0001752724-21-251063.txt : 20211123 0001752724-21-251063.hdr.sgml : 20211123 20211123102531 ACCESSION NUMBER: 0001752724-21-251063 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211123 PERIOD START: 20211231 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MANNING & NAPIER FUND, INC. CENTRAL INDEX KEY: 0000751173 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NPORT-P SEC ACT: 1940 Act SEC FILE NUMBER: 811-04087 FILM NUMBER: 211435566 BUSINESS ADDRESS: STREET 1: 290 WOODCLIFF DRIVE CITY: FAIRPORT STATE: NY ZIP: 14450 BUSINESS PHONE: 585-325-6880 MAIL ADDRESS: STREET 1: 290 WOODCLIFF DRIVE CITY: FAIRPORT STATE: NY ZIP: 14450 FORMER COMPANY: FORMER CONFORMED NAME: MANNING & NAPIER FUND, INC /NY/ DATE OF NAME CHANGE: 20060929 FORMER COMPANY: FORMER CONFORMED NAME: EXETER FUND INC /NY/ DATE OF NAME CHANGE: 19980226 FORMER COMPANY: FORMER CONFORMED NAME: MANNING & NAPIER FUND INC DATE OF NAME CHANGE: 19920703 0000751173 S000003638 Diversified Tax Exempt Series C000010108 Class A EXDVX C000206454 Class W MNDWX NPORT-P 1 primary_doc.xml NPORT-P false 0000751173 XXXXXXXX S000003638 C000206454 C000010108 Manning & Napier Fund, Inc. 811-04087 0000751173 549300B31SDCBSJSN672 290 Woodcliff Drive Fairport 14450 585-325-6880 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Troy M. Statczar Troy M. Statczar Treasurer and Principal Financial Officer XXXX NPORT-EX 2 NR04MN093021.htm

 

Investment Portfolio - September 30, 2021 

(unaudited)

 

DIVERSIFIED TAX EXEMPT SERIES  PRINCIPAL     
   AMOUNT1/      
   SHARES   VALUE 
           
MUNICIPAL BONDS - 87.5%          
ALABAMA - 1.0%          
Cullman Utilities Board Water Division, Revenue Bond, AGM, 4.000%, 9/1/2025   1,000,000   $1,127,900 
           
ALASKA - 2.1%          
Alaska Municipal Bond Bank Authority          
Electric Light & Power Impt., Revenue Bond, 5.000%, 12/1/2025   750,000    884,843 
Electric Light & Power Impt., Revenue Bond, 5.000%, 12/1/2030   875,000    1,147,247 
Public Impt., Prerefunded Balance, Series 2, Revenue Bond, 5.000%, 9/1/2022   365,000    372,099 
Public Impt., Unrefunded Balance, Series 2, Revenue Bond, 5.000%, 9/1/2022   135,000    137,635 
         2,541,824 
ARIZONA - 3.1%          
Mesa          
Multiple Utility Impt., Revenue Bond, 5.000%, 7/1/2023   1,050,000    1,137,160 
Multiple Utility Impt., Revenue Bond, 5.000%, 7/1/2024   1,200,000    1,353,936 
Scottsdale, Water & Sewer, Revenue  Bond, 5.250%, 7/1/2022   1,130,000    1,172,895 
         3,663,991 
COLORADO - 1.4%          
E-470 Public Highway Authority, Senior Lien, Series A, Revenue Bond, 5.000%, 9/1/2026   1,000,000    1,205,570 
Garfield Pitkin & Eagle Counties School District No. 1 Roaring Fork, Prerefunded Balance, G.O. Bond, 5.000%, 12/15/2024   500,000    504,815 
         1,710,385 
DISTRICT OF COLUMBIA - 3.6%          
District of Columbia          
Public Impt., Series A, G.O. Bond, 5.000%, 6/1/2022   1,385,000    1,429,348 
Public Impt., Series D, G.O. Bond, 5.000%, 6/1/2022   1,250,000    1,290,025 
Series A, Revenue Bond, 5.000%, 12/1/2021   515,000    518,981 
District of Columbia Water & Sewer Authority, Series C, Revenue Bond, 5.000%, 10/1/2022   1,000,000    1,047,860 
         4,286,214 
FLORIDA - 6.8%          
Central Florida Expressway Authority          
Senior Lien, Revenue Bond, 5.000%, 7/1/2024   500,000    563,700 
Senior Lien, Revenue Bond, 5.000%, 7/1/2027   500,000    616,775 
Senior Lien, Revenue Bond, 5.000%, 7/1/2038   530,000    639,079 
   PRINCIPAL     
   AMOUNT1/      
   SHARES   VALUE 
           
MUNICIPAL BONDS (continued)          
FLORIDA (continued)          
Florida State, Series B, G.O. Bond, 5.000%, 6/1/2024   930,000   $1,046,139 
Florida State Department of Transportation Turnpike System, Series B, Revenue Bond, 2.500%, 7/1/2026   505,000    539,566 
JEA Electric System, Series A, Revenue Bond, 5.000%, 10/1/2028    1,000,000    1,266,070 
Lee County, Water & Sewer, Series B, Revenue Bond, 5.000%, 10/1/2021    750,000    750,000 
Orlando Utilities Commission, Series B, Revenue Bond, 5.000%, 10/1/2021   800,000    800,000 
Port St. Lucie Utility System, Water Utility Impt., Revenue Bond, NATL, 5.250%, 9/1/2023   500,000    547,365 
Tampa-Hillsborough County Expressway Authority, Highway Impt., Series A, Revenue Bond, BAM, 5.000%, 7/1/2028   1,000,000    1,256,910 
         8,025,604 
ILLINOIS - 8.0%          
Aurora, Waterworks & Sewerage          
Series B, Revenue Bond, 3.000%, 12/1/2022   500,000    515,920 
Series B, Revenue Bond, 3.000%, 12/1/2023   625,000    658,944 
Illinois Municipal Electric Agency          
Series A, Revenue Bond, 5.000%, 2/1/2025   2,000,000    2,289,940 
Series A, Revenue Bond, 5.000%, 2/1/2026   730,000    853,216 
Illinois State, Public Impt., Series A, G.O. Bond, 5.000%, 11/1/2024   1,800,000    2,038,572 
Illinois State Toll Highway Authority          
Highway Impt., Series B, Revenue Bond, 5.000%, 1/1/2038   1,050,000    1,243,179 
Series B, Revenue Bond, 5.000%, 1/1/2031   1,500,000    1,931,325 
         9,531,096 
INDIANA - 1.0%          
South Bend Sewage Works, Revenue Bond, 3.000%, 12/1/2025   1,075,000    1,179,673 
           
IOWA - 2.3%          
Cedar Falls, Electric Utility, Revenue Bond, 5.000%, 12/1/2023   2,000,000    2,202,160 
Johnston, Public Impt., Series A, G.O. Bond, 5.000%, 6/1/2023   520,000    561,044 
         2,763,204 
KENTUCKY - 1.3%          
Kentucky Municipal Power Agency, Series A, Revenue Bond, NATL, 5.000%, 9/1/2024   1,355,000    1,525,256 


 1

 

 

Investment Portfolio - September 30, 2021 

(unaudited)

 

DIVERSIFIED TAX EXEMPT SERIES  PRINCIPAL     
   AMOUNT1/      
   SHARES   VALUE 
           
MUNICIPAL BONDS (continued)          
LOUISIANA - 1.1%          
New Orleans          
Sewer Impt., Revenue Bond, 5.000%, 6/1/2023   300,000   $323,367 
Sewer Impt., Series B, Revenue Bond, 5.000%, 6/1/2027   500,000    608,995 
Shreveport, Water & Sewer, Series  B, Revenue Bond, AGM, 3.000%, 12/1/2022   300,000    308,880 
         1,241,242 
MAINE - 1.1%          
Maine Municipal Bond Bank, Various Purposes Impt., Series E, Revenue Bond, 4.000%, 11/1/2021   570,000    571,653 
Maine Turnpike Authority, Highway Impt., Revenue Bond, 5.000%, 7/1/2033   550,000    713,905 
         1,285,558 
MARYLAND - 0.6%          
Baltimore County, G.O. Bond, 5.000%, 3/1/2023   665,000    710,293 
           
MASSACHUSETTS - 0.4%          
Massachusetts, Series B, G.O. Bond, 5.000%, 7/1/2024   410,000    462,833 
           
MISSOURI - 2.1%          
Kansas City, Sanitary Sewer System, Sewer Impt., Series A, Revenue Bond, 4.000%, 1/1/2025   750,000    833,843 
Missouri Joint Municipal Electric Utility Commission, Prairie Street Project, Revenue Bond, 5.000%, 1/1/2027   1,410,000    1,704,859 
         2,538,702 
NEBRASKA - 1.4%          
Nebraska Public Power District, Series B, Revenue Bond, 5.000%, 1/1/2030    640,000    831,110 
Omaha, Public Impt., Series A, G.O. Bond, 2.500%, 1/15/2023   760,000    782,534 
         1,613,644 
NEW JERSEY - 3.0%          
New Jersey Economic Development Authority          
Revenue Bond, 5.000%, 6/15/2028   700,000    872,375 
School Impt., Revenue Bond, 5.000%, 6/15/2029   750,000    949,147 
New Jersey Transportation Trust Fund Authority, Transit Impt., Series AA, Revenue Bond, 5.000%, 6/15/2026   1,445,000    1,670,579 
         3,492,101 
NEW MEXICO - 1.1%          
Albuquerque Bernalillo County Water Utility Authority, Water Utility Impt., Revenue Bond, 5.000%, 7/1/2022   1,250,000    1,294,375 
   PRINCIPAL     
   AMOUNT1/      
   SHARES   VALUE 
           
MUNICIPAL BONDS (continued)          
NEW YORK - 20.1%          
Metropolitan Transportation Authority, Transit Impt., Green Bond, Series C-1, Revenue Bond, 4.750%, 11/15/2045   2,000,000   $2,345,220 
New York City          
Public Impt., Subseries F-3, G.O. Bond, 5.000%, 12/1/2024   825,000    945,516 
Series D, G.O. Bond, 1.216%, 8/1/2026   1,200,000    1,201,644 
Series J, G.O. Bond, 5.000%, 8/1/2023   950,000    1,033,097 
New York City Transitional Finance Authority, Building Aid, Prerefunded Balance, Series S-4A, Revenue Bond, 5.000%, 7/15/2023   645,000    700,115 
New York City Water & Sewer System, Series EE, Revenue Bond, 5.000%, 6/15/2040   3,500,000    4,281,445 
New York State Dormitory Authority
Public Impt., Prerefunded Balance, Series C, Revenue Bond, 5.000%, 3/15/2023		   2,000,000    2,138,960 
School Impt., Series E, Revenue Bond, AGM, 5.000%, 10/1/2025   860,000    939,593 
Series C, Revenue Bond, 0.887%, 3/15/2025   950,000    952,679 
Series C, Revenue Bond, 1.187%, 3/15/2026   1,110,000    1,108,157 
New York State Thruway Authority, Series B, Revenue Bond, 4.000%, 1/1/2038   2,390,000    2,780,789 
New York State Urban Development  Corp., Highway Impt., Series C, Revenue Bond, 5.000%, 3/15/2024    765,000    817,709 
Port Authority of New York & New Jersey, Airport & Marina Impt., Consolidated Series 222, Revenue  Bond, 5.000%, 7/15/2032   1,185,000    1,546,816 
Triborough Bridge & Tunnel Authority, Series A, Revenue Bond, 5.000%, 11/15/2023   2,805,000    3,002,612 
         23,794,352 
NORTH CAROLINA - 1.9%          
Charlotte, Series A, G.O. Bond, 5.000%, 8/1/2022   615,000    639,686 
North Carolina Turnpike Authority, Highway Impt., Revenue Bond, 5.000%, 2/1/2024   1,500,000    1,652,790 
         2,292,476 
OHIO - 4.2%          
Brecksville-Broadview Heights City School District, School Impt., Prerefunded Balance, G.O. Bond, 5.000%, 12/1/2048   1,000,000    1,102,630 
Mason          
Recreational Facility Impt., Series A, G.O. Bond, 3.000%, 12/1/2023   595,000    628,635 


 2

 

 

Investment Portfolio - September 30, 2021 

(unaudited)

 

DIVERSIFIED TAX EXEMPT SERIES  PRINCIPAL     
   AMOUNT1/      
   SHARES   VALUE 
           
MUNICIPAL BONDS (continued)          
OHIO (continued)          
Mason (continued)          
Recreational Facility Impt., Series B, G.O. Bond, 2.000%, 12/1/2023   680,000   $705,031 
Mentor, G.O. Bond, 5.000%, 12/1/2021   810,000    816,132 
Middletown City School District, School Impt., Prerefunded Balance, G.O. Bond, 5.250%, 12/1/2040   1,000,000    1,058,990 
Toledo Water System, Water Utility  Impt., Series A, Revenue Bond, 5.000%, 11/15/2022   610,000    613,355 
         4,924,773 
OREGON - 1.2%          
Metro, Recreational Facility Impt., Series  A, G.O. Bond, 5.000%, 6/1/2023   825,000    851,210 
Oregon State, Public Impt., Series K, G.O. Bond, 5.000%, 8/1/2023   575,000    625,296 
         1,476,506 
PENNSYLVANIA - 7.5%          
Montgomery County, Series C, G.O. Bond, 5.000%, 9/1/2024   1,155,000    1,312,692 
Pennsylvania Turnpike Commission          
Highway Impt., Series A, Revenue  Bond, 5.000%, 12/1/2029   750,000    970,583 
Highway Impt., Series A, Revenue  Bond, 5.000%, 12/1/2030   850,000    1,095,505 
Highway Impt., Series A-1, Revenue  Bond, 5.000%, 12/1/2023   1,200,000    1,319,376 
Series A-2, Revenue Bond, 5.000%, 6/1/2028   590,000    700,011 
Philadelphia, Water & Wastewater, Water Utility Impt., Series A, Revenue  Bond, 5.000%, 11/1/2040   2,450,000    3,140,288 
Pittsburgh Water & Sewer Authority,          
Series B, Revenue Bond, AGM,          
5.000%, 9/1/2032   300,000    392,994 
         8,931,449 
TENNESSEE - 1.3%          
Knoxville Electric System Revenue          
Series FF, Revenue Bond, 5.000%, 7/1/2023   800,000    828,368 
Series FF, Revenue Bond, 5.000%, 7/1/2025   705,000    729,435 
         1,557,803 
TEXAS - 7.8%          
Austin Electric Utility, Series A, Revenue Bond, 5.000%, 11/15/2022   500,000    526,900 
Central Texas Turnpike System, Series C, Revenue Bond, 5.000%, 8/15/2027   1,470,000    1,653,632 
Harris County, Senior Lien, Toll Road  Impt., Series B, Revenue Bond, 5.000%, 8/15/2023   600,000    653,580 
North Texas Tollway Authority
Series A, Revenue Bond, 5.000%, 1/1/2026		   500,000    551,570 
   PRINCIPAL     
   AMOUNT1/      
   SHARES   VALUE 
           
MUNICIPAL BONDS (continued)          
TEXAS (continued)          
North Texas Tollway Authority (continued)          
Series A, Revenue Bond, 5.000%, 1/1/2027   2,000,000   $2,358,260 
Series B, Revenue Bond, 5.000%, 1/1/2029   925,000    1,176,027 
San Antonio Electric & Gas, Revenue  Bond, 5.000%, 2/1/2025   1,000,000    1,039,630 
Texas Municipal Gas Acquisition & Supply Corp. III          
Revenue Bond, 5.000%, 12/15/2026    200,000    241,206 
Revenue Bond, 5.000%, 12/15/2027    600,000    739,110 
Revenue Bond, 5.000%, 12/15/2028    250,000    314,975 
         9,254,890 
WASHINGTON - 2.1%          
Washington State, Series R, G.O. Bond, 5.000%, 8/1/2027   2,000,000    2,477,340 
           
TOTAL MUNICIPAL BONDS          
(Identified Cost $101,751,075)        103,703,484 
           
U.S. TREASURY SECURITIES - 4.6%          
           
U.S. Treasury Notes - 4.6%          
U.S. Treasury Note          
1.625%, 12/15/2022   590,000    600,579 
0.125%, 1/31/2023   605,000    604,716 
0.125%, 2/28/2023   605,000    604,527 
0.125%, 3/31/2023   605,000    604,433 
0.25%, 4/15/2023   600,000    600,398 
1.75%, 5/15/2023   590,000    604,681 
0.25%, 6/15/2023   600,000    600,141 
0.125%, 7/15/2023   605,000    603,724 
2.50%, 8/15/2023   580,000    604,242 
           
TOTAL U.S. TREASURY SECURITIES          
(Identified Cost $5,427,520)        5,427,441 
           
SHORT-TERM INVESTMENT - 10.8%          
Dreyfus Government Cash Management, Institutional Shares, 0.03%2          
(Identified Cost $12,753,896)   12,753,896    12,753,896 
           
TOTAL INVESTMENTS - 102.9%          
(Identified Cost $119,932,491)        121,884,821 
LIABILITIES, LESS OTHER ASSETS - (2.9)%        (3,438,165)
NET ASSETS - 100.0%       $118,446,656 


 3

 

 

Investment Portfolio - September 30, 2021 

(unaudited)

 

KEY: 

G.O. Bond - General Obligation Bond

Impt. - Improvement

No. - Number

 

Scheduled principal and interest payments are guaranteed by: 

AGM (Assurance Guaranty Municipal Corp.)

BAM (Build America Mutual Assurance Co.)

NATL (National Public Finance Guarantee Corp.) 

The insurance does not guarantee the market value of the municipal bonds.

 

1Amount is stated in USD unless otherwise noted. 

2Rate shown is the current yield as of September 30, 2021.



Fair Value Information:

 

Various inputs are used in determining the value of the Series’ assets or liabilities carried at fair value. These inputs are summarized in three broad levels. Level 1 includes quoted prices in active markets for identical assets and liabilities. Level 2 includes other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risk, etc.). Level 3 includes significant unobservable inputs (including the Series’ own assumptions in determining the fair value of investments). A financial instrument’s level within the fair value hierarchy is based on the lowest level of any input both individually and in aggregate that is significant to the fair value measurement. The inputs or methodology used for valuing securities are not necessarily an indication of the risk associated with investing in those securities.

 

The following is a summary of the valuation levels used for major security types as of September 30, 2021 in valuing the Series’ assets or liabilities carried at fair value:

 

DESCRIPTION    TOTAL   LEVEL 1   LEVEL 2   LEVEL 3 
Assets:                  
Debt securities:                      
Municipal Bonds    $103,703,484   $—   $103,703,484   $— 
U.S. Treasury and other U.S. Government agencies     5,427,441    —    5,427,441    — 
Short-Term Investment     12,753,896    12,753,896    —    — 
Total assets    $121,884,821   $12,753,896   $109,130,925   $— 

 

There were no Level 3 securities held by the Series as of December 31, 2020 or September 30, 2021.

 

The Investment Portfolio should be read in conjunction with the financial statements and notes to financial statements, which are included in the Series’ audited annual report or unaudited semi-annual report. These reports include additional information about the Series’ security valuation policies and about certain security types invested in by the Series.

 

 4