Inv Svc LLC
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Chase Investment Services Corp
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Paychex Securities Corporation
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Commonwealth Financial Network
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Pershing LLC
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CPI Qualified Plan Consultants
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PNC Financial Group
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Edward Jones
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Princor Financial Services Corp
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Expert Plan, Inc.
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Prudential Investment
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First National Bank of Omaha
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Raymond James Financial, Inc.
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Fulton Financial Advisors NA
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Reliance Trust
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Great-West Life & Annuity
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Robert W. Baird & Co. Incorporated
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H D Vest Investment Securities
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State of Oregon
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Hartford Life Company
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Sun Trust Bank
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Hartford Retirement Services
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T Rowe Price
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ING Institutional Plan Services
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TD Ameritrade
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ING Life Insurance & Annuity Company
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The Charles Schwab Trust Company
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John Hancock Life Insurance
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The Guardian Ins & Annuity Company
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Key Trust Services
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TIAA-CREF Financial Services
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Lincoln Financial Group
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Transamerica Advisors Life Insurance
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LPL Financial Corporation
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UBS AG
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M&I Financial Advisors, Inc.
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UBS Financial Services Inc
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MassMutual Financial Group
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Valic Financial Advisors Inc
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Mercer HR Services LLC
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Wells Fargo & Company
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(1)
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borrow money except to the extent such borrowing is not prohibited by the Investment Company Act of 1940, as amended (the ‘‘1940 Act’’) and exemptive orders granted under such Act;
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(2)
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underwrite securities issued by other persons, except that all or any portion of the assets of the Fund may be invested in one or more investment companies, to the extent not prohibited by the 1940 Act and exemptive orders granted under such Act, and except insofar as the Fund may technically be deemed an underwriter under the Securities Act of 1933, as amended, in selling a portfolio security;
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(3)
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issue any senior securities except to the extent not prohibited by the 1940 Act and exemptive orders granted under such Act; for purposes of this restriction, collateral arrangements with respect to any type of swap, option, Forward Contracts and Futures Contracts and collateral arrangements with respect to initial and variation margin are not deemed to be the issuance of a senior security;
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(4)
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make loans except to the extent not prohibited by the 1940 Act and exemptive orders granted under such Act.
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(1)
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borrow money to the extent not prohibited by applicable law;
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(2)
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underwrite securities issued by other persons to the extent not prohibited by applicable law;
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(3)
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issue senior securities to the extent not prohibited by applicable law;
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(4)
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make loans to the extent not prohibited by applicable law.
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* * * * * *
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(5)
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purchase or sell real estate (excluding securities secured by real estate or interests therein and securities of companies, such as real estate investment trusts, which deal in real estate or interests therein), interests in oil, gas or mineral leases, commodities or commodity contracts (excluding currencies and any type of option, Futures Contracts and Forward Contracts) in the ordinary course of its business; the Fund reserves the freedom of action to hold and to sell real estate, mineral leases, commodities or commodity contracts (including currencies and any type of option, Futures Contracts and Forward Contracts) acquired as a result of the ownership of securities.
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(5)
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purchase or sell real estate, commodities, or commodity contracts to the extent permitted by applicable law.
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(5)
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purchase or sell real estate or commodities to the extent not prohibited by applicable law.
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* * * * * *
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(6)
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purchase any securities of an issuer in a particular industry if as a result 25% or more of its total assets (taken at market value at the time of purchase) would be invested in securities of issuers whose principal business activities are in the same industry.
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(6)
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purchase any securities of an issuer in a particular industry if as a result 25% or more of its total assets (taken at market value at the time of purchase) would be invested in securities of issuers whose principal business activities are in the same industry, provided however, that this restriction shall not apply to securities or obligations issued or guaranteed by banks or bank holding companies, finance companies or utility companies.
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(6)
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purchase any securities of an issuer in a particular industry if as a result 25% or more of its total assets (taken at market value at the time of purchase) would be invested in securities of issuers whose principal business activities are in the same industry, provided however, that the Fund may invest up to 40% of the value of its assets in each of the electric utility and telephone industries.
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(6)
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purchase any securities of an issuer in a particular industry if as a result 25% or more of its total assets (taken at market value at the time of purchase) would be invested in securities of issuers whose principal business activities are in the same industry, provided however, that the Fund will invest at least 25% of its total assets in the utilities industry.
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(6)
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purchase any securities of an issuer in a particular industry if as a result 25% or more of its total assets (taken at market value at the time of purchase) would be invested in securities of issuers whose principal business activities are in the same industry, provided however, that the Fund will invest at least 25% of its total assets in the securities of issuers principally engaged in offering, using or developing products, processes, or services that will provide or will benefit significantly from technological advances and improvements.
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(6)
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purchase any securities of an issuer in a particular industry if as a result 25% or more of its total assets (taken at market value at the time of purchase) would be invested in securities of issuers whose principal business activities are in the same industry, provided, however, that the Fund may invest between 25% and 35% of its total assets in the securities of issuers in any particular industry if, at the time of investment, that industry represents 20% or more of the global bond market as a whole, as measured by an index determined by the Adviser to be an appropriate measure of the global bond market.
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(6)
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purchase any securities of an issuer in a particular industry if as a result 25% or more of its total assets (taken at market value at the time of purchase) would be invested in securities of issuers whose principal business activities are in the same industry, provided, however, that the Fund may invest more than 25% of its total assets in investments that provide exposure to the group of industries that comprise the commodities sector.
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(6)
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purchase any securities of an issuer (other than securities issued or guaranteed by the U.S. Government or its agencies or instrumentalities; tax-exempt obligations issued or guaranteed by a U.S. territory or possession, a state or local government, or a political subdivision of any of the foregoing; or securities issued by investment companies) in a particular industry if as a result 25% or more of its total assets (taken at market value at the time of purchase) would be invested in securities of issuers whose principal business activities are in the same industry, provided, however, that the Fund may invest between 25% and 35% of its total assets in the securities of issuers in any particular industry if, at the time of investment, that industry represents 20% or more of the Asia Pacific market excluding Japan as a whole, as measured by an index determined by the Adviser to be an appropriate measure of the Asia Pacific market excluding Japan.
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(6)
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purchase any securities of an issuer (other than securities issued or guaranteed by the U.S. Government or its agencies or instrumentalities; tax-exempt obligations issued or guaranteed by a U.S. territory or possession, a state or local government, or a political subdivision of any of the foregoing; or securities issued by investment companies) in a particular industry if as a result 25% or more of
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(6)
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purchase any securities of an issuer (other than securities issued or guaranteed by the U.S. Government or its agencies or instrumentalities; tax-exempt obligations issued or guaranteed by a U.S. territory or possession, a state or local government or a political subdivision of any of the foregoing; or securities issued by investment companies) in a particular industry if as a result 25% or more of its total assets (taken at market value at the time of purchase) would be invested in securities of issuers whose principal business activities are in the same industry, provided, however, that the Fund may invest between 25% and 35% of its total assets in the securities of issuers in any particular industry if, at the time of investment, that industry represents 20% or more of the Latin American market as a whole, as measured by an index determined by the Adviser to be an appropriate measure of the Latin American market.
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(6) purchase any securities of an issuer (other than securities issued or guaranteed by the U.S. Government or its agencies or instrumentalities; tax-exempt obligations issued or guaranteed by a U.S. territory or possession, a state or local government, or a political subdivision of any of the foregoing; or securities issued by investment companies) in a particular industry if as a result 25% or more of its total assets (taken at market value at the time of purchase) would be invested in securities of issuers whose principal business activities are in the same industry.
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(6)
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As a fundamental investment restriction, the Fund will invest at least 25% of its total assets in issuers in industries in the consumer staples, leisure, and retailing sectors in the aggregate.
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(1)
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invest in illiquid investments if more than 15% of the Fund’s net assets (taken at market value) would be invested in such securities.
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(1)
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invest in illiquid investments if more than 5% of the Fund’s net assets (taken at market value) would be invested in such securities.
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(2)
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purchase any securities of an issuer in a particular industry if as a result 25% or more of its total assets (taken at market value at the time of purchase) would be invested in securities of issuers whose principal business activities are in the same industry.
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Name of Recipient
|
Purpose of Disclosure
|
Abel Noser Corp.
|
Analytical Tool
|
Atos
|
IT Client Services and Desktop Architecture
|
MSCI BARRA, Inc.
|
Analytical Tool
|
Bloomberg, L.P.
|
Analytical Tool
|
Board of Trustees
|
Fund Governance
|
CDS/Computer
|
Software Vendor
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Checkfree Corp.
|
Software Vendor
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Cogent Consulting
|
Consultant
|
Deloitte & Touche LLP
|
Independent Registered Public Accounting Firm
|
eA Data Automation Services, LLC
|
Data Formatting and Organization Service
|
Eagle Investment Systems Corp
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Accounting System
|
Ernst & Young LLP
|
Independent Registered Public Accounting Firm
|
FactSet Research Systems Inc.
|
Analytical Tool
|
GainsKeeper, Inc.
|
Accounting System
|
Global Trading Analytics
|
Analytical Tool
|
Institutional Shareholder Services Inc.
|
Proxy Service Provider
|
Investor Tools Perform
|
Analytical Tool
|
ITG, Inc.
|
Analytical Tool
|
JP Morgan Chase Bank*
|
Fund Custodian/Derivatives Collateral Manager
|
J.P. Morgan Securities Inc.
|
Analytical Tool
|
KPMG, LLP**
|
Client
|
Lipper Inc.
|
Publication Preparation
|
Markit Group
|
Pricing Service
|
Massachusetts Financial Services Company
|
Fund Management
|
MFS Fund Distributors, Inc.
|
Fund Distribution
|
OMGEO LLC
|
Software Vendor
|
RiskMetrics
|
Analytical Tool
|
Ropes & Gray LLP
|
Legal Counsel
|
RR Donnelly
|
Software Vendor and Typesetting and Printing Services
|
R.V. Kuhns & Associates Inc.**
|
Consultant
|
Citigroup
|
Analytical Tool
|
S&P Capital IQ
|
Fund Pricing
|
State Street Bank and Trust Company
|
Custodian
|
UBS Global Asset Manager (Americas), Inc. ***
|
Fund Management
|
Wilshire Analytics/Axiom
|
Analytical Tool
|
*
|
JPMorgan Chase Bank also receives non-public portfolio holdings information from UBS Global Asset Management (Americas), Inc. in its role as the derivatives collateral manager for the portion of the MFS Diversified Target Return Fund for which UBS serves as sub-adviser.
|
**
|
KPMG, LLP receives limited non-public portfolio holdings information for the MFS Global Equity Fund and the MFS Emerging Markets Debt Fund in order to satisfy auditor independence rules; R.V. Kuhns & Associates, Inc. acts as a consultant to KPMG and receives the same limited non-public holdings information for these Funds.
|
***
|
UBS Global Asset Management (Americas), Inc. receives non-public portfolio holdings information regarding the portion of MFS Diversified Target Return Fund for which it serves as sub-adviser.
|
1 Year Mfs High Income Fund Share Class - 529A (MM) Chart |
1 Month Mfs High Income Fund Share Class - 529A (MM) Chart |
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