0001752724-21-235395.txt : 20211112 0001752724-21-235395.hdr.sgml : 20211112 20211112094423 ACCESSION NUMBER: 0001752724-21-235395 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20210831 FILED AS OF DATE: 20211112 DATE AS OF CHANGE: 20211112 EFFECTIVENESS DATE: 20211112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NEUBERGER BERMAN EQUITY FUNDS CENTRAL INDEX KEY: 0000044402 IRS NUMBER: 136068441 STATE OF INCORPORATION: DE FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-00582 FILM NUMBER: 211400699 BUSINESS ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 BUSINESS PHONE: 2124768800 MAIL ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 FORMER COMPANY: FORMER CONFORMED NAME: NEUBERGER & BERMAN EQUITY FUNDS DATE OF NAME CHANGE: 19931103 FORMER COMPANY: FORMER CONFORMED NAME: NEUBERGER & BERMAN GUARDIAN FUND INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: GUARDIAN MUTUAL FUND INC DATE OF NAME CHANGE: 19890625 0000044402 S000007839 Neuberger Berman Small Cap Growth Fund C000021330 Investor Class NBMIX C000021331 Trust Class NBMOX C000021332 Advisor Class NBMVX C000027734 Institutional Class NBSMX C000077149 Class A NSNAX C000077150 Class C NSNCX C000077152 Class R3 NSNRX C000205810 Class R6 NSRSX 0000044402 S000007840 Neuberger Berman Large Cap Value Fund C000021333 Investor Class NPRTX C000021334 Trust Class NBPTX C000021335 Advisor Class NBPBX C000027735 Institutional Class NBPIX C000089999 Class C NPNCX C000090000 Class R3 NPNRX C000090001 Class A NPNAX C000150162 Class R6 NRLCX 0000044402 S000007841 Neuberger Berman Genesis Fund C000021336 Investor Class NBGNX C000021337 Trust Class NBGEX C000021338 Advisor Class NBGAX C000021339 Institutional Class NBGIX C000125070 Class R6 NRGSX 0000044402 S000007842 Neuberger Berman International Equity Fund C000021340 Institutional Class NBIIX C000121822 Class A NIQAX C000121823 Class C NIQCX C000121825 Investor Class NIQVX C000121826 Trust Class NIQTX C000130576 Class R6 NRIQX 0000044402 S000007843 Neuberger Berman Real Estate Fund C000021341 Institutional Class NBRIX C000021342 Trust Class NBRFX C000090002 Class A NREAX C000090003 Class C NRECX C000090004 Class R3 NRERX C000125071 Class R6 NRREX 0000044402 S000007846 Neuberger Berman Mid Cap Intrinsic Value Fund C000021347 Investor Class NBRVX C000021348 Trust Class NBREX C000027737 Institutional Class NBRTX C000090009 Class A NBRAX C000090010 Class C NBRCX C000090011 Class R3 NBRRX C000210976 Class R6 NBMRX 0000044402 S000007847 Neuberger Berman Sustainable Equity Fund C000021349 Investor Class NBSRX C000021350 Trust Class NBSTX C000027738 Institutional Class NBSLX C000077153 Class C NRACX C000077155 Class R3 NRARX C000077156 Class A NRAAX C000125072 Class R6 NRSRX 0000044402 S000007848 Neuberger Berman Focus Fund C000021351 Investor Class NBSSX C000021352 Trust Class NBFCX 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C000077158 C000027740 S000007848 C000021352 C000090012 C000021351 C000090013 C000027739 C000021353 S000013718 C000082271 C000082270 C000082272 NEUBERGER BERMAN EQUITY FUNDS 811-00582 0000044402 5493007JOB1812PHXG23 1290 AVENUE OF THE AMERICAS NEW YORK 10104 US-NY US 212-476-8800 State Street Bank and Trust Company 100 Summer St. Boston 02110 617-786-3000 Custody and Accounting Records. 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(Minato ku, Tokyo, JP, Branch) RB0PEZSDGCO3JS6CEU02 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company (Edinburgh, GB, Branch) 571474TGEMMWANRLN572 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UBS Switzerland AG 549300WOIFUSNYH0FL22 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Euroclear Bank 549300OZ46BRLZ8Y6F65 BE N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken A/S F3JS33DEI6XQ4ZBPTN86 DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) E57ODZWZ7FF32TWEFA76 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Singapore, SG, Branch) E57ODZWZ7FF32TWEFA76 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N DST Asset Manager Solutions, Inc. 84-00896 SEC File Number N N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y Neuberger Berman Investment Advisers LLC 8PSZVUUKYGCPW2RDO373 Y N N Neuberger Berman BD LLC 8-1068 000002908 PWDS3JJ631D5N70JXG61 0.00000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 53157.91000000 Goldman Sachs & Co. 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Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 38902.43000000 Raymond James & Associates, Inc. 8-10999 000000705 U4ONQX15J3RO8XCKE979 25521.60000000 National Financial Services LLC 8-26740 000013041 549300JRHF1MHHWUAW04 16761.80000000 357016.18000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 839870770.06000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 6386352.00000000 846257122.06000000 Y 1783450058.91769230 Committed 700000000.00000000 N N N N Neuberger Berman Intrinsic Value Fund S000028676 549300LYSTL73JRQD191 N 4 0 0 N/A N N Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 12d1-1 (17 CFR 270.12d1-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y Y Y Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N ICE Data Services, Inc. 13-3668779 Tax ID N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 84-00896 SEC File Number N N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y Neuberger Berman Investment Advisers LLC 8PSZVUUKYGCPW2RDO373 Y N N Neuberger Berman BD LLC 8-1068 000002908 PWDS3JJ631D5N70JXG61 0.00000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 19226.35000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 36214.78000000 Instinet, LLC 8-23669 000007897 549300MGMN3RKMU8FT57 29648.42000000 Robert W. Baird & Co. Incorporated 8-497 000008158 549300772UJAHRD6LO53 29353.40000000 Stifel, Nicolaus & Company, Incorporated 8-1447 000000793 5WUVMA08EYG4KEUPW589 41191.74000000 National Financial Services LLC 8-26740 000013041 549300JRHF1MHHWUAW04 155571.61000000 Pershing LLC 8-17574 000007560 ZI8Q1A8EI8LQFJNM0D94 34641.62000000 UBS Securities LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 31371.38000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 21386.15000000 Raymond James & Associates, Inc. 8-10999 000000705 U4ONQX15J3RO8XCKE979 26314.00000000 496495.57000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 1710450.00000000 UMB Financial Services, Inc. 8-34999 000017073 254900GFVO9NGQ21JC37 150000.00000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 628274753.66000000 National Financial Services LLC 8-26740 000013041 549300JRHF1MHHWUAW04 21622715.00000000 651757918.66000000 Y 872996661.14538461 Committed 700000000.00000000 N N N N Neuberger Berman Real Estate Fund S000007843 549300F7NBID6R3ESS87 N 6 0 0 N/A Y N Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y Y N Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) BNP Paribas Securities Services 549300WCGB70D06XZS54 FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y DST Asset Manager Solutions, Inc. 84-00896 SEC File Number N N N Neuberger Berman Investment Advisers LLC 8PSZVUUKYGCPW2RDO373 Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y N Neuberger Berman BD LLC 8-1068 000002908 PWDS3JJ631D5N70JXG61 0.00000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 4953.32000000 UBS Securities LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 21597.12000000 BMO Capital Markets Corp. 8-34344 000016686 RUC0QBLBRPRCU4W1NE59 8058.22000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 9068.75000000 RBC Capital Markets, LLC 8-45411 000031194 549300LCO2FLSSVFFR64 4782.32000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 47784.28000000 Robert W. Baird & Co. Incorporated 8-497 000008158 549300772UJAHRD6LO53 8487.60000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 6172.81000000 Stifel, Nicolaus & Company, Incorporated 8-1447 000000793 5WUVMA08EYG4KEUPW589 7529.72000000 National Financial Services LLC 8-26740 000013041 549300JRHF1MHHWUAW04 68749.26000000 192769.13000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 12905000.00000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 480083891.21000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 4567500.00000000 497556391.21000000 Y 841141551.19923076 Committed 700000000.00000000 N N N N Neuberger Berman Integrated Large Cap Fund S000033189 549300O2B6ZY084KZH28 N 3 0 0 N/A N N Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y Y N Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N Euroclear Bank 549300OZ46BRLZ8Y6F65 BE N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) F3JS33DEI6XQ4ZBPTN86 NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) 2HI3YI5320L3RW6NJ957 KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, Anonim Sirketi CWZ8NZDH5SKY12Q4US31 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) E57ODZWZ7FF32TWEFA76 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) RB0PEZSDGCO3JS6CEU02 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank (China) Company Limited 2CZOJRADNJXBLT55G526 CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Ceskoslovenska obchodni banka, a. s. Q5BP2UEQ48R75BOTCB92 CZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) State Street Bank International GmbH ZMHGNT7ZPKZ3UFZ8EO46 DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank, Sociedad Anonima Espanola 529900SICIK5OVMVY186 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken A/S F3JS33DEI6XQ4ZBPTN86 DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco de Chile 8B4EZFY8IHJC44TT2K84 CL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Singapore, SG, Branch) E57ODZWZ7FF32TWEFA76 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UBS Switzerland AG 549300WOIFUSNYH0FL22 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) F3JS33DEI6XQ4ZBPTN86 FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Austria AG D1HEB8VEU6D9M8ZUXG17 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Johannesburg, Gauteng, ZA, Branch) RILFO74KP1CM8P6PCT96 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex 2SFFM4FUIE05S37WFU55 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Intesa Sanpaolo S.p.A. 2W8N8UU78PMDQKZENC08 IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services 549300WCGB70D06XZS54 FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) 2HI3YI5320L3RW6NJ957 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe Public Limited Company N1FBEDJ5J41VKZLO2475 IE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Royal Bank of Canada ES7IP3U3RHIGC71XBU11 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services (Athens, Attica, GR, Branch) 549300WCGB70D06XZS54 GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company (Edinburgh, GB, Branch) 571474TGEMMWANRLN572 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y DST Asset Manager Solutions, Inc. 84-00896 SEC File Number N N N Neuberger Berman Investment Advisers LLC 8PSZVUUKYGCPW2RDO373 Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y N Neuberger Berman BD LLC 8-1068 000002908 PWDS3JJ631D5N70JXG61 0.00000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 211.69000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 17.82000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 33.99000000 263.50000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 823194.83000000 823194.83000000 Y 3821631.75307692 Committed 700000000.00000000 N N N N Neuberger Berman Emerging Markets Equity Fund S000023609 54930088MFZG41R8NO90 N 5 0 0 N/A N N Y N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Revenue sharing split 982441.27000000 4061.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y Y Y Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N Standard Chartered Bank (Hong Kong) Limited X5AV1MBDXGRPX5UGMX13 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Johannesburg, Gauteng, ZA, Branch) RILFO74KP1CM8P6PCT96 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank del Peru S.A. MYTK5NHHP1G8TVFGT193 PE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) AS SEB Pank 549300ND1MQ8SNNYMJ22 EE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Makati City, Metro Manila, PH, Branch) RILFO74KP1CM8P6PCT96 PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, Anonim Sirketi CWZ8NZDH5SKY12Q4US31 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services 549300WCGB70D06XZS54 FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Colombo, Western, LK, Branch) 2HI3YI5320L3RW6NJ957 LK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco de Chile 8B4EZFY8IHJC44TT2K84 CL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) 2HI3YI5320L3RW6NJ957 KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Amman, Amman, JO, Branch) RILFO74KP1CM8P6PCT96 JO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) 549300F99IL9YJDWH369 QA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Thai) Public Company Limited 549300O1LQYCQ7G1IM57 TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank International GmbH ZMHGNT7ZPKZ3UFZ8EO46 DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company (Edinburgh, GB, Branch) 571474TGEMMWANRLN572 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Joint Stock Company Citibank 549300E0ROTI7ACBZH02 UA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Jakarta, Jakarta, ID, Branch) 5493006AUYAO7LJWX552 ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank Malaysia Berhad 549300JTJBG2QBI8KD48 MY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Middle East Limited 549300F99IL9YJDWH369 AE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Joint Stock Company Commercial Bank Citibank CHSQDSVI1UI96Y2SW097 RU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank Kenya Limited 549300RBHWW5EJIRG629 KE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank 549300OZ46BRLZ8Y6F65 BE N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Middle East Limited (Kuwait City, Al Asimah, KW, Branch) 549300F99IL9YJDWH369 KW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Cairo, Cairo, EG, Branch) E57ODZWZ7FF32TWEFA76 EG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Royal Bank of Canada ES7IP3U3RHIGC71XBU11 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) 549300F99IL9YJDWH369 BH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Saudi Arabia 558600MV09XWUB38H245 SA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Cititrust Colombia S A Sociedad Fiduciaria 549300242J3IJCOSGI49 CO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Taiwan) Limited 549300QJEO1B92LSHZ06 TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank (China) Company Limited 2CZOJRADNJXBLT55G526 CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch) 7LTWFZYICNSX8D621K86 IN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Maghreb S.A. 5493003FVWLMBFTISI11 MA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Stanbic IBTC Bank PLC 549300NIVXF92ZIOVW61 NG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) E57ODZWZ7FF32TWEFA76 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe Public Limited Company (Budapest, HU, Branch) N1FBEDJ5J41VKZLO2475 HU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Ceskoslovenska obchodni banka, a. s. Q5BP2UEQ48R75BOTCB92 CZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) 7LTWFZYICNSX8D621K86 PK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services (Athens, Attica, GR, Branch) 549300WCGB70D06XZS54 GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex 2SFFM4FUIE05S37WFU55 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Handlowy w Warszawie Spolka Akcyjna XLEZHWWOI4HFQDGL4793 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Singapore, SG, Branch) E57ODZWZ7FF32TWEFA76 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y DST Asset Manager Solutions, Inc. 84-00896 SEC File Number N N N Neuberger Berman Investment Advisers LLC 8PSZVUUKYGCPW2RDO373 Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y N Neuberger Berman BD LLC 8-1068 000002908 PWDS3JJ631D5N70JXG61 0.00000000 JM Financial Institutional Securities Limited N/A N/A 254900ROFNC19FG5SD27 IN 41382.35000000 CLSA Americas, LLC 8-69166 000165533 213800M2DXATWY7JMS07 148331.30000000 Bradesco Securities, Inc. 8-52806 000104347 5493005BOEQJY4OBZP25 58553.00000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 114790.93000000 UBS Securities LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 243003.28000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 250933.06000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 166260.11000000 HSBC Securities (USA) Inc. 8-41562 000019585 CYYGQCGNHMHPSMRL3R97 123655.07000000 Macquarie Capital (USA) Inc. 8-47198 000036368 549300670K07JRB5UQ40 29771.68000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 287028.98000000 1687140.67000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 5428566.00000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 3588197.40000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 7439221.20000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 5660111.25000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 4377708.07000000 CICC US Securities, Inc. 8-67544 000143221 2549000DUR72WYLKY616 4076818.25000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 781653543.79000000 Edelweiss Securities Limited N/A N/A 3358002Y23HZBJW49C38 IN 392301.50000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 2480570.43000000 815097037.89000000 Y 1273253690.02307692 Committed 700000000.00000000 N N N N Neuberger Berman International Small Cap Fund S000055729 5493005WVU1RWF4WEE82 N 4 0 0 N/A N N Y N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Revenue sharing split 39324.71000000 255.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 12d1-1 (17 CFR 270.12d1-1) Rule 22d-1 (17 CFR 270.22d-1) Y Y Y N Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex 2SFFM4FUIE05S37WFU55 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Austria AG D1HEB8VEU6D9M8ZUXG17 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch) 7LTWFZYICNSX8D621K86 IN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Thai) Public Company Limited 549300O1LQYCQ7G1IM57 TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) RB0PEZSDGCO3JS6CEU02 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Vienna, Vienna, AT, Branch) 7LTWFZYICNSX8D621K86 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services 549300WCGB70D06XZS54 FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank International GmbH ZMHGNT7ZPKZ3UFZ8EO46 DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) E57ODZWZ7FF32TWEFA76 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Taiwan) Limited 549300QJEO1B92LSHZ06 TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe Public Limited Company N1FBEDJ5J41VKZLO2475 IE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) F3JS33DEI6XQ4ZBPTN86 NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) 2HI3YI5320L3RW6NJ957 KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken A/S F3JS33DEI6XQ4ZBPTN86 DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) F3JS33DEI6XQ4ZBPTN86 FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company (Edinburgh, GB, Branch) 571474TGEMMWANRLN572 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) 2HI3YI5320L3RW6NJ957 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. 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LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 102.56000000 1696.88000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 2501200.06000000 Banque Degroof Petercam (Suisse) SA N/A N/A 549300SRPNP254NXCK14 CH 5862.19000000 TD Securities (USA) LLC 8-36747 000018476 SUVUFHICNZMP2WKHG940 26521.90000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 20621.21000000 Berenberg Capital Markets LLC 8-68821 000156757 5493007EG0CYRKKG9L11 2272.13000000 UBS Securities LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 5397.20000000 Peel Hunt LLP 8-68845 000157321 5493007DWN0R4YBM4C84 GB 5224.77000000 2567099.46000000 Y 2695546.81000000 Committed 700000000.00000000 N N N N Neuberger Berman U.S. Equity Impact Fund S000071179 549300KKRYFY5VTW0724 Y 3 3 0 N/A N N Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y Y N Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 84-00896 SEC File Number N N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y Neuberger Berman Investment Advisers LLC 8PSZVUUKYGCPW2RDO373 Y N N Neuberger Berman BD LLC 8-1068 000002908 PWDS3JJ631D5N70JXG61 0.00000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 115.31000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 78.09000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 17.15000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 5.47000000 National Financial Services LLC 8-26740 000013041 549300JRHF1MHHWUAW04 483.88000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 114.03000000 813.93000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 11493747.15000000 11493747.15000000 Y 5725549.25500000 Committed 700000000.00000000 N N N N Neuberger Berman International Equity Fund S000007842 549300SE674JMQDCIV68 N 6 0 0 N/A N N Y N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Revenue sharing split 10390716.38000000 140230.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y Y N Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N Standard Chartered Bank (Johannesburg, Gauteng, ZA, Branch) RILFO74KP1CM8P6PCT96 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) 2HI3YI5320L3RW6NJ957 KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Citibank, Anonim Sirketi CWZ8NZDH5SKY12Q4US31 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank International GmbH ZMHGNT7ZPKZ3UFZ8EO46 DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Ceskoslovenska obchodni banka, a. s. 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LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 12025437.50000000 TD Securities (USA) LLC 8-36747 000018476 SUVUFHICNZMP2WKHG940 15328001.33000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 3160906.41000000 616000714.00000000 Y 1761142325.06000000 Committed 700000000.00000000 N N N N Neuberger Berman Mid Cap Intrinsic Value Fund S000007846 549300LGF70FDWKQBV56 N 7 0 0 N/A N N Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Rule 12d1-1 (17 CFR 270.12d1-1) Y Y Y N Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N The Hongkong and Shanghai Banking Corporation Limited 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) E57ODZWZ7FF32TWEFA76 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 84-00896 SEC File Number N N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y Neuberger Berman Investment Advisers LLC 8PSZVUUKYGCPW2RDO373 Y N N Neuberger Berman BD LLC 8-1068 000002908 PWDS3JJ631D5N70JXG61 0.00000000 UBS Securities LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 818.19000000 National Financial Services LLC 8-26740 000013041 549300JRHF1MHHWUAW04 3912.18000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 4113.20000000 Raymond James & Associates, Inc. 8-10999 000000705 U4ONQX15J3RO8XCKE979 890.08000000 Mirae Asset Securities (USA) Inc. 8-45034 000030679 25490087B4GFZLJZE912 477.32000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 1146.36000000 Oppenheimer & Co. Inc. 8-4077 000000249 254900VH02JQR2L8XD64 844.00000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 472.20000000 Robert W. Baird & Co. Incorporated 8-497 000008158 549300772UJAHRD6LO53 829.52000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 1607.28000000 17296.21000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 25754223.58000000 Virtu Americas LLC 8-68193 000149823 549300RA02N3BNSWBV74 99921.55000000 25854145.13000000 Y 53766517.86307692 Committed 700000000.00000000 N N N N Neuberger Berman Dividend Growth Fund S000052017 549300H6F8BDSTHT1L31 N 4 0 0 N/A N N Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y Y N Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N BNP Paribas Securities Services 549300WCGB70D06XZS54 FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank International GmbH ZMHGNT7ZPKZ3UFZ8EO46 DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UBS Switzerland AG 549300WOIFUSNYH0FL22 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank, Sociedad Anonima Espanola 529900SICIK5OVMVY186 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) F3JS33DEI6XQ4ZBPTN86 NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Royal Bank of Canada ES7IP3U3RHIGC71XBU11 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) RB0PEZSDGCO3JS6CEU02 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe Public Limited Company N1FBEDJ5J41VKZLO2475 IE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank 549300OZ46BRLZ8Y6F65 BE N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) State Street Bank and Trust Company (Edinburgh, GB, Branch) 571474TGEMMWANRLN572 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken A/S F3JS33DEI6XQ4ZBPTN86 DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Intesa Sanpaolo S.p.A. 2W8N8UU78PMDQKZENC08 IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Singapore, SG, Branch) E57ODZWZ7FF32TWEFA76 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y DST Asset Manager Solutions, Inc. 84-00896 SEC File Number N N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y Neuberger Berman Investment Advisers LLC 8PSZVUUKYGCPW2RDO373 Y N N Neuberger Berman BD LLC 8-1068 000002908 PWDS3JJ631D5N70JXG61 0.00000000 Barclays Capital Inc. 8-41342 000019714 AC28XWWI3WIBK2824319 519.14000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 495.52000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 2151.57000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 2408.05000000 National Financial Services LLC 8-26740 000013041 549300JRHF1MHHWUAW04 607.50000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 2775.80000000 UBS Securities LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 3245.24000000 Pershing LLC 8-17574 000007560 ZI8Q1A8EI8LQFJNM0D94 2624.11000000 RBC Capital Markets, LLC 8-45411 000031194 549300LCO2FLSSVFFR64 1012.51000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 6488.55000000 22997.53000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 25870054.69000000 25870054.69000000 Y 59674205.31692307 Committed 700000000.00000000 N N N N Neuberger Berman Global Real Estate Fund S000047777 549300ULY2812VBOBS36 N 3 0 0 N/A N N Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y Y N Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N The Hongkong and Shanghai Banking Corporation Limited 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Thai) Public Company Limited 549300O1LQYCQ7G1IM57 TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) E57ODZWZ7FF32TWEFA76 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank (China) Company Limited 2CZOJRADNJXBLT55G526 CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Intesa Sanpaolo S.p.A. 2W8N8UU78PMDQKZENC08 IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) F3JS33DEI6XQ4ZBPTN86 FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) BNP Paribas Securities Services (Athens, Attica, GR, Branch) 549300WCGB70D06XZS54 GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) 2HI3YI5320L3RW6NJ957 KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Makati City, Metro Manila, PH, Branch) RILFO74KP1CM8P6PCT96 PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services 549300WCGB70D06XZS54 FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UBS Switzerland AG 549300WOIFUSNYH0FL22 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. 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LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 66420010.00000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 48183100.00000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 2497523035.46000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 14427400.00000000 2626553545.46000000 Y 11817664525.10769230 Committed 700000000.00000000 N N N N Neuberger Berman Mid Cap Growth Fund S000007850 549300OVQZC6L6CJ8H90 N 8 0 0 N/A N N Y N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Revenue sharing split 7235387.29000000 14429.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y N Y N Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Royal Bank of Canada ES7IP3U3RHIGC71XBU11 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N DST Asset Manager Solutions, Inc. 84-00896 SEC File Number N N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y Neuberger Berman Investment Advisers LLC 8PSZVUUKYGCPW2RDO373 Y N N Neuberger Berman BD LLC 8-1068 000002908 PWDS3JJ631D5N70JXG61 0.00000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 16497.18000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 28626.67000000 National Financial Services LLC 8-26740 000013041 549300JRHF1MHHWUAW04 95979.13000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 34355.39000000 Wells Fargo Securities, LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 22448.12000000 Raymond James & Associates, Inc. 8-10999 000000705 U4ONQX15J3RO8XCKE979 27410.68000000 Pershing LLC 8-17574 000007560 ZI8Q1A8EI8LQFJNM0D94 43174.32000000 Stifel, Nicolaus & Company, Incorporated 8-1447 000000793 5WUVMA08EYG4KEUPW589 31973.52000000 UBS Securities LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 18702.30000000 Instinet, LLC 8-23669 000007897 549300MGMN3RKMU8FT57 25966.60000000 455971.19000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 983339837.17000000 983339837.17000000 Y 1878194537.65076923 Committed 700000000.00000000 N N N N Neuberger Berman Equity Income Fund S000013716 549300O83GEORY7G4Q82 N 4 0 0 N/A N N Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y N Y N Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N ICE Data Services, Inc. 13-3668779 Tax ID N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N Deutsche Bank, Sociedad Anonima Espanola 529900SICIK5OVMVY186 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Taiwan) Limited 549300QJEO1B92LSHZ06 TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Makati City, Metro Manila, PH, Branch) RILFO74KP1CM8P6PCT96 PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex 2SFFM4FUIE05S37WFU55 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) 2HI3YI5320L3RW6NJ957 KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, Anonim Sirketi CWZ8NZDH5SKY12Q4US31 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Royal Bank of Canada ES7IP3U3RHIGC71XBU11 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UBS Switzerland AG 549300WOIFUSNYH0FL22 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) 2HI3YI5320L3RW6NJ957 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch) 7LTWFZYICNSX8D621K86 IN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Thai) Public Company Limited 549300O1LQYCQ7G1IM57 TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) F3JS33DEI6XQ4ZBPTN86 NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Singapore, SG, Branch) E57ODZWZ7FF32TWEFA76 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company (Edinburgh, GB, Branch) 571474TGEMMWANRLN572 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Handlowy w Warszawie Spolka Akcyjna XLEZHWWOI4HFQDGL4793 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services 549300WCGB70D06XZS54 FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) RB0PEZSDGCO3JS6CEU02 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank 549300OZ46BRLZ8Y6F65 BE N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) Citibank Europe Public Limited Company (Bucharest, Bucharest, RO, Branch) N1FBEDJ5J41VKZLO2475 RO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank International GmbH ZMHGNT7ZPKZ3UFZ8EO46 DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank Kenya Limited 549300RBHWW5EJIRG629 KE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Jakarta, Jakarta, ID, Branch) 5493006AUYAO7LJWX552 ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Johannesburg, Gauteng, ZA, Branch) RILFO74KP1CM8P6PCT96 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Intesa Sanpaolo S.p.A. 2W8N8UU78PMDQKZENC08 IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) E57ODZWZ7FF32TWEFA76 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y DST Asset Manager Solutions, Inc. 84-00896 SEC File Number N N N Neuberger Berman Investment Advisers LLC 8PSZVUUKYGCPW2RDO373 Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y N Neuberger Berman BD LLC 8-1068 000002908 PWDS3JJ631D5N70JXG61 0.00000000 Instinet, LLC 8-23669 000007897 549300MGMN3RKMU8FT57 52614.00000000 National Financial Services LLC 8-26740 000013041 549300JRHF1MHHWUAW04 31386.30000000 Stifel, Nicolaus & Company, Incorporated 8-1447 000000793 5WUVMA08EYG4KEUPW589 17145.00000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 17586.26000000 Pershing LLC 8-17574 000007560 ZI8Q1A8EI8LQFJNM0D94 29904.02000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 77333.19000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 28479.76000000 BMO Capital Markets Corp. 8-34344 000016686 RUC0QBLBRPRCU4W1NE59 36029.18000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 80714.38000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 46095.93000000 565265.04000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 14609193.40000000 Barclays Capital Inc. 8-41342 000019714 AC28XWWI3WIBK2824319 43238087.73000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 15611497.50000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 887399198.55000000 Wells Fargo Securities, LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 28835405.06000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 35883676.34000000 Nomura Securities International, Inc. 8-15255 000004297 OXTKY6Q8X53C9ILVV871 14031778.74000000 BMO Capital Markets Corp. 8-34344 000016686 RUC0QBLBRPRCU4W1NE59 18409378.57000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 18847819.47000000 Mizuho Securities USA LLC 8-37710 000019647 7TK5RJIZDFROZCA6XF66 14904515.60000000 1133130719.49000000 Y 1287856701.62692307 Committed 700000000.00000000 N N N N Neuberger Berman International Select Fund S000012721 5493001DNJHP81OJV765 N 6 0 0 N/A N N Y N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Revenue sharing split 1322666.04000000 4120.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y Y N Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) 2HI3YI5320L3RW6NJ957 KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Taiwan) Limited 549300QJEO1B92LSHZ06 TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Thai) Public Company Limited 549300O1LQYCQ7G1IM57 TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) E57ODZWZ7FF32TWEFA76 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex 2SFFM4FUIE05S37WFU55 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank International GmbH ZMHGNT7ZPKZ3UFZ8EO46 DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe Public Limited Company N1FBEDJ5J41VKZLO2475 IE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Ceskoslovenska obchodni banka, a. s. Q5BP2UEQ48R75BOTCB92 CZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) F3JS33DEI6XQ4ZBPTN86 NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Johannesburg, Gauteng, ZA, Branch) RILFO74KP1CM8P6PCT96 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services 549300WCGB70D06XZS54 FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Austria AG D1HEB8VEU6D9M8ZUXG17 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank 549300OZ46BRLZ8Y6F65 BE N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) State Street Bank and Trust Company (Edinburgh, GB, Branch) 571474TGEMMWANRLN572 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) 2HI3YI5320L3RW6NJ957 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank (China) Company Limited 2CZOJRADNJXBLT55G526 CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken A/S F3JS33DEI6XQ4ZBPTN86 DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank, Sociedad Anonima Espanola 529900SICIK5OVMVY186 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Singapore, SG, Branch) E57ODZWZ7FF32TWEFA76 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UBS Switzerland AG 549300WOIFUSNYH0FL22 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Intesa Sanpaolo S.p.A. 2W8N8UU78PMDQKZENC08 IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Royal Bank of Canada ES7IP3U3RHIGC71XBU11 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe Public Limited Company (Budapest, HU, Branch) N1FBEDJ5J41VKZLO2475 HU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) F3JS33DEI6XQ4ZBPTN86 FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Cairo, Cairo, EG, Branch) E57ODZWZ7FF32TWEFA76 EG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch) 7LTWFZYICNSX8D621K86 IN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Jakarta, Jakarta, ID, Branch) 5493006AUYAO7LJWX552 ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services (Athens, Attica, GR, Branch) 549300WCGB70D06XZS54 GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) RB0PEZSDGCO3JS6CEU02 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, Anonim Sirketi CWZ8NZDH5SKY12Q4US31 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y DST Asset Manager Solutions, Inc. 84-00896 SEC File Number N N N Neuberger Berman Investment Advisers LLC 8PSZVUUKYGCPW2RDO373 Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y N Neuberger Berman BD LLC 8-1068 000002908 PWDS3JJ631D5N70JXG61 0.00000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 5207.92000000 UBS Securities LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 6898.44000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 5988.45000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 3784.83000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 6527.92000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 4952.48000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 8373.96000000 Berenberg Capital Markets LLC 8-68821 000156757 5493007EG0CYRKKG9L11 8966.44000000 Barclays Capital Inc. 8-41342 000019714 AC28XWWI3WIBK2824319 4349.56000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 14134.70000000 90888.09000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 291088.12000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 57868833.87000000 58159921.99000000 Y 155573347.02076923 Committed 700000000.00000000 N N N N Neuberger Berman Guardian Fund S000007849 549300XZE1QMBKYOIZ97 N 8 0 0 N/A N N Y N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Revenue sharing split 9410176.51000000 20261.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y Y N Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N BNP Paribas Securities Services 549300WCGB70D06XZS54 FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UBS Switzerland AG 549300WOIFUSNYH0FL22 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Royal Bank of Canada ES7IP3U3RHIGC71XBU11 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) RB0PEZSDGCO3JS6CEU02 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken A/S F3JS33DEI6XQ4ZBPTN86 DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) E57ODZWZ7FF32TWEFA76 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Singapore, SG, Branch) E57ODZWZ7FF32TWEFA76 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank 549300OZ46BRLZ8Y6F65 BE N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) State Street Bank and Trust Company (Edinburgh, GB, Branch) 571474TGEMMWANRLN572 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y DST Asset Manager Solutions, Inc. 84-00896 SEC File Number N N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y Neuberger Berman Investment Advisers LLC 8PSZVUUKYGCPW2RDO373 Y N N Neuberger Berman BD LLC 8-1068 000002908 PWDS3JJ631D5N70JXG61 0.00000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 24370.76000000 National Financial Services LLC 8-26740 000013041 549300JRHF1MHHWUAW04 57531.95000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 28908.30000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 24032.33000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 25664.71000000 Stifel, Nicolaus & Company, Incorporated 8-1447 000000793 5WUVMA08EYG4KEUPW589 21257.12000000 Barclays Capital Inc. 8-41342 000019714 AC28XWWI3WIBK2824319 15043.40000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 32583.75000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 19406.32000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 29106.15000000 351403.29000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 456095690.80000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 71323.00000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 2291466.00000000 Virtu Americas LLC 8-68193 000149823 549300RA02N3BNSWBV74 90401.92000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 19122565.00000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 6088308.00000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 1357800.00000000 485117554.72000000 Y 1780627440.33461538 Committed 700000000.00000000 N N N N Neuberger Berman Focus Fund S000007848 5493006KTIN7NR02HV05 N 6 0 0 N/A N N Y N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Revenue sharing split 1452426.64000000 12219.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y Y Y Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N Standard Chartered Bank (Johannesburg, Gauteng, ZA, Branch) RILFO74KP1CM8P6PCT96 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Vienna, Vienna, AT, Branch) 7LTWFZYICNSX8D621K86 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Jakarta, Jakarta, ID, Branch) 5493006AUYAO7LJWX552 ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Credit Suisse (Schweiz) AG 549300CWR0W0BCS9Q144 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Royal Bank of Canada ES7IP3U3RHIGC71XBU11 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex 2SFFM4FUIE05S37WFU55 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, Anonim Sirketi CWZ8NZDH5SKY12Q4US31 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) E57ODZWZ7FF32TWEFA76 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Hong Kong) Limited X5AV1MBDXGRPX5UGMX13 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank International GmbH ZMHGNT7ZPKZ3UFZ8EO46 DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company (Edinburgh, GB, Branch) 571474TGEMMWANRLN572 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Singapore, SG, Branch) E57ODZWZ7FF32TWEFA76 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken A/S F3JS33DEI6XQ4ZBPTN86 DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Austria AG D1HEB8VEU6D9M8ZUXG17 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) F3JS33DEI6XQ4ZBPTN86 NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Taiwan) Limited 549300QJEO1B92LSHZ06 TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank, Sociedad Anonima Espanola 529900SICIK5OVMVY186 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Intesa Sanpaolo S.p.A. 2W8N8UU78PMDQKZENC08 IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services 549300WCGB70D06XZS54 FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Chuo ku, Tokyo, JP, Branch) 2HI3YI5320L3RW6NJ957 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) 2HI3YI5320L3RW6NJ957 KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank 549300OZ46BRLZ8Y6F65 BE N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) BNP Paribas Securities Services (Athens, Attica, GR, Branch) 549300WCGB70D06XZS54 GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y DST Asset Manager Solutions, Inc. 84-00896 SEC File Number N N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y Neuberger Berman Investment Advisers LLC 8PSZVUUKYGCPW2RDO373 Y N N Neuberger Berman BD LLC 8-1068 000002908 PWDS3JJ631D5N70JXG61 0.00000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 58524.49000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 51410.38000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 29367.14000000 National Financial Services LLC 8-26740 000013041 549300JRHF1MHHWUAW04 29275.49000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 24631.84000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 144306.81000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 33790.50000000 UBS Securities LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 42551.64000000 Barclays Capital Inc. 8-41342 000019714 AC28XWWI3WIBK2824319 33655.09000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 35008.86000000 547788.37000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 4699100.00000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 417753729.51000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 6095400.00000000 National Financial Services LLC 8-26740 000013041 549300JRHF1MHHWUAW04 2295207.41000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 11770277.00000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 1039600.00000000 443653313.92000000 Y 833450272.77230769 Committed 700000000.00000000 N N N N Neuberger Berman Multi-Cap Opportunities Fund S000013718 549300Y9Z8N79D152S46 N 3 0 0 N/A N N Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y N Y N Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N DST Asset Manager Solutions, Inc. 84-00896 00000000000000000000 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N N State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Royal Bank of Canada ES7IP3U3RHIGC71XBU11 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank 549300OZ46BRLZ8Y6F65 BE N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) The Hongkong and Shanghai Banking Corporation Limited 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company (Edinburgh, GB, Branch) 571474TGEMMWANRLN572 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services 549300WCGB70D06XZS54 FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Y DST Asset Manager Solutions, Inc. 84-00896 SEC File Number N N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y Neuberger Berman Investment Advisers LLC 8PSZVUUKYGCPW2RDO373 Y N N Neuberger Berman BD LLC 8-1068 000002908 PWDS3JJ631D5N70JXG61 0.00000000 Mirae Asset Securities (USA) Inc. 8-45034 000030679 25490087B4GFZLJZE912 4760.00000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 3832.50000000 UBS Securities LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 4585.00000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 7950.00000000 Instinet, LLC 8-23669 000007897 549300MGMN3RKMU8FT57 7400.00000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 44082.60000000 Raymond James & Associates, Inc. 8-10999 000000705 U4ONQX15J3RO8XCKE979 3328.00000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 7765.00000000 Pershing LLC 8-17574 000007560 ZI8Q1A8EI8LQFJNM0D94 4000.00000000 National Financial Services LLC 8-26740 000013041 549300JRHF1MHHWUAW04 14448.49000000 111960.60000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 3505600.00000000 Virtu Americas LLC 8-68193 000149823 549300RA02N3BNSWBV74 42337.82000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 949400.00000000 Barclays Capital Inc. 8-41342 000019714 AC28XWWI3WIBK2824319 2317500.00000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 144900990.99000000 151715828.81000000 Y 589242392.20923076 Committed 700000000.00000000 N N N N true INTERNAL CONTROL RPT 2 NCEN_811-00582_31572488_0821.htm a2.htm - Generated by SEC Publisher for SEC Filing

 

 

 

 

Report of Independent Registered Public Accounting Firm

 

 

To the Shareholders and

Board of Trustees of Neuberger Berman Equity Funds

 

In planning and performing our audits of the financial statements of Neuberger Berman Dividend Growth Fund, Neuberger Berman Emerging Markets Equity Fund, Neuberger Berman Equity Income Fund, Neuberger Berman Focus Fund, Neuberger Berman Genesis Fund, Neuberger Berman Global Real Estate Fund, Neuberger Berman Greater China Equity Fund, Neuberger Berman Guardian Fund, Neuberger Berman Integrated Large Cap Fund, Neuberger Berman International Equity Fund, Neuberger Berman International Select Fund, Neuberger Berman International Small Cap Fund, Neuberger Berman Large Cap Value Fund, Neuberger Berman Real Estate Fund and Neuberger Berman U.S. Equity Impact Fund, fifteen of the series constituting Neuberger Berman Equity Funds (the “Company”), as of and for the year ended August 31, 2021, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Company’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Company’s internal control over financial reporting. Accordingly, we express no such opinion.

 

The management of the Company is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with U.S. generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with U.S. generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’s assets that could have a material effect on the financial statements.

 

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

 

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company’s annual or interim financial statements will not be prevented or detected on a timely basis.

 

Our consideration of the Company’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Company’s internal control over financial reporting and its operation, including controls over safeguarding securities that we consider to be a material weakness as defined above as of August 31, 2021.

 


 

This report is intended solely for the information and use of management and the Board of Trustees of Neuberger Berman Equity Funds and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

 

 

/s/ Ernst & Young LLP

Boston, Massachusetts

October 20, 2021

 

INTERNAL CONTROL RPT 3 NCEN_811-00582_54583076_0821.htm a1.htm - Generated by SEC Publisher for SEC Filing

REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

 

 

 

Board of Trustees and Shareholders

Neuberger Berman Equity Funds

New York, New York

 

 

In planning and performing our audits of the financial statements of Neuberger Berman Intrinsic Value Fund, Neuberger Berman Mid Cap Growth Fund, Neuberger Berman Mid Cap Intrinsic Value Fund, Neuberger Berman Multi-Cap Opportunities Fund, Neuberger Berman Small Cap Growth Fund, and Neuberger Berman Sustainable Equity Fund (the “Funds”), each a series of Neuberger Berman Equity Funds (the “Trust”) as of and for the year ended August 31, 2021, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered their internal control over financial reporting, including control activities for safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Trust’s internal control over financial reporting.  Accordingly, we express no such opinion.

 

The management of the Trust is responsible for establishing and maintaining effective internal control over financial reporting.  In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls.  A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles.  A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’s assets that could have a material effect on the financial statements.

 

Because of inherent limitations, internal control over financial reporting may not prevent or detect misstatements.  Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

 

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis.  A material weakness is a deficiency, or combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company’s annual or interim financial statements will not be prevented or detected on a timely basis.

 

 

 

 

 

 

 

 

 

 


 

Board of Trustees and Shareholders

Neuberger Berman Equity Funds

Page Two

 

 

 

 

 

Our consideration of the Trust’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States).  However, we noted no deficiencies in the Trust’s internal control over financial reporting and its operation, including controls for safeguarding securities, which we consider to be material weaknesses, as defined above, as of August 31, 2021.

 

This report is intended solely for the information and use of management, Shareholders and Board of Trustees of Neuberger Berman Equity Funds and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

 

 

 

 

/s/ TAIT, WELLER & BAKER LLP

Philadelphia, Pennsylvania

October 20, 2021